HomeMy WebLinkAboutSub-Grant AgreementContract Number 08DS-62-11-23-02-
CFDA Number: 97.067
FEDERALLY -FUNDED SUBGRANT AGREEMENT
THIS AGREEMENT is entered into by and between the State of Florida, Division of Emergency
Management, with headquarters in Tallahassee, Florida (hereinafter referred to as the "Division"), and
City of Miami, (hereinafter referred to as the "Recipient").
THIS AGREEMENT IS ENTERED INTO BASED ON THE FOLLOWING REPRESENTATIONS:
A WHEREAS, the Recipient represents that it is fully qualified and eligible to receive these grant
funds to provide the services identified herein; and
B. WHEREAS, the Division has received these grant funds from the State of Florida, and has the
authority to subgrant these funds to the Recipient upon the terms and conditions hereinafter set forth; and
C. WHEREAS, the Division has authority pursuant to Florida law to disburse the funds under
this Agreement.
NOW, THEREFORE, the Division and the Recipient do mutually agree as follows:
(1) SCOPE OF WORK.
The Recipient shall fully perform the obligations in accordance with the Budget and
Scope of Work, Attachment A of this Agreement_
(2) INCORPORATION OF LAWS, RULES, REGULATIONS AND POLICIES
Both the Recipient and the Division shall be governed by applicable State and Federal
laws, rules and regulations, including but not limited to those identified in Attachment 8.
(3) PERIOD OF AGREEMENT.
This Agreement shall begin July 1, 2007 and shall end April 30, 2010, unless terminated
earlier in accordance with the provisions of Paragraph (12) of this Agreement.
(4) MODIFICATION OF CONTRACT
Either party may request modification of the provisions of this Agreement. Changes
which are mutually agreed upon shall be valid only when reduced to writing, duly signed by each of the
parties hereto, and attached to the original of this Agreement.
(5) RECORDKEEPING
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(jam 1'65-533
(a) As applicable, Recipient's performance under this Agreement shall be subject to the
federal ACommon Rule: Uniform Administrative Requirements for State and Local Govemments" (53
Federal Register 8034) or OMB Circular No. A-110, "Grants and Agreements with Institutions of Higher
Education, Hospitals, and Other Nonprofit Organizations," and either OMB Circular No. A-87, "Cost
Principles for State and Local Govemments," OMB Circular No. A-21, "Cost Principles for Educational
Institutions," or OMB Circular No. A-122, "Cost Principles for Nonprofit Organizations." 1f this Agreement
is made with a commercial (for -profit) organization on a cost -reimbursement basis, the Recipient shall be
subject to Federal Acquisition Regulations 31.2 and 931.2.
(b) The Recipient shall retain sufficient records demonstrating its compliance with the
terms of this Agreement, and the compliance of all subcontractors or consultants to be paid from funds
provided under this Agreement, for a period of five years from the date the audit report is issued, and
shall allow the Division or its designee, Chief Financial Officer, or Auditor General access to such records
upon request. The Recipient shall ensure that audit working papers are made available to the Division
designee, Chief Financial Officer, or Auditor General upon request for a period of five years from the date
the audit report is issued, unless extended in writing by the Division with the following exceptions:
1. If any litigation, claim or audit is started before the expiration of the five year
period and extends beyond the five year period, the records will be maintained until all litigation, claims or
audit findings involving the records have been resolved.
2. Records for the disposition of non -expendable personal property valued at
$5,000 or more at the time of acquisition shall be retained for five years after final disposition.
3. Records relating to real property acquisition shall be retained for five years
after the closing on the transfer of title.
(c) The Recipient shall maintain all records for the Recipient and for all subcontractors or
consultants to be paid from funds provided under this Agreement, including supporting documentation of
all program costs, in a form sufficient to determine compliance with the requirements and objectives of the
Budget and Scope of Work - Attachment A - and all other applicable laws and regulations.
(d) The Recipient, its employees or agents, including all subcontractors or consultants to
be paid from funds provided under this Agreement, shall allow access to its records at reasonable times
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to the Division, its employees, and agents. "Reasonable" shall be construed according to the
circumstances but ordinarily shall mean during normal business hours of 8:00 a.m. to 5:00 p.m., local
time, on Monday through Friday. "Agents" shall include, but not be limited to, auditors retained by the
Division.
(6) AUDIT REQUIREMENTS
(a) The Recipient agrees to maintain financial procedures and support documents, in
accordance with generally accepted accounting principles, to account for the receipt and expenditure of
funds under this Agreement.
(b) These records shall be available at all reasonable times for inspection, review, or
audit by state personnel and other personnel duly authorized by the Division. "Reasonable" shall be
construed according to circumstances, but ordinarily shall mean normal business hours of 8:00 a.m. to
5:00 p.m., local time, Monday through Friday.
(c) The Recipient shall also provide the Department and/or the Division with the records,
reports or financial statements upon request for the purposes of auditing and monitoring the funds
awarded under this Agreement.
(d) If the Recipient is a State or local government or a non-profit organization as defined
in OMB Circular A-133, as revised, and in the event that the Recipient expends $500,000 or more in
Federal awards in its fiscal year, the Recipient must have a single or program -specific audit conducted in
accordance with the provisions of OMB Circular A-133, as revised. EXHIBIT 1 to this Agreement
indicates Federal resources awarded through the Division by this Agreement. In determining the Federal
awards expended in its fiscal year, the Recipient shall consider all sources of Federal awards. The
determination of amounts of Federal awards expended should be in accordance with the guidelines
established by OMB Circular A-133, as revised. An audit of the Recipient conducted by the Auditor
General in accordance with the provisions of OMB Circular A-133, as revised, will meet the requirements
of this paragraph.
In connection with the audit requirements addressed in this Paragraph 6 (d) above, the Recipient
shall fulfill the requirements relative to auditee responsibilities as provided in Subpart C of OMB Circular
A-133, as revised.
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If the Recipient expends less than $500,000 in Federal awards in its fiscal year, an audit
conducted in accordance with the provisions of OMB Circular A-133, as revised, is not required. In the
event that the Recipient expends less than $500,000 in Federal awards in its fiscal year and elects to
have an audit conducted in accordance with the provisions of OMB Circular A-133, as revised, the cost of
the audit must be paid from non -Federal resources (Le., the cost of such audit must be paid from
Recipient resources obtained from other than Federal entities).
(e) Copies of reporting packages for audits conducted in accordance with OMB Circular
A-133, as revised, and required by subparagraph (d) above shall be submitted, when required by Section
.320 (d), OMB Circular A-133, as revised, by or on behalf of the Recipient directly to each of the following:
Department of Community Affairs
Office of Audit Services
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
an electronic copy shall also be submitted to aurilla.parrish@dca.state.fl.us
and
Division of Emergency Management
Bureau of Response
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
The Federal Audit Clearinghouse designated in OMB Circular A-133, as revised {the number of copies
required by Sections .320(d)(1) and (2), OMB Circular A-133, as revised, should be submitted to the
Federal Audit Clearinghouse), at the following address:
Federal Audit Clearinghouse
Bureau of the Census
1201 East 10th Street
Jeffersonville, IN 47132
Other Federal agencies and pass -through entities in accordance with Sections .320 (e) and (f), OMB
Circular A-133, as revised.
(f) Pursuant to Section .320 (f), OMB Circular A-133, as revised, the Recipient shall
submit a copy of the reporting package described in Section .320 (c), OMB Circular A-133, as revised,
and any management letter issued by the auditor, to the following addresses:
Department of Community Affairs
Office of Audit Services
2555 Shumard Oak Boulevard
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Tallahassee, Florida 32399-2100
an electronic copy shall also be submitted to aurilla.parrish@dca.state.fl.us
and
Division of Emergency Management
Bureau of Response
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
(g) Any reports, management letter, or other information required to be submitted to the
Department and the Division pursuant to this Agreement shall be submitted timely in accordance with
OMB Circular A-133, Florida Statutes, and Chapters 10.550 (local govemmental entities) or 10.650
(nonprofit and for -profit organizations), Rules of the Auditor General, as applicable.
(h) Recipients, when submitting financial reporting packages to the Department and the
Division for audits done in accordance with OMB Circular A-133 or Chapters 10.550 (local governmental
entities) or 10.650 (nonprofit and for -profit organizations), Rules of the Auditor General, should indicate
the date that the reporting package was delivered to the Recipient in correspondence accompanying the
reporting package.
(I) In the event the audit shows that the entire funds disbursed hereunder, or any portion
thereof, were not spent in accordance with the conditions of this Agreement, the Recipient shalt be hekl
liable for reimbursement to the Division of all funds not spent in accordance with these applicable
regulations and Agreement provisions within thirty (30) days after the Department or the Division has
notified the Recipient of such non-compliance.
(j) The Recipient shall have ail audits completed by an independent certified public
accountant (!PA) who shall either be a certified public accountant or a public accountant licensed under
Chapter 473, Fla. Stat. The iPA shall state that the audit complied with the applicable provisions noted
above. The audit must be submitted to the Department and the Division no later than nine (9) months
from the end of the Recipient's fiscal year.
(7) REPORTS
(a) At a minimum, the Recipient shall provide the Division with quarterly reports, and with
a close-out report. These reports shall include the current status and progress by the Recipient and ail
subrecipients and subcontractors in completing the work described in the Scope of Work and the
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expenditure of funds under this Agreement, in addition to such other information as requested by the
Division.
(b) Quarterly reports are due to be received by the Division no later than 30 days after
the end of each quarter of the program year and shall continue to be submitted 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 close-out report is due 60 days after termination of this Agreement or upon
completion of the activities contained in this Agreement, whichever first occurs.
(d) If all required reports and copies, prescribed above, are not sent to the Division or are
not completed in a manner acceptable to the Division, the Division may withhold further payments until
they are completed or may take such other action as set forth in Paragraph (11) REMEDIES.
"Acceptable to the Division" means that the work product was completed in accordance with the Budget
and Scope of Work, Attachment A.
(e) The Recipient shall provide such additional program updates, reports or information
as may be required by the Division.
(8) MONITORING.
The Recipient shall monitor its performance under this Agreement, as well as that of its
subcontractors, subrecipients and consultants who are paid from funds provided under this Agreement, to
ensure that time schedules are met, the Budget and Scope of Work, Attachment A is accomplished within
the specified time periods, and other performance goals stated in this Agreement are achieved. Such
review shall be made for each function or activity set forth in the Budget and Scope of Work, Attachment
A to this Agreement, and reported in the quarterly report.
In addition to reviews of audits conducted in accordance with OMB Circular A 133, as revised and
Section 215.97, Fla. Stat. (see Paragraph (6) AUDIT REQUIREMENTS, above ), monitoring procedures
may include, but not be limited to, on -site visits by Division staff, limited scope audits as defined by OMB
Circular A-133, as revised, and/or other procedures. By entering into this Agreement, the Recipient
agrees to comply and cooperate with all monitoring procedures/processes deemed appropriate by the
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Division. In the event that the Division determines that a limited scope audit of the Recipient is
appropriate, the Recipient agrees to comply with any additional instructions provided by the Division to
the Recipient regarding such audit. The Recipient further agrees to comply and cooperate with any
inspections, reviews, investigations or audits deemed necessary by the Comptroller or Auditor General.
In addition, the Division will monitor the performance and financial management by the Recipient
throughout the contract term to ensure timely completion of all tasks.
(9) LIABILITY
(a) Unless Recipient is a State agency or subdivision, as defined in Section 768.28, Fla.
Stat., the Recipient shall be solely responsible to parties with whom it shall deal in carrying out the terms
of this agreement, and shall hold the Division harmless against all claims of whatever nature by third
parties arising out of the performance of work under this agreement. For purposes of this agreement,
Recipient agrees that it is not an employee or agent of the Division, but is an independent contractor.
(b) Any Recipient who is a state agency or subdivision, as defined in Section 766.28,
Fla. Stat., agrees to be fully responsible to the extent provided by Section 768.28 Fla. Stat. for its
negligent acts or omissions or tortious acts which result in claims or suits against the Division, and agrees
to be liable for any damages proximately caused by said acts or omissions. Nothing herein is intended to
serve as a waiver of sovereign immunity by any 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.
(10) DEFAULT,
if any of the following events occur ("Events of Default"), all obligations on the part of the
Division to make any further payment of funds hereunder shall, if the Division so elects, terminate and the
Division may, at its option, exercise any of its remedies set forth in Paragraph (11), but the Division may
make any payments or parts of payments after the happening of any Events of Default without thereby
waiving the right to exercise such remedies, and without becoming liable to make any further payment
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(a) If any warranty or representation made by the Recipient in this Agreement or any
previous Agreement with the Division shall at any time be false or misleading in any respect, or if the
Recipient shall fail to keep, observe or perform any of the obligations, terms or covenants contained in
this Agreement or any previous agreement with the Division and has not cured such in timely fashion, or
is unable or unwilling to meet its obligations thereunder,
(b) If any material adverse change shall occur in the financial condition of the Recipient
at any time during the term of this Agreement, and the Recipient fails to cure said material adverse
change within thirty (30) days from the time the date written notice is sent by the Division.
(c) 1f any reports required by this Agreement have not been submitted to the Division or
have been submitted with incorrect, incomplete or insufficient information;
(d) if the Recipient has failed to perform and complete in timely fashion any of its
obligations under this Agreement.
(11) REMEDIES.
Upon the happening of an Event of Default, then the Division may, at its option, upon
thirty (30) calendar days prior written notice to the Recipient and upon the Recipient's failure to cure
within said thirty (30) day period, exercise any one or more of the following remedies, either concurrently
or consecutively:
(a) Terminate this Agreement, provided that the Recipient is given at least thirty (30)
days prior written notice of such termination. The notice shall be effective when placed in the United
States mail, first class mail, postage prepaid, by registered or certified mail -return receipt requested, to
the address set forth in paragraph (13) herein;
(b) Commence 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) Exercise any corrective or remedial actions, to include but not be limited to:
1. requesting additional information from the Recipient to determine the reasons
for or the extent of non-compliance or lack of performance,
2. issuing a written warning to advise that more serious measures may be taken
if the situation is not corrected,
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3. advising the Recipient to suspend, discontinue or refrain from incurring costs
for any activities in question or
4. requiring the Recipient to reimburse the Division for the amount of costs
incurred for any items determined to be ineligible;
(e) Require that the Recipient retum to the Division any funds which were used for
ineligible purposes under the program laws, rules and regulations governing the use of funds under this
program.
(f) Exercise any other rights or remedies which may be otherwise available under
law.
(g) The pursuit of any one of the above remedies shall not preclude the Division from
pursuing any other remedies contained herein or otherwise provided at law or in equity. No waiver by the
Division of any right or remedy granted hereunder or failure to insist on strict performance by the
Recipient shall affect or extend or act as a waiver of any other right or remedy of the Division hereunder,
or affect the subsequent exercise of the same right or remedy by the Division for any further or
subsequent default by the Recipient.
(12) TERMINATION.
(a) The Division may temiinate this Agreement for cause upon thirty (30) days written
notice. Cause shall include, but not be limited to, misuse of funds; fraud; lack of compliance with
applicable rules, laws and regulations; failure to perform in a timely manner; and refusal by the Recipient
to permit public access to any document, paper, letter, or other material subject to disclosure under
Chapter 119, Fla. Stat., as amended.
(b) The Division may terminate this Agreement for convenience or when it determines, in
its sole discretion, that the continuation of the Agreement would not produce beneficial results
commensurate with the further expenditure of funds, by providing the Recipient with thirty (30) calendar
days prior written notice.
(c) The parties may agree to terminate this Agreement for their mutual convenience as
evidenced by written amendment, of this Agreement. The amendment shall establish the effective date of
the termination and the procedures for proper closeout of the Agreement.
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(d) in the event that this Agreement is terminated, the Recipient will not incur new
obligations for the terminated portion of the Agreement after the Recipient has received the notification of
termination. The Recipient will cancel as many outstanding obligations as possible. Costs incurred after
the date of receipt of notice of the termination will be disallowed. Notwithstanding the above, the
Recipient shall not be relieved of liability to the Division by virtue of any breach of Agreement by the
Recipient. The Division may, to the extent authorized by law, withhold any payments to the Recipient for
purpose of set-off until such time as the exact amount of damages due the Division from the Recipient is
determined.
(13) NOTICE AND CONTACT.
(a) All notices provided under or pursuant to this Agreement shall be in writing, either by
hand delivery, or first class, certified mail, retum receipt requested, to the representative identified below
at the address set forth below and said notification attached to the original of this Agreement.
(b) The name and address of the Division contract manager for this Agreement is:
Carolyn Washington, Community Assistance Consultant
Division of Emergency Management
Bureau of Response Grants Section
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
Telephone: (850) 410-1271
Fax: (850) 488-7842
Email: carolyn.washington(a?em.mvfiorida.com
(c) The name and address of the Representative of the Recipient responsible for the
administration of this Agreement is:
Joseph R. Fernandez
City of Miami Department of Fire -Rescue
1151 NW 7th Street, 3nd Floor
Telephone: 305-416-5414
Fax: 305-400-5031
Email: jrfernandez@miamigov.com
(d) In the event that different representatives or addresses are designated by either party
after execution of this Agreement, notice of the name, tide and address of the new representative
will be rendered as provided in (13)(a) above.
(14) SUBCONTRACTS
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If the Recipient subcontracts any or all of the work required under this Agreement, a copy of the
unsigned subcontract must be forwarded to the Division for review and approval prior to execution of the
subcontract by the Recipient The Recipient agrees to include in the subcontract that (i) the subcontractor
is bound by the terms of this Agreement, (ii) the subcontractor is bound by all applicable state and federal
laws and regulations, and (iii) the subcontractor shall hold the Division and Recipient harmless against all
claims of whatever nature arising out of the subcontractor's performance of work under this Agreement, to
the extent allowed and required by law. Each subcontractor's progress in performing its work under this
Agreement shall be documented in the quarterly report submitted by the Recipient
For each subcontract, the Recipient shall provide a written statement to the Division as to
whether that subcontractor is a minority vendor, as defined in Section 288.703, Fla. Stat.
(15) TERMS AND CONDITIONS
This Agreement contains ail the terms and conditions agreed upon by the parties.
(16) ATTACHMENTS
(a) All attachments to this Agreement are incorporated as if set out fully herein.
(b) In the event of any inconsistencies or conflict between the language of this
Agreement and the attachments hereto, the language of such attachments shall be controlling, but only to
the extent of such conflict or inconsistency.
(c) This Agreement has the following attachments:
Exhibit 1 - Funding Sources
Attachment A — Budget and Scope of Work
Attachment 8 — Program Statutes and Regulations
Attachment C — Justification of Advance
Attachment D — Warranties and Representations
Attachment E — Certification Regarding Debarment
Attachment F — Assurances
(17) FUNDING/CONSIDERATION
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(a) This is a cost -reimbursement Agreement. The Recipient shall be reimbursed for
costs incurred in the satisfactory performance of work hereunder in an amount not to exceed 11,620,600
subject to the availability of funds.
(b) Any advance payment under this Agreement is subject to Section 216.181(16),
Fla.Stat., and is contingent upon the Recipient's acceptance of the rights of the Division under Paragraph
(12)(b) of this Agreement The amount which may be advanced may not exceed the expected cash
needs of the Recipient within the first three (3) months of the contract term. For a federally funded
contract, any advance payment is also subject to federal OMB Circulars A-87, A-110, A-122 and the Cash
Management Improvement Act of 1990. If an advance payment is requested, the budget data on which
the request is based and a justification statement shall be included in this Agreement as Attachment C.
Attachment C will specify the amount of advance payment needed and provide an explanation of the
necessity for and proposed use of these funds.
1. XNo advance payment is requested.
2. An advance payment of $ is requested.
(c) After the initial advance, if any, payment shall be made on a reimbursement basis as
needed. The Recipient agrees to expend funds in accordance with the Budget and Scope of Work,
Attachment A of this Agreement.
If the necessary funds are not available to fund this Agreement as a result of action by Congress,
the State Legislature, the Office of the Chief Financial Officer, the State Office of Planning and Budgeting
or the Federal Office of Management and Budgeting, all obligations on the part of the Division to make
any further payment of funds hereunder shall terminate, and the Recipient shall submit its closeout report
within thirty (30) days of receipt of notice from the Division.
(16) REPAYMENTS
All refunds or repayments to be made to the Division under this Agreement are to be made
payable to the order of "Department of Community Affairs" and mailed directly to the Department at the
following address:
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Department of Community Affairs
Cashier
Finance and Accounting
2555 Shumard Oak Boulevard
Tallahassee FL 32399-2100
In accordance with Section 215.34(2), Fla. Stat., if a check or other draft is returned to the Division for
collection, Recipient shall pay to the Division an additional service fee of Fifteen Dollars ($15.00) or Five
Percent (5%) of the face amount of the returned check or draft, whichever is greater.
(19) VENDOR PAYMENTS.
Pursuant to Section 215.422, Fla. Stat., the Division shall issue payments to vendors
within 40 days after receipt of an acceptable invoice and receipt, inspection, and acceptance of goods
and/or services provided in accordance with the terms and conditions of the Agreement Failure to issue
the warrant within 40 days shall result in the Division paying interest at a rate as established pursuant to
Section 55.03(1) Fla. Stat. The interest penalty shall be paid within 15 days after issuing the warrant.
Vendors experiencing problems obtaining timely payment(s) from a state agency may
receive assistance by contacting the Vendor Ombudsman at (850) 413-5516.
(20) STANDARD 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 Recipient in this Agreement, in
any subsequent submission or response to Division request, or in any submission or response to fulfill the
requirements of this Agreement and such information, representations, and materials are incorporated by
reference. The lack of accuracy thereof or any material changes shall, at the option of the Division and
with thirty (30) days written notice to the Recipient, cause the termination of this Agreement and the
release of the Division from all its obligations to the 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 lie in the Circuit Court of Leon County. If any
provision hereof is in conflict with any applicable statute or rule, or is otherwise unenforceable, then such
provision shall be deemed null and void to the extent of such conflict, and shall be deemed severable, but
shall not invalidate any other provision of this Agreement.
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(c) Any power of approval or disapproval granted to the Division under the terms of
this Agreement shall survive the terms and life of this Agreement as a whole.
(d) The Agreement may be executed in any number of counterparts, any one of
which may be taken as an original.
(e) The Recipient agrees to comply with the Americans With Disabilities Act (Public
Law 101-336, 42 U.S.C. Section 12101 et seq.), if applicable, which prohibits discrimination by public and
private entities on the basis of disability in the areas of employment, public accommodations,
transportation, State and local government services, and in telecommunications.
(f) A person or affiliate who has 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 riot 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 Category Two for a period of 36 months from the date of being placed on the convicted vendor
list or on the discriminatory vendor list.
(g) With respect to any Recipient which is not a local government or state agency,
and which receives funds under this Agreement from the federal govemment, by signing this Agreement,
the Recipient certifies, 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 a federal department or agency;
2. have not, within a five-year period preceding this proposal 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 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;
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3. 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
20(h)2. of this certification; and
4. 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
Where the Recipient is unable to certify to any of the statements in this certification, such
Recipient shall attach an explanation to this Agreement.
In addition, the Recipient shall submit to the Division (by email or by facsimile transmission) the
completed "Certification Regarding Debarment, Suspension, Ineligibility And Voluntary Exclusion"
(Attachment D) for each prospective subcontractor which Recipient intends to fund under this Agreement.
Such form must be received by the Division prior to the Recipient entering into a contract with any
prospective subcontractor.
(h) 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 Chapter 216, Fla. Stat. or the Florida Constitution.
(1) All bills for fees or other compensation for services or expenses shall be
submitted in detail sufficient for a proper preaudit and postaudit thereof.
(j) If otherwise allowed under this Agreement, all bills for any travel expenses shall
be submitted in accordance with Section 112.061, Fla. Stet.
(k) The Division reserves the right to unilaterally cancel this Agreement for refusal by
the Recipient to allow public access to all documents, papers, letters or other material subject to the
provisions of Chapter 119, Fla. Stat., and made or received by the Recipient in conjunction with this
Agreement.
(I)
If the Recipient is allowed to temporarily invest any advances of funds under this
Agreement, any interest income shall either be retumed to the Division or be applied against the
Division's obligation to pay the contract amount.
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(m) 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
("INA')]. 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 Recipient of the employment provisions contained in
Section 274A(e) of the INA shall be grounds for unilateral cancellation of this Agreement by the
Department.
(n) The Recipient is subject to Florida's Government in the Sunshine Law (Section
286.011, Fla. Stat. ) with respect to the meetings of the Recipients governing board or the meetings of
any subcommittee making recommendations to the governing board. All such meetings shall be publicly
noticed, open to the public, and the minutes of all such meetings shall be public records, available to the
public in accordance with Chapter 119, Fla. Stat.
(o) Unless inconsistent with the public interest or unreasonable in cost, all
unmanufactured and manufactured articles, materials and supplies which are acquired for public use
under this Agreement must have been produced in the United States as required under 41 U.S.C. 10a.
(21) LOBBYING PROHIBITION
(a) No funds or other resources received from the Division in connection with this
Agreement may be used directly or indirectly to influence legislation or any other official action by the
Florida Legislature or any state agency.
(b) The Recipient certifies, by its signature to this Agreement, that to the best of his or
her knowledge and belief:
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 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,
16
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 shaft
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 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.
(22) COPYRIGHT, PATENT AND TRADEMARK
ANY AND ALL PATENT RIGHTS ACCRUING UNDER OR IN CONNECTION WITH
THE PERFORMANCE OF THIS AGREEMENT ARE HEREBY RESERVED TO THE STATE OF
FLORIDA. ANY AND ALL COPYRIGHTS ACCRUING UNDER OR IN CONNECTION WITH THE
PERFORMANCE OF THIS AGREEMENT ARE HEREBY TRANSFERRED BY THE RECIPIENT TO
THE STATE OF FLORIDA.
(a) If the Recipient brings to the performance of this Agreement a pre-existing patent or
copyright, the Recipient shall retain all rights and entitlements to that pre-existing patent or copyright
unless the Agreement provides otherwise.
17
(b) If any discovery or invention arises or is developed in the course of or as a result of
work or services performed under this Agreement, or in any way connected herewith, the Recipient shall
refer the discovery or invention to the Division for a determination whether patent protection will be sought
in the name of the State of Florida. Any and all patent rights accruing under or in connection with the
performance of this Agreement are hereby reserved to the State of Florida. In the event that any books,
manuals, films, or other copyrightable material are produced, the Recipient shall notify the Division. Any
and all copyrights accruing under or in connection with the performance under this Agreement are hereby
transferred by the Recipient to the State of Florida.
(c) Within thirty (30) days of execution of this Agreement, the Recipient shall disclose all
intellectual properties relevant to the performance of this Agreement which he or she knows or should
know could give rise to a patent or copyright. The Recipient shall retain all rights and entitlements to any
pre-existing intellectual property which is so disclosed. Failure to disclose will indicate that no such
property exists. The Division shall then, under Paragraph (b), have the right to all patents and copyrights
which accrue during performance of the Agreement.
(23) LEGAL AUTHORIZATION.
The Recipient certifies with respect to this Agreement that it possesses the legal authority
to receive the funds to be provided under this Agreement and that, if applicable, its governing body has
authorized, by resolution or otherwise, the execution and acceptance of this Agreement with all covenants
and assurances contained herein. The Recipient also certifies that the undersigned possesses the
authority to legally execute and bind Recipient to the terms of this Agreement.
(24) ASSURANCES.
The Recipient shall comply with any Statement of Assurances incorporated as
Attachment G.
18
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by their
undersigned officials as duly authorized.
RECIPIENT: CITY OF MIAMI
BY:
Name and title:
Date:
SAMAS # FID#
STATE OF FLORIDA
DIVISION OF EMERGENCY MANAGEMENT
BY:
Name and Tit►e: W. Craig Fugate, Director
Date:
19
EXHIBIT 1
FEDERAL RESOURCES AWARDED TO THE RECIPIENT PURSUANT TO THIS AGREEMENT
CONSIST OF THE FOLLOWING:
NOTE: If the resources awarded to the recipient represent more than one Federal program, provide the
same information shown below for each Federal program and show total Federal resources awarded.
Federal Program (list Federal agency, Catalog of Federal Domestic Assistance title and number) —
CFDA #97.067
11,620,600
COMPLIANCE REQUIREMENTS APPLICABLE TO THE FEDERAL RESOURCES AWARDED
PURSUANT TO THIS AGREEMENT ARE AS FOLLOWS:
NOTE: If the resources awarded to the recipient represent more than one Federal program, list applicable
compliance requirements for each Federal program in the same manner as shown below.
Federal Program:
List applicable compliance requirements as follows:
1. Recipient is to use funding to perform the following eligible activities as identified in the United
States Department of Homeland Security, Federal Emergency Management Agency, National
Preparedness Directorate Fiscal Year 2007-08 State Homeland Security Grant Program
(SHSGP), consistent with the Department of Homeland Security State Strategy.
2. 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.
NOTE: Instead of listing the specific compliance requirements as shown above, the State awarding
agency may elect to use language that requires the recipient to comply with the requirements of
applicable provisions of specific laws, rules, regulations, etc. For example, for Federal Program I, the
language may state that the recipient must comply with a specific law(s), rule(s), or regulation(s) that
pertains to how the awarded resources must be used or how eligibility determinations are to be made.
The State awarding agency, if practical, may want to attach a copy of the specific law, rule, or regulation
referred to.
NOTE: Section .400(d) of OMB Circular A-133, as revised, and Section 215.97(5Xa), Florida Statutes,
require that the information about Federal Programs and State Projects included in Exhibit 1 be provided
to the recipient.
20
Attachment A
Budget and Scope of Work
Proposed Program Budget
Below is a general budget which outlines eligible categories and their allocation under this award. The Recipient is to utilize the "Proposed
Program Budget" as a guide for completing the "Budget Detail Worksheet" below.
4 No morc than 3% of the total award may be expended on Management and Administration costs by the Recipient.
.i No more than 25% of the total award may be used to support select Operational Activities by the Recipient and written approval must
be provided by the State prior to the use of any FY2007 UASI funds for operational activities.
4• At the discretion of the Recipient, finds allocated to Management and Administration andior Operational Activities (as described in
the "Proposed Program Budget") may be put towards Programmatic costs instead.
Urban Area Security Initiative — Miami
Urban Area — issue 65
City of Miami
Eligible Activities as outlined in the Scope of Wait
S8,266,200
Operational Activities
{the dollar amount which corresponds to 25% of the
total award is shown in the column on the right)
S2,995,000
Management & Administration
(the dollar amount which corresponds to 3%ofthe
total award is shown in the column on the right)
S359,400
State Management & Administration — 3%
S359,406
21
Budget Detail Worksheet
The Recipient is required to provide a completed budget detail worksheet, to the Division, which accounts for the total award for Issue 65 as
described in the "Proposed Program Budget".
If any changes need to be made to the "Budget Detail Worksheet", after the execution of this contract, contact the contras manager listed in this
contract via email or letter.
Budget Detail Worksheet Issue 65 — Eligible Activities
Public Education/Outreach
Develop and implement homeland security support programs and adopt ongoing
DHS national initiatives
Develop and enhance plans and protocols
Develop or conduct assessments
Establish, enhance, or evaluate Citizen Corps -related volunteer programs
Hiring of full or part-time staffor contractors/consultants to assist with planning
activities (not for the purpose of hiring public safety personnel fulfilling
traditional public safety duties)
Conferences to facilitate planning activities
e
Materials required to conduct planning activities
t
,
TraveUper diem related to planning activities
Overtime and backfutl costs — Payment of overtime expenses will be for work
performed by award (SAA) or sub -award employees in excess of the established
work week {usually 40 hours) related to the planning activities for thc
development and implementation of the programs under HSGP.
Other projects areas with prior approval front G&T
Overtime for information, investigative, and intelligence sharing activities
Reimbursement of select operational expenses associated with increased security
measures at critical infrastructure sites, incurred during time periods of DHS-
declared Code Orange or Yellow (limited to 10%) or Code Orange (limited to the
remaining 15•%).
Funds may only be used in thc following authorized categories:
• Sackfill and overtime expenses for staffing state or local EOCs
• Hiring of contracted security for critical infrastructure sites
• Public safety overtime
• National Guard deployments to protect critical infrastructure sites
• increased border security activities in coordination with CBP.
{
Hiring of contractors/consultants for participation in informationiintelligence
analysis and sharinggroups or intelligence fusion center activities
.-'�. �: '+opy..�-z _ r•+-r'4. ^i+..'.>
i., j.e, £ t_•
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y ,.. .,
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Overtime and backfdl funding for emergency preparedness and response
personnel attending G&T-sponsored and approved training classes.
Grantees may also use G&T grant funds to cover overtime and backfill expenses
for part-timc and volunteer emergency response personnel participating in G&T
training.
UAS1 funds may also be used for training citizens in awareness, prevention,
_protection, response and recovery skills
22
Training Workshops and Conferences -.
Fall or Part -Time Staff or Contractors/Consultants
Travel
Sapplies
Other items
A complete list of G&T approved comes may be found at w><w.oip.usdoi eov/odn/docs/fED Course Cataloe2007.pdf
Exercise Planning Workshop - Grant fiords may be used to plan and conduct an
Exercise Planning Workshop to include costs related to planning meeting space
and other meeting costs, facilitation costs, materials and supplies, travel and
exercise plan development.
Full or Part -True Staff or Contractors/Consultants - Full or part-time staff
may be hired to support exercise -related activities. Payment of salaries and fringe
benefits must be in accordance with the policies of the state or local unit(s) of
government and have the approval of the state or the awarding agency, whichever
is applicable. The services ofcontractors/consuhanls may also be procured to
support the design, development, conduct and evaluation of CBRNE exercises.
The applicant's formal written procurement policy or the Federal Acquisition
Regulations (FAR) must be followed.
Overture and backlit, costs —Overtime and backfill costs associated with the
design, development and conduct of CBRNE cxerciscs arc allowable expenses.
Grantees may also use G&T grant funds to cover overtime and backfill expanses
for part-time and volunteer emergency response personnel participating in G&T
exercises.
Travel - Travel casts (i.e., airfare, mileage, per diem, hotel, etc_) are allowable as
expenses by employees who are on travel status for official business related to the
planning and conduct of the exercise project(s). These costs must be in accordance
with state law as highlighted in the OJP Financial Guide. States must also follow
state regulations regarding travel. If a state or
territory does not have a travel policy they must follow federal guidelines and
rates, as explained in the OJP Financial Guide. For further information on federal
law pertaining to travel costs please refer to www pip.usdoi.gov/finauideO6'.
Supplies - Supplies are items that are expended or consumed during the course of
the planning and conduct of the exercise project(s) (e.g., copying papa, gloves,
tape, non -sterile masks, and disposthle protective equipment).
Other items - These costs include the rental of space/locations for exercise
planning and conduct, exercise signs, badges, etc.
Eligible Equipment Acquisition Costs
The table below highlights the allowable equipment categories for this award. A
comprehensive listing of these allowable equipment categories, and specific
equipment eligible under each category, can be found on the web -based
Authorized Equipment List at: www.rkh.miot.org
'&i Register on the website and logon
ni. Click on "search the RKR"
'ice Click on "DHS Authorized Equipment List (AEL) — FY2007"
' i . if you wish to purchase a piece of equipment from any category below,
then, in the space given below that category, put the "AEL item number"
and "title"
Quantity
Unit Cost
Total Cost
Personal protective equipment
1
Explosive device mitigation and remediation equipment
23
CBRNE operational search and rescue equipment
Information technology
Cyber security enhancement equipment
Interoperable communications equipment
Detection Equipment
Decontamination Equipment
Medical supplies and limited phamia cuticals
Power equipment
CBRNE reference materials
CBRNE incident response vehicles
Terrorism incident prevention equipment
Physical security enhancement equipment
Inspection and Screening systems
Agriculture Terrorism Prevention, Response, and Mitigation Equipment
CBRNE Response watercraft
RNE Aviation Equipment
CBRNE logistical support equipment
Intervention equipment
Other authorized equipment costs (include any construction or renovation costs in this category, Written approval must be provided by.
G&T prior to the use of any FY2007 UASI funds for construction or renovation)
Up to 15% of programmatic spending may be used to support the hiring of full or
part-time staff to conduct etigibk programmatic activities
24
E1ag6fie3i)lstratettne>of aad/tdatrsa►sirabf►tt ,_. ,., � -- � : _.
Hiring of full-time or part-time staff or contractors/consultants:
o To assist with the management of FY07 HSGP.
o To assist with design, requirement, and implementation of FY07 HSGP.
o To assist with the implementation and administration of the State Homeland
Security Strategy, as it may relate to the individual grant program.
Hiring of full-time or part-time staff or contractors/consultants and expenses
related to:
o HSGP application submission management activities and application
requirement.
o Meting compliance with reponing/data collection requirements, including data
calls.
Development of operating plans for information collection and processing
necessary to respond to DHS/G&T data calls.
Overtime and backfill costs — Payment of overtime expenses will be for work
performed by award (SAA) or sub -award employees in excess of the established
work week (usually 40 bouts) related to the M&A activities for the development
and implementation of the programs under HSGP. These costs are allowed only to
the extent the payment for such services is in accordance with the policies of the
state or local unit(s) of government and has the approval of the state or the
awarding agency, whichever is applicabk. In no case is dual compensation
allowable. That is, an employee of a unit of government may not receive
compensation from their unit or agency of government AND from an award for a
single period of time (e.g.,1:00 pm to 5:00 pen), even though such work may
benefit both activities. Fringe benefits on overtime hours are limited to Federal
Insurance Contributions Act (FICA), Workers' Compensation and Unemployment
Compensation.
Travel expenses
Meeting -related expenses (For a complete list of allowable meeting -related
expenses, please review the OJP Financial Guide at
www.oip.uoi.govifinauide06/)
Acquisition of authorized office equipment, including personal computers,
laptop computers, printers, LCD projectors, and other equipment or software
which may be required to support the implementation of the homeland security
strategy.
The following are allowable only within the contract period:
o Recurring fees/charges associated with certain equipment, such as cell phones,
faxes, ctc.
o Leasing and/or renting of space for newly hired personnel to administer
programs within FY07 UASI.
25
Scope of Work
Funding is provided to perform eligible activities as identified in the Domestic Homeland Security —
Federal Emergency Management National Preparedness Directorate Fiscal Year 2007 State Homeland
Security Grant Program (SHSGP), consistent with the Department of Homeland Security State Strategy
and the Urban Area Strategy. Eligible activities are outlined in the Scope of Work for each category
below:
I. Categories and Eligible Activities
Issue 65. Urban Area Security Initiative
FY2007 UASI, Issue 65 allowable costs are divided into the following categories: planning,
training, exercises and equipment acquisition. In addition, management and administration
costs are also allowable, as are certain operational costs. Each category's allowable costs have
been listed in more detail in the "Budget Detail Worksheet" above.
A. Planning
Developing and implementing homeland security support programs and adopting DHS
national initiatives including but not limited to the following:
• implementing the National Preparedness Goal and Guidance
• Implementing and adopting NIMS
• Modifying existing incident management and Emergency Operating Procedures
(EOPs) to ensure proper alignment with the NRP coordinating structures, processes,
and protocols
• Establishing or enhancing mutual aid agreements
• Developing communications and interoperability protocols and solutions
• Conducting local, regional, and tribal program implementation meetings
• Developing or updating resource inventory assets in accordance to typed resource
definitions issued by the National Integration Center (NIC)
• Designing state and local geospatial data systems
• Conducting public education and outreach campaigns, including promoting
individual, family and business emergency preparedness; alerts and warnings
education; and evacuation plans as well as 1ED or bombing prevention awareness
Developing related terrorism prevention activities including but not limited to the
following:
• Developing law enforcement prevention activities, to include establishing and/or
enhancing a fusion center
• Planning to enhance security during heightened alerts, during terrorist incidents,
and/or during mitigation and recovery
• Multi -discipline preparation across first responder community, including EMS for
response to catastrophic events and acts of terrorism
• Public information/education: printed and electronic materials, public service
announcements, seminars/town hall meetings, web postings coordinated through
local Citizen Corps Councils
• Citizen Corps volunteer programs and other activities to strengthen citizen
participation
26
• Conducting public education campaigns, including promoting individual, family and
business emergency preparedness; promoting the Ready campaign; and/or creating
State, regional or local emergency preparedness efforts that build upon the Ready
campaign
• Evaluating CIP security equipment and/or personnel requirements to protect and
secure sites
• CIP cost assessments, including resources (e.g., financial, personnel) required for
security enhancements/deployments
• Multi -Jurisdiction Bombing Prevention Plans (MJBPP)
• Underwater Terrorist Protection Plans
Developing related critical infrastructure terrorism prevention activities including:
• Planning to enhance security during heightened alerts, during terrorist incidents,
and/or during mitigation and recovery
• Multi -discipline preparation across first responder community, including EMS for
response to catastrophic events and acts of terrorism
• Public information/education: printed and electronic materials, public service
announcements, seminars/town hall meetings, web postings coordinated through
local Citizen Corps Councils
• Citizen Corps volunteer programs and activities strengthen citizen participation
Evaluating CIP security equipment and/or personnel requirements to protect and
secure sites
• Conduct public education campaigns, including promoting individual, family and
business emergency preparedness; promoting the Ready campaign; and/or creating
State, regional or local emergency preparedness efforts that build on the Ready
campaign
• Evaluating CIP security equipment and or personnel requirements to protect and
secure sites
• Cost assessments, including resources (financial, personnel, etc.) required for security
enhancements/deployments.
Developing and enhancing plans and protocols, including but not limited to:
• Developing or enhancing EOPs and operating procedures
• Developing terrorism prevention/deterrence plans
• Developing plans, procedures, and requirements for the management of infrastructure
and resources related to HSGP and implementation of State or Urban Area Homeland
Security Strategies
• Developing or enhancing border security plans
• Developing or enhancing cyber security plans
• Developing or enhancing cyber risk mitigation plans
• Developing or enhancing agriculture/food security risk mitigation, response, and
recovery plans
• Developing public/private sector partnership emergency response, assessment, and
resource sharing plans
• Developing or enhancing plans to engage and interface with, and to increase the
capacity of, private sector/non-governmental entities working to meet the humans
service response and recovery needs of victims
• Developing or updating local or regional communications plans
27
• Developing plans to support and assist special needs jurisdictions, such as port
authorities and rail and mass transit agencies
• Developing or enhancing continuity of operations and continuity of government
plans
• Developing or enhancing existing catastrophic incident response and recovery plans
to include and integrate federal assets provided under the NRP
• Developing or enhancing evacuation plans
• Developing or enhancing citizen surge capacity
• Developing or enhancing plans for donations and volunteer management and the
engagement/integration or private sector/non-governmental entities in preparedness,
response and recovery activities
• Developing or enhancing Bombing Prevention Plans
Developing or conducting assessments, including but not limited to:
• Conducting point vulnerability assessments at critical infrastructure sites/key assets
and develop remediation/security plans
• Conducting cyber risk and vulnerability assessments
• Conducting assessments and exercises of existing catastrophic incident response and
recovery plans and capabilities to identify critical gaps that cannot be met by existing
local and state resources
• Conduct bombing prevention capability analysis
• Activities which directly support the identification of specific catastrophic incident
priority response and recovery projected needs across disciplines (e.g. law
enforcement, fire, EMS, public health, behavioral heath, public works, agriculture,
information technology, and citizen preparedness)
• Activities which directly support the identification and advance preparation of pre -
designated temporary housing sites
Other eligible planning activities are listed in the "Budget Detail Worksheet" above.
B. Operational Activities
No more than 25% of the gross amount of the UASI award may be used for operational
expenses and overtime costs for the operational activities noted below. These funds may
be used for the following three (3) operational activities:
. States and local jurisdictions may use up to 25% of FY07 UASI funds to support
select operational overtime costs associated with increased security measures at
critical infrastructure sites in UASI jurisdictions during periods of heightened
alert.
.1L Of this amount, up to 10% of FY07 UASI funds may be used to support
operational overtime costs incurred at Code Yellow or Orange that are
associated with increased security measures at critical infrastructure sites
in UASI jurisdictions.
• The remaining 15% of FY07 UASI funds may be used to support
operational overtime costs incurred only at Code Orange that are
associated with increased security measures at critical infrastructure sites
in UASI jurisdictions.
28
Grantees and sub -grantees may use UASI funds for select operational expenses
associated with increased security measures at critical infrastructure sites,
incurred during time periods of DHS-declared Code Orange or Yellow. Funds
may only be used in the following authorized categories:
Backfill and overtime expenses for staffing state or local EOCs
Hiring of contracted security for critical infrastructure sites
4, Public safety overtime
National Guard deployments to protect critical infrastructure sites,
including all resources that are part of the standard National Guard
deployment package (consumable costs, such as fuel expenses, are not
allowed except as part of the standard National Guard deployment
package)
.4 Increased border security activities in coordination with CBP.
2. Overtime costs are also allowable for personnel to participate in information,
investigative, and intelligence sharing activities specifically related to homeland
security. This includes activities such as anti -terrorism task forces, Joint
Terrorism Taskforces (J'1 l k), Area
Maritime Security Committees (as required by the Maritime Transportation
Security Act of 2002), and Terrorism Early Warning (TEW) groups.
3. Hiring of contractors/consultants for participation in information/intelligence
sharing groups or intelligence fusion centers.
4. Critical Infrastructure Sites
Local governments should generally consider critical infrastructure to include
any system or asset that if attacked would result in catastrophic loss of life and/or
catastrophic economic loss. In addition, protection for the following specific
types of facilities should also be considered:
4- Protective security enhancements for large public gatherings/areas, such
as New Year's Eve celebrations, sporting events and outdoor concerts
Public water systems serving large population centers
Primary data storage and processing facilities, major stock exchanges
and major banking centers
411. Chemical facilities located in close proximity to large population centers
.i Major power generation facilities that exceed 2000MW and if
successfully attacked would disrupt the regional electric grid
*� Hydroelectric facilities and dams that produce power in excess of
2000MW or could result in catastrophic loss of life if breached
,l Nuclear Power plants
�I. Electric substations 500KV or larger, and substations 345KV or larger
that are part of a critical system supporting populations in excess of one
million people
Ai. Rail and highway bridges over major waterways that, if destroyed, would
cause catastrophic economic loss
Major highway tunnels under waterways that if attacked would cause
catastrophic loss of life or catastrophic economic impact
,6 Major natural gas transmission pipelines in excess of 3000 bef
throughput
�l Natural gas and liquid natural gas (LNG) storage facilities
29
Major petroleum handling facilities such as pipelines, ports, refineries
and terminals
Major mass transit subway systems and the supporting ventilation
systems
+l Telecommunications, Internet, and cyber facilities
5. Approval Process:
In order for grantees to drawdown funds for operational activities, the grantee
must provide the Division with:
The critical infrastructure site requiring additional security;
4 if an event will be taking place, the title of the event and the time period
of the event;
�L A detailed budget and a total dollar amount associated with the
additional security;
Email the above information to the contract manager listed in this contract for
review and approval.
Note: Written approval must be provided by the State prior to the use of any
FY2007 UASI funds for operational activities.
C. Equipment Acquisition
FY2007 SHSP funds may be used for equipment acquisition from the 21 equipment
categories listed in the FY2007 Grants & Training (G&T) Authorized Equipment List
(AEL). The FY2007 AEL is available in its entirety online through the Responders
Knowledge Base (RKB) at www.rkb.mipt.org. The equipment categories are outlined
below and in the FY2007 SHSP Program Guidance.
Authorized equipment includes the following:
• Personal Protective Equipment
• CBRNE Incident Response Vehicles
• Explosive Device Mitigation and Remediation Equipment
• Terrorism Incident Prevention Equipment
• CBRNE Operational and Search and Rescue Equipment
• Physical Security Enhancement Equipment
• Information Technology
• Inspection and Screening Systems
• Cyber Security Enhancement Equipment
• Agricultural Terrorism Prevention, Response and Mitigation Equipment
• lnteroperable Communications Equipment
• CBRNE Prevention and Response Watercraft
• Detection Equipment
• CBRNE Aviation Equipment
• Decontamination Equipment
• CBRNE Logistical Support Equipment
• Medical Supplies and Limited Types of Pharmaceuticals
• Intervention Equipment
30
• Power Equipment
• CBRNE Reference Materials
• Other Authorized Equipment
D. Training
Allowable training -related costs include: 1) establishment of CBRNE terrorism and cyber
security training programs within existing training academies, universities or junior
colleges; and 2) overtime and backfill costs associated with attendance at G&T-
sponsored and G&T approved CBRNE and cyber security training courses. The target
audience for training courses include emergency preparedness, prevention and response
personnel, emergency managers and public/elected officials within the following
disciplines: fire service, law enforcement, emergency management, emergency medical
services, hazardous materials, public works, public health, health care, public safety
communications, governmental administrative, cyber security, and private security
providers. In order to deliver these courses, state and Local instructors must be certified
to deliver the course by successfully completing G&T train -the -trainer course delivery.
Detailed descriptions of G&T courses are included in the Training and Education
Division Course Catalog at www.ojp.usdoj.;ov/odp/docs/TED Course Catalog2007.pdf
E. Exercises
Funds may be used to design, develop, conduct, and evaluate exercises that:
• Provide homeland security preparedness personnel and volunteers a venue to practice
prevention, protection, response, and recovery activities.
• Evaluate prevention and response plans, policy, procedures, and protocols, including
NIMS and NRP.
• Assess the readiness of jurisdictions to prevent and respond to terrorist attacks.
• Encourage coordination with surrounding jurisdictions in prevention, protection,
response, and recovery activities.
• Implementation of HSEEP, including developing and maintaining a self-sustaining
State Homeland Security Exercise and Evaluation Program that is modeled on the
national HSEEP.
Exercises conducted with G&T support (grant funds or direct support) must be managed
and executed in accordance with the Homeland Security Exercise and Evaluation
Program (HSEEP). HSEEP Volumes I -III contain guidance and recommendations for
designing, developing, conducting, and evaluating exercises. HSEEP Volumes 1-III can
be found at at DHS' website at https://hseep.dhs.gov/. Volume IV, which contains
sample exercise materials and documents, can be found on ODP's Secure Portal at
https://odp.esportals.com or www.11is.gov.
Exercise Scenarios. The scenarios used in SHSGP-funded exercises include catastrophic
events, provided that they also build capabilities that relate to terrorism and based on the
State or Urban Area Homeland Security Strategy and plans. Acceptable scenarios for
exercises include: chemical, biological, radiological, nuclear, explosive, cyber and
agricultural. Grantees that need further clarification on scenarios should consult with
their State Exercise Manager for assistance and/or approval. Fifteen all -hazards National
Planning Scenarios, including 12 terrorism scenarios, have been developed, and will be
made available for use in national, federal, state, and local homeland security
31
preparedness activities (See HSPD-8: National Preparedness on page 49). Citizen
participation in exercises is encouraged to include backfilling non-professional tasks for
first responders deployed on exercise, administrative and logistical assistance with
exercise implementation, and providing simulated victims, press, and members of the
public. Citizen participation in exercises should be coordinated with local Citizen Corps
Council(s). If a state or urban area will be hosting an upcoming special event (e.g.,
Superbowl, G-8 Summit, etc.), or they anticipate that they will apply to be a venue for a
future Top Officials (TOPOFF) exercise, they should plan to use SHSP or UASI funding
to fund training and exercise activities in preparation for that event.
All tabletop exercises (TTXs), drills, functional exercises (FEs), and full-scale exercises
(FSEs) will be evaluated and performance based. An After Action Report (AAR) and
Improvement Plan will be prepared and submitted to the State following every TTX,
drill, FE, and FSE. AAR/IPs must be provided to the State within 30 days following
completion of each exercise.
F. Personnel
Hiring, overtime and backfill expenses are allowable only to perform programmatic
activities deemed allowable under existing guidance. Supplanting is not allowed.
Up to 15% of programmatic spending may be used to support the hiring of full or part-
time personnel to conduct program activities that are allowable under the entire FY2007
HHSGP (i.e., planning, training, program management, exercise program management,
etc.) Grantees may request that DHS issue a waiver to increase that ceiling. Waiver
decisions are at the discretion of DHS and will be considered on a case -by -case basis.
The ceiling on personnel costs does not apply to contractors, and is in addition to eligible
M & A costs and eligible hiring of intelligence analysts. Grantees may hire staff only for
program management functions not operational duties. Hiring planners, training program
coordinators, exercise managers, and grant administrators fall within the scope of
allowable program management functions. Grant funds may not be used to support the
hiring of sworn public safety officers to fulfill traditional public safety duties
G. Management and Administration
No more than 3% of each sub -recipient's total award may be expended on Management
and Administration costs by the sub -recipients
Hiring of full-time or part-time staff or contractors/consultants:
• To assist with the management of the FY2007 SHSGP
• To assist with design, requirements and the implementation of the FY2007 SHSGP
• To assist with the implementation and administration of the State Homeland Security
Strategy, as it may relate to the FY2007 SHSGP
Hiring of full-time or part-time staff or contractors/consultants and expenses related
to:
• Meeting compliance reporting/data collection requirements, including data calls
• Development of operating plans for information collection and processing necessary
to respond to DHS/ODP data calls
Overtime and backfill costs - Overtime expenses are defined as the result of personnel
who worked over and above their normal scheduled daily or weekly worked time in the
performance of G&T — approved activities. Backfill Costs also called "Overtime as
32
Backfill" are defined as expenses from the result of personnel who are working overtime
in order to perform the duties of other personnel who are temporarily assigned to G&T —
approved activities outside their core responsibilities. Neither overtime nor backfill
expenses are the result of an increase of Full — Time Equivalent (FTEs) employees. These
costs are allowed only to the extent the payment for such services is in accordance with
the policies of the state or unit(s) of local government and has the approval of the state or
the awarding agency, whichever is applicable. In no case is dual compensation allowable.
That is, an employee of a unit of government may not receive compensation from their
unit or agency of government AND from an award for a single period of time (e.g., l :00
pm to 5:00 pm), even though such work may benefit both activities. Fringe benefits on
overtime hours are limited to Federal Insurance Contributions Act (FICA), Workers'
Compensation and Unemployment Compensation.
Travel expenses
Meeting -related expenses - For a complete list of allowable meeting -related expenses,
please review the OJP Financial Guide at www.ojp.usdoj.gov/finguide06/.
Acquisition ofauthorized once equipment, including:
• Personal computers
• Laptop computers
• Printers
• LCD projectors, and
• Other equipment or software which may be required to support the implementation of
the homeland security strategy
The following are allowable only within the period of performance of the contract:
• Recurring fees/charges associated with certain equipment, such as cell phones, faxes,
etc.
• Leasing and/or renting of space for newly hired personnel to administer programs
within the FY2007 SHSGP
Unauthorized Expenditures
• Expenditures for items such as general -use software (word processing, spreadsheet,
graphics, etc.)
• General -use computers and related equipment
• General -use vehicles
• Licensing fees
• Weapons systems and ammunition
• Management and Administration Costs (which include, but are not limited to, hiring
of personnel, travel expenses, meeting expenses, and acquisition of office equipment
or supplies)
• Construction or renovation of facilities that would have been reasonably necessary
due to non -terrorist threats
• Activities unrelated to the completion and implementation of the SHSGP
• Other items not in accordance with the Authorized Equipment List or previously
listed as allowable costs
• Recurring Costs
33
H. Construction and Renovation
Project construction and renovation not exceeding $1,000,000 is also allowable, as
deemed necessary by the Office of G&T, under the FY2007 UASI. These program funds
may be used for construction and renovation projects only when those projects
specifically address enhanced security at critical infrastructure facilities. The following
actions and improvements are considered to constitute construction or renovation:
• Construction and/or renovation to guard facilities;
• Communications antennas; and,
• Any other construction or renovation efforts that change or expand the footprint of a
facility or structure, including security enhancements to improve perimeter security.
Approval Process
In order for grantees to drawdown funds for construction and renovation costs, the
grantee must provide the Division with:
ak A description of the asset or facility, asset location, whether the
infrastructure is publicly or privately owned, and the construction or
renovation project;
Certification that a facility vulnerability assessment has been conducted
for the facility;
A description of how the construction or renovation project will address
the identified vulnerability(ies) from the assessment;
A statement on the consequences of not implementing the construction or
renovation project; and,
ai. Completed National Environmental Policy Act (NEPA) Compliance
Checklist.
Note: Written approval must be provided by G&T prior to the use of any FY2007
UASI funds for construction or renovation.
I. Overtime and Backfill Guidance
Overtime. Expenses incurred by those personnel who, as a result of G&T approved
activities, are performing over and above their normal, scheduled work hours or work
week.
Backfill (also called Overtime as Backfill). Expenses incurred by those personnel who
are working over and above their normal, scheduled work hours, or work week, in order
to perform the duties of other personnel who are temporarily assigned to G&T-approved
activities outside their core responsibilities. The OJP OC does not distinguish between
Overtime and Overtime as Backfill — they are both viewed as overtime regardless of
whether the individual has performed more hours in their normally assigned place of duty
or if the overtime accrued as a result of being re -assigned to a different place of duty.
Overtime and backfill do not result in an increase of full-time employees (FTEs).
II. National Preparedness Initiatives
Urban Areas are strongly encouraged to pay close attention to the language in these sections in
order to stay abreast of initiatives being highlighted by DHS and to comply with associated
program requirements.
34
National Incident Management System (NIMS)
NIMS provides a consistent nationwide approach for federal, state, territorial, tribal, and local
governments to work effectively and efficiently together to prepare for, prevent, respond to, and
recover from domestic incidents, regardless of cause, size or complexity.
1. Minimum FY2007 NIMS Compliance Requirements
3: Incorporating NIMS into existing training programs and exercises;
• Ensuring that federal preparedness funding supports NIMS
implementation (in accordance with the eligibility and allowable uses of
the grants);
incorporating NIMS into emergency operations planning;
▪ Promotion of mutual aid agreements; and,
•l< Institutionalizing the use of the Incident Command System (ICS).
2. UASIs should support NIMS implementation by:
▪ Having relevant personnel complete the NIMS Awareness Courses:
These independent study courses are available on-line and will take
between forty-five minutes to three hours to complete. The course is
available on the Emergency Management institute web page at:
http://training.fema.gov
J. Formally recognizing NIMS and adopting NIMS principles and
policies. The NIC will provide sample language and templates to assist
in formally adopting NIMS through legislative and/or
executive/administrative means.
• Establish a NIMS baseline by determining which NIMS
requirements are already satisfied. The NIC is developing a web -based
self -assessment system, the NIMS Capability Assessment Support Tool
(NIMCAST) to evaluate their incident response and management
capabilities. The NIC is currently piloting the NIMCAST with a limited
number of states. Upon completion of the pilot, the NIC will provide all
potential future users with voluntary access to the system
3. FY2007 Requirements
In order for the State/UASI to receive FY2007 preparedness funding, the
minimum FY2007 compliance requirements described above must be met.
Additional information about NIMS compliance and resources for achieving
compliance will be forthcoming from the NIC. The N1C web page,
www.fema.£ov/emergency/nims/index.shtm, will be updated regularly with
NIMS information and implementation guidance.
III. Memorandum of Understanding (MOU) Requirements
For any UASI programs involving pass -through of funds, the state may retain some or the entire
local unit of government's allocation of grant funds for expenditures made by the state on behalf
of the local unit of govemment only if requested in writing by that local unit of government.
States holding grant funds on behalf of local units of government must enter into a formal MOU
35
with the local unit of government specifying the amount of funds to be retained by the state and
the intended use of funds. This MOU request must be initiated by the local unit of government.
A final, executable copy of the MOU must be provided to the Division.
IV. Reporting Requirements
A. Quarterly Programmatic Reporting
The Quarterly Programmatic Report is due within 30 days after the end of the reporting
periods (March 30, June 30, September 30 and December 30) for the life of this contract.
lfa report(s) is delinquent, future financial reimbursements will be withheld until the
Recipient's reporting is current.
Programmatic Reporting Schedule
Reporting Period
Report due to DEM no later than
January 1 through March 31
April 30
April 1 through June 30
July 31
July 1 through September 30
October 31
October 1 through December 31
January 31
Programmatic Reporting: Information to Report On
After the end of the June 30 and December 31 reporting period, for the life of the
contract, the Division will provide a Biannual Strategy and Implementation Report
worksheet to the Recipient Point of Contact listed in this contract. This worksheet will
contain ali of the information that the Recipient needs to report on. The Recipient is to
complete this worksheet in its entirety and email the finished product to the
programmatic contact listed below. The first worksheet will be available after the
October 1 — December 30, 2007 reporting period.
B. Reimbursement Requests
A request for reimbursement may be sent to your contract manager for review and
approval at anytime during the contract period. The Recipient should include the
category's corresponding line item number in the "Detail of Claims" form. This number
can be found in the "Proposed Program Budget". A line item number is to be included
for every dollar amount listed in the "Detail of Claims" form.
C. Close-out Programmatic Reporting
The Close-out Report is due to the Florida Division of Emergency Management no Later
than 60 days after the contract is either completed or the contract has expired.
36
D. Monitoring
Florida Division of Emergency Management
US Department of Homeland Security Grants Program
Grant Monitoring Process
Florida has enhanced the state and local capability and capacity to prevent, prepare and respond
to terrorist threats since 1999 through various funding sources including federal grant funds. As
the steward of the State Homeland Security Grant Program funds, projects and equipment the
Florida Division of Emergency Management (FDEM) has a responsibility to track and monitor
the status of the grant activity and items purchased.
The monitoring process detailed in this document is designed to assess a recipient agency's
compliance with applicable state and federal guidelines. The FDEM is responsible for
monitoring the programmatic and capability portion of the grant to include equipment
procurement and compliance with applicable SHSGP grant guidance.
Monitoring is accomplished utilizing various methods including desk monitoring and site visits.
There are two primary areas reviewed during monitoring activities - financial and
programmatic/capability. Financial monitoring is the review of records associated with the
purchase and disposition of property, projects and contracts. Capability review is the observation
of equipment purchased, protocols and other associated records. Various levels of financial and
programmatic review may be accomplished during this process.
Desk monitoring is defined as the review of projects, financial activity and technical assistance
between the program office and the applicant via e-mail and telephone. Site visits are defined as
actual visits to the recipient agency's location by a team or members of the FDEM or their
designee, to actually observe records, procedures and equipment.
Frequency of annual monitoring activity:
Each year the FDEM will identify up to 50% of sub grantees for site visit monitoring.
Examples of areas that may be examined include:
Status of equipment purchases
Status of training for purchased equipment
Status and number of response trainings conducted to include number trained
Status and number of exercises
Status of planning activity
Anticipated projected completion
Specific difficulties completing the project.
Agency NIMS compliance documentation
In certain circumstances, the FDEM may be requested to provide additional
monitoring/information if the activity, or lack there of, on the part of the specific recipient has
generated questions from the region, the sponsoring state agency or the FDEM leadership. The
method of gathering this information will be determined on a case -by -case basis.
Desk monitoring is an on -going process. Agency recipients will be required to participate in desk
top monitoring on an annual basis and as determined by the SAA. The agency recipients will
compete and submit the desk top monitoring within 30 calendar days of receipt. This contact will
37
provide an opportunity to identify the need for technical assistance (TA) and/or a site visit if the
SAA determines that a recipient is having difficulty completing their project.
As difficulties/deficiencies are identified, the respective region or sponsoring agency will be
notified by the program office via email. Information will include the grant recipient agency
name, year and project description and the nature of the issue in question. Many of the issues that
arise may be resolved at the regional or sponsoring agency level. Issues that require further TA
will be referred to the FDEM for assistance. Examples of TA include but are not limited to:
Equipment selection or available vendors
D Eligibility of items or services
Coordination and partnership with other agencies within or outside the region or
discipline.
Site Visits
Site visits will be conducted by the FDEM or their designated personnel. Site visits will be
scheduled in advanced with the recipient agency POC designated in the grant agreement.
Monitoring questionnaires will be provided in advance of the visit
The FDEM will also conduct coordinated financial and grant file monitoring. These monitoring
visits will be coordinated with the capability review visits. Subject matter experts from other
agencies within the region or state may be called upon to assist in the form of a peer review as
needed.
AU findings related to the capability review will be documented and maintained within the
FDEM.
Site Visit Protocol
The following outlines the monitoring protocol for the FDEM:
The site visits will begin with those grantees that are currently spending or have completed
spending for that federal fiscal year (FFY). Site visits may be combined when geographically
convenient. There is a site visit checklist to assist in the completion of all required tasks.
Site Visit Preparation
A letter will be sent to recipient agency POC stating the purpose of the site visit and sent at least
30 calendar days before the planned arrival date. FDEM personnel will call within the next 10
calendar days to schedule an appointment to review the grantee's program.
The physical location of any equipment located at an alternate site should be confirmed with a
representative from that location and the address should be documented in the grantee folder
before the site visit.
The appointment should be confirmed with the grantee in writing (email is acceptable) and
documented in the grantee folder.
Any personnel from the FDEM attending the site visit will review the grantee's corresponding
folder(s) before the visit. Prior to the visit, individual roles will be identified for the site visit.
Copies of applicable documents will be made and distributed to the site visit team at a minimum
38
of five (5) calendar days before the visit. A reminder e-mail should be sent to all team members
and the recipient POC one business day in advance of the site visit.
Site Visit
Once FDEM personnel have arrived at the site, an orientation conference will be conducted.
During this time, the purpose of the site visit and the items FDEM intends to examine will be
identified. if financial monitoring visit will be conducted, they will then explain their objectives
and will proceed to perform the financial review.
FDEM personnel will review all files and supporting documentation. Once the supporting
documentation has been reviewed, a tour/visual/spot inspection of equipment will be conducted.
Each item should be visually inspected whenever possible. Bigger items (computers, response
vehicles, etc.) should have an asset decal (information/serial number) placed in a prominent
location on each piece of equipment as per recipient agency requirements. The serial number
should correspond with the appropriate receipt to confirm purchase. Photographs should be taken
of the equipment (large capitol expenditures in excess of $1,000. per item).
!fan item is not available (being used during time of the site visit), the appropriate documentation
must be provided to account for that particular piece of equipment. Once the tour/visual/spot
inspection of equipment has been completed, the FDEM personnel will then conduct an exit
conference with the grantee to review the findings.
Ocher programmatic issues can be discussed at this time, such as missing quarterly reports,
payment voucher/reimbursement, equipment, questions, etc.
Post Site Visit
FDEM personnel will review the site visit worksheet as a team and receive notes from the
Financial Review Team, if applicable.
Within 30 calendar days of the site visit, a monitoring report will be generated and sent to the
grantee explaining any issues and corrective actions required or recommendations. The .grantee
will submit a Corrective Action Plan within a timeframe as determined by the SAA. The Site
Visit Worksheet, report and photographs will then be included in the grantee's file along with any
documents distributed at the site visit by the grantee.
V. Programmatic Point of Contact
Contractual Point of Contact
Programmatic Point of Contact
Carolyn Washington
FDEM
2555 Shumard Oak Blvd.
Tallahassee,. FL 32399-2100
(850) 385-2510
Carolyn.washington@em.myflorida.com
39
Nicole Stanley
FDEM
2555 Shumard Oak Blvd.
Tallahassee, FL 32399-2100
(850) 410-3457
Nicole.Stanley@em.myflorida.com
VI. Contractual Responsibilities
The FDEM shall determine eligibility of projects and approve changes in scope of work.
The FDEM shall administer the financial processes,
40
Attachment B
Program Statutes and Regulations
1) 53 Federal Register 8034
2) Federal Acquisition Regulations 31.2 and 031.2
3) Section 1352, Title 31, US Code
4) OMB Circulars A-21, A-87, A-110, A-122
5) Chapter 473, Florida Statutes
6) Chapter 215, Florida Statutes
7) Section 768.28, Florida Statutes
8) Chapter 119, Florida Statutes
9) Section 216.181(6), Florida Statutes
10) Cash Management improvement Act Of 1990
11) American with Disabilities Act
12) Section 112.061, Florida Statutes
13) Immigration and Nationality Act
14) Section 286.011 Florida Statutes
15) E.O. 12372 and Uniform Administrative Requirements for Grants and Cooperative Agreements
28 CFR, Part 66, Common rule,
16) Uniform Relocation Assistance and Real Property Acquisitions Act of 1970
17) Section 102(a) of the Flood Disaster Protection Act of 1973, Public Law 93-234, 87 Stet 975
18) Section 106 of the National Historic Preservation Act of 1966 as amended (16 USC 470),
Executive Order 11593
19) Archeological and Historical Preservation Act of 1966 (16 USC 569a-1 et seq.)
20) Title 1 of the Omnibus Crime Control and Safe Streets Act of 1968,
21) Juvenile Justice and Delinquency Prevention Act, or the Victims of Crime Act
22) 28 CFR applicable to grants and cooperative agreements
23) Omnibus Crime Control and Safe Streets Act of 1968, as amended,
24) 42 USC 3789(d), or Victims of Crime Act (as appropriate);
25) Title VI of the Civil Rights Act of 1964, as amended;
26) Section 504 of the Rehabilitation Act of 1973, as amended;
27) Subtitle A, Title II of the Americans with Disabilities Act (ADA) (1990);
28) Title IX of the Education Amendments of 1972;
29) the Age Discrimination Act of 1975; Department of Justice Non -Discrimination Regulations,
30) 28 CFR Part 42, Subparts C,D,E, and G
31) Department of Justice regulations on disability discrimination, 28 CFR Part 35 and Part 39.
32) Federal Acquisition Regulations 31.2 and 931.2
41
Attachment C
JUSTIFICATION OF ADVANCE PAYMENT
RECIPIENT:
Indicate by checking one of the boxes below, if you are requesting an advance. If an advance payment
is requested, budget data on which the request is based must be submitted. Any advance payment
under this Agreement is subject to s. 216.181(16), Fla. Stat. The amount which may be advanced shall
not exceed the expected cash needs of the recipient within the initial three months.
[ ] NO ADVANCE REQUESTED
No advance payment is requested.
Payment will be solely on a
reimbursement basis. No additional
information is required.
ADVANCE REQUEST WORKSHEET
[ j ADVANCE REOUESTED
Advance payment of $ is requested. Balance of
payments will be made on a reimbursement basis. These funds
are needed to pay staff, award benefits to clients, duplicate forms
and purchase start-up supplies and equipment. We would not be
able to operate the program without this advance.
if you are requesting an advance, complete the following worksheet
DESCRIPTION
(A)
FFY
2004-2005
(B)
FFY
2005-2006
(C)
FFY
2006-2007
(D)
Total
' 1
INITIAL CONTRACT ALLOCATION
2
FIRST THREE MONTHS CONTRACT
EXPENDITURES'
3
AVERAGE PERCENT EXPENDED IN FIRST
THREE MONTHS
(Divide line 2 by line 1.)
,
' First three months expenditures need only be provided for the years in which you requested an advance.
you do not have this information, call your consultant and they will assist you.
MAXIMUM ADVANCE ALLOWED CALULATION:
Cell D3 DEM Award MAXIMUM
(Do not include any match) ADVANCE
RE UEST FOR WAIVER OF CALCULATED MAXIMUM
[ ] Recipient has no previous DCA/DEM contract history. Complete Estimated Expenses chart and
Explanation of Circumstances below.
[ ] Recipient has exceptional circumstances that require an advance greater than the Maximum
Advance calculated above.
42
Attachment D
Warranties and Representations
Financial Management
Recipient's financial management system shall provide for the folbwing:
(1) Accurate, current and complete disclosure of the financial results of this project or program
(2) Records that identify adequately the source and application of funds for all activities. These
records shall contain information pertaining to grant awards, authorizations, obligations,
unobligated balances, assets, outlays, income and interest.
(3) Effective control over and accountability for all funds, property and other assets. Recipient
shall adequately safeguard all such assets and assure that they are used solely for
authorized purposes.
(4) Comparison of expenditures with budget amounts for each Request For Payment. Whenever
appropriate, financial information should be related to performance and unit cost data.
(5) Written procedures for determining the reasonableness, allocability and allowability of costs
in accordance with the provisions of the applicable cost principles and the terms and
conditions of this grant.
(6) Accounting records, including cost accounting records that are supported by source
documentation.
Competition.
All procurement transactions shall be conducted in a manner to provide, to the maximum extent practical,
open and free competition. The Recipient shall be alert to conflicts of interest as well as noncompetitive
practices among contractors that may restrict or eliminate competition or otherwise restrain trade. In order
to ensure objective contractor performance and eliminate unfair competitive advantage, contractors that
develop or draft specifications, requirements, statements of work, invitations for bids and/or requests for
proposals shall be excluded from competing for such procurements. Awards shall be made to the bidder
or offeror whose bid or offer is responsive to the solicitation and is most advantageous to the Recipient,
price, quality and other factors considered. Solicitations shall clearly set forth all requirements that the
bidder or offeror shall fulfill in order for the bid or offer to be evaluated by the Recipient. Any and all bids
or offers may be rejected when it is in the Recipient's interest to do so.
44
Codes of conduct.
The Recipient shall maintain written standards of conduct governing the performance of its employees
engaged in the award and administration of contracts. No employee, officer, or agent shall participate in
the selection, award, or administration of a contract supported by public grant funds if a real or apparent
conflict of interest would be involved. Such a conflict would arise when the employee, officer, or agent,
any member of his or her immediate family, his or her partner, or an organization which employs or is
about to employ any of the parties indicated herein, has a financial or other interest in the firm selected for
an award. The officers, employees, and agents of the Recipient shall neither solicit nor accept gratuities,
favors, or anything of monetary value from contractors, or parties to subcontracts. The standards of
conduct shall provide for disciplinary actions to be applied for violations of such standards by officers,
employees, or agents of the recipient.
Business Hours
The Recipient shall have its offices open for business, with the entrance door open to the public, and at
least one employee on site, from 8:00 AM to 5:00 PM. Monday through Friday.
Licensing and Permitting
All subcontractors or employees hired by the Recipient shall have all current licenses and permits
required for all of the particular work for which they are hired by the Recipient.
45
Attachment E
Certification Regarding
Debarment, Suspension, Ineligibility
And Voluntary Exclusion
Contractor Covered Transactions
(1) The prospective contractor of the Recipient, , certifies, by
submission of this document, that neither it nor its principals is presently debarred, suspended,
proposed for debarment, declared ineligible, or voluntarily excluded from participation in this
transaction by any Federal department or agency.
{2) Where the Recipient's contractor is unable to certify to the above statement, the prospective
contractor shall attach an explanation to this form.
CONTRACTOR:
By:
Signature Recipient's Name
Name and Title Division Contract Number
Street Address
City, State, Zip
Date
46
Attachment F
Statement of Assurances
The Recipient hereby assures and certifies compliance with all Federal statutes, regulations, policies,
guidelines and requirements, including OMB Circulars No. A-21, A-110, A-122, A-128, A-87; E.O. 12372
and Uniform Administrative Requirements for Grants and Cooperative Agreements 28 CFR, Part 66,
Common rule, that govern the application, acceptance and use of Federal funds for this federally -assisted
project. Also the Applicant assures and certifies that
1. It will comply with requirements of the provisions of the Uniform Relocation Assistance and Real
Property Acquisitions Act of 1970 (P.L. 91-646) which provides for fair and equitable treatment of persons
displaced as a result of Federal and federally -assisted programs.
2. It will comply with provisions of Federal law 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. (5 USC 1501, et seq.)
3. It will comply with the minimum wage and maximum hours provisions of the Federal Fair Labor
Standards Act.
4. It will 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.
5. It will 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.
6. it will comply with all requirements imposed by the Federal sponsoring agency concerning special
requirements of law, program requirements, and other administrative requirements.
7. It will insure that the facilities under its ownership, lease or supervision which shall be utilized in the
accomplishment of the project are not listed on the Environmental Protection Agency's {EPA) list of
Violating Facilities and that it will notify the Federal grantor agency of the receipt of any communication
from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is
under consideration for listing by the EPA.
8. It will comply with the flood insurance purchase requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973, Public Law 93-234, 87 Stat. 975, approved December 31, 1976, Section 102(a)
requires, 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.
9. It will assist the Federal grantor agency in its compliance with Section 106 of the National Historic
Preservation Act of 1966 as amended (16 USC 470), Executive Order 11593, and the Archeological and
Historical Preservation Act of 1966 (16 USC 569a-1 et seq.) by (a) 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
CFR Part 800.8) by the activity, and notifying the Federal grantor agency of the existence of any such
properties and by (b) complying with all requirements established by the Federal grantor agency to avoid
or mitigate adverse effects upon such properties.
47
10. It will comply, and assure the compliance of all its subgrantees and contractors, with the applicable
provisions of Title 1 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.
11. It will comply with the provisions of 28 CFR 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 81,
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.
12. It will comply, and all its contractors will comply, with the non-discrimination requirements of the
Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789(d), or Victims of Crime
Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; 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, 28 CFR Part 42, Subparts C,D,E, and G; and Department of
Justice regulations on disability discrimination, 28 CFR Part 35 and Part 39.
13. 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, the recipient will forward a copy of the finding to the Office for Civil
Rights, Office of Justice Programs.
14. It will provide an Equal Employment Opportunity Program if required to maintain one, where the
application is for $500,000 or more.
15. It will comply with the provisions of the Coastal Barrier Resources Act (P.L. 97-348) dated October 19,
1982 (16 USC 3501 et seq.) which prohibits the expenditure of most new Federal funds within the units of
the Coastal Barrier Resources System.
16. DRUG -FREE WORKPLACE (GRANTEES OTHER THAN INDIVIDUALS) As required by the Drug -
Free Workplace Act of 1988, and implemented at 28 CFR Part 67, Subpart F, for grantees, as defined at
28 CFR Part 67 Sections 67.615 and 67.620.
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