Ordinance No. 13,662ORDINANCE NO. 13662
AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF BAYTOWN, TEXAS,
APPROVING A GRANT AGREEMENT FOR FEMA FUNDING BETWEEN THE BAYTOWN
AREA WATER AUTHORITY AND THE DEPARTMENT OF PUBLIC SAFETY AND THE
TEXAS DIVISION OF EMERGENCY MANAGEMENT; AND PROVIDING FOR THE
I a �Ly1��L � 1943:1610
****************************************************************************************************
WHEREAS, the Baytown Area Water Authority's enabling legislation requires that the City Council approve the
agreement before Baytown Area Water Authority (`BAWA") enters into the same; and
WHEREAS, on November 29, 2017, the Board of Directors of BAWA approved a Grant Agreement for FEMA
funding the Department of Public Safety and the Texas Division of Emergency Management; and
WHEREAS, the City of Baytown desires to approve such agreement; NOW THEREFORE,
BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF BAYTOWN, TEXAS:
Section 1: That the recitals set forth hereinabove are hereby found to be true and correct and are hereby
adopted.
Section 2: That the City Council of the City of Baytown, Texas, hereby approves a Grant Agreement for
FEMA funding between the Baytown Area Water Authority and the Department ofPublic Safety and the Texas Division
of Emergency Management, which agreement is attached hereto as Exhibit "A" and incorporated herein for all intents
and purposes.
Section 3: This ordinance shall take effect immediately from and aft ' passage by the City Council of
the City of Baytown.
INTRODUCED, READ and PASSED by the affirmative vote of the C' ouncil of the City of Baytown this the
14th day of December, 2017.
ST HEN H. DONCARLOS, Mayor
ATTE
•�OVb i\ 1r�
TI IA BRYSCH City Cl
.
41 it
APPROVED AS TO FORM:
NACIO RAMIREZ, SR. ty
Attorney
`..',cobfs0l`.legal\Karen\Files•City Council Ordinances\2017\December14\ApprovingBAWAGrantAgreement.doc
Exhibit "A"
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
This Grant Agreement (consisting of these terms and conditions and all exhibits) is made and
entered into by and between the Department of Public Safety (DPS) / Texas Division of
Emergency Management (TDEM), an agency of the State of Texas, hereinafter referred to as
"DPS/TDEM," and the grant recipient, ,
hereinafter referred to as the "Subrecipient." Furthermore, DPS/TDEM and the Subrecipient are
collectively hereinafter referred to as the "Parties." All subawards made under this grant
agreement are subject to the same terms and conditions below.
Subrecipient may not assign or transfer any interest in this Grant without the express, prior written
consent of TDEM and DHS/FEMA.
a. The term Recipient and pass-through entity have the same meaning as "Grantee," as used in
governing statutes, regulations, and DHS/FEMA guidance.
b. A Recipient is also a "non-federal entity" for grants administration purposes.
c. A Subrecipient is also known as a "SubGrantee" as used in governing statutes regulations and
DHS/ FEMA guidance.
d. A Subrecipient is also a "non-federal entity" for grants administration purposes.
e. The "Grant' referred to in this agreement is a subgrant to the Subrecipient passed thru from
DPS/TDEM to the Subrecipient.
f. Certifying Official will be the Mayor, Judge, or Executive Director authorized to execute these
grant terms and conditions, and to submit changes of Subrecipient Agents.
f. Projects and any subsequent versions for those projects accepted by the Subrecipient and
subsequently obligated or deobligated by DHS/FEMA are considered subawards to this grant
agreement.
A. Standard of Performance. Subrecipient shall perform all activities as approved by TDEM.
Any change to a project shall receive prior written approval by TDEM and, if required, by
FEMA. Subrecipient shall perform all activities in accordance with all terms, provisions and
requirements set forth in this Grant, including but not limited to the following Exhibits:
1. Assurances — Non -Construction Programs, hereinafter referred to as "Exhibit A"
2. Assurances — Construction Programs, hereinafter referred to as "Exhibit B"
3. Certifications for Grant Agreements, hereinafter referred to as "Exhibit C'
4. State of Texas Assurances, hereinafter referred to as "Exhibit D"
5. Environmental Review Certification, hereinafter referred to as "Exhibit E"
6. Additional Grant Conditions, hereinafter referred to as "Exhibit F"
7. Additional Grant Certifications, hereinafter referred to as "Exhibit G'
8. Request for Information and Documentation referred to as "Exhibit H"
B. Failure to Perform. In the event Subrecipient fails to implement and complete the project(s)
approved and awarded, or comply with any provision of this Grant, Subrecipient shall be liable
to DPS/TDEM for an amount not to exceed the award amount of this Grant and may be barred
from applying for or receiving additional DHS/FEMA grant program funds or any other grant
Page 1 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
program funds administered by DPS until repayment to DPS/TDEM is made and any other
compliance or audit finding is satisfactorily resolved, in addition to any other remedy specified
in this Grant. Failure to timely implement and complete projects may reduce future funding in
additional DHS/FEMA and/or other grant programs administered by DPS.
C. Fundinq Obligations. DPS/TDEM shall not be liable to Subrecipient for any costs incurred
by Subrecipient that are not allowable costs.
1. Notwithstanding any other provision of this Grant, the total of all payments and other
obligations incurred by DPS/TDEM under this Grant shall not exceed the total cumulative
award amounts listed on the Subawards (projects and subsequent versions).
2. Subrecipient shall contribute the match funds listed on the subaward.
Subrecipient shall refund to DPS/TDEM any sum of these Grant funds that has been determined
by DPSfTDEM or DHS/FEMA to be an overpayment to Subrecipient or that DPS/TDEM
determines has not been spent by Subrecipient in accordance with this Grant. No refund
payment(s) shall be made from local, state or federal Grant funds unless repayment with Grant
funds is specifically permitted by statute or regulation. Subrecipient shall make such refund to
DPS/TDEM within thirty (30) calendar days after DPS/TDEM requests such refund
D. Performance Period. The performance period for this Grant is listed on the subaward letter
for each project. All projects shall be completed within the performance period AND all
reimbursement requests shall be submitted to TDEM within 60 days of the end of the
performance period. Subrecipient shall have expended all Grant funds and submitted
reimbursement requests, invoices and any supporting documentation to DPS/TDEM within 60
days of the end of the performance period. DPS/TDEM shall not be obligated to reimburse
expenses incurred after the performance period or submitted after the deadline.
E. Uniform Administrative Requirements, Cost Principals and Audit Requirements.
Except as specifically modified by law or this Grant, Subrecipient shall administer this Grant
through compliance with the most recent version of all applicable laws and regulations,
including but not limited to DHS program legislation, Federal awarding agency regulations,
and the terms and conditions of this Grant. A non-exclusive list is provided below [not all may
apply in every projects]:
• Public Law 93-288, as amended (Stafford Act)
• 44 CFR, Emergency Management and Assistance
• Disaster Mitigation Act of 2000
• OMB Regulations 2 CFR, Grant and Agreements
• Executive Order 11988, Floodplain Management
• Executive Order 11990, Protection of Wetlands
• Executive Order 12372, Intergovernmental Review of Programs and Activities
• Executive Order 12549, Debarment and Suspension
• Executive Order 12612, Federalism
• Executive Order 12699, Seismic Design
• Executive Order 12898, Environmental Justice
• Coastal Barrier Resources Act, Public Law 97-348
• Single Audit Act, Public Law 98-502
• Sandy Recovery Improvement Act publications
• 16 U.S.C. § 470, National Historic Preservation Act
Page 2 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
• 16 U.S.C. § 1531, Endangered Species Act References
• FEMA program publications, guidance and policies
F State Requirements for Grants. Subrecipient shall comply with all other federal, state, and
local laws and regulations applicable to this Grant including but not limited to the laws and the
regulations promulgated in Texas Government Code, Chapter 783, Uniform Grant and
Contract Management, (UGMS) at:
hftp://www.window.state.tx.us/procurement/catrad/ugms.pdf
and the program State Administrative Plan, available at:
hftp://www.txdps.state.tx.us/dem/GrantsResources/index.htm.
Subrecipient shall, in addition to the assurances and certifications, comply and require each
of its subcontractors employed in the completion of the project to comply with all applicable
statutes, regulations, executive orders, OMB circulars, terms and conditions of this Grant and
the approved application.
Grant funds may not be awarded to or expended by any entity which performs political polling.
This prohibition does not apply to a poll conducted by an academic institution as part of the
institution's academic mission that is not conducted for the benefit of a particular candidate or
party.
Grant funds may not be expended by a unit of local government unless the following limitations
and reporting requirements are satisfied:
1. Texas General Appropriations Act, Art. IX, Parts 2 and 3, except there is no
requirement for increased salaries for local government employees;
2. Texas Government Code Sections 556.004, 556.005, and 556.006, which prohibits
using any money or vehicle to support the candidacy of any person for office,
influencing positively or negatively the payment, loan, or gift to a person or political
organization for a political purpose, and using Grant funds to influence the passage or
defeat of legislation including not assisting with the funding of a lobbyist, or using Grant
funds to pay dues to an organization with a registered lobbyist;
3. Texas Government Code Sections 2113.012 and 2113.101, which prohibits using
Grant funds to compensate any employee who uses alcoholic beverages on active
duty and Subrecipient may not use Grant funds to purchase an alcoholic beverage
and may not pay or reimburse any travel expense for an alcoholic beverage;
4. Texas General Appropriations Act, Art. IX, Section 6.13, which requires Subrecipient
to make every effort to attain key performance target levels associated with this Grant,
including performance milestones, milestone time frames, and related performance
reporting requirements; and
5. General Appropriations Act, Art. IX, Sections 7.01 and 7.02, and Texas Government
Code §2102.0091, which requires that this Grant may only be expended if Subrecipient
timely completes and files its reports.
G. Restrictions and General Conditions.
1. Use of Funds. DHS/FEMA Grant funds may only be used for the purposes set forth in this
Grant, and shall be consistent with the statutory authority for this Grant. Grant funds may
not be used for matching funds for other Federal grants/cooperative agreements, lobbying,
or intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal
funds may not be used to sue the Federal government or any other government entity.
Page 3 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
2. Federal Employee Prohibition. Federal employees are prohibited from serving in any
capacity (paid or unpaid) on any proposal submitted under this Grant. Federal employees
may not receive funds under this Grant.
3. Points of Contacts. Within 10 calendar days of any change, Subrecipient shall notify
DPS/TDEM of any change in designated of Subrecipient Agents as submitted during the
execution of this agreement, and any subsequent changes submitted by Subrecipient. In
the event a Subrecipient hires a consultant to assist them with managing its Public
Assistance grants, they must be listed on the Designated Subrecipient Agent Form.
TDEM will direct all correspondence to the Subrecipient but will cc: the consultant on all
email exchanges. The Subrecipient will be responsible for sharing written
communications with the consultant. The Subrecipient will remain the primary point of
contact and must be included in all decision making activities.
4. DUNS Number. Subrecipient confirms its Data Universal Numbering Systems (DUNS)
Number is accurate and is registered on Sams.gov. The DUNS Number is the nine digit
number established and assigned by Dun and Bradstreet, Inc., at 866/705-5711 or
http://fedgov.dnb.com/webform
5. Central Contractor Registration and Universal Identifier Requirements. Subrecipient
maintains that it has registered on the System for Award Management (SAM) at
www.sam.gov or other federally established site for contractor registration, and entered
DPS/TDEM-required information. Subrecipient shall keep current, and then review and
update the information at least annually. Subrecipient shall keep information current in
the SAM database until the later of when it submits this Grant's final financial report or
receives final Grant award payment. Subrecipient agrees that it shall not make any
subaward agreement or contract related to this Grant without first obtaining the
vendor/subawardee's mandatory DUNS number. See Section §200.32 of OMB 2 C.F.R.
6. Reporting Total Compensation of Subrecipient Executives. 2 C.F.R. §200.331; see FEMA
Information Bulletin 350.
a. Applicability and what to report: Subrecipient shall report whether Subrecipient
received $25 million or more in Federal procurement contracts or financial assistance
subject to the Transparency Act per 2 C.F.R. §200.331. Subrecipient shall report
whether 80% or more of Subrecipient's annual gross revenues were from Federal
procurement contracts or Federal financial assistance. If Subrecipient answers "yes"
to both questions, Subrecipient shall report, along with Subrecipient's DUNS number,
the names and total compensation (see 17 C.F.R. §229.402(c)(2)) for each of
Subrecipient's five most highly compensated executives for the preceding completed
fiscal year.
b. Where and when to report: Subrecipient shall report executive total compensation at
www.sam.gov or other federally established replacement site. By signing this Grant,
Subrecipient certifies that, if required, Subrecipient's jurisdiction has already
registered, entered the required information, and shall keep information in the SAM
database current, and update the information at least annually for each year until the
later of when the jurisdiction submits its final financial report or receives final payment.
Subrecipient agrees that it shall not make any subaward agreement or contract without
first obtaining the subawardee's mandatory DUNS number.
7. Debarment and Suspension. Subrecipient shall comply with Executive Order 12549 and
12689, which provide protection against waste, fraud, and abuse by debarring or
suspending those persons deemed irresponsible in their dealings with the Federal
government.
Page 4 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
8. Direct Deposit. A completed direct deposit form from Subrecipient shall be provided to
DPS/TDEM, prior to receiving any payments under the provisions of this grant. The direct
deposit form is currently available at grants.dps.texas.gov under Resources/Public
Assistance.
9. Property Management and Inventory. Subrecipient shall maintain property/inventory
records which, at minimum, shall include a description of the property, a serial number or
other identification number, the source of property, who holds title, the acquisition date,
the cost of the property, the percentage of Federal participation in the cost of the property,
the location, use and condition of the property, and any ultimate disposition data including
the date of disposal and sale price of the property Subrecipient shall develop and
implement a control system to prevent loss, damage or theft of property and Subrecipient
shall investigate and document any loss, damage or theft of property funded under this
Grant.
10. Site Visits. DHS/FEMA and/or DPS/TDEM, through its authorized representatives, have
the right at all reasonable times to make site visits to review project accomplishments and
management control systems and to provide such technical assistance as may be
required. If any site visit is made by DHS/FEMA on the premises of Subrecipient or a
contractor under this Grant, Subrecipient shall provide and shall require its contractors to
provide all reasonable facilities and assistance for the safety and convenience of the
government representatives in the performance of their duties. All site visits and
evaluations shall be performed in such a manner that will not unduly delay the work.
H. Procurement and Contracting.
1. Procurements. Subrecipient shall comply with all applicable federal, state, and local laws
and requirements, including but not limited to proper competitive solicitation processes
where required, for any procurement which utilizes federal funds awarded under this Grant
in accordance with 2 C.F.R. 200. 318-326 and Appendix II to Part 200 (A -C) and (E -J)
2. Contract Provisions. All contracts executed using funds awarded under this Grant shall
contain the contract provisions listed under 2 C.F.R. 200.326 and Appendix II (A), Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments.
3. Procurement activities must follow the most restrictive of Federal, State and Local
procurement regulations:
a. Procurement by micro purchase
b. Procurement by small purchase
c. Procurement by sealed bid
d. Procurement by competitive proposal
e. Procurement by non-competitive proposal, solely when the award of a contract is
unfeasible under the other methods
The State must be contacted for approval to use a noncompetitive procurement method.
Failure to follow eligible procurement methods will result in ineligible costs. Other types of
agreements for services must have State approval prior to use or execution. A copy of the
local procurement policy must be provided to the State before initial payment.
The cost plus a percentage of cost and percentage of construction cost methods of
contracting are ineligible.
Must perform cost/price analysis for purchases over $3000.
Page 5 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
Must negotiate profit as a separate element where required.
4. Evidence of non -debarment for vendors must be documented through
http://www.sam.gov/portal/public/SAM and
http://www.window.state.tx.us/procurement/prog/vendor performance/debarred/ and
submitted for review.
5. Comply with rules related to underutilized businesses (small and minority businesses,
women's enterprises and labor surplus firms) at 2 CFR 200.321
I. Monitoring. Subrecipient will be monitored periodically by federal, state or local entities, both
programmatically and financially, to ensure that project goals, objectives, performance
requirements, timelines, milestone completion, budget, and other program -related criteria are
met.
DPS/TDEM, or its authorized representative, reserves the right to perform periodic
desk/office-based and/or on-site monitoring of Subrecipient's compliance with this Grant and
of the adequacy and timeliness of Subrecipient's performance pursuant to this Grant. After
each monitoring visit, if the monitoring visit reveals deficiencies in Subrecipient's performance
under this Grant, a monitoring report will be provided to the Subrecipient and shall include
requirements for the timely correction of such deficiencies by Subrecipient. Failure by
Subrecipient to take action specified in the monitoring report may be cause for suspension or
termination of this Grant pursuant to the Suspension and/or Termination Section herein.
J. Audit.
1. Audit of Federal and State Funds. Subrecipient shall arrange for the performance of an
annual financial and compliance audit of funds received and performances rendered under
this Grant as required by the Single Audit Act (OMB 2 C.F.R. 200.501, formerly A-
133). Subrecipient shall comply, as applicable, with Texas Government Code, Chapter
783, the Uniform Grant Management Standards (UGMS), the State Uniform Administrative
Requirements for Grants and Cooperative Agreements.
2. _Right to Audit. Subrecipient shall give the United States Department of Homeland
Security (DHS), Federal Emergency Management Agency (FEMA), the Comptroller
General of the United States, the Texas State Auditor, DPS/TDEM, or any of their duly
authorized representatives, access to and the right to conduct a financial or compliance
audit of Grant funds received and performances rendered under this Grant. Subrecipient
shall permit DPS/TDEM or its authorized representative to audit Subrecipient's records.
Subrecipient shall provide any documents, materials or information necessary to facilitate
such audit.
3. Subrecipient's Liability for Disallowed Costs. Subrecipient understands and agrees that it
shall be liable to DPS/TDEM for any costs disallowed pursuant to any financial or
compliance audit(s) of these funds. Subrecipient further understands and agrees that
reimbursement to DPS/TDEM of such disallowed costs shall be paid by Subrecipient from
funds that were not provided or otherwise made available to Subrecipient pursuant to this
Grant or any other federal contract.
4. Subrecipient's Facilitation of Audit. Subrecipient shall take such action to facilitate the
performance of such audit(s) conducted pursuant to this Section as DPS/TDEM may
require of Subrecipient. Subrecipient shall ensure that this clause concerning the authority
Page 6 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
to audit funds received indirectly by subcontractors through Subrecipient and the
requirement to cooperate is included in any subcontract it awards.
5. State Auditor's Clause. Subrecipient understands that acceptance of funds under this
Grant acts as acceptance of the authority of the State Auditor's Office to conduct an audit
or investigation in connection with those funds. Subrecipient further agrees to cooperate
fully with the State Auditor's Office in the conduct of the audit or investigation, including
providing all records requested. Subrecipient shall ensure that this clause concerning the
State Auditor's Office's authority to audit funds and the requirement to cooperate fully with
the State Auditor's Office is included in any subgrants or subcontracts it awards.
Additionally, the State Auditor's Office shall at any time have access to and the rights to
examine, audit, excerpt, and transcribe any pertinent books, documents, working papers,
and records of Subrecipient relating to this Grant.
K. Retention and Accessibility of Records.
1. Retention of Records. Subrecipient shall maintain fiscal records and supporting
documentation for all expenditures of this Grant's funds pursuant to the applicable OMB
2 C.F.R. Subpart D — Post Federal Award Requirements, §200.333-337, and this Grant.
Subrecipient shall retain these records and any supporting documentation for a minimum
of three (3) years from the later of the completion of this project's public objective,
submission of the final expenditure report, any litigation, dispute, or audit. Records shall
be retained for three (3) years after any real estate or equipment final disposition. The
DHS or DPS/TDEM may direct Subrecipient to retain documents or to transfer certain
records to DHS/FEMA custody when DHS/FEMA determines that the records possess
long term retention value.
2. Access to Records. Subrecipient shall give the United States Department of Homeland
Security, the Comptroller General of the United States, the Texas State Auditor,
DPS/TDEM, or any of its duly authorized representatives, access to and the right to
examine all books, accounts, records, reports, files, other papers, things or property
belonging to or in use by Subrecipient pertaining to this Grant including records concerning
the past use of DHS/FEMA funds. Such rights to access shall continue as long as the
records are retained by Subrecipient.
L. Chances, Amendments, Suspension or Termination
1. Modification. DHS/FEMA or DPS/TDEM may modify this Grant after an award has been
made. Once notification has been made in writing, any subsequent request for funds
indicates Subrecipient's acceptance of the changes to this Grant. Any alteration, addition,
or deletion to this Grant by Subrecipient is not valid.
2. Effect of Changes in Federal and State Laws. Any alterations, additions, or deletions to
this Grant that are required by changes in federal and state laws, regulations or policy are
automatically incorporated into this Grant without written amendment to this Grant and
shall become effective upon the date designated by such law or regulation. In the event
DHS/FEMA or DPS/TDEM determines that changes are necessary to this Grant after an
award has been made, including changes to the period of performance or terms and
conditions, Subrecipient shall be notified of the changes in writing. Once notification has
been made, any subsequent request for funds will indicate Subrecipient's acceptance of
the changes to this Grant.
Page 7 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
3. Suspension. In the event Subrecipient fails to comply with any term of this Grant,
DPS/TDEM may, upon written notification to Subrecipient, suspend this Grant, in whole
or in part, withhold payments to Subrecipient and prohibit Subrecipient from incurring
additional obligations of this Grant's funds.
4. Termination. DPS/TDEM shall have the right to terminate this Grant, in whole or in part,
at any time before the end of the Performance Period, if DPS/TDEM determines that
Subrecipient has failed to comply with any term of this Grant. DPS/TDEM shall provide
written notice of the termination and include:
a. The reason(s) for such termination;
b. The effective date of such termination; and
c. In the case of partial termination, the portion of this Grant to be terminated.
d. Appeal may be made to the Deputy Assistant Director of Texas Division of Emergency
Management- Recovery Mitigation and Standards, Texas Department of Public
Safety.
M. Enforcement. If Subrecipient materially fails to comply with any term of this Grant, whether
stated in a federal or state statute or regulation, an assurance, in a state plan or application,
a notice of award, or elsewhere, DPS/TDEM or DHS/FEMA may take one or more of the
following actions, as appropriate in the circumstances:
1. Increased monitoring of projects and require additional financial and performance
reports
2. Require all payments as reimbursements rather than advance payments
3. Temporarily withhold payments pending correction of the deficiency
4. Disallow or deny use of funds and matching credit for all or part of the cost of the
activity or action not in compliance;
5. Request DHS/FEMA to wholly or partially de -obligate funding for a project
6. Temporarily withhold cash payments pending correction of the deficiency by
subrecipient or more severe enforcement action by DPS/TDEM or DHS/FEMA;
7. Withhold further awards for the grant program
8. Take other remedies that may be legally available
In taking an enforcement action, DPS/TDEM will provide Subrecipient an opportunity for a
hearing, appeal, or other administrative proceeding to which Subrecipient is entitled under
any statute or regulation applicable to the action involved.
The costs of Subrecipient resulting from obligations incurred by Subrecipient during a
suspension or after termination of this Grant are not allowable unless DPS/TDEM or
DHS/FEMA expressly authorizes them in the notice of suspension or termination or
subsequently.
Other Subrecipient costs during suspension or after termination which are necessary and not
reasonably avoidable are allowable if:
• The costs result from obligations which were properly incurred by Subrecipient before the
effective date of suspension or termination, are not in anticipation of it, and in the case of
a termination, are non -cancellable; and
• The costs would be allowable if this Grant were not suspended or expired normally at the
end of the funding period in which the termination takes effects.
Page 8 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
The enforcement remedies identified in this section, including suspension and termination, do
not preclude Subrecipient from being subject to "Debarment and Suspension" under E.O.
12549. 2 C.F.R., Appendix II to Part 200, (1).
N. Conflicts of Interest. The subrecipient will maintain written standards of conduct covering
conflicts of interest and governing the actions of its employees engaged in the selection,
award and administration of contracts and will establish safeguards to prohibit employees
from using their positions for a purpose that constitutes or presents the appearance of
personal or organizational conflict of interest or personal gain.
O. Closing of this Grant. DPS/TDEM will close each subaward after receiving all required final
documentation from the Subrecipient. If the close out review and reconciliation indicates that
Subrecipient is owed additional funds, DPS/TDEM will send the final payment automatically
to Subrecipient. If Subrecipient did not use all the funds received, DPS/TDEM will recover
the unused funds.
At the completion and closure of all Subrecipient's projects (subawards), DPS/TDEM will
request the Subrecipient to Certify the completion of all projects (subawards) in accordance
of the grants terms and conditions to state there are no further claims under this subgrant.
The closeout of this Grant does not affect:
1. DHS/FEMA or DPS/TDEM's right to disallow costs and recover funds on the basis of a
later audit or other review;
2. Subrecipient's obligation to return any funds due as a result of later refunds, corrections,
or other transactions;
3. Records retention requirements, property management requirements, and audit
requirements, as set forth herein; and
4. Any other provisions of this Grant that impose continuing obligations on Subrecipient or
that govern the rights and limitations of the parties to this Grant after the expiration or
termination of this Grant.
P. Notices. All notices and other communications pertaining to this agreement shall be
delivered in electronic format and/or writing and shall be transmitted by fax, e-mail,
personal hand -delivery (and receipted for) or deposited in the United States Mail, as
certified mail, return receipt requested and postage prepaid, to the other party.
Page 9 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
EXHIBIT A
ASSURANCES - NON -CONSTRUCTION PROGRAMS See Standard Form 4248
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1 Has the legal authority to apply for Federal assistance and the institutional,
managerial and financial capability (including funds sufficient to pay the non -
Federal share of project cost) to ensure proper planning, management and
completion of the project described in this Grant
2 Will give the Department of Homeland Security, the Department of Public
Safety, the Comptroller General of the United States and, if appropriate, the
State, through any authorized representative, access to and the right to
examine all records, books, papers, or documents related to this Grant and
will establish a proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using their positions for
a purpose that constitutes or presents the appearance of personal or
organizational conflict of interest or personal gain.
4. Will initiate and complete the work within the applicable time frame after
receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C.
§§4728-4763) relating to prescribed standards for merit systems for
programs funded under one of the 19 statutes or regulations specified in
Appendix A of OPM's Standards for a Merit System of Personnel
Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to nondiscrimination. These
Include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L.
88-352) which prohibits discrimination on the basis of race, color or national
origin; (b) Title IX of the Education Amendments of 1972, as amended (20
U.S.C. §§1681-1683, and 1685-1686 and 44 C.F.R. Part 19), which prohibits
discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of
1973, as amended (29 U.S.C. §794), which prohibits discrimination on the
basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42
U.S.C. §§6101-6107), which prohibits discrimination on the basis of age; (e)
the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended,
relating to nondiscrimination on the basis of drug abuse; (f) the
Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or alcoholism; (g) §§523 and
527 of the Public Health Service Act of 1912 (42 U.S.C. §§290dd-3 and
290ee-3), as amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601
at seq.), as amended, relating to nondiscrimination in the sale, rental or
financing of housing; (I) any other nondiscrimination provisions in the specific
statute(s) under which agreement for Federal assistance is being made; and
0) the requirements of any other nondiscrimination statute(s) which may apply
to the application.
7. Will comply or has already complied with the requirements of Titles II and III
of the Uniform Relocation Assistance and Real Property Acquisition Policies
Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of
persons displaced or whose property is acquired as a result of Federal or
federally -assisted programs. These requirements apply to all Interests in real
property acquired for project purposes regardless of Federal participation in
purchases.
8. Will comply, as applicable, with provisions of the Hatch Act (5 U.S.C. §§1501-
1508 and 7324-7328) which limit the political activities of employees whose
principal employment activities are funded in whole or in part with Federal
funds.
9. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40
U.S.C. §§276a to 276a-7), the Copeland Act (40 U.S.C. §276c and 18 U.S.C.
§874), and the Contract Work Hours and Safety Standards Act (40 U.S.C.
§§327-333), regarding labor standards for federally -assisted construction
sub -agreements.
10. Will comply, if applicable, with flood insurance purchase requirements of
Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234)
which requires recipients in a special flood hazard area to participate in the
TDEM — September 2017
program and to purchase flood Insurance if the total cost of insurable
construction and acquisition is $10,000 or more.
Will comply with environmental standards which may be prescribed pursuant
to the following: (a) institution of environmental qualitycontrol measures under
the National Environmental Policy Act of 1969 (P.L. 91-190 as amended by
42 U.S.C. 4311 at seq. and Executive Order (EO) 11514) which establishes
national policy goals and procedures to protect and enhance the environment,
including protection against natural disasters. To comply with NEPA for DHS
grant -supported activities, DHS -FEMA requires the environmental aspects to
be reviewed and evaluated before final action on the application; (b)
notification of violating facilities pursuant to EO 11738; (c) protection of
wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains
in accordance with EO 11988; (e) assurance of project consistency with the
approved State management program developed under the Coastal Zone
Management Act of 1972 (16 U.S.C. §§1451 at seq.); (f) comply with the
Clean Air Act of 1977, (42 U.S.C. §§7401 at seq. and Executive Order 11738)
providing for the protection of and enhancement of the quality of the nation's
air resources to promote public health and welfare and for restoring and
maintaining the chemical, physical, and biological integrity of the nation's
waters; (g) protection of underground sources of drinking water underthe Safe
Drinking Water Act of 1974, as amended (P.L. 93-523); and, (h) protection of
endangered species under the Endangered Species Act of 1973, as amended
(P.L. 93- 205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§1271 at
seq.) related to protecting components or potential components of the national
wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with Section 106 of the
National Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO
11593 (Identification and protection of historic properties), and the
Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §§469a-1 at
seq.).
14. Will comply with P.L. 93-348, 45 C.F.R. 46, and DHS Management Directive
026-044 (Directive) regarding the protection of human subjects Involved in
research, development, and related activities supported by this Grant
"Research" means a systematic investigation, including research,
development, testing, and evaluation designed to develop or contribute to
general knowledge. See Directive for additional provisions for including
humans in the womb, pregnant women, and neonates (Subpart B); prisoners
(Subpart C); and children (Subpart D). See also state and local law for
research using autopsy materials.
15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as
amended, 7 U.S.C. §§2131 at seq.) which requires the minimum standards of
care and treatment for vertebrate animals bred for commercial sale, used in
research, transported commercially, or exhibited to the public according to the
Guide for Care and Use of Laboratory Animals and Public Health Service
Policy and Government Principals Regarding the Care and Use of Animals.
16. Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C.
§§4801 at seq.) which prohibits the use of lead-based paint in construction or
rehabilitation of residence structures.
17. Will cause to be performed the required financial and compliance audits in
accordance with the Single Audit Act Amendments of 1996 and OMB Circular
No. A-133 (now OMB 2 C.F.R. 200.500), "Audits of States, Local
Governments, and Non -Profit Organizations."
18. Will comply with all applicable requirements of all other Federal laws, executive
orders, regulations, grant guidance, and policies governing this Grant
Page 10 of 21
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
EXHIBIT B
ASSURANCES - CONSTRUCTION PROGRAMS See Standard Form 424D
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. Has the legal authority to apply for Federal assistance, and the
institutional, managerial and financial capability (including funds
sufficient to pay the non -Federal share of project costs) to ensure proper
planning, management and completion of project described in this Grant.
2. Will give the Department of Homeland Security, the Department of Public
Safety, the Comptroller General of the United States and, if appropriate,
the State, the right to examine all records, books, papers, or documents
related to this Grant and will establish a proper accounting system in
accordance with generally accepted accounting standards or agency
directives.
3. Will not dispose of, modify the use of, or change the terms of the real
property title or other interest in the site and facilities without permission
and instructions from the awarding agency. Will record the Federal
awarding agency directives and will include a covenant in the title of real
property acquired in whole or in part with Federal assistance funds to
assure nondiscrimination during the useful life of this Grant.
4. Will comply with the requirements of the assistance awarding agency
with regard to the drafting, review and approval of construction plans and
specifications.
5. Will provide and maintain competent and adequate engineering
supervision at the construction site to ensure that the complete work
conforms with the approved plans and specifications and will furnish
progressive reports and such other information as may be required by
the awarding agency or State.
6. Will initiate and complete the work within the applicable time frame after
receipt of approval of the awarding agency.
7. Will establish safeguards to prohibit employees from using their positions
for a purpose that constitutes or presents the appearance of personal or
organizational conflict of interest or personal gain.
8. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C.
§§4728-4763) relating to prescribed standards of merit systems for
programs funded under one of the 19 statutes or regulations specified in
Appendix A of OPM's Standards for a Merit System of Personnel
Administration (5 C.F.R. 900, Subpart F).
9. Will comply with the Lead -Based Paint Poisoning Prevention Act (42
U.S.C. §§4801 at seq.) which prohibits the use of lead-based paint in
construction or rehabilitation of residence structures.
10. Will comply with all Federal statutes relating to nondiscrimination. These
include but are not limited to: (a) Title VI of the Civil Rights Act of 1964
(P.L. 88-352) which prohibits discrimination on the basis of race, color or
national origin; (b) Title IX of the Education Amendments of 1972, as
amended (20 U.S.C. §§1681 1683, and 1685-1686 and 44 C.F.R. Part
19), which prohibits discrimination on the basis of sex; (c) Section 504 of
the Rehabilitation Act of 1973, as amended (29) U.S.C. §794), which
prohibits discrimination on the basis of handicaps; (d) the Age
Discrimination Act of 1975, as amended (42 U.S.C. §§6101-6107), which
prohibits discrimination on the basis of age; (e) the Drug Abuse Office
and Treatment Act of 1972 (P.L. 92-255), as amended relating to
nondiscrimination on the basis of drug abuse; (f) the Comprehensive
Alcohol Abuse and Alcoholism Prevention, Treatment and rehabilitation
Act of 1970 (P.L. 91.616), as amended, relating to nondiscrimination on
the basis of alcohol abuse or alcoholism; (g) §§523 and 527 of the Public
Health Service Act of 1912 (42 U.S.C. §§290dd-3 and 290ee-3), as
amended, relating to confidentiality of alcohol and drug abuse patient
records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601
at seq.), as amended, relating to nondiscrimination in the sale, rental or
financing of housing; (i) any other nondiscrimination provisions in the
speck statue(s) under which agreement for Federal assistance is being
made; and (j) the requirements of any other nondiscrimination statue(s)
which may apply to the agreement.
TDEM — September 2017
11 Will comply or has already complied with the requirements of Titles II and
III of the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable
treatment of persons displaced or whose property is acquired as a result
of Federal and federally -assisted programs. These requirements apply
to all interests in real property acquired for project purposes regardless
of Federal participation in purchases.
12 Will comply with the provisions of the Hatch Act (5 U.S.C. §§1501-1508
and 7324-7328) which limit the political activities of employees whose
principal employment activities are funded in whole or in part with
Federal funds.
13. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40
U.S.C. §§276a to 276a-7), the Copeland Act (40 U.S.C. §276c and 18
U.S.C. §874), and the Contract Work Hours and Safety Standards Act
(40 U.S.C. §§327- 333) regarding labor standards for federally -assisted
construction sub -agreements.
14. Will comply with flood insurance purchase requirements of Section
102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which
requires recipients in a special flood hazard area to participate in the
program and to purchase flood insurance if the total cost of insurable
construction and acquisition is $10,000 or more.
15. Will comply with environmental standards which may be prescribed
pursuant to the following: (a) institution of environmental quality control
measures under the National Environmental Policy Act of 1969 (P.L. 91-
190) as amended by 42 U.S.C. 4311 at seq. and Executive Order (EO)
11514 which establishes national policy goals and procedures to protect
and enhance the environment, including protection against natural
disasters; (b) notification of violating facilities pursuant to EO 11738; (c)
protection of wetlands pursuant to EO 11990; (d) evaluation of flood
hazards in floodplains in accordance with EO 11988; (e) assurance of
project consistency with the approved State management program
developed under the Coastal Zone Management Act of 1972 (16 U.S.C.
§§1451 at seq.); (f) comply with the Clean Air Act of 1977, (42 U.S.C.
§§7401 at seq. and Executive Order 11738) providing for the protection
of and enhancement of the quality of the nation's air resources to
promote public health and welfare and for restoring and maintaining the
chemical, physical, and biological integrity of the nation's waters; (g)
protection of underground sources of drinking water under the Safe
Drinking Water Act of 1974, as amended (P.L. 93-523); and, (h)
protection of endangered species under the Endangered Species Act of
1973, as amended (P.L. 93-205).
16 Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C.
§§1271 at seq.) related to protecting components or potential
components of the national wild and scenic rivers system.
17 Will assist the awarding agency in assuring compliance with Section 106
of the National Historic Preservation Act of 1966, as amended (16 U.S.C.
§470), EO 11593 (identrfication and protection of historic properties), and
the Archaeological and Historic Preservation Act of 1974 (16 U.S.C.
§§469a-1 at seq).
18. Will cause to be performed the required financial and compliance audits
in accordance with the Single Audit Act Amendments of 1996 and OMB
Circular No. A-133 (now OMB 2 C.F.R. 200.500), "Audits of States, Local
Governments, and Non -Profit Organizations."
19. Will comply with all applicable requirements of all other Federal laws,
executive orders, regulations, grant guidance and policies governing this
Grant.
Page 11 of 21
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
Exhibit C
Certifications for Grant Agreements
The undersigned, as the authorized official, certifies the following to the best of his/her knowledge and belief.
A. No Federal appropriated funds have been paid or will be paid by or on behalf of the undersigned to any person for influencing or
attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an
employee or a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the
making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment,
or modification of any Federal contract, grant, loan, or cooperative agreement.
B. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee or a
Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete
and submit Standard Form -LLL Disclosure of Lobbying Activities, in accordance with its instructions,
C. The undersigned shall require that the language of this certification prohibiting lobbying be included in the award documents for all
subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that
all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into
this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject
to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
D. As required by Executive Order 12549, Debarment and Suspension, and implemented at 28 C.F.R. Part 67, for prospective
participants in primary covered transactions, as defined at 28 C.F.R. Part 67, Section 67.510. (Federal Certification), the Subrecipient
certifies that it and its principals and vendors:
1. Are not debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial of Federal benefits by a State
or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency. Subrecipient can
access debarment information by going to www.sam.gov and the State Debarred Vendor List at:
www.window.state.tx.us/Drocurement/proo/vendor performance/debarred.
2. Have not within a three-year period preceding this Grant been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal,
State, or local) transaction or contract under a public transaction, violation of Federal or State antitrust statutes or commission
of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen
property;
3. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with
commission of any of the offenses enumerated in paragraph (D)(2) of this certification;
4. Have not within a three-year period preceding this Grant had one or more public transactions (Federal, State, or local) terminated
for cause or default; or
5. Where Subrecipient is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this
Grant. (Federal Certification).
E. Federal funds will be used to supplement existing funds, and will not replace (supplant) funds that have been appropriated for the
same purpose. Subrecipient may be required to supply documentation certifying that a reduction in non-federal resources occurred
for reasons other than the receipt or expected receipt of federal funds.
F. Subrecipient will comply with 2 C.F.R. Part 180, Subpart C as a condition of receiving grant funds and Subrecipient will require such
compliance in any subgrants or contract at the next tier.
G Subrecipient will comply with the Drug-free Workplace Act, as amended, 412 U.S.C. §701 et seq., which requires Subrecipient to
publish a statement about its drug-free workplace program and give a copy of the statement to each employee (including consultants
and temporary personnel) who will be involved in award -supported activities at any site where these activities will be carried out.
Also, places where work is being performed under the award (i.e., street address, city, state, and zip code) must be maintained on
file. Subrecipient will notify the Grants Officer of any employee convicted of a violation of a criminal drug statute that occurs in the
workplace. For additional information, see 44 C.F.R. Part 17. Subrecipient shall comply with the requirements of the Drug -Free
Workplace Act of 1988, which requires that all organizations receiving grants from any Federal agency agree to maintain a drug-free
workplace.
H. Subrecipient is not delinquent on any Federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit
disallowances, and benefit overpayments. See OMB Circular A-129 and form SF -424, item number 17 for additional information and
guidance.
Page 12 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
I. Subrecipient will comply with all applicable requirements of all other federal laws, executive orders, regulations, program and
administrative requirements, policies and any other requirements governing this Grant.
J. Subrecipient understands that failure to comply with any of the above assurances may result in suspension, termination or reduction
of funds in this Grant.
Page 13 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
EXHIBIT D
State of Texas Assurances
As the duly authorized representative of Subrecipient, I certify that Subrecipient
1. Shall comply with Texas Government Code, Chapter 573, by ensuring that no officer, employee, or member of the Subrecipient's governing
body or of the Subrecipient's contractor shall vote or confirm the employment of any person related within the second degree of affinity or
the third degree of consanguinity to any member of the governing body or to any other officer or employee authorized to employ or supervise
such person. This prohibition shall not prohibit the employment of a person who shall have been continuously employed for a period of two
years, or such other period stipulated by local law, prior to the election or appointment of the officer, employee, or governing body member
related to such person in the prohibited degree.
2. Shall insure that all information collected, assembled, or maintained by the Subrecipient relative to a project will be available to the public
during normal business hours in compliance with Texas Government Code, Chapter 552, unless otherwise expressly prohibited by law.
3. Shall comply with Texas Government Code, Chapter 551, which requires all regular, special, or called meetings of governmental bodies to
be open to the public, except as otherwise provided by law or specifically permitted in the Texas Constitution.
4. Shall comply with Section 231.006, Texas Family Code, which prohibits payments to a person who is in arrears on child support payments.
5. Shall not contract with or issue a license, certificate, or permit to the owner, operator, or administrator of a facility if the Subrecipient is a
health, human services, public safety, or law enforcement agency and the license, permit, or certificate has been revoked by another health
and human services agency or public safety or law enforcement agency.
6. Shall comply with all rules adopted by the Texas Commission on Law Enforcement pursuant to Chapter 1701, Texas Occupations Code, or
shall provide the grantor agency with a certification from the Texas Commission on Law Enforcement that the agency is in the process of
achieving compliance with such rules if the Subrecipient is a law enforcement agency regulated by Texas Occupations Code, Chapter 1701.
7. Shall follow all assurances. When incorporated into a grant award or contract, standard assurances contained in the application package
become terms or conditions for receipt of grant funds. Administering state agencies and subrecipients shall maintain an appropriate contract
administration system to insure that all terms, conditions, and specifications are met. (See UGMS Section _.36 for additional guidance on
contract provisions).
8. Shall comply with the Texas Family Code, Section 261.101, which requires reporting of all suspected cases of child abuse to local law
enforcement authorities and to the Texas Department of Child Protective and Regulatory Services. Subrecipient shall also ensure that all
program personnel are properly trained and aware of this requirement.
9. Shall comply with all federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of
1964 (P.L. 88-352), which prohibits discrimination on the basis of race, color, or national origin; (b) Title IX of the Education Amendments of
1972, as amended (20 U.S.C. §§1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the
Rehabilitation Act of 1973, as amended (29 U.S.C. §794), which prohibits discrimination on the basis of handicaps and the Americans with
Disabilities Act of 1990 including Titles I, II, and III of the Americans with Disability Act which prohibits recipients from discriminating on the
basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain
testing entities, 44 U.S.C. §§ 12101-12213; (d) the Age Discrimination Act of 1974, as amended (42 U.S.C. §§6101-6107), which prohibits
discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment, and
Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to the nondiscrimination on the basis of alcohol abuse or alcoholism; (g)
§§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§290dd-3 and 290ee-3), as amended, relating to confidentiality of
alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental, or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which
application for Federal assistance is being made; and 0) the requirements of any other nondiscrimination statute(s) which may apply to this
Grant.
10. Shall comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act (40 U.S.C. §276c
and 18 U.S.C. §874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§327-333), regarding labor standards for federally
assisted construction subagreements.
11. Shall comply with requirements of the provisions of the Uniform Relocation Assistance and Real Property Acquisitions Act of 1970 (P.L. 91-
646), which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally
assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation
in purchases.
12. Shall comply with the provisions of the Hatch Political Activity Act (5 U.S.C. §§7321-29), which limit the political activity of employees whose
principal employment activities are funded in whole or in part with Federal funds.
13. Shall comply with the minimum wage and maximum hours provisions of the Federal Fair Labor Standards Act and the Intergovernmental
Personnel Act of 1970, as applicable.
14. Shall insure that the facilities under its ownership, lease, or supervision which shall be utilized in the accomplishment of the project are not
listed on the Environmental Protection Agency's (EPA) list of Violating Facilities and that it will notify the Federal grantor agency of the receipt
Page 14 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under
consideration for listing by the EPA (EO 11738)
15 Shall comply with the flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973, Public Law 93-
234 Section 102(a) requires the purchase of flood insurance in communities where such insurance is available as a condition for the receipt
of any Federal financial assistance for construction or acquisition proposed for use in any area that has been identified by the Secretary of
the Department of Housing and Urban Development as an area having special flood hazards.
16 Shall comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality control
measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of violating
facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance
with EO 11988; (e) assurance of project consistency with the approved state management program developed under the Coastal Zone
Management Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of federal actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. §§7401 at seq.); (g) protection of underground sources of drinking water under
the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); and (h) protection of endangered species under the Endangered Species
Act of 1973, as amended (P.L. 93-205).
17. Shall comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§1271 at seq.) related to protecting components or potential
components of the national wild and scenic rivers system.
18. Shall assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16
U.S.C. §470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974
(16 U.S.C. §§469a-1 et seq.).
19. Shall comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. §§2131 at seq.) which requires the
minimum standards of care and treatment for vertebrate animals bred for commercial sale, used in research, transported commercially, or
exhibited to the public according to the Guide for Care and Use of Laboratory Animals and Public Health Service Policy and Government
Principals Regarding the Care and Use of Animals.
20. Shall comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §§4801 et seq.) which prohibits the use of lead-based paint in
construction or rehabilitation of residential structures
21. Shall comply with the Pro -Children Act of 1994 (Public Law 103-277), which prohibits smoking within any portion of any indoor facility used
for the provision of services for children.
22. Shall comply with all federal tax laws and are solely responsible for filing all required state and federal tax forms.
23. Shall comply with all applicable requirements of all other federal and state laws, executive orders, regulations, and policies governing this
program.
24. And its principals are eligible to participate and have not been subjected to suspension, debarment, or similar ineligibility determined by any
federal, state, or local governmental entity and it is not listed on a state or federal government's terrorism watch list as described in Executive
Order 13224. Entities ineligible for federal procurement have Exclusions listed at https://www.sam.00v/portal/public/SAM/.
25. Shall adopt and implement applicable provisions of the model HIV/AIDS work place guidelines of the Texas Department of Health as required
by the Texas Health and Safety Code, Ann., Sec. 85.001, at seq.
Page 15 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
EXHIBIT E
Environmental Review
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. shall assess its federally funded projects for potential impact to environmental resources and historic properties.
2. shall submit any required screening form(s) as soon as possible and shall comply with deadlines established by DPS/TDEM.
Timelines for the Environmental Planning and Historic Preservation (EHP) review process will vary based upon the complexity of the
project and the potential for environmental or historical impact.
3. shall include sufficient review time within its project management plan to comply with EHP requirements. Initiation of any activity
prior to completion of FEMA's EHP review will result in a non-compliance finding and DPS/TDEM will not authorize or release Grant
funds for non-compliant projects.
4. as soon as possible upon receiving this Grant, shall provide information to DPS/TDEM to assist with the legally -required EHP review
and to ensure compliance with applicable EHP laws and Executive Orders (EO) currently using the FEMA EHP Screening Form
OMB Number 1660-0115/FEMA Form 024-0-01 and submitting it, with all supporting documentation, to DPS/TDEM for review. These
EHP requirements include but are not limited to the National Environmental Policy Act, the National Historic Preservation Act, the
Endangered Species Act, EO 11988 — Floodplain Management, EO 11990 — Protection of Wetlands, and EO 12898 — Environmental
Justice. Subrecipient shall comply with all Federal, State, and local EHP requirements and shall obtain applicable permits and
clearances.
5. shall not undertake any activity from the project that would result in ground disturbance, facility modification, or purchase and use of
sonar equipment without the prior approval of FEMA. These include but are not limited to communications towers, physical security
enhancements involving ground disturbance, new construction, and modifications to buildings.
6. shall comply with all mitigation or treatment measures required for the project as the result of FEMA's EHP review. Any changes to
an approved project description will require re-evaluation for compliance with EHP requirements before the project can proceed.
7. if ground disturbing activities occur during project implementation, Subrecipient shall ensure monitoring of ground disturbance and if
any potential archeological resources are discovered, Subrecipient shall immediately cease construction in that area and notify FEMA
and the appropriate State Historical Preservation Office.
Page 16 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
EXHIBIT F
Additional Grant Conditions
1. Additional damage requiring a new Public Assistance project to be written must be reported within 60 days
following the Project Scoping meeting with the State- Federal team.
2. All work must be done prior to the approved project completion deadline assigned to each Project (POP).
Should additional time be required, a time extension request must be submitted which: a.) Identifies the
projects requiring an extension. b.) Explains the reason for an extension. c.) Indicates the percentage of work
that has been completed. d.) Provides an anticipated completion date. The reason for an extension must be
based on extenuating circumstances or unusual project requirements that are beyond the control of your
jurisdiction/organization. Failure to submit a time extension request 60 days prior to the end of the
period of performance may result in reduction or withdrawal of federal funds for approved work.
3. Any significant change to a project's approved Scope of Work must be reported and approved through TDEM
and FEMA before starting the project. Failure to do so will jeopardize grant funding. The Subrecipient shall
submit requests for cost overruns requiring additional obligations to TDEM, who will forward to FEMA for
review and approval prior to incurring costs.
4. The Project Completion and Certification Report must be submitted to TDEM within 60 days of all approved
work being completed for each project. If any project requires the purchase of insurance as a condition of
receiving federal funds, a copy of the current policy must be attached to this report, or Duplication of Benefits
form certifying other funds were received to complete the project.
5. A cost overrun appeal on small ($123,100) Public Assistance projects must be reported to the Texas Division
of Emergency Management (TDEM) within 60 days of completing the last small project in order to be
considered for additional funding.
6. Appeals may be filed on any determination made by FEMA or TDEM. All appeals must be submitted to
TDEM within 60 days from receiving written notice of the action you wish to appeal. Should you wish to
appeal a determination contained in the project application, the 60 days will start the day the application is
signed. Appeals for Alternative Projects will be subject to the terms of the signed agreement for the
Alternative Project.
7. Public Assistance program projects will not receive funding until all of the requirements identified in the
comments section of the Project Worksheet are met.
8. You may request a payment of funds on projects by initiating a Request for Reimbursement (RFR) in TDEM's
Grant Management System (GMS) or an Advance of Funds Request (AFR), and including documentation
supporting your request. Small Public Assistance projects are paid upon obligation and will be initiated by
TDEM personnel. Payments for open projects must be requested at least quarterly if expenditures have
been made in that quarter.
9. Subrecipients will be required to submit quarterly project reports (QPR) for open large projects using TDEM's
GMS. Your assigned Grant Coordinator will coordinate the due date for your specific reporting. Public
Assistance program small projects are typically exempt from quarterly reporting, however TDEM reserves
the right to require QPRs on any smalls requiring a POP extension. The first quarterly report will be due at
the end of the first full quarter following the quarter in which the project was obligated. No quarterlies are
required for projects that Subrecipient has initiated a closeout request and has provided a certificate of
Page 17 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
completion. Failure to submit required quarterly reports for two or more quarters can result in
withholding or deobligation of funding for Subrecipients until all reports are submitted and up-to-
date.
10.Subrecipients expending $750,000 or more in total Federal financial assistance in a fiscal year will be
required to provide an audit made in accordance with OMB Uniform Guidance; Cost Principles, Audit, and
Administrative Requirements for Federal Awards, Subpart F. A copy of the Single Audit must be submitted
to your cognizant State agency or TDEM within nine months of the end of the subrecipient's fiscal year.
Consult with your financial officer regarding this requirement. If not required to submit a single audit, a letter
must be sent to TDEM certifying to this.
11. Completed record and cost documents for all approved work must be retained for a minimum of three (3)
years from the later of the completion of this project's public objective, submission of the final expenditure
report, any litigation, dispute, or audit. Records shall be retained for three (3) years after any real estate or
equipment final disposition. The DHS or DPS/TDEM may direct Subrecipient to retain documents or to
transfer certain records to DHS custody when DHS determines that the records possess long term retention
value. During this time, all approved projects are subject to State and Federal audit/review.
12.Subrecipients will not make any award to any party which is debarred or suspended, or is otherwise excluded
from participation in the Federal assistance programs (EO 12549, Debarment and Suspension). Subrecipient
must maintain documentation validating review of debarment list of eligible contractors.
13.Subrecipients must keep record of equipment acquired by federal funds for the life cycle of the equipment.
A life cycle for most equipment will be three years, but could be longer. If the fair market value of a piece of
equipment is valued over $5,000, FEMA will have the right to a portion of proceeds if equipment is sold. If
the fair market value of a piece of equipment is less than $5,000, the property can either be retained, sold or
designated as surplus with no further obligation to FEMA.
14.TDEM will be using the new FEMA Public Assistance Delivery Model to facilitate the writing of project
worksheets (Portal). Subrecipient will be responsible for establishing and maintaining an active account in
the Portal and to provide and upload timely, all information requested that is needed to write accurate project
worksheets. The Portal will provide the Subrecipient visibility of the entire project writing process.
15.TDEM will be using its new Grant Management System (GMS) for Subrecipient grant management functions.
Subrecipient will access GMS to initiate Requests for Reimbursements (RFR), Advance of Funds Requests
(AFR), Time Extensions, Scope and Cost changes requests, Quarterly Reports, Project Closeouts, Appeals,
and other items deemed necessary by TDEM. Requested forms and processes may be adjusted and
changed to accommodate GMS processes and requirements. Subrecipient agrees to monitor GMS as
necessary to properly manage and complete awarded projects under this agreement.
16.2 CFR 200.210(a)(15), 2 CFR 200.331(a)(1)(xiii) and (a)(4) make reference to indirect cost rates. The
Subrecipient may use the negotiated Indirect Cost Rate approved by its cognizant agency, or may use the
10% de minimis rate of modified total direct costs (MTDC) (as per § 200.414) when receiving State
Management Costs (SMC). Currently, TDEM reserves all SMC to manage the states roles in the disaster.
Subrecipients are entitled to claim Direct Administrative Costs for each of the projects it manages.
Page 18 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
EXHIBIT G
Additional Grant Certifications
Match Certification
Subrecipient certifies that it has the ability to meet or exceed the cost share required for all subawards (Projects)
and amendments (versions) under this Grant Agreement.
Duplication of Program Statement
Subrecipient certifies there has not been, nor will there be, a duplication of benefits for this project.
Match Certification
Federal Debt Disclosure
Subrecipient certifies that it is not delinquent on any Federal Debt.
For Hazard Miticiation Projects Only:
Maintenance Agreement
Applicant certifies that if there is a Maintenance Agreement needed for this facility copy of that agreement will be
provided to TDEM.
Environmental Justice Statement
Federal Executive Order 12898 compliance requirements — If there are any concentrations of low income or minority
populations in or near the HMGP project:
1. Applicant certifies that the HMGP project result will not result in a disproportionately high or adverse effect on
low income or minority populations.
OR
2. Applicant certifies that action will be taken to ensure achievement of environmental justice for low income and
minority populations related to this HMGP project.
Page 19 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
Exhibit H
Request for Information and Documentation Policy and
Guideline
It is crucial to the success of the overall Grant Program and to the timely completion and closure of
awarded projects that timelines be established for providing information and documentation. TDEM
has developed a framework to support this endeavor following a progressive series of communications
for the Subrecipient (RFI). TDEM will work with you throughout the RFI process as communication is the
key to your success.
RFI Timelines
1 First Informal Request
The primary contact for the Subrecipient will receive the RFI via email
with five business days to respond,
Second Informal Request
A second email to the primary contact will be sent with an additional
five business days to respond.
Third Informal Request
A phone call will be made to the primary contact with a third email
1
requesting the information to be provided within five business days
The Regional Section Administrator and State Coordinator will be
copied.
Fourth Formal Request
The Supervising Program Director of Recovery will issue a certified letter
to the highest ranking official highlighting previous requests and an
additional ten days to provide the requested information.
Final Formal Request
A final request by certified letter will be issued by the Deputy Assistant
I
Director of Recovery, Mitigation, and Standards, or the Assistant
Director of the Texas Division of Emergency Management to the highest
I
ranking official giving the final ten business days to respond or
deobligation of the project will begin.
Final Action
If the RFI Is not sufficiently answered, the project will be deobligated,
and any previously paid funds must be returned to TDEM.
Reference: RMS Services Grant Program Request for Information and Documentation August 2017
Page 20 of 21
TDEM — September 2017
GRANT TERMS AND CONDITIONS
FEMA -4332 -DR -TX
Please initial by each Exhibit, acknowledging you have received them, understand them, and
agree to abide by them.
Assurances — Non -Construction Programs, hereinafter referred to as "Exhibit A"
Assurances — Construction Programs, hereinafter referred to as "Exhibit B"
Certifications for Grant Agreements, hereinafter referred to as "Exhibit C'
State of Texas Assurances, hereinafter referred to as "Exhibit D"
Environmental Review Certification, hereinafter referred to as "Exhibit F
Additional Grant Conditions, hereinafter referred to as "Exhibit F"
Additional Grant Certifications, hereinafter referred to as "Exhibit G'
Request for Information and Documentation referred to as "Exhibit H"
Please sign below to acknowledged acceptance of the grant and all exhibits in
this agreement, and to abide by all terms and conditions.
Signature of Certifying Official Date
Printed Name and Title
Page 21 of 21
TDEM — September 2017