HomeMy WebLinkAboutExhibit - Sub-Award and Grant AgreementContract Number: 18 -DS -X3 -11 -23 -02 -
FEDERALLY -FUNDED SUB -AWARD AND GRANT AGREEMENT
2 C.F.R. §200.92 states that a "sub -award may be provided through any form of legal agreement, including an
agreement that the pass-through entity considers a contract."
As defined by 2 C.F.R. §200.74, "pass-through entity" means "a non -Federal entity that provides a sub -award to a
sub -recipient to carry out part of a Federal program."
As defined by 2 C.F.R. §200.93, "Sub -Recipient" means "a non -Federal entity that receives a sub -award from a
pass-through entity to carry out part of a Federal program."
As defined by 2 C.F.R. §200.38, "Federal award" means "Federal financial assistance that a non -Federal entity
receives directly from a Federal awarding agency or indirectly from a pass-through entity."
As defined by 2 C.F.R. §200.92, "sub -award" means "an award provided by a pass-through entity to a sub -recipient
for the sub -recipient to carry out part of a Federal award received by the pass-through entity."
The following information is provided pursuant to 2 C.F.R. §200.331(a)(1):
Sub -Recipient's name:
Sub -Recipient's unique entity identifier:
Federal Award Identification Number (FAIN):
Federal Award Date:
Sub -award Period of Performance Start and End Date:
Amount of Federal Funds Obligated by this Agreement:
I. total Amount of Federal Funds Obligated to the Sub -Recipient
by the pass-through entity to include this Agreement:
Total Amount of the Federal Award committed to the Sub -Recipient
by the pass-through entity:
Federal award project description (see FFATA):
Name of Federal awarding agency:
Name of pass-through entity:
Contact information for the pass-through entity:
Catalog of Federal Domestic Assistance (CFDA) Number and Name
Whether the award is R&D:
Indirect cost rate for the Federal award:
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City of Miami
072220791
EMW-2017-SS-00061
September 1. 2017 _
Date of Execution —1213112019
$4,921,000.00
$11,418.738.89
$4,921,000.00
See Article 1, Agreement Articles:
EMW-2017-SS-00061
Dept. of Homeland Security
FL. Div. of Emergency, Management
2555 Shumard Oak Boulevard
Tallahassee Florida 32399
97.067 Homeland, Security Program
NO (NIA)
24.13%
THIS AGREEMENT is entered into by the State of Florida, Division of Emergency Management,
with headquarters in Tallahassee, Florida (hereinafter referred to as the "Division"), and CITY OF MIAMI,
(hereinafter referred to as the "Sub -Recipient").
For the purposes of this Agreement, the Division serves as the pass-through entity for a Federal
award, and the Sub -Recipient serves as the recipient of a sub -award.
THIS AGREEMENT IS ENTERED INTO BASED ON THE FOLLOWING REPRESENTATIONS:
A. The Sub -Recipient represents that it is fully qualified and eligible to receive these grant funds to
provide the services identified herein;
B. The State of Florida received these grant funds from the Federal government, and the Division
has the authority to subgrant these funds to the Sub -Recipient upon the terms and conditions outlined
below; and,
C. The Division has statutory authority to disburse the funds under this Agreement.
THEREFORE, the Division and the Sub -Recipient agree to the following:
(1) APPLICATION OF STATE LAW TO THIS AGREEMENT
2 C.F.R. §200.302 provides: "Each state must expend and account for the Federal award in
accordance with state laws and procedures for expending and accounting for the state's own funds."
Therefore, section 215.971, Florida Statutes, entitled "Agreements funded with federal or state assistance",
applies to this Agreement.
(2) LAWS, RULES, REGULATIONS AND POLICIES
a. The Sub -Recipient's performance under this Agreement is subject to 2 C.F.R. Part 200,
entitled "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal
Awards."
b. As required by Section 215.971(1), Florida Statutes, this Agreement includes:
A provision specifying a scope of work that clearly establishes the tasks that
the Sub -Recipient is required to perform.
A provision dividing the agreement into quantifiable units of deliverables that
must be received and accepted in writing by the Division before payment. Each deliverable must be directly
related to the scope of work and specify the required minimum level of service to be performed and the
criteria for evaluating the successful completion of each deliverable.
iii. A provision specifying the financial consequences that apply if the Sub -
Recipient fails to perform the minimum level of service required by the agreement.
iv. A provision specifying that the Sub -Recipient may expend funds only for
allowable costs resulting from obligations incurred during the specified agreement period.
A provision specifying that any balance of unobligated funds which has been
advanced or paid must be refunded to the Division.
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vi. A provision specifying that any funds paid in excess of the amount to which the
Sub -Recipient is entitled under the terms and conditions of the agreement must be refunded to the Division.
c. In addition to the foregoing, the Sub -Recipient and the Division shall be governed by all
applicable State and Federal laws, rules and regulations, including those identified in Attachment C. Any
express reference in this Agreement to a particular statute, rule, or regulation in no way implies that no
other statute, rule, or regulation applies.
(3) CONTACT
a. In accordance with section 215.971(2), Florida Statutes, the Division's Grant Manager
shall be responsible for enforcing performance of this Agreement's terms and conditions and shall serve as
the Division's liaison with the Sub -Recipient. As part of his/her duties, the Grant Manager for the Division
shall:
payment.
i. Monitor and document Sub -Recipient performance; and,
ii. Review and document all deliverables for which the Sub -Recipient requests
b. The Division's Grant Manager for this Agreement is.-
Michael
s;
Michael J. Day _
2555 Shumard Oak Boulevard
Tallahassee Florida 32399-2100
Telephone: 850 815-4346
Email: Michael, Da em.m fiorida.com
c. The name and address of the Representative of the Sub -Recipient responsible for the
administration of this Agreement is:
Chief Pete Gomez
444 SW 2nd Avenue I Ot" Fl
Miami, FL 33130
Telephone: 305-416-5402
Fax: 305-569-4070
Email: pgomez@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, title and address of the new representative will be
provided to the other party.
(4) TERMS AND CONDITIONS
This Agreement contains all the terms and conditions agreed upon by the parties.
(5) EXECUTION
This Agreement may be executed in any number of counterparts, any one of which may be
taken as an original.
(6) MODIFICATION
Either party may request modification of the provisions of this Agreement. Changes which
are agreed upon shall be valid only when in writing, signed by each of the parties, and attached to the
original of this Agreement.
(7) SCOPE OF WORK.
The Sub -Recipient shall perform the work in accordance with the Budget and Scope of
Work, Attachment A and B of this Agreement.
(8) PERIOD OF AGREEMENT.
This Agreement shall begin upon execution by both parties and shall end on December 31,
2019, unless terminated earlier in accordance with the provisions of Paragraph (17) of this Agreement.
Consistent with the definition of "period of performance" contained in 2 C.F.R. §200.77, the term "period of
agreement" refers to the time during which the Sub -Recipient "may incur new obligations to carry out the
work authorized under" this Agreement. In accordance with 2 C.F.R. §200.309, the Sub -Recipient may
receive reimbursement under this Agreement only for "allowable costs incurred during the period of
performance." In accordance with section 215,971(1)(d), Florida Statutes, the Sub -Recipient may expend
funds authorized by this Agreement "only for allowable costs resulting from obligations incurred during" the
period of agreement.
(9) FUNDING
a. This is a cost -reimbursement Agreement, subject to the availability of funds.
b. The State of Florida's performance and obligation to pay under this Agreement is
contingent upon an annual appropriation by the Legislature, and subject to any modification in accordance
with either Chapter 216, Florida Statutes, or the Florida Constitution.
c. The Division will reimburse the Sub -Recipient gDly for allowable costs incurred by the
Sub -Recipient in the successful completion of each deliverable. The maximum reimbursement amount for
each deliverable is outlined in Attachment A and B of this Agreement ("Budget and Scope of Work"). The
maximum reimbursement amount for the entirety of this Agreement is $4,921,000.00.
d. As required by 2 C.F.R. §200.415(a), any request for payment under this Agreement
must include a certification, signed by an official who is authorized to legally bind the Sub -Recipient, which
reads as follows: "By signing this report, I certify to the best of my knowledge and belief that the report is
true, complete, and accurate, and the expenditures, disbursements and cash receipts are for the purposes
and objectives set forth in the terms and conditions of the Federal award. I am aware that any false,
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fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal, civil or
administrative penalties for fraud, false statements, false claims or otherwise. (U.S. Code Title 18, Section
1001 and Title 31, Sections 3729-3730 and 3801-3812)."
e. The Division will review any request for reimbursement by comparing the
documentation provided by the Sub -Recipient against a performance measure, outlined in Attachments A
and B, that clearly delineates:
The required minimum acceptable level of service to be performed; and,
The criteria for evaluating the successful completion of each deliverable.
f. The performance measure required by section 215.971(1)(b), Florida Statutes, remains
consistent with the requirement for a "performance goal", which is defined in 2 C.F.R. §200.76 as "a target
level of performance expressed as a tangible, measurable objective, against which actual achievement can
be compared." It also remains consistent with the requirement, contained in 2 C.F.R. §200.301, that the
Division and the Sub -Recipient "relate financial data to performance accomplishments of the Federal
award. "
g, If authorized by the Federal Awarding Agency, then the Division will reimburse the Sub -
Recipient for overtime expenses in accordance with 2 C.F.R. §200.430 ("Compensations ---personal
services") and 2 C.F.R. §200.431 ("Compensation—fringe benefits"). If the Sub -Recipient seeks
reimbursement for overtime expenses for periods when no work is performed due to vacation, holiday,
illness, failure of the employer to provide sufficient work, or other similar cause (see 29 U.S.C. §207(e)(2)),
then the Division will treat the expense as a fringe benefit. 2 C.F.R. §200.431(a) defines fringe benefits as
""allowances and services provided by employers to their employees as compensation in addition to regular
salaries and wages." Fringe benefits are allowable under this Agreement as long as the benefits are
reasonable and are required by law, Sub -Recipient -employee agreement, or an established policy of the
Sub -Recipient. 2 C.F.R. §200.431(b) provides that the cost of fringe benefits in the form of regular
compensation paid to employees during periods of authorized absences from the job, such as for annual
leave, family -related leave, sick leave, holidays, court leave, military leave, administrative leave, and other
similar benefits, are allowable if all of the following criteria are met:
awards; and,
They are provided under established written leave policies;
The costs are equitably allocated to all related activities, including Federal
iii. The accounting basis (cash or accrual) selected for costing each type of leave
is consistently followed by the non -Federal entity or specified grouping of employees.
h. If authorized by the Federal Awarding Agency, then the Division will reimburse the Sub -
Recipient for travel expenses in accordance with 2 C.F.R. §200.474. As required by the Reference Guide
for State Expenditures, reimbursement for travel must be in accordance with section 112.061, Florida
Statutes, which includes submission of the claim on the approved state travel voucher. If the Sub -Recipient
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seeks reimbursement for travel costs that exceed the amounts stated in section 112,061(6)(b), Florida
Statutes ($6 for breakfast, $11 for lunch, and $19 for dinner), then the Sub -Recipient must provide
documentation that:
The costs are reasonable and do not exceed charges normally allowed by the
Sub -Recipient in its regular operations as a result of the Sub -Recipient's written travel policy; and,
ii. Participation of the individual in the travel is necessary to the Federal award.
The Division's grant manager, as required by section 215.971(2)(c), Florida Statutes,
shall reconcile and verify all funds received against all funds expended during the grant agreement period
and produce a final reconciliation report. The final report must identify any funds paid in excess of the
expenditures incurred by the Sub -Recipient.
j. As defined by 2 C.F.R. §200.53, the term "improper payment" means or includes:
Any payment that should not have been made or that was made in an incorrect
amount (including overpayments and underpayments) under statutory, contractual, administrative, or other
legally applicable requirements; and,
Any payment to an ineligible party, any payment for an ineligible good or
service, any duplicate payment, any payment for a good or service not received (except for such payments
where authorized by law), any payment that does not account for credit for applicable discounts, and any
payment where insufficient or lack of documentation prevents a reviewer from discerning whether a
payment was proper.
(10)RECORDS
a. As required by 2 C.F,R. §200.336, the Federal awarding agency, Inspectors General,
the Comptroller General of the United States, and the Division, or any of their authorized representatives,
shall enjoy the right of access to any documents, papers, or other records of the Sub -Recipient which are
pertinent to the Federal award, in order to make audits, examinations, excerpts, and transcripts. The right
of access also includes timely and reasonable access to the Sub -Recipient's personnel for the purpose of
interview and discussion related to such documents. Finally, the right of access is not limited to the
required retention period but lasts as long as the records are retained.
b. As required by 2 C.F.R. §200.331(a)(5), the Division, the Chief Inspector General of the
State of Florida, the Florida Auditor General, or any of their authorized representatives, shall enjoy the right
of access to any documents, financial statements, papers, or other records of the Sub -Recipient which are
pertinent to this Agreement, in order to mane audits, examinations, excerpts, and transcripts. The right of
access also includes timely and reasonable access to the Sub -Recipient's personnel for the purpose of
interview and discussion related to such documents.
c. As required by 2 C.F.R. §200.333, the Sub -Recipient shall retain sufficient records to
show its compliance with the terms of this Agreement, as well as the compliance of all subcontractors or
consultants paid from funds under this Agreement, for a period of three (3) years from the date of
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submission of the final expenditure report. The following are the only exceptions to the three (3) year
requirement:
If any litigation, claim, or audit is started before the expiration of the three (3)
year period, then the records must be retained until all litigation, claims, or audit findings involving the
records have been resolved and final action taken.
ii. When the Division or the Sub -Recipient is notified in writing by the Federal
awarding agency, cognizant agency for audit, oversight agency for audit, cognizant agency for indirect
costs, or pass-through entity to extend the retention period.
iii. Records for real property and equipment acquired with Federal funds must be
retained for 3 years after final disposition.
iv. When records are transferred to or maintained by the Federal awarding agency
or pass-through entity, the three (3) year retention requirement is not applicable to the Sub -Recipient.
V. Records for program income transactions after the period of performance. In
some cases, recipients must report program income after the period of performance. Where there is such a
requirement, the retention period for the records pertaining to the earning of the program income starts from
the end of the non -Federal entity's fiscal year in which the program income is earned.
vi. Indirect cost rate proposals and cost allocations plans. This paragraph applies
to the following types of documents and their supporting records: indirect cost rate computations or
proposals, cost allocation plans, and any similar accounting computations of the rate at which a particular
group of costs is chargeable (such as computer usage chargeback rates or composite fringe benefit rates).
d. In accordance with 2 C.F.R. §200.334, the Federal awarding agency must request
transfer of certain records to its custody from the Division or the Sub -Recipient when it determines that the
records possess long-term retention value.
e. In accordance with 2 C.F.R. §200.335, the Division must always provide or accept
paper versions of Agreement information to and from the Sub -Recipient upon request. If paper copies are
submitted, then the Division must not require more than an original and two (2) copies. When original
records are electronic and cannot be altered, there is no need to create and retain paper copies. When
original records are paper, electronic versions may be substituted through the use of duplication or other
forms of electronic media provided that they are subject to periodic quality control reviews, provide
reasonable safeguards against alteration, and remain readable.
f. As required by 2 C.F.R. §200.303, the Sub -Recipient shall take reasonable measures
to safeguard protected personally identifiable information and other information the Federal awarding
agency or the Division designates as sensitive or the Sub -Recipient considers sensitive consistent with
applicable Federal, state, local, and tribal laws regarding privacy and obligations of confidentiality.
g. Florida's Government in the Sunshine Law (Section 286.011, Florida Statutes) provides
the citizens of Florida with a right of access to governmental proceedings and mandates three, basic
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requirements: (1) meetings of public boards or commissions must be open to the public; (2) reasonable
notice of such meetings must be given; and, (3) minutes of the meetings must be taken and promptly
recorded. The mere receipt of public funds by a private entity, standing alone, is insufficient to bring that
entity within the ambit of the open government requirements. However, the Government in the Sunshine
Law applies to private entities that provide services to governmental agencies and that act on behalf of
those agencies in the agencies' performance of their public duties. If a public agency delegates the
performance of its public purpose to a private entity, then, to the extent that private entity is performing that
public purpose, the Government in the Sunshine Law applies. For example, if a volunteer fire department
provides firefighting services to a governmental entity and uses facilities and equipment purchased with
public funds, then the Government in the Sunshine Law applies to board of directors for that volunteer fire
department. Thus, to the extent that the Government in the Sunshine Law applies to the Sub -Recipient
based upon the funds provided under this Agreement, the meetings of the Sub -Recipient's governing board
or the meetings of any subcommittee making recommendations to the governing board may be subject to
open government requirements. These meetings shall be publicly noticed, open to the public, and the
minutes of all the meetings shall be public records, available to the public in accordance with Chapter 119,
Florida Statutes.
h. Florida's Public Records Law provides a right of access to the records of the state and
local governments as well as to private entities acting on their behalf. Unless specifically exempted from
disclosure by the Legislature, all materials made or received by a governmental agency (or a private entity
acting on behalf of such an agency) in conjunction with official business which are used to perpetuate,
communicate, or formalize knowledge qualify as public records subject to public inspection. The mere
receipt of public funds by a private entity, standing alone, is insufficient to bring that entity within the ambit
of the public record requirements. However, when a public entity delegates a public function to a private
entity, the records generated by the private entity's performance of that duty become public records. Thus,
the nature and scope of the services provided by a private entity determine whether that entity is acting on
behalf of a public agency and is therefore subject to the requirements of Florida's Public Records Law.
The Sub -Recipient shall maintain all records for the Sub -Recipient and for all
subcontractors or consultants to be paid from funds provided under this Agreement, including
documentation of all program costs, in a form sufficient to determine compliance with the requirements and
objectives of the Budget and Scope of Work - Attachment A and B - and all other applicable laws and
regulations.
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(11)AUDITS
200, Subpart F.
a. The Sub -Recipient shall comply with the audit requirements contained in 2 C.F.R. Part
b. In accounting for the receipt and expenditure of funds under this Agreement, the Sub -
Recipient shall follow Generally Accepted Accounting Principles ("GAAP"). As defined by 2 C.F.R. §200.49,
GAAP "has the meaning specified in accounting standards issued by the Government Accounting
Standards Board (GASB) and the Financial Accounting Standards Board (FASB)."
c. When conducting an audit of the Sub -Recipient's performance under this Agreement,
the Division shall use Generally Accepted Government Auditing Standards ("GAGAS"). As defined by 2
C.F.R. §200.50, GAGAS, "also known as the Yellow Book, means generally accepted government auditing
standards issued by the Comptroller General of the United States, which are applicable to financial audits."
d. If an audit shows that all or any portion of the funds disbursed were not spent in
accordance with the conditions of this Agreement, the Sub -Recipient shall be held liable for reimbursement
to the Division of all funds not spent in accordance with these applicable regulations and Agreement
provisions within thirty days after the Division has notified the Sub -Recipient of such non-compliance.
e. The Sub -Recipient shall have all audits completed by an independent auditor, which is
defined in section 215.97(2)(h), Florida Statutes, as "an independent certified public accountant licensed
under chapter 473." The independent auditor shall state that the audit complied with the applicable
provisions noted above. The audit must be received by the Division no later than nine months from the end
of the Sub -Recipient's fiscal year.
f. The Sub -Recipient shall send copies of reporting packages for audits conducted in
accordance with 2 C.F.R. Part 200, by or on behalf of the Sub -Recipient, to the Division at the following
address:
DEMSin le Audit em.m florida.com
DEMSingle—Audit@em.myflorida.com
OR
Office of the Inspector General
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
g. The Sub -Recipient shall send the Single Audit reporting package and Form SF -SAG to
the Federal Audit Clearinghouse by submission online at:
hftp://harvester.census.gov/fac/collect/ddeindex.htmI
h. The Sub -Recipient shall send any management letter issued by the auditor to the
Division at the following address:
DEMSingle Auditaem.myflorida.com
DEMSingle_Audit@em.myflorida.com
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OR
Office of the Inspector General
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
(12) REPORTS
a. Consistent with 2 C.F.R. §200.328, the Sub -Recipient shall provide the Division with
quarterly reports and a close-out report. These reports shall include the current status and progress by the
Sub -Recipient and all subcontractors in completing the work described in the Scope of Work and the
expenditure of funds under this Agreement, in addition to any other information requested by the Division.
b. Quarterly reports are due to the Division no later than thirty (30) days after the end of
each quarter of the program year and shall be sent each quarter until submission of the administrative
close-out report. The ending dates for each quarter of the program year are March 31, June 30, September
30 and December 31.
c. The close-out report is due sixty (60) days after termination of this Agreement or sixty
(60) days after completion of the activities contained in this Agreement, whichever first occurs.
d. If all required reports and copies are not sent to the Division or are not completed in a
manner acceptable to the Division, then the Division may withhold further payments until they are
completed or may take other action as stated in Paragraph (16) REMEDIES. "Acceptable to the Division"
means that the work product was completed in accordance with the Budget and Scope of Work.
e. The Sub -Recipient shall provide additional program updates or information that may be
required by the Division.
(13)MONITORING.
a. The Sub -Recipient shall monitor its performance under this Agreement, as well as that
of its subcontractors and/or consultants who are paid from funds provided under this Agreement, to ensure
that time schedules are being met, the Schedule of Deliverables and Scope of Work are being
accomplished within the specified time periods, and other performance goals are being achieved. A review
shall be done for each function or activity in Attachment B to this Agreement, and reported in the quarterly
report.
b. In addition to reviews of audits, monitoring procedures may include, but not be limited
to, on-site visits by Division staff, limited scope audits, and/or other procedures. The Sub -Recipient agrees
to comply and cooperate with any monitoring procedures/processes deemed appropriate by the Division. In
the event that the Division determines that a limited scope audit of the Sub -Recipient is appropriate, the
Sub -Recipient agrees to comply with any additional instructions provided by the Division to the Sub -
Recipient regarding such audit. The Sub -Recipient further agrees to comply and cooperate with any
inspections, reviews, investigations or audits deemed necessary by the Florida Chief Financial Officer or
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Auditor General. In addition, the Division will monitor the performance and financial management by the
Sub -Recipient throughout the contract term to ensure timely completion of all tasks.
(14)LIABILITY
a. Unless Sub -Recipient is a State agency or subdivision, as defined in section 768.28(2),
Florida Statutes, the Sub -Recipient is solely responsible to parties it deals with in carrying out the terms of
this Agreement; as authorized by section 768.28(19), Florida Statutes, Sub -Recipient shall hold the Division
harmless against all claims of whatever nature by third parties arising from the work performance under this
Agreement. For purposes of this Agreement, Sub -Recipient agrees that it is not an employee or agent of
the Division, but is an independent contractor.
b. As required by section 768.28(19), Florida Statutes, any Sub -Recipient which is a state
agency or subdivision, as defined in section 768.28(2), Florida Statutes, agrees to be fully responsible for its
negligent or tortious acts or omissions which result in claims or suits against the Division, and agrees to be
liable for any damages proximately caused by the acts or omissions to the extent set forth in Section
768.28, Florida Statutes. Nothing herein is intended to serve as a waiver of sovereign immunity by any
Sub -Recipient to which sovereign immunity applies. Nothing herein shall be construed as consent by a
state agency or subdivision of the State of Florida to be sued by third parties in any matter arising out of any
contract.
(15)DEFAULT.
If any of the following events occur ("Events of Default"), all obligations on the part of the
Division to make further payment of funds shall terminate and the Division has the option to exercise any of
its remedies set forth in Paragraph (16); however, the Division may make payments or partial payments
after any Events of Default without waiving the right to exercise such remedies, and without becoming liable
to make any further payment:
a. If any warranty or representation made by the Sub -Recipient in this Agreement or any
previous agreement with the Division is or becomes false or misleading in any respect, or if the Sub -
Recipient fails to keep or perform any of the obligations, terms or covenants in this Agreement or any
previous agreement with the Division and has not cured them in timely fashion, or is unable or unwilling to
meet its obligations under this Agreement;
b. If material adverse changes occur in the financial condition of the Sub -Recipient at any
time during the term of this Agreement, and the Sub -Recipient fails to cure this adverse change within thirty
(30) days from the date written notice is sent by the Division;
c. If any reports required by this Agreement have not been submitted to the Division or
have been submitted with incorrect, incomplete or insufficient information; or,
d. If the Sub -Recipient has failed to perform and complete on time any of its obligations
under this Agreement.
(16)REMEDIES,
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If an Event of Default occurs, then the Division shall, after thirty (30) calendar days written
notice to the Sub -Recipient and upon the Sub -Recipient's failure to cure within those thirty (30) days,
exercise any one or more of the following remedies, either concurrently or consecutively:
a. Terminate this Agreement, provided that the Sub -Recipient is given at least thirty (30)
days prior written notice of the termination. The notice shall be effective when placed in the United States,
first class mail, postage prepaid, by registered or certified mail -return receipt requested, to the address in
paragraph (3) herein;
Agreement;
b. 'Begin an appropriate legal or equitable action to enforce performance of this
c. Withhold or suspend payment of all or any part of a request for payment;
d. Require that the Sub -Recipient refund to the Division any monies used for ineligible
purposes under the laws, rules and regulations governing the use of these funds.
e. Exercise any corrective or remedial actions, to include but not be limited to:
L Request additional information from the Sub -Recipient to determine the
reasons for or the extent of non-compliance or lack of performance,
Issue a written warning to advise that more serious measures may be taken if
the situation is not corrected,
iii. Advise the Sub -Recipient to suspend, discontinue or refrain from incurring
costs for any activities in question or
iv. Require the Sub -Recipient to reimburse the Division for the amount of costs
incurred for any items determined to be ineligible;
f. Exercise any other rights or remedies which may be available under law.
Pursuing any of the above remedies will not stop the Division from pursuing any other
remedies in this Agreement or provided at law or in equity. If the Division waives any right or remedy in this
Agreement or fails to insist on strict performance by the Sub -Recipient, it will not affect, extend or waive any
other right or remedy of the Division, or affect the later exercise of the same right or remedy by the Division
for any other default by the Sub -Recipient.
(17)TERMINATION.
a. The Division may terminate this Agreement for cause after thirty (30) days written
notice. Cause can include misuse of funds, fraud, lack of compliance with applicable rules, laws and
regulations, failure to perform on time, and refusal by the Sub -Recipient to permit public access to any
document, paper, letter, or other material subject to disclosure under Chapter 119, Florida Statutes, as
amended.
b. The Division may terminate this Agreement for convenience or when it determines, in
its sole discretion, that continuing the Agreement would not produce beneficial results in line with the further
expenditure of funds, by providing the Sub -Recipient with thirty (30) calendar days prior written notice.
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c. The parties may agree to terminate this Agreement for their mutual convenience
through a written amendment of this Agreement. The amendment will state the effective date of the
termination and the procedures for proper closeout of the Agreement.
d. In the event that this Agreement is terminated, the Sub -Recipient will not incur new
obligations for the terminated portion of the Agreement after the Sub -Recipient has received the notification
of termination. The Sub -Recipient will cancel as many outstanding obligations as possible. Costs incurred
after receipt of the termination notice will be disallowed. The Sub -Recipient shall not be relieved of liability
to the Division because of any breach of Agreement by the Sub -Recipient. The Division may, to the extent
authorized by law, withhold payments to the Sub -Recipient for the purpose of set-off until the exact amount
of damages due the Division from the Sub -Recipient is determined.
(18)PROCUREMENT
a. The Sub -Recipient shall ensure that any procurement involving funds authorized by the
Agreement complies with all applicable federal and state laws and regulations, to include 2 C.F.R,
§§200.318 through 200.326 as well as Appendix II to 2 C.F.R. Part 200 (entitled "Contract Provisions for
Non -Federal Entity Contracts Under Federal Awards").
b. As required by 2 C.F.R. §200.318(b), the Sub -Recipient shall "maintain records
sufficient to detail the history of procurement. These records will include, but are not necessarily limited to
the following: rationale for the method of procurement, selection of contract type, contractor selection or
rejection, and the basis for the contract price."
c. As required by 2 C.F.R. §200.318(i), the Sub -Recipient shall "maintain oversight to
ensure that contractors perform in accordance with the terms, conditions, and specifications of their
contracts or purchase orders." in order to demonstrate compliance with this requirement, the Sub -Recipient
shall document, in its quarterly report to the Division, the progress of any and all subcontractors performing
work under this Agreement.
d. Except for procurements by micro -purchases pursuant to 2 C.F.R. §200.320(a) or
procurements by small purchase procedures pursuant to 2 C.F.R. §200.320(b), if the Sub -Recipient
chooses to subcontract any of the work required under this Agreement, then the Sub -Recipient shall
forward to the Division a copy of any solicitation (whether competitive or non-competitive) at least fifteen
(15) days prior to the publication or communication of the solicitation. The Division shall review the
solicitation and provide comments, if any, to the Sub -Recipient within three (3) business days. Consistent
with 2 C.F.R. §200.324, the Division will review the solicitation for compliance with the procurement
standards outlined in 2 C.F.R. §§200.318 through 200.326 as well as Appendix II to 2 C.F.R. Part 200.
Consistent with 2 C.F.R. §200.318(k), the Division will not substitute its judgment for that of the Sub -
Recipient. While the Sub -Recipient does not need the approval of the Division in order to publish a
competitive solicitation, this review may allow the Division to identify deficiencies in the vendor requirements
or in the commodity or service specifications. The Division's review and comments shall not constitute an
13
approval of the solicitation. Regardless of the Division's review, the Sub -Recipient remains bound by all
applicable laws, regulations, and agreement terms. If during its review the Division identifies any
deficiencies, then the Division shall communicate those deficiencies to the Sub -Recipient as quickly as
possible within the three (3) business day window outlined above.. If the Sub -Recipient publishes a
competitive solicitation after receiving comments from the Division that the solicitation is deficient, then the
Division may:
Terminate this Agreement in accordance with the provisions outlined in
paragraph 17 above; and,
ii. Refuse to reimburse the Sub -Recipient for any costs associated with that
solicitation.
e. Except for procurements by micro -purchases pursuant to 2 C.F.R. §200.320(a) or
procurements by small purchase procedures pursuant to 2 C.F.R. §200.320(b), if the Sub -Recipient
chooses to subcontract any of the work required under this Agreement, then the Sub -Recipient shall
forward to the Division a copy of any contemplated contract prior to contract execution. The Division shall
review the unexecuted contract and provide comments, if any, to the Sub -Recipient within three (3)
business days. Consistent with 2 G.F.R. §200.324, the Division will review the unexecuted contract for
compliance with the procurement standards outlined in 2 C.F.R. §§200.318 through 200.326 as well as
Appendix II to 2 C.F.R. Part 200. Consistent with 2 C.F.R. §200.318(k), the Division will not substitute its
judgment for that of the Sub -Recipient. While the Sub -Recipient does not need the approval of the Division
in order to execute a subcontract, this review may allow the Division to identify deficiencies in the terms and
conditions of the subcontract as well as deficiencies in the procurement process that led to the subcontract.
The Division's review and comments shall not constitute an approval of the subcontract. Regardless of the
Division's review, the Sub -Recipient remains bound by all applicable laws, regulations, and agreement
terms. If during its review the Division identifies any deficiencies, then the Division shall communicate those
deficiencies to the Sub -Recipient as quickly as possible within the three (3) business day window outlined
above. If the Sub -Recipient executes a subcontract after receiving a communication from the Division that
the subcontract is non-compliant, then the Division may:
paragraph 17 above; and,
subcontract.
Terminate this Agreement in accordance with the provisions outlined in
Refuse to reimburse the Sub -Recipient for any costs associated with that
f. The Sub -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 Sub -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.
14
g. As required by 2 C.F.R. §200.318(c)(1), the Sub -Recipient shall "maintain written
standards of conduct covering conflicts of interest and governing the actions of its employees engaged in
the selection, award and administration of contracts."
h. As required by 2 C.F.R. §200.319(x), the Sub -Recipient shall conduct any procurement
under this agreement "in a manner providing full and open competition." Accordingly, the Sub -Recipient
shall not:
business;
companies;
equivalent;
Place unreasonable requirements on firms in order for them to qualify to do
ii. Require unnecessary experience or excessive bonding;
iii. Use noncompetitive pricing practices between firms or between affiliated
iv. Execute noncompetitive contracts to consultants that are on retainer contracts;
V, Authorize, condone, or ignore organizational conflicts of interest;
vi. Specify only a brand name product without allowing vendors to offer an
vii. Specify a brand name product instead of describing the performance,
specifications, or other relevant requirements that pertain to the commodity or service solicited by the
procurement;
viii. Engage in any arbitrary action during the procurement process; or,
ix. Allow a vendor to bid on a contract if that bidder was involved with developing
or drafting the specifications, requirements, statement of work, invitation to bid, or request for proposals.
"Except in those cases where applicable Federal statutes expressly mandate or
encourage" otherwise, the Sub -Recipient, as required by 2 C.F.R. §200.319(b), shall not use a geographic
preference when procuring commodities or services under this Agreement.
j. The Sub -Recipient shall conduct any procurement involving invitations to bid (i.e.
sealed bids) in accordance with 2 C.F.R. §200.320(c) as well as section 287.057(1)(a), Florida Statutes.
k. The Sub -Recipient shall conduct any procurement involving requests for proposals (Le,
competitive proposals) in accordance with 2 C.F.R. §200.320(d) as well as section 287.057(1)(b), Florida
Statutes.
I. For each subcontract, the Sub -Recipient shall provide a written statement to the
Division as to whether that subcontractor is a minority business enterprise, as defined in Section 288.703,
Florida Statutes. Additionally, the Sub -Recipient shall comply with the requirements of 2 C.F.R. §200.321
("Contracting with small and minority businesses, women's business enterprises, and labor surplus area
firms"),
(19)ATTACHMENTS
a. All attachments to this Agreement are incorporated as if set out fully.
15
b. In the event of any inconsistencies or conflict between the language of this Agreement
and the attachments, the language of the attachments shall control, but only to the extent of the conflict or
inconsistency.
c. This Agreement has the following attachments:
i. Exhibit 1 -f=unding Sources
ii. Attachment A — Budget
iii. Attachment B — Scope of Work
iv. Attachment C — Deliverables and Performance
V. Attachment D — Program Statutes and Regulations
vi. Attachment E — Justification of Advance Payment
vii. Attachment F — Warranties and Representations
viii. Attachment G — Certification Regarding Debarment
ix. Attachment H — Statement of Assurances
X. Attachment I -- Reimbursement Checklist
xi. Attachment J — Monitoring Guidelines
xii. Attachment K — EHP Guidelines
xiii. Attachment L —Mandatory Contract Provisions
(20)PAYMENTS
a. Any advance payment under this Agreement is subject to 2 C.F.R. §200.305 and, as
applicable, section 216.181(16), Florida Statues. All advances are required to be held in an interest-bearing
account. 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 E. Attachment E will specify the
amount of advance payment needed and provide an explanation of the necessity for and proposed use of
these funds. No advance shall be accepted for processing if a reimbursement has been paid prior to the
submittal of a request for advanced payment. After the initial advance, if any, payment shall be made on a
reimbursement basis as needed.
b. Invoices shall be submitted at least quarterly and shall include the supporting
documentation for all costs of the project or services. The final invoice shall be submitted within sixty (60)
days after the expiration date of the agreement. An explanation of any circumstances prohibiting the
submittal of quarterly invoices shall be submitted to the Division grant manager as part of the Sub -
Recipient's quarterly reporting as referenced in Paragraph 7 of this Agreement.
c. If the necessary funds are not available to fund this Agreement as a result of action by
the United States Congress, the federal Office of Management and Budgeting, the State Chief Financial
Officer or under subparagraph (9)b, of this Agreement, all obligations on the part of the Division to make
any further payment of funds shall terminate, and the Sub -Recipient shall submit its closeout report within
thirty days of receiving notice from the Division.
16
(21)REPAYMENTS
a. All refunds or repayments due to the Division under this Agreement are to be made
payable to the order of "Division of Emergency Management", and mailed directly to the following address:
Division of Emergency Management
Cashier
2555 Shumard Oak Boulevard
Tallahassee FL 32399-2100
b. In accordance with Section 215.34(2), Florid Statutes, if a check or other draft is
returned to the Division for collection, Sub -Recipient shall pay the Division a service fee of $15.00 or 5% of
the face amount of the returned check or draft, whichever is greater.
(22)MANDATED CONDITIONS
a. The validity of this Agreement is subject to the truth and accuracy of all the information,
representations, and materials submitted or provided by the Sub -Recipient in this Agreement, in any later
submission or response to a Division request, or in any submission or response to fulfill the requirements of
this Agreement. All of said information, representations, and materials are incorporated by reference. The
inaccuracy of the submissions or any material changes shall, at the option of the Division and with thirty
(30) days written notice to the Sub -Recipient, cause the termination of this Agreement and the release of
the Division from all its obligations to the Sub -Recipient.
b. This Agreement shall be construed under the laws of the State of Florida, and venue
for any actions arising out of this Agreement shall be in the Circuit Court of Leon County. if any provision of
this Agreement is in conflict with any applicable statute or rule, or is unenforceable, then the provision shall
be null and void to the extent of the conflict, and shall be severable, but shall not invalidate any other
provision of this Agreement.
c. Any power of approval or disapproval granted to the Division under the terms of this
Agreement shall survive the term of this Agreement.
d. The Sub -Recipient agrees to comply with the Americans With Disabilities Act (Public
Law 101-336, 42 U.S.C. Section 12101 et seg.), which prohibits discrimination by public and private entities
on the basis of disability in employment, public accommodations, transportation, State and local
government services, and telecommunications.
e. Those who have been placed on the convicted vendor list following a conviction for a
public entity crime or on the discriminatory vendor list may not submit a bid on a contract to provide any
goods or services to a public entity, may not submit a bid on a contract with a public entity for the
construction or repair of a public building or public work, may not submit bids on leases of real property to a
public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant
under a contract with a public entity, and may not transact business with any public entity in excess of
17
$25,000.00 for a period of thirty-six (36) months from the date of being placed on the convicted vendor list
or on the discriminatory vendor list.
f. Any Sub -Recipient which is not a local government or state agency, and which receives
funds under this Agreement from the federal government, certifies, to the best of its knowledge and belief,
that it and its principals:
Are not presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from covered transactions by a federal department or agency;
il. Have not, within a five (5) year period preceding this proposal been convicted
of or had a civil judgment rendered against them for fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under
public transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft,
forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;
iii. Are not presently indicted or otherwise criminally or civilly charged by a
governmental entity (federal, state or local) with commission of any offenses enumerated in paragraph
19(g)2. of this certification; and,
iv. Have not within a five (5) year period preceding this Agreement had one or
more public transactions (federal, state or local) terminated for cause or default.
g. If the Sub -Recipient is unable to certify to any of the statements in this certification,
then the Sub -Recipient shall attach an explanation to this Agreement.
h. In addition, the Sub -Recipient shall send to the Division (by email or by facsimile
transmission) the completed "Certification Regarding Debarment, Suspension, Ineligibility And
Voluntary Exclusion" (Attachment G) for each intended subcontractor which Sub -Recipient plans to
fund under this Agreement. The form must be received by the Division before the Sub -Recipient
enters into a contract with any subcontractor,
i. The Division reserves the right to unilaterally cancel this Agreement if the Sub -
Recipient refuses to allow public access to all documents, papers, letters or other material subject to the
provisions of Chapter 119, Florida Statutes, which the Sub -Recipient created or received under this
Agreement.
j. If the Sub -Recipient is allowed to temporarily invest any advances of funds under this
Agreement, any interest income shall either be returned to the Division or be applied against the Division's
obligation to pay the contract amount.
k. The State of Florida will not intentionally award publicly -funded contracts to any
contractor who knowingly employs unauthorized alien workers, constituting a violation of the employment
provisions contained in 8 U.S.C. Section 1324a(e) [Section 274A(e) of the Immigration and Nationality Act
("INA")]. The Division shall consider the employment by any contractor of unauthorized aliens a violation of
18
Section 274A(e) of the INA. Such violation by the Sub -Recipient of the employment provisions contained in
Section 274A(e) of the INA shall be grounds for unilateral cancellation of this Agreement by the Division.
1. 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, unless it would not be in the public interest or unreasonable in cost.
(23)LOBBYING PROHIBITION
activities.
a. 2 C.F.R. §200.450 prohibits reimbursement for costs associated with certain lobbying
b. Section 216.347, Florida Statutes, prohibits "any disbursement of grants and aids
appropriations pursuant to a contract or grant to any person or organization unless the terms of the grant or
contract prohibit the expenditure of funds for the purpose of lobbying the Legislature, the judicial branch, or
a state agency."
c. No funds or other resources received from the Division under this Agreement may be
used directly or indirectly to influence legislation or any other official action by the Florida Legislature or any
state agency.
d. The Sub -Recipient certifies, by its signature to this Agreement, that to the best of his or
her knowledge and belief:
No Federal appropriated funds have been paid or will be paid, by or on behalf
of the Sub -Recipient, to any person for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the
making of any Federal loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment or modification of any Federal contract, grant, loan or cooperative
agreement.
ii. If any funds other than Federal appropriated funds have been paid or will be
paid to any person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan or cooperative agreement, the Sub -Recipient shall
complete and submit Standard Form -LLL, "Disclosure of Lobbying Activities."
iii. The Sub -Recipient shall require that this certification be included in the award
documents for all sub -awards (including subcontracts, sub -grants, and contracts under grants, loans, and
cooperative agreements) and that all Sub -Recipients shall certify and disclose.
iv. This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this certification is a prerequisite for
making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who
19
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.
(24)COPYRIGHT, PATENT AND TRADEMARK
EXCEPT AS PROVIDED BELOW, ANY AND ALL PATENT RIGHTS ACCRUING UNDER
OR IN CONNECTION WITH THE PERFORMANCE OF THIS AGREEMENT ARE HEREBY RESERVED
TO THE STATE OF FLORIDA; AND, ANY AND ALL COPYRIGHTS ACCRUING UNDER OR IN
CONNECTION WITH THE PERFORMANCE OF THIS AGREEMENT ARE HEREBY TRANSFERRED BY
THE SUB -RECIPIENT TO THE STATE OF FLORIDA.
a. If the Sub -Recipient has a pre-existing patent or copyright, the Sub -Recipient shall
retain all rights and entitlements to that pre-existing patent or copyright unless the Agreement provides
otherwise.
b. If any discovery or invention is developed in the course of or as a result of work or
services performed under this Agreement, or in any way connected with it, the Sub -Recipient shall refer the
discovery or invention to the Division for a determination whether the State of Florida will seek patent
protection in its name. Any patent rights accruing under or in connection with the performance of this
Agreement are reserved to the State of Florida. If any books, manuals, films, or other copyrightable
material are produced, the Sub -Recipient shall notify the Division. Any copyrights accruing under or in
connection with the performance under this Agreement are transferred by the Sub -Recipient to the State of
Florida.
c. Within thirty (30) days of execution of this Agreement, the Sub -Recipient shall disclose
all intellectual properties relating to the performance of this Agreement which he or she knows or should
know could give rise to a patent or copyright. The Sub -Recipient shall retain all rights and entitlements to
any pre-existing intellectual property which is disclosed. Failure to disclose will indicate that no such
property exists. The Division shall then, under Paragraph (b), have the right to all patents and copyrights
which accrue during performance of the Agreement.
d. If the Sub -Recipient qualifies as a state university under Florida law, then, pursuant to
section 1004.23, Florida Statutes, any invention conceived exclusively by the employees of the Sub -
Recipient shall become the sole property of the Sub -Recipient. In the case of joint inventions, that is
inventions made jointly by one or more employees of both parties hereto, each party shall have an equal,
undivided interest in and to such joint inventions. The Division shall retain a perpetual, irrevocable, fully -
paid, nonexclusive license, for its use and the use of its contractors of any resulting patented, copyrighted
or trademarked work products, developed solely by the Sub -Recipient, under this Agreement, for Florida
government purposes.
(25)LEGAL AUTHORIZATION.
The Sub -Recipient certifies that it has the legal authority to receive the funds under this
Agreement and that its governing body has authorized the execution and acceptance of this Agreement.
ME
The Sub -Recipient also certifies that the undersigned person has the authority to legally execute and bind
Sub -Recipient to the terms of this Agreement.
(26)EQUAL OPPORTUNITY EMPLOYMENT
a. In accordance with 41 C.F.R. §60-1.4(b), the Sub -Recipient hereby agrees that it will
incorporate or cause to be incorporated into any contract for construction work, or modification thereof, as
defined in the regulations of the Secretary of Labor at 41 CFR Chapter 60, which is paid for in whole or in
part with funds obtained from the Federal Government or borrowed on the credit of the Federal Government
pursuant to a grant, contract, loan insurance, or guarantee, or undertaken pursuant to any Federal program
involving such grant, contract, loan, insurance, or guarantee, the following equal opportunity clause:
During the performance of this contract, the contractor agrees as follows
i. The contractor will not discriminate against any employee or
applicant for employment because of race, color, religion, sex, or national
origin. The contractor will take affirmative action to ensure that applicants
are employed, and that employees are treated during employment without
regard to their race, color, religion, sex, or national origin. Such action
shall include, but not be limited to the following: employment, upgrading,
demotion, or transfer; recruitment or recruitment advertising; layoff or
termination; rates of pay or other forms of compensation; and selection for
training, including apprenticeship. The contractor agrees to post in
conspicuous places, available to employees and applicants for
employment, notices to be provided setting forth the provisions of this
nondiscrimination clause.
ii. The contractor will, in all solicitations or advertisements for
employees placed by or on behalf of the contractor, state that all qualified
applicants will receive considerations for employment without regard to
race, color, religion, sex, or national origin.
iii. The contractor will send to each labor union or representative of
workers with which he has a collective bargaining agreement or other
contract or understanding, a notice to be provided advising the said labor
union or workers' representatives of the contractor's commitments under
this section, and shall post copies of the notice in conspicuous places
available to employees and applicants for employment.
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iv. The contractor will comply with all provisions of Executive Order
11246 of September 24, 1965, and of the rules, regulations, and relevant
orders of the Secretary of Labor.
V. The contractor will furnish all information and reports required by
Executive Order 11246 of September 24, 1965, and by rules, regulations,
and orders of the Secretary of Labor, or pursuant thereto, and will permit
access to his books, records, and accounts by the administering agency
and the Secretary of Labor for purposes of investigation to ascertain
compliance with such rules, regulations, and orders.
vi. In the event of the contractor's noncompliance with the
nondiscrimination clauses of this contract or with any of the said rules,
regulations, or orders, this contract may be canceled, terminated, or
suspended in whole or in part and the contractor may be declared ineligible
for further Government contracts or federally assisted construction
contracts in accordance with procedures authorized in Executive Order
11246 of September 24, 1965, and such other sanctions may be imposed
and remedies invoked as provided in Executive Order 11246 of September
24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as
otherwise provided by law.
vii. The contractor will include the portion of the sentence immediately
preceding paragraph (1) and the provisions of paragraphs (1) through (7) in
every subcontract or purchase order unless exempted by rules,
regulations, or orders of the Secretary of Labor issued pursuant to section
204 of Executive Order 11246 of September 24, 1965, so that such
provisions will be binding upon each subcontractor or vendor. The
contractor will take such action with respect to any subcontract or purchase
order as the administering agency may direct as a means of enforcing such
provisions, including sanctions for noncompliance: provided, however, that
in the event a contractor becomes involved in, or is threatened with,
litigation with a subcontractor or vendor as a result of such direction by the
administering agency the contractor may request the United States to enter
into such litigation to protect the interests of the United States.
22
b. The Sub -Recipient further agrees that it will be bound by the above equal opportunity
clause with respect to its own employment practices when it participates in federally assisted construction
work: provided, that if the applicant so participating is a State or local government, the above equal
opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which
does not participate in work on or under the contract.
c. The Sub -Recipient agrees that it will assist and cooperate actively with the
administering agency and the Secretary of Labor in obtaining the compliance of contractors and
subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the
Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such information
as they may require for the supervision of such compliance, and that it will otherwise assist the
administering agency in the discharge of the agency's primary responsibility for securing compliance.
d. The Sub -Recipient further agrees that it will refrain from entering into any contract or
contract modification subject to Executive Order 11246 of September 24, 1965, with a contractor debarred
from, or who has not demonstrated eligibility for, Government contracts and federally assisted construction
contracts pursuant to the Executive order and will carry out such sanctions and penalties for violation of the
equal opportunity clause as may be imposed upon contractors and subcontractors by the administering
agency or the Secretary of Labor pursuant to Part II, Subpart D of the Executive order. In addition, the Sub -
Recipient agrees that if it fails or refuses to comply with these undertakings, the administering agency may
take any or all of the following actions: cancel, terminate, or suspend in whole or in part this grant (contract,
loan, insurance, guarantee); refrain from extending any further assistance to the Sub -Recipient under the
program with respect to which the failure or refund occurred until satisfactory assurance of future
compliance has been received from such Sub -Recipient; and refer the case to the Department of Justice for
appropriate legal proceedings.
(27)COPELAND ANTI -KICKBACK ACT
The Sub -Recipient hereby agrees that, unless exempt under Federal law, it will incorporate
or cause to be incorporated into any contract for construction work, or modification thereof, the following
clause:
i. Contractor. The contractor shall comply with 18 U.S.G. § 874, 40
U.S.G. § 3145, and the requirements of 29 C.F.R. pt. 3 as may be
applicable, which are incorporated by reference into this contract.
ii. Subcontracts. The contractor or subcontractor shall insert in any
subcontracts the clause above and such other clauses as the FEMA may
by appropriate instructions require, and also a clause requiring the
subcontractors to include these clauses in any lower tier subcontracts. The
23
prime contractor shall be responsible for the compliance by any
subcontractor or lower tier subcontractor with all of these contract clauses.
iii. Breach. A breach of the contract clauses above may be grounds
for termination of the contract, and for debarment as a contractor and
subcontractor as provided in 29 C.F.R. § 5.12.
(28)CONTRACT WORK HOURS AND SAFETY STANDARDS
If the Sub -Recipient, with the funds authorized by this Agreement, enters into a contract
that exceeds $100,000 and involves the employment of mechanics or laborers, then any such contract must
include a provision for compliance with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor
regulations (29 CFR Part 5). Under 40 U.S.C. 3702 of the Act, each contractor must be required to
compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work
in excess of the standard work week is permissible provided that the worker is compensated at a rate of not
less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work
week. The requirements of 40 U.S.C. 3704 are applicable to construction work and provide that no laborer
or mechanic must be required to work in surroundings or under working conditions which are unsanitary,
hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or
articles ordinarily available on the open market, or contracts for transportation.
(29)CLEAN AIR ACT AND THE FEDERAL WATER POLLUTION CONTROL ACT
If the Sub -Recipient, with the funds authorized by this Agreement, enters into a contract
that exceeds $150,000, then any such contract must include the following provision:
Contractor agrees to comply with all applicable standards, orders or
regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401-7671q)
and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251-
1387), and will report violations to FEMA and the Regional Office of the
Environmental Protection Agency (EPA).
(30)SUSPENSION AND DEBARMENT
If the Sub -Recipient, with the funds authorized by this Agreement, enters into a contract,
then any such contract must include the following provisions:
i. This contract is a covered transaction for purposes of 2 C.F.R. pt.
180 and 2 G.F.R. pt. 3000. As such the contractor is required to verify that
none of the contractor, its principals (defined at 2 C. F, R. § 180.995), or its
affiliates (defined at 2 C.F.R. § 180.905) are excluded (defined at 2 C.F.R.
§ 180.940) or disqualified (defined at 2 C.F.R. § 180.935).
24
ii. The contractor must comply with 2 C.F.R. pt. 180, subpart C and 2
C.F.R. pt. 3000, subpart C and must include a requirement to comply with
these regulations in any lower tier covered transaction it enters into.
iii. This certification is a material representation of fact relied upon by
the Division. If it is later determined that the contractor did not comply with
2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C, in addition to
remedies available to the Division, the Federal Government may pursue
available remedies, including but not limited to suspension and/or
debarment.
iv. The bidder or proposer agrees to comply with the requirements of
2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C while this
offer is valid and throughout the period of any contract that may arise from
this offer. The bidder or proposer further agrees to include a provision
requiring such compliance in its lower tier covered transactions.
(31)BYRD ANTI -LOBBYING AMENDMENT
If the Sub -Recipient, with the funds authorized by this Agreement, enters into a contract,
then any such contract must include the following clause:
Byrd Anti -Lobbying Amendment, 31 U.S.C. § 1352 (as amended).
Contractors who apply or bid for an award of $100,000 or more shall file
the required certification. Each tier certifies to the tier above that it will not
and has not used Federal appropriated funds to pay any person or
organization for influencing or attempting to influence an officer or
employee of any agency, a member of Congress, officer or employee of
Congress, or an employee of a member of Congress in connection with
obtaining any Federal contract, grant, or any other award covered by 31
U.S.C. § 1352. Each tier shall also disclose any lobbying with non -Federal
funds that takes place in connection with obtaining any Federal award.
Such disclosures are forwarded from tier to tier up to the recipient.
(32)CONTRACTING WITH SMALL AND MINORITY BUSINESSES, WOMEN'S BUSINESS
ENTERPRISES, AND LABOR SURPLUS AREA FIRMS
a. If the Sub -Recipient, with the funds authorized by this Agreement, seeks to procure
goods or services, then, in accordance with 2 C.F.R. §200.321, the Sub -Recipient shall take the following
affirmative steps to assure that minority businesses, women's business enterprises, and labor surplus area
firms are used whenever possible:
25
Placing qualified small and minority businesses and women's business
enterprises on solicitation lists;
Assuring that small and minority businesses, and women's business
enterprises are solicited whenever they are potential sources;
iii. Dividing total requirements, when economically feasible, into smaller tasks or
quantities to permit maximum participation by small and minority businesses, and women's business
enterprises;
iv. Establishing delivery schedules, where the requirement permits, which
encourage participation by small and minority businesses, and women's business enterprises;
Using the services and assistance, as_appropriate, of such organizations as the
Small Business Administration and the Minority Business Development Agency of the Department of
Commerce; and
vi. Requiring the prime contractor, if subcontracts are to be let, to take the
affirmative steps listed in paragraphs (a) through (e) of this section.
b. The requirement outlined in subparagraph a. above, sometimes referred to as
"socioeconomic contracting," does not impose an obligation to set aside either the solicitation or award of a
contract to these types of firms. Rather, the requirement only imposes an obligation to carry out and
document the six affirmative steps identified above.
c. The "socioeconomic contracting" requirement outlines the affirmative steps that the
Sub -Recipient must take; the requirements do not preclude the Sub -Recipient from undertaking additional
steps to involve small and minority businesses and women's business enterprises.
d. The requirement to divide total requirements, when economically feasible, into smaller
tasks or quantities to permit maximum participation by small and minority businesses, and women's
business enterprises, does not authorize the Sub -Recipient to break a single project down into smaller
components in order to circumvent the micro -purchase or small purchase thresholds so as to utilize
streamlined acquisition procedures (e.g. "project splitting").
(33)ASSURANCES.
The Sub -Recipient shall comply with any Statement of Assurances incorporated as
Attachment H.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement.
SUB -RECIPIENT: CITY OF MIAMI
By.-
Name
y:
Name and Title: Daniel J. Alfonso, City Manager
Date:
FID# 59-6000375
DUNS# 072220791
Include a copy of the designation of authority for the signatory, if applicable.
STATE OF FLORIDA
DIVISION OF EMERGENCY MANAGEMENT
0
Name and Title: Bryan W. Koon, Director
Date:
27
ATTEST:
Todd B. Hannon
City Clerk
APPROVED AS TO FORM AND
CORRECTNESS:
Victoria Mendez
City Attorney
28
SPONSORING AGENCY
THE CITY OF MIAMI, a municipal
Corporation of the State of Florida
Emilio T. Gonzalez, Ph.D.
City Manager
APPROVED AS TO INSURANCE
REQUIREMENTS:
Ann -Marie Sharpe, Director
Department of Risk Management
EXHIBIT — 1
THE FOLLOWING FEDERAL RESOURCES ARE AWARDED TO THE SUB -RECIPIENT UNDER THIS
AGREEMENT:
NOTE: If the resources awarded to the Sub -Recipient are from more than one Federal program, provide the
same information shown below for each Federal program and show total Federal resources awarded.
Federal Program
Federal agency U.S. Department of Homeland Security, Federal Emergency Management
Catalog of Federal Domestic Assistance title and number; 97.067
Award amount: $4,921,000.00
THE FOLLOWING COMPLIANCE REQUIREMENTS APPLY TO THE FEDERAL RESOURCES
AWARDED UNDER THIS AGREEMENT:
NOTE: If the resources awarded to the Sub -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:
First applicable compliance requirement: Sub -recipient is to use funding to perform eligible activities
as identified FY2017 Department of Homeland Security Notice of Funding Opportunity.
2. Second applicable compliance requirement: Sub -recipient is subject to all administrative and
financial requirements as set forth in this Agreement or will not be in compliance with the terms of
the Agreement.
3. Third applicable requirement: Sub -Recipient must comply with specific laws, rules, or regulations
that pertain to how the awarded resources must be used or how eligibility determinations are to be
made.
NOTE: 2 C.F.R. Part 200, and Section 215.97(5)(a), Florida Statutes, require that the information about Federal Programs and State
Projects included in Exhibit 1 be provided to the Sub -recipient.
29
ATTACHMENT A
PROPOSED PROGRAM BUDGET
Below is a general budget which outlines eligible categories and their allocation under this award.
The Sub -recipient is to utilize the "Proposed Program Budget" as a guide for completing the
"Budget Detail Worksheet" below.
The Equipment category will require Authorized Equipment List (AEL) reference number. The
Authorized Equipment List (AEL) is a list of approved equipment types allowed under FEMA's
preparedness grant programs. The intended audience of this tool is emergency managers, first
responders, and other homeland security professionals. The list consists of 21 equipment
categories divided into sub -categories, tertiary categories, and then individual equipment items.
The AEL can be found at http://beta.fema.gov/authorized-equipment-list.
At the discretion of the Sub -recipient, funds allocated to Management and Administration costs
(as described in the "Proposed Program Budget") may be put towards Programmatic costs
instead. However, no more than 5% of each Sub -recipient's total award may be expended on
Management and Administration costs.
The transfer of funds between the categories listed in the "Proposed Program Budget" is
permitted. However, the transfer of funds between Issues is strictly prohibited.
Grant
Sub -recipient Agency
Categoryllssue
Amount Allocated
Award Allocation — Issue 46
$5,180,000.00
State Management & Administration
withheld 5/
$ 259'000.00
FY 2017 - State Homeland
Security Grant Program —
Miami/Fort Lauderdale UASI
Urban Area Security Initiative
Expendable Award Allocation after 5%
$4,921,000.00
reduction
LETP-Type Activities (25% of award
allocation) This amount is not in
addition to the remaining award
$1,295,000.00
amount but instead signifies the
amount needed to meet the 25%
requirement.
Management and Administration
(The dollar amount which corresponds
to 5% of the total local agency
$ 246,050.00
allocation is shown in the column on
the right).
Total Award
.$4,921,000.00
State M & A costs
$ 259,000.00
30
BUDGET DETAIL WORKSHEET
The Sub -recipient is required to provide a completed budget detail worksheet, to the Division, which
accounts for the total award as described in the "Proposed Program Budget".
If any changes need to be made to the "Budget Detail Worksheet", after the execution of this agreement,
contact the grant manager listed in this agreement via email or letter.
Allowable Planning Costs
Quantity
Unit Cost
Total Cost
Developing hazard/threat-specific annexes that incorporate the range of
prevention, protection, response, and recovery activities
Developing and implementing homeland security support programs and
adopting ongoing DHS national initiatives
Developing related terrorism and other catastrophic event prevention
activities
Developing and enhancing plans and protocols
Common — Planning (Planning, Training and
-Exercise), Line item 2017-01
1
$293,722.22
$293,722.22
Developing or conducting assessments
Hiring of full or part-time staff or contra ctorslconsultants to assist with
planning activities (not for the purpose of hiring public safety personnel
fulfilling traditional public safety duties)
Common — Planning (Planners), Line item 2017-01
1
$673,043.21
$673,043.21
Prevention — Intelligence and Information Sharing
Metadata Planner), Line item 2017-04
1
$33,388.58
$33,388.58
Materials required to conduct planning activities
Prevention — Public Information and Warning
(Business/Community Partners Against Terrorism
Initiative), Line item 2017-06
1
$38,158.38
$38,158.38
Travel/per diem related to planning activities
31
Common — Planning (Travel), Line item 2017-01
1
$3,338.86
$3,338.86
Overtime and backfill costs (in accordance with operational Cost
Guidance)
Issuance of WHTI-compliant Tribal identification cards
Activities to achieve planning inclusive of people with disabilities and
others with access and functional needs
Coordination with Citizen Corps Councils for public
informationteducation and development of volunteers
Update governance structures and process and plans for emergency
communications
Activities to achieve planning inclusive of people with limited English
proficiency
TOTAL PLANNING EXPENDITURES
$1,041,651.26
Allowable Training Costs
Quantity
Unit Cost
Total Cost
Overtime and backfill for emergency preparedness and response
personnel attending DHS/FEMA-sponsored and approved training
classes
Overtime and backfill expenses for part-time and volunteer emergency
response personnel participating in DHS/FEMA training
Training Workshops and Conferences
Activities to achieve training inclusive of people with disabilities and
others with access and functional needs
32
Full or Part -Time Staff or Contractors/Consultants
Common - Operational Coordination (Rapid
Deployment Force Basic and Recertification
Training), Line item 2017-02
1
$49,989.38
$49,989.38
Certification/Recertification of Instructors
Travel
Supplies are items that are expended or consumed during the course of
the planning and conduct of the exercise project(s) (e.g., copying paper,
gloves, tape, non-sterile masks, and disposable protective equipment).
Coordination with Citizen Corps Councils in conducting training
Common - Operational Coordination, (CERT/Citizen
Corp), Line item 2017-02
1
$32,401.35
$32,401.35
Interoperable communications training
Activities to achieve training inclusive of people with limited English
proficiency
TOTAL TRAINING EXPENDITURES
$82,390.73
Allowable `MSGP and LETP Organizational Activities
Quantity
Unit Cost
Total Cost
Reimbursement for select operational expenses associated with
increased security measures at critical infrastructure sites incurred (up to
50 percent of the allocation)
Prevention - Interdiction and Disruption (Operational
OT for Special Events), Line item 2017-05
1
$26,81510
$26,815.80
Overtime for information, investigative, and intelligence sharing activities
(up to 50 percent of the allocation)
Hiring of new staff positionslcontractorslconsultants for participation in
inform ati onlintei ligen ce analysis and sharing groups or fusion center
activities (up to 50 percent of the allocation)
Prevention - Intelligence and Information Sharing,
(Fusion Center Analysts), Line item 2017-04
1
$252,799.26
$252,799.26
TOTAL ORGANIZATIONAL EXPENDITURES
$279,615.06
33
Allowable Exercise Costs
Quantity
Unit Cost
Total Cost
Design, Develop, Conduct and Evaluate an Exercise
Exercise Planning Workshop - Grant funds 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-Time 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 of
contractors/consultants may also be procured to support the design,
development, conduct and evaluation of CSRNE exercises. The
applicant's formal written procurement policy or the Federal Acquisition
Regulations (FAR) must be followed.
Mitigation — Risk and Disaster Resilience
Assessment (Recovery Table Top Exercise), Line
1
$33,388.58
$33,388.58
item 2017-11
Overtime and backfill costs — Overtime and backfill costs, including
expenses for part-time and volunteer emergency response personnel
participating in FEMA exercises
Implementation of HSEEP
Activities to achieve exercises inclusive of people with disabilities and
others with access and functional needs
Travel - Travel costs (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 QJP 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 httn://www.oio.usdo'.gov/FinGuide.
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 paper, gloves, tape, non-sterile masks, and disposable
protective equipment).
Interoperable communications exercises
TOTAL EXERCISE EXPENDITURES $33,388.58
34
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 efigiti4e under each category, are
Quantity
Unit Cost
Total Cost
listed on the web-based version of the Authorized Equipment List (AEL)
at htt://beta.femaagov/authorized:B ipme tAst.
Personal protective equipment
Protection - Physical Protective Measures (Check
Point Ballistic Podiums), Line item 2017-08; AEL
1
$76,797.55
$76,797.55
#01 LE-01-SHLD
Response-CBRNE - On Scene Security, Protection
and Law Enforcement (Personal Protective Ballistic
Equipment); Line item 2017-14; AEL #01 LE-01-SHLD,
1
$23,849.00
$23,849.00
01LE-01-HLMT
Response-CBRNE - Environmental Response/Health
and Safety (CBRNE Equipment for Special Response
Teams); Line item 2017-15; AEL #01CL-02-ENSM,
1
$75,052.76
$75,052.76
01 AR-03-PAPA, 01 AR-07-FTST
Explosive device mitigation and remediation equipment
Prevention - Screening, Search, Detection (X-ray
systems/Metal Detectors), Line item 2017-03, AEL
1
$46,457.83
$46,457.83
#02EX-02-XRAP, 02EX-00-PBIE
CBRNE operational search and rescue equipment
Prevention - Interdiction and Disruption (Mobile
Surveillance Platforms), Line item 2017-05; AEL
1
$144,618.35
$144,618.35
#03OE-07-ROVL
Response - CBRNE - Critical Transportation
(Unmanned Aerial), Line item 2017-12; AEL #03OE-07-
1
$29,572.74
$29,572.74
SUAS
Response-Communications - Operational
Communications (Tactical Communications Devices),
Line item 2017-16; AEL #03OE-01CTAC, 04SN-01-
1
$91,946.43
$91,946.43
XMIT and 06CP-03-ICOM
Information technology
Common - Operational Coordination (incident
Command Software System - WebEOC), Line item
2017-02, AEL #04AP-04-RISK, 04AP-01-CADS, 04AP-
1
$159,337.96
$159,337.96
05-CDSS, 04AP-03-GISS, 04SW-04-NETW, 21GN-00-
CNST, 04HW-01-INHW, 04AP-02-AVLS
Prevention - Screening, Search, Detection (LPR
Systems), Line item 2017-03, AEL #04AP-02-AVLS,
1
$157,116.18
$157,116.18
13LE-00-SURV, 12TR-00-TEQP
35
36
Response-CBRNE - Situational Assessment (Training
Simulator); Line item 2017-13; AEL #04AP-08-SIMS
1
$12,284.14
$12,284.14
Cybersecurity enhancement equipment
Protection - Cybersecurity (Cybersecurity Malware
Protection), Line item 2017-09; AEL #05HS-00-MALW
1
$40,476.50
$40,476.50
Interoperable communications equipment
Mitigation - Long-Term Vulnerability Reduction
(Interoperable Communications Sustainment), Line
item 2017-10; AEL #06CP-01-MOBL, 06CP-01-REPT,
10BC-00-BATT, 21 GN-00-INST
1
$133,554.34
$133,554.34
Response Communications - Operational
Communications (Upgrade for Network
Switch/Gateway); Line item 2017-16; AEL #06CP-02-
BRDG
1
$136,569.79
$136,569.79
Response-Communications - Operational
Communications (Mobile/Portable Radios and
Accessories); Line item 2017-16; AEL #06CP-01-
PORT, 06CP-01-MOBL, 06CP-03-PRAC
1
$460,367.48
$460,367.48
Response-Communications - Operational
Communications (Satellite Phone Sustainment); Line
item 2017-16; AEL #06CC-03-SATB
1
$23,544.67
$23,544.67
Detection Equipment
Prevention - Screening, Search, Detection (Chemical
Sensors/Monitors), Line item 2017-03, AEL #07CD-02-
DLSP
1
$62,247.77
$62,247.77
Decontamination Equipment
Medical supplies
Power equipment
CBRNE Reference Materials
CBRNE Incident Response Vehicles
Response - Critical Transportation (Specialized EM
Vehicle); Line item 2017-12; AEL #12VE-00-SPEC
1
$59,805.63
$59,805.63
Terrorism Incident Prevention Equipment
36
Common - Operational Coordination (Emergency
Alert Notification System), Line item 2017-02, AEL
#131T-00-ALRT
1
$55,329.65
$55,329.65
Physical Security Enhancement Equipment
Protection - Access Control and Identity Verification
(Access Card Reader Systems), Line item 2017-07;
AEL #14SW-01-PAC, 21GN-00-INST
1
$67,731.12
$67,731.12
Protection - Physical Protective Measures (CCTV
Systems); Line item 2017-08, AEL #14SW-01-VIDA,
21GN-00-INST, 21GN-00-MAIN, 04HW-01-INHW, 04MD-
03-DISP
1
$280,997.36
$280,997.36
Protection - Physical Protective Measures (Long
Range Acoustical Device), Line Item 2017-08; AEL
#1 4SW-01 -LRHW
1
$113,200.65
$113,200.65
Protection - Physical Protective Measures (Code
Brown/Active Shooter Alert System); Line item 2017-
08, AEL #14SW-01-ALRM, 21GN-00-INST
1
$63,044.32
$63,044.32
Protection - Physical Protective Measures (EOC
Target Hardening); Line item 2017-08; AEL #14SW-01-
VIDA, 14SW-01-WALL, 21GN-00-INST
1
$126,117.26
$126,117.26
Recovery - Infrastructure Systems (Ethernet
Redundant Communications), Line item 2017-17; AEL
#14CI-00-COOP
1
$10,360.00
$10,360.00
Inspection and Screening Systems
Animal and Plants
CBRNE Prevention and Response watercraft
CBRNE 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 FEMA prior to the use of any funds for construction or renovation
Common - Operational Coordination (EOC
Enhancements), Line item 2017-02, AEL #21GN-00-
OCEQ, 04HW-01-INHW, 04MD-02-PROD, 04MD-03-
DISP, 21GN-00-INST, 1401 -00 -COOP, 07SE-03-ENVS,
06CC-05-PRTY, 06CC-02-DSAD
1
$152,349.23
$152,349.23
37
Common - Operational Coordination , (CERT/Citizen
Corp), Line item 2017-02, AEL #21GN-00-CCEQ,
1
$30,000.00
$30,000.00
19GN-00-BGPK, 21CR-00-MEDT, 06CP-01-PORT
Prevention — intelligence and Information Snaring
(Fusion Center Operations), Line item 2017-04, AEL
1
$162,173.11
$162,173.11
#21GN-00-OCEQ, 04HW-01-INHW, 131T-00-ALRT, 131T-
00-INTL
Mitigation — Long -Term Vulnerability Reduction
(Maintenance/Sustain/Repair/Replace UASI
1
$306,432.77
$306,432.77
Equipment), Line item 2017-10; AEL#21GN-00-MAIN
Mitigation — Long -Term Vulnerability Reduction (UASI
Equipment Storage Facility), Line item 2017-10; AEL
1
$136,569.79
$136,569.79
#21 GN -00 -LEAS
TOTAL EQUIPMENT EXPENDITURES
$3,237,904.38
Eligible Management and Administration Costs'
Quantity
Unit Cost
Total Cost
Hiring of full-time or part-time staff or contractorsiconsultants:
to assist with the management of the respective grant program;
application requirements, and compliance with reporting and data
collection requirements
M&A Salary (4 positions), Line item 2017-18
1
$246,050.00
$246,050.00
Development of operating plans for information collection and
processing necessary to respond to DHS/FEMA 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 FEMA — approved
activities. Backfill Costs also called "Overtime as 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
FEMA — 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., 1:00 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 Financia! Guide at
http://www.ojp,usdoj.gov/FinGuide).
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 agreement period:
Recurring fees/charges associated with certain equipment, such as cell
phones, faxes.
Leasing and/or renting of space for newly hired personnel to administer
programs within the grant program.
TOTAL M&A EXPENDITURES
$246,050.00
TOTAL EXPENDITURES
$4,921,000.00
39
ATTACHMENT B
SCOPE OF WORK
Sub -recipients must comply with all the requirements in 2 C.F.R. Part 200 (Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards).
Funding is provided to perform eligible activities as identified in the Domestic Homeland Security —Federal
Emergency Management Agency National Preparedness Directorate Fiscal Year 2016 Homeland Security
Grant Program (HSGP), consistent with the Department of Homeland Security State Strategy. Eligible
activities are outlined in the Scope of Work for each category below:
I. Issue and Project Description
Issue 46 — Urban Area Security Initiative (UASI): The UASI Program assists high -threat, high-
density Urban Areas in efforts to build, sustain, and deliver the capabilities necessary to prevent,
protect against, mitigate, respond to, and recover from acts of terrorism.
II. Categories and Eligible Activities
FY2016 allowable costs are divided into the following categories: Planning, Organization,
Exercise, Training, Equipment and Management and Administration are allowable categories
in this Agreement. Each category's allowable costs have been listed in the "Budget Detail
Worksheet" above.
A. Allowable Planning Related Costs
• SHSP funds may be used for a range of emergency preparedness and management
planning activities and such as those associated with the development of the THIRA, SPR,
continuity of operations plans and other planning activities that support the Goal and
placing an emphasis on updating and maintaining a current EOP that conforms to the
guidelines outlined in CPG 101 v 2.0.
• Developing hazard/threat-specific annexes that incorporate the range of prevention,
protection, response, and recovery activities
• Developing and implementing homeland security support programs and adopting
DHS/FEMA national initiatives
Developing related terrorism and other catastrophic event prevention activities
Developing and enhancing plans and protocols
Developing or conducting assessments
* Hiring of full- or part-time staff or contract/consultants to assist with planning activities (not
for the purpose of hiring public safety personnel fulfilling traditional public safety duties)
Materials required to conduct planning activities
• Travel/per diem related to planning activities
• Overtime and backfill costs (in accordance with operational Cost Guidance)
• Issuance of WHTI-compliant Tribal identification card
• Activities to achieve planning inclusive of people with disabilities
• Coordination with Citizen Corps Councils for public information/education and development
of volunteer programs
Additional Planning Information
FEMA's National Preparedness Directorate (NPD) offers technical assistance (TA) that is designed
to provide sub -recipients and sub -sub -recipients with specialized expertise to improve their
emergency plans and planning. TA deliveries are designed specifically to improve and enhance the
continuing development of state and local emergency management across the five mission areas of
40
the National Preparedness Goal and across all core capabilities. TA provides the opportunity to
engage emergency managers, emergency planners, and appropriate decision -makers in open
discussion of options to improve plans and planning in light of their jurisdiction's needs. There is no
cost to approved jurisdictions for DHS/FEMA TA.
TA deliveries combine current emergency management best practices with practical consideration
of emerging trends, through discussion facilitated by DHS/FEMA contract specialists and with the
support of FEMA Region operational specialists. While the invitation of participants is up to the
requesting jurisdiction, DHS/FEMA encourages requesting jurisdictions to include the broadest
practical range of its emergency managers and planners in all TA deliveries. TA deliveries should
be made open to neighboring jurisdictions. As necessary, DHS/FEMA may also invite other Federal
experts and practitioners to participate. Additionally, peer-to-peer representation may also be
included from other jurisdictions that have recently used TA for the same planning issue.
The TA catalog, showing the full range of TA available across all five mission areas and by all
providers, and the TA request form can be accessed at http://www.fema.gov/national-incident-
management-system/fema-technical-assistance-division.
B. Organization (SHSP and UASI Only)
Organizational activities include:
. Program management;
. Development of whole community partnerships, through groups such as Citizen
Corp Councils;
• Structures and mechanisms for information sharing between the public and
private sector;
• Implementing models, programs, and workforce enhancement initiatives
to address ideologically -inspired radicalization to violence in the homeland;
• Tools, resources and activities that facilitate shared situational awareness
between the public and private sectors;
• Operational Support;
• Utilization of standardized resource management concepts such as
typing, inventorying, organizing, and tracking to facilitate the dispatch, deployment,
and recovery of resources before, during, and after an incident;
• Responding to an increase in the threat level under the National
Terrorism Advisory System (NTAS), or needs in resulting from a National
Special Security Event; and
• Paying salaries and benefits for personnel to serve as qualified intelligence analysts.
States and Urban Areas must justify proposed expenditures of SHSP or UASI funds to support
organization activities within their IJ submission. All SAAB are allowed to utilize up to 50 percent (50%)
of their SHSP funding and all Urban Areas are allowed up to 50 percent (50%) of their UASI funding for
personnel costs. At the request of a sub -recipient of a grant, the FEMA Administrator may grant a
waiver of the 50 percent (50%) limitation noted above. Request for waivers to the personnel cap must
be submitted by the SAA to GPD in writing on official letterhead, with the following information:
• Documentation explaining why the cap should be waived;
• Conditions under which the request is being submitted; and
• A budget and method of calculation pf personnel costs both in percentages of the
grant award and in total dollar amount. To avoid supplanting issues, the request
must also include a three year staffing history for the requesting entity.
41
Organizational activities under SHSP and UASI include:
• Intelligence analysts. Per the Personnel Reimbursement for Intelligence
Cooperation and Enhancement (PRICE) of Homeland Security Act (Public Law
110-412), SHSP and UASI funds may be used to hire new staff and/or contractor
positions to serve as intelligence analysts to enable information/intelligence
sharing capabilities, as well as support existing intelligence analysts previously
covered by SHSP or UASI funding. In order to be hired as an intelligence analyst,
staff and/or contractor personnel must meet at least one of the following criteria:
o Successfully complete training to ensure baseline proficiency in
intelligence analysis and production within six months of being
hired; and/or,
o Previously served as an intelligence analyst for a minimum of two years
either in a Federal intelligence agency, the military, or State and/or local
law enforcement intelligence unit
As identified in the Maturation and Enhancement of State and Major Urban Area Fusion Centers
priority, all fusion center analytic personnel must demonstrate qualifications that meet or exceed
competencies identified in the Common Competencies for State, Local, and Tribal Intelligence
Analysts, which outlines the minimum categories of training needed for intelligence analysts. A
certificate of completion of such training must be on file with the SAA and must be made available
to the grantee's respective Headquarters Program Analyst upon request. In addition to these
training requirements, fusion centers should also continue to mature their analytic capabilities by
addressing gaps in analytic capability identified during the fusion center's annual assessment.
• Overtime costs. Overtime costs are allowable for personnel to participate in
information, investigative, and intelligence sharing activities specifically related to
homeland security and specifically requested by a Federal agency. Allowable
costs are limited to overtime associated with federally requested participation in
eligible fusion activities, including anti -terrorism task forces, Joint Terrorism Task
Forces (JTTFs), Area Maritime Security Committees (as required by the Maritime
Transportation Security Act of 2002), DHS Border Enforcement Security Task
Forces, and Integrated Border Enforcement Teams, Grant funding can only be
used in proportion to the Federal man- hour estimate, and only after funding for
these activities from other Federal sources (i.e., FBI JTTF payments to State and
local agencies) has been exhausted. Under no circumstances should DHS grant
funding be used to pay for costs already supported by funding from another
Federal source.
• Operational overtime costs. In support of efforts to enhance capabilities for
detecting, deterring, disrupting, and preventing acts of terrorism, operational
overtime costs are allowable for increased security measures at critical
infrastructure sites. SHSP or UASI funds for organizational costs may be used to
support select operational expenses associated with increased security measures
at critical infrastructure sites in the following authorized categories:
o Backfill and overtime expenses for staffing State or Major Urban
Area fusion centers;
o Hiring of contracted security for critical infrastructure sites;
o Participation in Regional Resiliency Assessment Program (RRAP)
activities;
o Public safety overtime;
o Title 32 or State Active Duty National Guard deployments to protect
critical infrastructure sites, including all resources that are part of the
standard National Guard deployment package (Note: Consumable costs,
42
such as fuel expenses, are not allowed except as part of the standard
National Guard deployment package); and
o Increased border security activities in coordination with CBP
SHSP or UASI funds may only be spent for operational overtime costs upon prior approval provided
in writing by the FEMA Administrator per instructions in iB 379.
C. Allowable Exercise Related Costs
Exercises conducted with grant funding should be managed and conducted consistent with HSEEP.
HSEEP guidance for exercise design, development, conduct, evaluation, and improvement planning
is located at https:1Avww.fema.gov1exercise.
• Design, Develop, Conduct, and Evaluate an Exercise
• Full- or part-time staff or contractors/consultants
• Overtime and backfill costs, including expenses for part-time and volunteer
emergency response personnel participating in DHS/FEMA exercises
• Implementation of HSEEP
•Activities to achieve exercises inclusive of people with disabilities
• Travel
•Supplies associated with allowable approved exercises
*I nteroperable communications exercises
Additional Exercise Information
Sub -recipients that decide to use HSGP funds to conduct an exercise(s) are encouraged to complete a
progressive exercise series. Exercises conducted by states and Urban Areas may be used to fulfill similar
exercise requirements required by other grant programs. Sub -recipients are encouraged to invite
rep resentativeslplanners involved with other Federally -mandated or private exercise activities. States and
Urban Areas are encouraged to share, at a minimum, the multi-year training and exercise schedule with
those departments, agencies, and organizations included in the plan.
Exercise Scenarios. The scenarios used in HSGP-funded exercises must be based on the
state/Urban Area's THIRA and SPR. The scenarios used in HSGP-funded exercises must focus on
validating capabilities, must be large enough in scope and size to exercise multiple activities and
warrant involvement from multiple jurisdictions and disciplines and non-governmental organizations,
and take into account the needs and requirements for individuals with disabilities. Exercise
scenarios should align with priorities and capabilities identified in the Multi-year TEP.
• Special Event Planning. If a state or Urban Area will be hosting a special event (e.g., Super Bowl,
G-8 Summit), the special event planning should be considered as a training or exercise activity for
the purpose of the Multi-year TEP. The state or Urban Area should plan to use SHSP or UASI
funding to finance training and exercise activities in preparation for those events. States and Urban
Areas should also consider exercises at major venues (e.g., arenas, convention centers) that focus
on evacuations, communications, and command and control.
• Regional Exercises. States should also anticipate participating in at least one Regional Exercise
annually. States must include all confirmed or planned special events in the Multi-year TEP.
Role of Mon -Governmental Entities in Exercises. Non-governmental participation in all levels of
exercises is strongly encouraged. Leaders from non-governmental entities should be included in
the planning, design, and evaluation of an exercise. State, local, Tribal, and territorial jurisdictions
are encouraged to develop exercises that test the integration and use of non-governmental
resources provided by non-governmental entities, defined as the private sector and private non -
43
profit, faith -based, community, participation in exercises should be coordinated with the local
Citizen Corps Council(s) or their equivalent and other partner agencies.
FDEM State Training Office conditions for Exercises: For the purposes of this Agreement, any exercise
which is compliant with HSEEP standards and contained in the State of Florida (and County or Regional)
MYTEP qualifies as an authorized exercise. The Sub -recipient can successfully complete an authorized
exercise either by attending or conducting that exercise.
• In order to receive payment for successfully attending an authorized exercise, the Sub -recipient
must provide the Division with a certificate of completion or similar correspondence signed by the
individual in charge of the exercise; additionally, the Sub -recipient must provide the Division with all
receipts that document the costs incurred by the Sub -recipient in order to attend the exercise.
• In order the receive payment for successfully conducting an authorized exercise, the Sub -recipient
must provide the Division with an ExPLAN, AAR/IP, IPC/MPC/FPC Meeting Minutes and Sign -in
Sheet for exercise attendees; additionally, the Sub -recipient must provide the Division with all
receipts that document the costs incurred by the Sub -recipient in order to conduct the exercise.
The Sub -recipient must include with the reimbursement package a separate copy of the page(s)
from the Exercise Plan which identifies the participant agencies and a printed page(s) from the
State (and County or Regional) MYTEP reflecting the exercise.
• If you require food/water for this event, request must come to the Division within 25 days of event in
the following format:
Exercise Title:
Location:
Exercise Date:
Exercise Schedule:
Estimated Number of Participants that will be fed:
Estimated Cost for food/water:
Description of the Exercise:
Unauthorized Exercise Costs
• Reimbursement for the maintenance and/or wear and tear costs of general use vehicles
(e.g., construction vehicles), medical supplies, and emergency response apparatus (e.g.,
fire trucks, ambulances).
• Equipment that is purchased for permanent installation and/or use, beyond the scope of the
conclusion of the exercise (e.g., electronic messaging signs).
D. Allowable Training Related Costs
Allowable training -related costs under HSGP include the establishment, support, conduct,
and attendance of training specifically identified under the SHSP and UASI programs and/or
in conjunction with emergency preparedness training by other Federal agencies (e.g., HHS
and DOT). Training conducted using HSGP funds should address a performance gap
identified through an AAR/IP or other assessments (e.g., National Emergency
Communications Plan NECP Goal Assessments) and contribute to building a capability that
will be evaluated through a formal exercise. Any training or training gaps, including those for
children, older adults, pregnant women, and individuals with disabilities and others who also
have or access and functional needs, should be identified in the AAR/IP and addressed in
the state or Urban Area training cycle. Sub -recipients are encouraged to use existing training
rather than developing new courses. When developing new courses, sub -recipients are
44
encouraged to apply the Analysis, Design, Development, Implementation and Evaluation
model of instructional design using the Course Development Tool.
• Overtime and backfill for emergency preparedness and response personnel attending
DHS/FEMA-sponsored and approved training classes
• Overtime and backfill expenses for part-time and volunteer emergency response personnel
participating in DHS/FEMA training
• Training workshops and conferences
• Activities to achieve training inclusive of people with disabilities
• Full- or part-time staff or contractors/consultants
• Travel
• Supplies associated with allowable approved training that are expended or consumed
during the course of the planning and conduct of the exercise project(s)
• I nstructor certification/re-certification
• Coordination with Citizen Corps Councils in conducting training exercises
• Interoperable communications training
Additional Training Information
Per DHS/FEMA Grant Programs Directorate Policy FP 207-008-064-1, Review and Approval
Requirements for Training Courses Funded Through Preparedness Grants, issued on September
9, 2013, states, territories, Tribal entities and urban areas are no longer required to request
approval from FEMA for personnel to attend non -DHS FEMA training as long as the training is
coordinated with and approved by the state, territory, Tribal or Urban Area Training Point of Contact
(TPOC) and falls within the FEMA mission scope and the jurisdiction's Emergency Operations Plan
(EOP). The only exception to this policy is for Countering Violent Extremism courses.
DHS/FEMA will conduct periodic reviews of all state, territory, and Urban Area training funded by
DHS/FEMA. These reviews may include requests for all course materials and physical observation
of, or participation in, the funded training. If these reviews determine that courses are outside the
scope of this guidance, sub -recipients will be asked to repay grant funds expended in support of
those efforts.
For further information on developing courses using the instructional design methodology and tools
that can facilitate the process, SAAB and TPOCs are encouraged to review the NTED Responder
Training Development Center (RTDC) website.
DHSIFEMA Provided Training. These train ings include programs or courses developed for and
delivered by institutions and organizations funded by DHS/FEMA. This includes the Center for
Domestic Preparedness (CDP), the Emergency Management Institute (EMI), and the National
Training and Education Division's (NTED) training partner programs including, the Continuing
Training Grants, the National Domestic Preparedness Consortium (NDPC) and the Rural Domestic
Preparedness Consortium (RDPC).
Approved State and Federal Sponsored Course Catalogue. This catalogue lists state and
Federal sponsored courses that fall within the DHS/FEMA mission scope, and have been approved
45
through the FEMA course review and approval process. An updated version of this catalog can be
accessed at http://www.firstrespondertraining.gov.
Training Not Provided by DHS/FEMA. These trainings include courses that are either state
sponsored or Federal sponsored (non-DHS/FEMA), coordinated and approved by the SAA or their
designated TPOC, and fall within the DHS/FEMA mission scope to prepare state, local, Tribal, and
territorial personnel to prevent, protect against, mitigate, respond to, and recover from acts of
terrorism or catastrophic events.
State Sponsored Courses. These courses are developed for and/or delivered by
institutions or organizations other than Federal entities or DHS/FEMA and are
sponsored by the SAA or their designated TPOC.
Joint Training and Exercises with the Public and Private Sectors. These courses
are sponsored and coordinated by private sector entities to enhance public-private
partnerships for training personnel to prevent, protect against, mitigate, respond to, and
recover from acts of terrorism or catastrophic events. Overtime pay for first responders
and emergency managers who participate in public-private training and exercises is
allowable. In addition, States, territories, Tribes, and Urban Areas are encouraged to
incorporate the private sector in government-sponsored training and exercises.
Additional information on both DHS/FEMA provided training and other federal and state training can
be found at http://www.firstrespondertraining.gov.
Training Information Reporting System ("Web -Forms"). Web -Forms is an electronic form/data
management system built to assist the SAA and its designated State, territory and Tribal Training
Point of Contact (TPOC). Reporting training activities through Web -Forms is not required under FY
2016 HSGP, however, the system remains available and can be accessed through the FEMA
Toolkit located at http://www.firstrespondertraining.gov/admin in order to support grantees in their
own tracking of training.
FDEM State Training Office conditions: For the purposes of this Agreement, any training course
listed on the DHS approved course catalog qualifies as an authorized course. The Sub -recipient
can successfully complete an authorized course either by attending or conducting that course.
• In order to receive payment for successfully attending an authorized training
course, the Sub -recipient must provide the Division with a certificate of course
completion; additionally, the Sub -recipient must provide the Division with all
receipts that document the costs incurred by the Sub -recipient in order to attend
the course.
• In order the receive payment for successfully conducting an authorized course, the
Sub -recipient must provide the Division with the course materials and a roster sign -
in sheet; additionally, the Sub -recipient must provide the Division with all receipts
that document the costs incurred by the Sub -recipient in order to conduct the
course."
• For courses that are non -DHS approved training, sub -recipient must request
approval to conduct training through the use of the Non -TED Form and provide a
copy, along with email, showing approval granted for conduct.
• For the conduct of training workshops, sub -recipient must provide a copy of the
course materials and sign -in sheets.
• The number of participants must be a minimum of 15 in order to justify the cost of
holding a course. For questions regarding adequate number of participants please
46
contact the FDEM State Training Officer for course specific guidance. Unless the
sub -recipient receives advance written approval from the State Training Officer for
the number of participants, then the Division will reduce the amount authorized for
reimbursement on a pro -rata basis for any training with less than 15 participants.
• The Sub -recipient must include with the reimbursement package a separate copy
of the page(s) from the State (and County or Regional) MYTEP reflecting the
training.
E. Equipment Acquisition
The 21 allowable prevention, protection, mitigation, response, and recovery equipment
categories and equipment standards for HSGP are listed on the Authorized Equipment List
(AEL) available at http://www.fema.gov/authorized-equipment-list. Unless otherwise stated,
equipment must meet all mandatory regulatory and/or DHS/FEMA-adopted standards to be
eligible for purchase using these funds. In addition, agencies will be responsible for
obtaining and maintaining all necessary certifications and licenses for the requested
equipment.
Grant funds may be used for the procurement of medical countermeasures. Procurement of
medical countermeasures must be conducted in collaboration with State/city/local health
departments who administer Federal funds from HHS for this purpose. Procurement must
have a sound threat based justification with an aim to reduce the consequences of mass
casualty incidents during the first crucial hours of a response. Prior to procuring
pharmaceuticals, grantees must have in place an inventory management plan to avoid
large periodic variations in supplies due to coinciding purchase and expiration dates.
Grantees are encouraged to enter into rotational procurement agreements with vendors
and distributors. Purchases of pharmaceuticals must include a budget for the disposal of
expired drugs within each fiscal year's the period of performance for HSGP. The cost of
disposal cannot be carried over to another DHS/FEMA grant or grant period.
The equipment, goods, and supplies ("the eligible equipment") purchased with funds
provided under this agreement are for the purposes specified in "Florida's Domestic
Security Strategy". Equipment purchased with these funds will be utilized in the event
of emergencies, including, but not limited to, terrorism -related hazards. The sub -
recipient shall place the equipment throughout the State of Florida in such a manner
that, in the event of an emergency, the equipment can be deployed on the scene of
the emergency or be available for use at a fixed location within two (2) hours of a
request for said deployment. The Florida Division of Emergency Management (FDEM)
must approve any purchases of equipment not itemized in a project's approved budget
in advance of the purchase.
The sub -recipient will, in accordance with the statewide mutual aid agreement or other
emergency response purpose as specified in the "Florida Domestic Security Strategy,"
ensure that all equipment purchased with these funds is used to respond to any and
all incidents within its regional response area as applicable for so long as this
Agreement remains in effect. Prior to requesting a response, the FDEM will take
prudent and appropriate action to determine that the level or intensity of the incident is
such that the specialized equipment and resources are necessary to mitigate the
outcome of the incident.
The sub -recipient shall notify the FDEM Office of Domestic Preparedness at 2555
Shumard Oak Blvd., Tallahassee, Florida 32399 one year in advance of the expiration
of the equipment's posted shelf -life or normal life expectancy or when it has been
47
expended. The sub -recipient shall notify the FDEM immediately if the equipment is
destroyed, lost, or stolen.
The sub -recipient shall not transfer, rent, sell, lease, alienate, donate, mortgage,
encumber or otherwise dispose of the eligible equipment without the prior written
consent of the FDEM.
F. Management and Administration - no more than 5% of each sub -recipient's total award may
be expended on Management and Administration costs.
Hiring of full-time or part-time staff or contractorsiconsultants:
• To assist with the management of the respective grant program
• To assist with application requirements
• To assist with the compliancy with reporting and data collection requirements
Development of operating plans for information collection and processing necessary
to respond to
FEMA data calls
Overtime costs - Overtime are allowable for personnel to participate in information,
investigative, and intelligence sharing activities specifically related to homeland security
and specifically requested by a Federal agency. Allowable costs are limited to overtime
associated with federally requested participation in eligible fusion activities including anti-
terrorism task forces, Joint Terrorism Task Forces (JTTFs), Area Maritime Security
Committees (as required by Maritime Transportation Security Act of 2002), DHS Border
Enforcement Security Task Forces, and Integrated Border Enforcement Teams. Grant
funding can only be used in proportion to the Federal man-hour estimate, and only after
funding for these activities from other Federal sources (i.e. FBI JTTF payments to State
and local agencies) has been exhausted. Under no circumstances should DHS grant
funding be used to pay for costs already supported by funding from another Federal
source.
Operational overtime costs. In support of efforts to enhance capabilities for detecting,
deterring, disrupting, and preventing acts of terrorism, operational overtime costs are
allowable for increased security measures at critical infrastructure sites. FY 2016 SHSP or
UASI funds for organizational costs may be used to support select operational expenses
associated with increased security measures at critical infrastructures sites in the following
authorized categories:
• Backfill and overtime expenses (as defined in FOA) for staffing State or
Major Urban Area fusion centers;
• Hiring of contracted security for critical infrastructure sites;
• Public safety overtime (as defined in FOA)
• Title 21 or State Active Duty National Guard deployments to protect critical
infrastructure sites, including all resources that are part of the standard
National Guard deployment package); and
• Increased border security activities in coordination with CPB, as outlined in
Information Bulletin 135.
FY 2016 SHSP funds may only be spent for operational overtime costs upon prior approval
provided in writing by the FEMA Administrator.
Travel expenses
Meeting -related expenses (For a complete list of allowable meeting -related expenses,
please review the OJP Financial Guide at http://www.o'p.usdoi.gov/FinGuide).
48
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 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 during the period of
performance of the grant program
G. Procurement
All procurement transactions will be conducted in a manner providing full and open
competition and shall comply with the standards articulated in:
• 2 C.F.R. Part 200;
• Chapter 287, Florida Statues; and,
• any local procurement policy.
To the extent that one standard is more stringent than another, the sub -sub -recipient must follow
the more stringent standard. For example, if a State statute imposes a stricter requirement than
a Federal regulation, then the sub -sub -recipient must adhere to the requirements of the State
statute.
The Division shall pre -approve all scopes of work for projects funded under this agreement.
Additionally, the sub -sub -recipient shall not execute a piggy -back contract unless the Division
has approved the scope of work contained in the original contract that forms the basis for the
piggy -back contract. Also, in order to receive reimbursement from the Division, the sub -sub -
recipient must provide the Division with a suspension and debarment form for each vendor that
performed work under the agreement. Furthermore, if requested by the Division, the sub -sub -
recipient shall provide copies of solicitation documents including responses and justification of
vendor selection.
H. Piggy -backing
The practice of procurement by one agency using the agreement of another agency is called
piggybacking. The ability to piggyback onto an existing contract is not unlimited. The existing
contract must contain language or other legal authority authorizing third parties to make
purchases from the contract with the vendor's consent. The terms and conditions of the new
contract, including the scope of work, must be substantially the same as those of the existing
contract. The piggyback contract may not exceed the existing contract in scope or volume of
goods or services. An agency may not use the preexisting contract merely as a "basis to begin
negotiations" for a broader or materially different contract.
Section 215.971, Florida Statutes
Statutory changes enacted by the Legislature impose additional requirements on grant and
sub -sub -recipient agreements funded with Federal or State financial assistance. In pertinent
part, Section 215.97(1) states:
49
An agency agreement that provides state financial assistance to a sub -
recipient or sub -sub -recipient, as those terms are defined in S. 215.97, or that
provides federal financial assistance to a sub -sub -recipient, as defined by
applicable United States Office of Management and Budget circulars, must
include all of the following:
A provision specifying a scope of work that clearly establishes the
tasks that the sub -recipient or sub -sub -recipient is required to perform.
• A provision dividing the agreement into quantifiable units of
deliverables that must be received and accepted in writing by the
agency before payment. Each deliverable must be directly related to
the scope of work and specify the required minimum level of service to
be performed and the criteria for evaluating the successful completion
of each deliverable.
A provision specifying the financial consequences that apply if the sub -
recipient or sub -sub -recipient fails to perform the minimum level of
service required by the agreement. The provision can be excluded
from the agreement only if financial consequences are prohibited by
the federal agency awarding the grant. Funds refunded to a state
agency from a sub -recipient or sub -sub -recipient for failure to perform
as required under the agreement may be expended only in direct
support of the program from which the agreement originated.
• A provision specifying that a sub -recipient or sub -sub -recipient of
federal or state financial assistance may expend funds only for
allowable costs resulting from obligations incurred during the specified
agreement period.
A provision specifying that any balance of unobligated funds which has
been advanced or paid must be refunded to the state agency.
• A provision specifying that any funds paid in excess of the amount to
which the sub -recipient or sub -sub -recipient is entitled under the terms
and conditions of the agreement must be refunded to the state agency.
• Any additional information required pursuant to s. 215.97.
Overtime and Backfill
The entire amount of overtime costs, including payments related to backfilling personnel,
which are the direct result of time spent on the design, development, and conduct of
exercises are allowable expenses. 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., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both
activities. Requests for overtime or backfill must be reduced by the number of hours of leave
taken in the pay period. For the purposes of this agreement, leave and pay period are
defined according to the Fair Labor Standards Act (FLSA).
Failure to comply
Failure to comply with any of the provisions outlined above shall result in disallowance of
reimbursement for expenditures.
Unallowable Costs (SHSP, UASI and OPSG)
Per FEMA policy, the purchase of weapons and weapons accessories is not allowed with
HSGP.
50
J. Reporting Requirements
Quarterly Programmatic Reporting:
The Quarterly Programmatic Report is due within thirty (30) days after the end of the
reporting periods (March 31, June 30, September 30 and December 31) for the life of this
contract.
• If a report(s) is delinquent, future financial reimbursements will be withheld until the
Sub -recipient's reporting is current.
• If a report goes two (2) consecutive quarters without Sub -recipient reflecting any
activity and/or no expenditures will likely result in termination of the agreement.
Programmatic Reporting Schedule
Reporting Period
Report due to FDEM no later than
January 1 through March 31
Aril 30
April 1 through June 30
July 31
July 1 through September 30
October 31
October 1 through December 31
January 31
2. Programmatic Reporting-BSIR
Biannual Strategic implementation Report:
After the end of each reporting period, for the life of the contract unless directed
otherwise, the SAA, will complete the Biannual Strategic Implementation Report in
the Grants Reporting Tool (GRT) https://www.reporting.odp.dhs.gov. The reporting
periods are January 1 -June 30 and July 1 -December 31. Data entry is scheduled
for December 1 and June 1 respectively. Future awards and reimbursement may
be withheld if these reports are delinquent.
Reimbursement Requests:
A request for reimbursement may be sent to your grant manager for review and
approval at any time during the contract period. Reimbursements must be
requested within ninety (90) calendar days of expenditure of funds, and quarterly at
a minimum. Failure to submit request for reimbursement within ninety (90)
calendars of expenditure shall result in denial of reimbursement. The Sub -
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.
4. Close-out Programmatic Reporting:
The Close-out Report is due to the Florida Division of Emergency Management no
later than sixty (60) calendar days after the agreement is either completed or the
agreement has expired.
rro rammatic romt or %,oniaci
Contractual Point of Contact Programmatic Point of Contact
51
Michael J. Day
FDEM
2555 Shumard Oak Blvd.
Tallahassee, FL 32399-2100
(850) 815-4346
Michael. Dav(a)-em.mvflorida.com
Katie Jones
FDEM
2555 Shumard Oak Blvd.
Tallahassee, FL 32399-2100
(850) 815-4325
Katie. Joneseem.mvflorida. com
L. Contractual Responsibilities
• The FDEM shall determine eligibility of projects and approve changes in scope of work.
• The FDEM shall administer the financial processes.
52
ATTACHMENT C
State Homeland Security Program (SHSP): SHSP supports the implementation of risk driven,
capabilities -based State Homeland Security Strategies to address capability targets set in Urban
Area, State, and regional Threat and Hazard Identification and Risk Assessments (THIRAS). The
capability levels are assessed in the State Preparedness Report (SPR) and inform planning,
organization, equipment, training, and exercise needs to prevent, protect against, mitigate,
respond to, and recover from acts of terrorism and other catastrophic events.
Planning Deliverable: Subject to the funding limitations of this Agreement, the Division shall reimburse the Sub -
recipient for the actual cost of successfully completing Planning activities consistent with the guidelines contained in the
Comprehensive Planning Guide CPG 101 v.2. For additional information, please see
http://www.fema.gov/pdf/about/divisions/nDd/CPG_ 101_V2.pdf or grant guidance (Notice of Funding Opportunity).
For the purposes of this Agreement, any planning activity such as those associated with the Threat and Hazard
identification and Risk Analysis (THIRA), State Preparedness Report (SPR), and other planning activities that support
the National Preparedness Goal (NPG) and place an emphasis on updating and maintaining a current Emergency
Operations Plan (EOP) are eligible. The Sub -recipient can successfully complete a planning activity either by creating
or updating such plan(s).
Organization Deliverable: Subject to the funding limitations of this Agreement, the Division shall reimburse the Sub -
recipient for the actual eligible costs for Personnel, Intelligence Analysts, Overtime and Operational Overtime.
Exercise Deliverable: Subject to the funding limitations of this Agreement, the Division shall reimburse the Sub -
recipient for the actual cost of successfully completing an exercise which meets the Department of Homeland Security
Homeland Security Exercise and Evaluation Program (HSEEP) standards and is listed in A) the State of Florida Multi -
Year Training & Exercise Plan (MYTEP), and B) County or Regional TEP for the region in which the sub -sub -recipient is
geographically located. Information related to TEPs and HSEEP compliance can be found online at:
https:r/www.11is.dhs.gov/hseep. For the purposes of this Agreement, any exercise which is compliant with HSEEP
standards and contained in the State of Florida MYTEP qualifies as an authorized exercise. The Sub -recipient can
successfully complete an authorized exercise either by attending or conducting that exercise.
Training Deliverable: Subject to the funding limitations of this Agreement, the Division shall reimburse the Sub -
recipient for the actual cost of successfully completing a training course listed on the Department of Homeland Security
(DHS) approved course catalog. For non -DHS approved courses the sub -recipient shall obtain advance FDEM
approval using the Non -TED form by contacting their grant manager. The DHS course catalog is available online at:
http://training.fema.govl. For the purposes of this Agreement, any training course listed on the DHS approved course
catalog qualifies as an authorized course. The Sub -recipient can successfully complete an authorized course either by
attending or conducting that course.
Equipment Deliverable: Subject to the funding limitations of this Agreement, the Division shall reimburse the Sub -
recipient for the actual cost of purchasing an item identified in the approved project funding template and budget of this
agreement and listed on the DHS Authorized Equipment List (AEL). For the purposes of this Agreement, any item
fisted on the AEL qualifies as an authorized item. The 21 allowable prevention, protection, mitigation, response, and
recovery equipment categories and equipment standards for HSGP are listed on the web -based version of the
Authorized Equipment List (AEL) on the Lessons Learned Information System at http://beta.fema.gov/authorized-
eguioment-list. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and
licenses for the requested equipment.
Costs for allowable items will be reimbursed if incurred and completed within the period of
performance, in accordance with the Scope of Work, Attachment B of this agreement.
53
r_Mir-1 29 ►i M ►
PROGRAM STATUTES AND REGULATIONS
1) Age Discrimination Act of 1975 42 U.S.C. § 6101 et seq.
2) Americans with Disabilities Act of 1990 42 U.S.C. § 12101-12213
3) Chapter 473, Florida Statutes
4) Chapter 215, Florida Statutes
5) Chapter 252, Florida Statutes
6) Title VI of the Civil Rights Act of 1964 42 U.S.C. § 2000 et seq.
7) Title VIII of the Civil Rights Acts of 1968 42 U.S.C. § 3601 et seq.
8) Copyright notice 17 U.S.C. §§ 401 or 402
9) Assurances, Administrative Requirements and Cost Principles 2 C.F.R. Part 200
10)Debarment and Suspension Executive Orders 12549 and 12689
11)Drug Free Workplace Act of 1988 41 U.S.C. § 701 et seq.
12)Duplication of Benefits 2 C.F.R. Part 200, Subpart E
13)Energy Policy and Conservation Act 42 U.S.C. § 6201
14)False Claims Act and Program Fraud Civil Remedies 31 U.S.G. § 3729 also 38 U.S.C.
§ 3801-3812
15)Fly America Act of 1974 49 U.S.G. § 41102 also 49 U.S.C. § 40118
16)Hotel and Motel Fire Safety Act of 1990 15 U.S.C. § 2225a
17)Lobbying Prohibitions 31 U.S.C. § 1352
18)Patents and Intellectual Property Rights 35 U.S.C. § 200 et seq.
19) Procurement of Recovered Materials section 6002 of Solid Waste Disposal Act
20)Terrorist Financing Executive Order 13224
21)Title IX of the Education Amendments of 1972 (Equal Opportunity in Education Act) 20
U.S.C. § 1681 et seq.
22)Trafficking Victims Protection Act of 2000 22 U.S.C. § 7104
23) Rehabilitation Act of 1973 Section 504, 29 U.S.C. § 794
24)USA Patriot Act of 2001 18 U.S.C. § 175-172c
25)Whistleblower Protection Act 10 U.S.C. § 2409, 41 US.C. 4712, and 10 U.S.C. § 2324,
41 U.S.C. § § 4304 and 4310
26)53 Federal Register 8034
27)Rule Chapters 27P-6, 27P-11, and 27P-19, Florida Administrative Code
54
ATTACHMENT E
JUSTIFICATION OF ADVANCE PAYMENT
SUB -RECIPIENT:
If you are requesting an advance, indicate same by checking the box below.
[ ] ADVANCE REQUESTED
Advance payment of S 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 chart and line item justification below.
ESTIMATED EXPENSES
BUDGET CATEGORYILINE ITEMS
20-20_ Anticipated Expenditures for First Three Months (90
(list applicable line items)
days) of Funding Agreement
For example
ADMINISTRATIVE COSTS
(Include Secondary Administration.)
For example
PROGRAM EXPENSES
TOTAL EXPENSES
LINE ITEM JUSTIFICATION (For each line item, provide a detailed justification explaining the need for the cash
advance. The justification must include supporting documentation that clearly shows the advance will be
expended within the first ninety (90) days of the Funding Agreement term. Supporting documentation should
include quotes for purchases, delivery timelines, salary and expense projections, etc. to provide the Division
reasonable and necessary support that the advance will be expended within} the first ninety (90) days of the
Funding Agreement term. Any advance funds not expended within the first ninety (90) days of the contract
term shall be returned to the Division Cashier, 2555 Shumard Oak Boulevard, Tallahassee, Florida 32399, within
thirty (30) days of receipt, along with any interest earned on the advance)
55
ATTACHMENT F
WARRANTIES AND REPRESENTATIONS
Financial Management
The Sub -Recipient's financial management system must comply with 2 C.F.R. §200.302.
Procurements
Any procurement undertaken with funds authorized by this Agreement must comply with the
requirements of 2 C.F.R. §200, Part D—Post Federal Award Requirements—Procurement Standards (2
C.F.R. §§200.317 through 200.326).
Codes of conduct.
The Sub -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, has a financial or other interest in the firm selected for an award. The officers,
employees, and agents of the Sub -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 the standards by officers, employees, or agents of the
Sub -recipient.
Business Hours
The Sub -recipient shall have its offices open for business, with the entrance door open to the public, and at
least one employee on site, from Monday through Friday from Sam to 5 m excluding Holidays.
Licensing and Permitting
All subcontractors or employees hired by the Sub -recipient shall have all current licenses and permits
required for all of the particular work for which they are hired by the Sub -recipient.
56
ATTACHMENT C
Certification Regarding
Debarment, Suspension, Ineligibility
And Voluntary Exclusion
Subcontractor Covered Transactions
(1) The prospective subcontractor of the Sub -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 Sub -recipient's subcontractor is unable to certify to the above statement, the prospective
subcontractor shall attach an explanation to this form.
SUBCONTRACTOR:
By:
Signature
Sub -recipient's Name
Name and Title FDEM Contract Number
Street Address Project Number
City, State, Zip
Date
57
ATTACHMENT H
STATEMENT OF ASSURANCES
All of the instructions, guidance, limitations, and other conditions set forth in the Notice of Funding
Opportunity (NOFO) for this program are incorporated here by reference in the terms and conditions of your
award. All sub -recipients must comply with any such requirements set forth in the program NOFO.
All sub -recipients who receive awards made under programs that prohibit supplanting by law must ensure
that Federal funds do not replace (supplant) funds that have been budgeted for the same purpose through
non -Federal sources.
All sub -recipients must acknowledge their use of federal funding when issuing statements, press releases,
requests for proposals, bid invitations, and other documents describing projects or programs funded in
whole or in part with Federal funds.
Any cost allocable to a particular Federal award provided for in 2 C.F.R. Part 200, Subpart E may not be
charged to other Federal awards to overcome fund deficiencies, to avoid restrictions imposed by Federal
statutes, regulations, or terms and conditions of the Federal awards, or for other reasons. However, this
prohibition would not preclude a sub -recipient from shifting costs that are allowable under two or more
Federal awards in accordance with existing Federal statutes, regulations, or the terms and conditions of the
Federal award.
Sub -recipients are required to comply with the requirements set forth in the government -wide Award Term
regarding the System for Award Management and Universal Identifier Requirements located at 2 G.F.R.
Part 25, Appendix A, the full text of which incorporated here by reference in the terms and conditions of
your award.
All sub -recipients must acknowledge and agree to comply with applicable provisions governing DHS access
to records, accounts, information, facilities, and staff.
1. Sub -recipient must cooperate with any compliance review or compliant investigation conducted by the
State Administrative Agency or DHS.
2. Sub -recipient will give the State Administrative Agency, DHS or through any authorized representative,
access to and the right to examine and copy records, accounts, and books, papers, or documents related to
the grant.
3. Sub -recipient must submit timely, complete, and accurate reports to the FDEM and maintain
appropriate backup documentation to support reports. Sub -recipients should also comply with all other
special reporting, data collection and evaluation requirements, as prescribes by law or detailed in program
guidance.
4. If, during the past three years, the sub -recipient has been accused of discrimination on the grounds of
race, color, national origin (including limited English proficiency), sex, age, disability, religion, or familial
status, the sub -recipient must provide a list of all such proceedings, pending or completed, including
outcome and copies of settlement agreements to FDEM for forwarding to the DHS awarding office and the
DHS Component.
5. 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 sub -recipient of funds, the sub -recipient will forward a copy of the finding to the Office for
Civil Rights, Office of Justice Programs.
58
6. Sub -recipient will acknowledge their use of federal funding when issuing statements, press releases,
and requests for proposals, bid invitations, and other documents describing projects or programs funded in
whole or in part with Federal funds.
7. Sub -recipient 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.
8. Sub -recipient who receives awards made under programs that provide emergency communications
equipment and its related activities must comply with SAFECOM Guidance for Emergency Communications
Grants, including provisions on technical standards that ensure and enhance interoperable
communications.
9. Sub -recipient will ensure 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.
10. When original or replacement equipment acquired under this award by the sub -recipient is no longer
needed for the original project or program or for other activities currently or previously supported by
DHS/FEMA, you must request instructions from FDEM to make proper disposition of the equipment
pursuant to 2 C.F.R. Section 200.313.
59
►_1116CITN:ILL2lZIII A1
REIMBURSEMENT CHECKLIST
PLANNING
❑ 1. Does the amount billed by consultant add up correctly?
2. Has all appropriate documentation to denote hours worked been properly signed?
❑ 3. Have copies of all planning materials and work product (e.g. meeting documents,
copies of plans) been included? (Note - If a meeting was held by sub -recipient or
contractor/consultant of sub -recipient, an agenda and signup sheet with meeting
date must be included).
❑ 4. Has the invoice from consultant/contractor been included? (Note – grant
agreement must be referenced on the invoice.)
❑ 5. Has proof of payment been included?
Canceled check
Electronic Funds Transfer (EFT) Confirmation
Credit Card Statement & payment to credit card company for that
statement
❑ 6. Has Attachment G (found within Agreement with FDEM) been completed for this
contractor/consultant and included in the reimbursement package?
0 7. Has proof of purchase methodology been included? Please see Form 5 of
Reporting Forms or Purchasing Basics Attachment if further clarity is needed.
Sole Source (approved by FDEM for purchases exceeding $25,000)
State Contract (page showing contract #, price list)
Competitive bid results (e.g. Quotewire, bid tabulation page)
Consultants/Contractors (Note: this applies to contractors also billed under
Organization) -- -
TRAINING
7T-1. Is the course DHS approved?
❑ 2. Is there a course or catalog number? If not, has FDEM approved the non -DHS
training?
❑ 3. Have Sign -In Sheets, Rosters and Agenda been provided?
❑ 4. If billing for overtime and/or backfill, has documentation been provided that lists
attendee names, department, # of hours spent at training, hourly rate and total
amount paid to each attendee?
Have documentation from entity's financial system been provided as proof
attendees were paid?
For backfill, has a clear delineation/cross reference been provided showing
who was backfilling who?
❑ 5. Have the names on the sign -in sheets been cross-referenced with the names of
the individuals for whom training reimbursement costs are being sought?
❑ 6. Has any expenditures occurred in support of the training such as printing costs,
costs related to administering the training, planning, scheduling, facilities, materials
and supplies, reproduction of materials, and equipment? If so, receipts and proof
of payment must be submitted.
Canceled check
Electronic Funds Transfer (EFT) Confirmation
Credit Card Statement & payment to credit card company for that
statement
❑ 7. Has proof of purchase methodology been included? Please see Form 5 of
Reporting Forms or Purchasing Basics Attachment If further clarity Is needed.
Sale Source (approved by FIDEM for purchases exceeding $25,000)
State Contract (page showing contract #, price list)
Competitive bid results (e.g. Quotewire, bid tabulation page)
EXERCISE
1^1. Has documentation been provided on the purpose/objectives of the exercise?
Situation Manual
Exercise Plan
❑ 2. If exercise has been conducted are the following included:
After -action report
Sign -in sheets
Agenda
Rosters
❑ 3. If billing for overtime and backfill, has a spreadsheet been provided that lists
attendee names, department, # of hours spent at exercise, hourly rate and total
paid to each attendee?
Have documentation from entity's financial system been provided to prove
attendees were paid?
For backfill, has a clear delineation/cross reference been provided showing
who was backfilling who?
61
❑ 4. Have the names on the sign -in sheets been cross-referenced with the names of
the individuals for whom exercise reimbursement costs are being sought?
❑ 5. Have any expenditures occurred on supplies (e.g., copying paper, gloves, tape,
etc) in support of the exercise? If so, receipts and proof of payment must be
included,
Canceled check
Electronic Funds Transfer (EFT) Confirmation
Credit Card Statement & payment to credit card company for that
statement
❑ 6. Has any expenditures occurred on rental of space/locations for exercises planning
and conduct, exercise signs, badges, etc.? If so, receipts and proof of payment
must be included.
Canceled check
Electronic Funds Transfer (EFT) Confirmation
Credit Card Statement & payment to credit card company for that
statement
7. Has proof of purchase methodology been included? Please see Form 5 of
Reporting Forms or Purchasing Basics Attachment if further clarity is needed.
Sole Source (approved by FDEM for purchases exceeding $25,000)
State Contract (page showing contract #, price list)
Competitive bid results (e.g. Quotewire, bid tabulation page)
EQUIPMENT
1. Have all invoices been included?
❑ 2. Has an AEL # been identified for each purchase?
❑ 3. If service/warranty expenses are listed, are they only for the performance period of
the grant?
4. Has proof of payment been included?
Canceled check
Electronic Funds Transfer (EFT) Confirmation
Credit Card Statement & payment to credit card company for that
statement
❑ 5. If EHP form needed, has a copy of the approval DHS been included?
❑ 6. Has proof of purchase methodology been included? Please see Form 5 of
Reporting Forms or Purchasing Basica Attachment if further clarity is needed.
Sole Source (approved by FDEM for purchases exceeding $25,000)
State Contract (page showing contract #, price list)
62
Competitive bid results (e.g. Quotewire, bid tabulation page)
TRAVEUCONFERENCES
❑ 1. Have all receipts been turned in, itemized and do the dates on the receipts match
travel dates?
Airplane receipts
Proof of mileage (Google or Yahoo map printout or mileage log)
Toll and/or Parking receipts
Hotel receipts (is there a zero balance?)
Car rental receipts
Registration fee receipts
Note: Make sure that meals paid for by conference are not included in per
diem amount
❑ 2. If travel is a conference has the conference agenda been included?
❑ 3. Has proof of payment to traveler been included?
Canceled check
Electronic Funds Transfer (EFT) Confirmation
Credit Card Statement & payment to credit card company for that
statement
Copy of paycheck if reimbursed through payroll
MATCHING FUNDS
❑ 1. Contributions are from Non Federal funding sources identified?
[� 2. Contributions are from cash or in-kind contributions which may include training
investments.
❑ 3. Contributions are not from salary, overtime or other operational costs unrelated to
training.
SALARY POSITIONS
1. Has a signed, timesheet by employee and supervisor included?
2. Has proof for time worked by the employee been included? Is time period
summary included?
Statement of Earnings
Copy of Payroll Check
Payroll Register
For fusion center analysts, have the certification documents been provided
to the SAA to demonstrate compliance with training and experience standards?
ORGANIZATION
63
❑ 1. If billing for overtime and backfill, has a spreadsheet been provided that lists
attendee names, department, #k of hours spent at exercise, hourly rate and total
paid to each attendee?
Have documentation from entity's financial system been provided to prove
attendees were paid?
For backfill, has a clear delineation/cross reference been provided showing
who was backfilling who?
FOR ALL REIMBURSEMENTS - THE FINAL CHECK
❑ 1. Have all relevant forms been completed and included with each request for
reimbursement?
❑ 2. Have the costs incurred been charged to the appropriate POETE category?
❑ 3. Does the total on all Forms submitted match?
[] 4. Has Reimbursement Form been signed by the Grant Manager and Financial
Officer?
❑ 5. Has the reimbursement package been entered into sub -sub -recipients
records/spreadsheet?
❑ 6, Have the quantity and unit cost been notated on Reimbursement Budget
Breakdown?
❑ 7. If this purchase was made via Sole Source, have you included the approved Sole
Source documentation and justification?
❑ 8. Do all of your vendors have a current W-9 (Tax Payer Identification) on file?
Please note: FDEM reserves the right to update this checklist throughout the life of the grant to
ensure compliance with applicable federal and state rules and regulations.
64
ATTACHMENT J
MONITORING GUIDELINES
Florida has enhanced state and local capability and capacity to prevent, prepare and
respond to terrorist threats since 1999 through various funding sources including federal
grant funds. The Florida Division of Emergency Management (FDEM) has a responsibility
to track and monitor the status of grant activity and items purchased to ensure compliance
with applicable Homeland Security Grant Program (HSGP) grant guidance and statutory
regulations. The monitoring process is designed to assess a sub -recipient agency's
compliance with applicable state and federal guidelines.
Monitoring is accomplished utilizing various methods including desk monitoring and on-site
visits. There are two primary areas reviewed during monitoring activities - financial and
programmatic monitoring. Financial monitoring is the review of records associated with
the purchase and disposition of property, projects and contracts. Programmatic
monitoring 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 the review of projects, financial activity and technical assistance
between FDEM and the applicant via e-mail and telephone. On -Site Monitoring are actual
visits to the sub -recipient agencies by Division representatives who examines records,
procedures and equipment.
Frequency of annual monitoring activity:
Each year the FDEM will conduct monitoring based on a "Risk Assessment". The risk
assessment tool is used to help in determining the priority of sub -recipients that should be
reviewed and the level of monitoring that should be performed. It is important to note that
although a given grant may be closed, it is still subject to either desk or on-site monitoring
for a five (5) year period following closure.
65
Areas that will be examined include:
Management and administrative procedures;
Grant folder maintenance;
Equipment accountability and sub -hand receipt procedures;
Program for obsolescence;
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;
Difficulties encountered in completing projects;
Agency NIMS/ICS compliance documentation;
Equal Employment Opportunity (EEO Status);
Procurement Policy
FDEM may request additional monitoring/information of the activity, or lack thereof,
generates questions from the region, the sponsoring agency or FDEM leadership. The
method of gathering this information will be determined on a case-by-case basis.
Desk monitoring is an on-going process. Sub -recipients will be required to participate in
desk top monitoring as determined by FDEM. This contact will provide an opportunity to
identify the need for technical assistance (TA) and/or a site visit if FDEM determines that a
sub -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 sub -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 FDEM for assistance. Examples of TA
include but are not limited to:
• Equipment selection or available vendors
Eligibility of items or services
• Coordination and partnership with other agencies within or outside the region or
discipline
• Record Keeping
Reporting Requirements
• Documentation in support of a Request for Reimbursement
On -Site Monitoring will be conducted by FDEM or designated personnel. On-site
Monitoring visits will be scheduled in advance with the sub -recipient agency POC
designated in the grant agreement.
FDEM will also conduct coordinated financial and grant file monitoring. 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.
On-site Monitoring Protocol
On-site Monitoring Visits will begin with those grantees that are currently spending or have
completed spending for that federal fiscal year (IFFY). Site visits may be combined when
geographically convenient. There is a financial/ programmatic on-site monitoring checklist
to assist in the completion of all required tasks.
Site Visit Preparation
A letter will be sent to the sub -recipient agency Point of Contact (POC) outlining the date,
time and purpose of the site visit before the planned arrival date.
The appointment should be confirmed with the grantee in writing (email is acceptable) and
documented in the grantee folder.
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.
67
On -Site Monitorina 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. All objectives of the site visit will be explained during this time.
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 selected for review 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 sub -recipient agency requirements. The
serial number should correspond with the appropriate receipt to confirm purchase. Photographs
should be taken of the equipment (large capital expenditures in excess of $1,000. per item).
If an 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.
Other programmatic issues can be discussed at this time, such as missing quarterly reports,
payment voucher/reimbursement, equipment, questions, etc.
Post Monitoring Visit
FDEM personnel will review the on-site monitoring worksheets and backup documentation as a
team and discuss the events of the on-site monitoring.
Within thirty (30) calendar days of the site visit, a post monitoring letter will be generated and sent
to the grantee explaining any issues and corrective actions required or recommendations. Should
no issues or findings be identified, a post monitoring letter to that effect will be generated and sent
to the sub -recipient. The sub -recipient will submit a Corrective Action Plan within a timeframe as
determined by FDEM. Noncompliance on behalf of sub -grantees is resolved by management
under the terms of the Sub -Grant Agreement.
The On -Site Monitoring report and all back up documentation will then be included in the sub -
recipient's file.
68
ATTACHMEMT K
EHP GUIDELINES
ENVIRONMENTAL PLANNING & HISTORIC PRESERVATION (EHP)
COMPLIANCE GUIDELINES
The following types of projects are to be submitted to FEMA for compliance review under Federal environmental planning and
historic preservation (EHP) laws and requirements prior to initiation of the project:
• New Construction, Installation and Renovation, including but not limited to:
a Emergency Operation Centers
o Security Guard facilities
o Equipment buildings (such as those accompanying communication towers)
o Waterside Structures (such as dock houses, piers, etc.)
• Placing a repeater and/or other equipment on an existing tower
• Renovation of and modification to buildings and structures that are 50 years old or older
• Any other construction or renovation efforts that change or expand the footprint of a facility or structure including security
enhancements to improve perimeter security
• Physical Security Enhancements, including but not limited to:
o Lighting
o Fencing
o Closed-circuit television (CCTV) systems
o Motion detection systems
o Barriers, doors, gates and related security enhancements
In addition, the erection of communications towers that are included in a jurisdiction's interoperable communications plan is allowed,
subject to all applicable laws, regulations, and licensing provisions. Communication tower projects must be submitted to FEMA for
EHP review.
EHP DETERMINATION PROCESS
1. Submit the Final Screening Memo to the SAA for review prior to funds being expended.
II. The SAA will review and notify the sub -recipient of its decision. The grantee should incorporate sufficient time and
resources into the project planning process to accommodate EHP requirements.
APPROVAL PROCESS TO FEMA
I. Prepare a formal written Scope of Work with details outlined in the attached EHP Compliance Requirements, page 2.
II. The Final Screening Memo should be attached to all project information sent to the Grant Programs Directorate (GPD) for
an EHP regulatory compliance review.
III. Complete the attached National Environmental Policy Act (NEPA) Compliance checklist
IV. Prepare maps indicating the location(s) of proposed project (Guidance provided)
V. Take photographs of the location(s) of proposed project (Guidance provided)
Vl. Forward all documents to the SAA. All documents are then forwarded to GPD electronically via the Centralized
Scheduling and Information Desk (CSID) at askcsid(cDdhs.Qov.
VII. CSID will send an email confirming receipt of the project description.
Vlll. FEMA Program Analyst sends notification to SAA when review is complete. SAA notifies sub -recipient of FEMA's final
decision.
Ix. THE PROJECT MAY BEGIN ONCE FINAL FEMA APPROVAL IS RECEIVED. Grantee should incorporate sufficient time
and resources into the project planning process to accommodate EHP requirements. Grantees must receive written
approval from FEMA prior to the use of grant funds for project implementation.
ATTACHMEMT L
MANDATORY CONTRACT PROVISIONS
Any contract or subcontract funded by this Agreement must contain the applicable provisions outlined in
Appendix II to 2 C.F.R. Part 200_ It is the responsibility of the sub -recipient to include the require provisions.
The Division provides the following list of sample provisions that may be required:
OMB GUIdance
(D) Davis -Bacon Act. as amended (40 U.S.C_
3141-3148). When required by Federal program
Iegislation. all prime construction contracts
In excess of 52,000 awarded by non -Federal
entities must include a provision for compll-
ance with the Davis -Bacon Act (40 U.S,C.
31414144. and 3146-3148) as supplemented by
Department of Labor regulations (29 CFR
Part 5. "Labor Standards Provisions Appli-
cable to Contracts Covering Federally Fi-
nanced and Assisted Construction"). In ac-
cordance with the statute. contractors must
be required to pay wages to laborers and me-
chanics at a rate not loss than the prevailing
wages specified in a wage determination
made by the secretary of Labor. In addition.
contractors must be required to pay wages
not less than once a week_ The non -Federal
entity must place a copy of the current pre-
vailing wage determination issued by the De-
partment of Labor in each solicitation, The
decision to award a contract or subcontract
must be conditioned upon the acceptance of
the wage determination_ The non -Federal on-
tity must report all suspected or reported
violations to the Federal awarding agency.
The contracts must also include a provision
for compliance with the Copeland "Anti -
Kickback" Act (40 U.S.C. 3145). as supple-
mented by Department of Labor regulations
(29 CFR Part 3, "Contractors and Sub-
contractors on Public Building or Public
Werk Financed In Whole or In Part by Loans
or Grants from the United States"). The Act
provides that each contractor or sub -
recipient must be prohibited ilroin inducing,
by any means, any person employed in the
construction, completion, or repair of public
work, to give up any part of the compensa_
tion to which he or she is otherwise entitled.
The non -Federal entity must report all sus-
pected or reported violations to the Federal
awarding agency.
(E) Contract Work Hours and Safety
Standards Act (40 U.S.C_ 3701-3108). Where
applicable, all contracts awarded by the non -
Federal entity in excess of $100,000 that in-
volve the employment of mechanics or labor-
ers must include a provision for compliance
with 40 U.S.C. 3702 and 3741, as supplemented
by Department of Labor regulations (29 CFR
Part 5)_ Under 40 U.S.C. 3702 of the Act, each
contractor must be required to compute the
wages of every mechanic and laborer on the
basis of a standard work week of 40 bourn.
Work in excess of the standard work weep is
permissible provided that the worker is com-
pensated at a rate of not less than one and a
half times the basic rate of pay for all hours
worked in excess of 40 hours in the work
week. The requirements of 40 U.S.C. MW are
applicable to construction work and provide
that no laborer or mechanic must be re-
quired to work in surroundings or under
working conditions which are unsanitary.
hazardous or dangerous- These requirements
do not apply to the purchases of supplies or
Pt. 200, APP. II
materials or articles ordinarily available on
the open market, or contracts for transpor-
tation or transmission of intallieenca_
(F) Rights to Inventions Made Under a
Contract or Agreement. If the Federal award
meets the deflaitlon of "finding agreement„
under 37 CFR §401.2 (a) and the recipient or
subreclpient wishes to enter Into a contract
with a small business firm or nonprofit orga-
nization regarding the substitution of par-
ties, assignment or performance of experi-
mental, developmental, or research work
under that "funding agreement," the recipi-
ent or subreclplent must comply with the re-
quirsmonts of 37 CFR Part 401. "Rights to In-
ventions Made by Nonprofit Organizations
and Small Business Firms Under Govern-
mout Grants, Contracts and Cooperative
Agreements," and a xv implementing regula-
tions issued by the awarding agency.
(Cl) Clean Air Act (42 U.S.C. 7401-7671q.) and
the Federal Water Pollution Control Act (33
U.&C. 1251-1387). as amended --Contracts and
subgrants of amounts in excess of $160,000
must contain a provision that requires the
non -Federal award to agree to comply with
all applicable standards, orders or regula-
tions Issued pursuant to the Clean Air Act
(42 U.S.C_ 7401 7671q) and the Federal Water
Pollution Control Act as amended (33 U.S.C.
1261-1397). Violations must be reported to the
Federal awarding agency and the Regional
Office of the l±nvironmental Protection
Agency (EPA),
(H) Mandatory standards and policies re-
lating to energy efficiency which are con-
tained In the stats energy conservation plan
Issued to compliance with the Energy Policy
and Conservation Act (42 U,S_C_ 6291),
(1) Debarment and Suspension (Executive
Orders 12549 and 12609 —A contract award
(see 2 CFR 190,220) must not be made to par-
ties listed on the governmentwide Excluded
Parties List System in the System for Award
Management (SAM), in accordance with the
OMB guidelines at 2 CFR 180 that implement
Executive Orders 12549 (3 CFR Part 1806
Comp., p_ 199) and 129 (3 CPR Part 1990
Comp., p. 235), "Debarment and Suspension.,.
The Excluded Parties Lest System in SAM
contains the names of parties debarred, sus-
pended. or otherwise excluded by agencies, as
well as parties declared Ineligible under stat-
utory or regulatory authority other than Ex-
ecutive Order Mo.
(J) Byrd Anti -Lobbying Amendment (31
U.S.C_ 1.352) --Contractors that apply or bid
for an award of $100,000 or more must Elle the
required certification_ Each tier certifies to
the tier above that it will not and has not
used Federal appropriated funds to pay any
person or organization for Influencing or at-
tempting to influence an offlcer or employee
of any agency, a member of Congress, officer
or employee of Congress, or an employee of a
member of Congress in connection with ob-
taining any Federal contract, grant or any
195
70
R. 200, App. 111
other award covered by 31 U.S.C. 1362. Each
tier must also disclose any lobbying with
non -Federal funds that takes piano in can-
noction with obtaining anv Federal award_
Such disclosures are forwarded from tier to
tier up to the non -Federal award.
(K) 'See $200.322 Procurement of recovered
materials.
APPFNDIx III TO D'ART 2M—INDIRECT
(F&A) Costs IDENTIFICATION AND
AssIGmmw, AND };ATE DETERh+lINA-
TION FoR INSTr=oNs OF HiaHRR
EDUCATION (IBES)
A. Gru4ERm�
This appendix provides criteria for identi-
fying and computing indirect (or indirect
(P&A)) rates at ERRS (institutions). Indirect
(P&A) costs are those that are incurred for
common or joint objectives and therefore
cannot be identified readily and specifically
with a particular sponsored project, an in-
structlonal activity, or any other institu-
tional activity. Sea subsection B_1, D#nni-
tion of Facilities and Administration, for a
discussion of the components of indirect
(F&A) costs.
1. Major Funcilmis of an Insai ntlon
Refers to instruction. organized research,
other sponsored activities and other institu-
tional activities as defined in this section--
a-
ection:a, Instruetlon means the teaching and
training activities of an institution. Except
for research tratning as provided in sub-
section b, this term includes all teaching and
training activities. whether they are offered
for credits toward a degree or certificate or
on a non-credit basis. and whether they are
offered through regular academic depart-
ments or separate divisions, such as a sum-
mer school division or an extension division_
Also considered part of this major function
are departmental research, and. where
agreed to, university research.
(1) Sponsored fustrualeni and traintno means
specific instructional or training activity es-
tablished by grant, contract, or cooperative
agreement. For purposes of the cost prin-
ciples, this activity may be considered a
major function oven though an institution's
accounting treatment may include it in the
instruction function.
(2) Deparwwwal research means research,
development and scholarly activities that
are not organized research and. con-
sequently, are not separately budgeted and
accounted for. Departmental research, for
purposes of this document, is not considered
as a major function, but as a part of the in-
structton function of the institution.
b. Organized research means all research
and development activities of an institution
that are separately budgeted and accounted
for_ It includes:
2 CFR Ch. 11 (i-1-14 Edition)
(1) SOonsored research means all research
and development activities that are spon-
sored by Federal and non -Federal agencies
and organizations. This term includes activi-
ties involving the training of individuals in
research techniques (commonly called re-
search twining) where such activities utilize
the same facilities as other research and de-
velopment activities and where such activi-
ties are not included in the instruction fiinc-
tion.
(2) U-niverslig research means all research
and development activities that are sepa-
rately budgeted and accounted for by the in-
stitution under an internal application of in-
stitutional funds. University research, for
purposes of this document. must be com-
bined with sponsored research under the
function of organized remarclt.
c. Other sponsored octivittes means programs
and projects financed by Federal and non -
Federal agencies and organizations which in-
volve the performance of work other than in-
struction and organized research. Examples
of such programs and projects are health
service projects and community service pro-
grams. However, when any of these activities
are undertaken by the institution without
outside support. they may be classified as
other institutional activities.
d. Other institutional activates means all ac-
tivities of an institution except for instruc-
tion, departmental research, organized re-
search, and other sponsored activities. as de-
fined In this section. indirect (F&A) cost ac-
tivities; identified In this Appendix para-
graph B, Identification and assignment of in-
direct (P&A) costs. and specialized services
facilities described in §200-968 Specialized
service facilities of this Part,
Examples of other institutional activities
include operation of residence halls, dining
halls, hospitals and clinics, student unions,
intercollegiate athletics, bookstores, faculty
housing, student apartments. guest houses.
chapels, theaters, public museums, and other
similar auxiliary enterprises_ This definition
also includes any other categories of activi-
ties. costs of which are "unallowable" to
Federal awards, unless otherwise indicated
in an award.
2. 01tana forDittributton
a. Mase period. A base period for dlstslbu-
tion of indirect (P&A) costs is the period
during which the costs are Incurred, The
base period normally should coincide with
the fiscal year established by the insUtutlon,
but in anv event the base period should be so
selected as to avoid inequities in the dis-
tribution of costs.
b. Need for cost prouNnos. The overall ob-
jective of the indirect (P&A) cost allocation
process is to distribute the indirect (P&A)
costs described in Section R. Identification
and assignment of indirect (P&A) costs, to
IPP
71