HomeMy WebLinkAboutPR 20920: TO ACCEPT FUNDING FROM THE HAZARD MITIGATION GRANT PROGRAM, ELVISTA DRAINAGE, PORT ACRES DRAINAGE, LAKE ARTHUR DETENTION •
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INTEROFFICE MEMORANDUM
Date: June 25, 2019
To: The Honorable Mayor and City Council
Through: Rebecca Underhill, Interim City Manager
From: Alberto Elefano, P.E., Public Works Director
RE: P.R. 20920—Authorizing the City Manager to accept funding from the Hazard
Mitigation Grant Program (HMGP) in the amount of$1,651,002.00 for Phase I
(Engineering and Design) for the following drainage projects: El Vista
Subdivision, Port Acres Drainage and Lake Arthur Detention.
Introduction:
The intent of this Agenda is for the City Council to authorize the City Manager to accept
funding from HMGP in the amount of$1,651,002.00.
Background:
The City of Port Arthur applied through the Texas Division of Emergency Management
(TDEM) to get funding for the following drainage projects: El Vista Subdivision, Port Acres
Drainage and Lake Arthur Detention. The City was notified by TDEM that they have been
awarded funding for Phase I (Engineering and Design)through the HMGP grant.
Budget Impact:
HMGP as authorized by section 404 of the Robert T. Stafford Disaster Relief and Emergency
Assistance Act is 75% funded with a 25% local match. The 25% match will come from
Community Development Block Grant—Disaster Recovery (CDBG-DR).
Recommendation:
Approval of P. R. No. 20920 authorizing the City Manager to accept funding from HMGP in
the amount of$1,651,002.00
"Remember,we are here to serve the Citizens of Port Arthur"
444 4th Street X Port Arthur,Texas 77641-1089 X 409.983.8182 X FAX 409.983.8294
P.R. No . 20920
06-25-19 ace
RESOLUTION NO.
A RESOLUTION AUTHORIZING THE CITY MANAGER TO ACCEPT
FUNDING FROM THE HAZARD MITIGATION GRANT PROGRAM
(HMGP) IN THE AMOUNT OF $1 , 651 , 002 FOR PHASE I
(ENGINEERING AND DESIGN) FOR THE FOLLOWING DRAINAGE
PROJECTS : EL VISTA SUBDIVISION DRAINAGE, PORT ACRES
DRAINAGE AND LAKE ARTHUR DETENTION. THIS PROGRAM
HAS A 25% MATCH REQUIRED THAT THE CITY OF PORT
ARTHUR WILL RECEIVE FROM COMMUNITY DEVELOPMENT BLOCK
GRANT - DISASTER RECOVERY (CDBG-DR)
WHEREAS, on November 20, 2018, the City Council passed
Resolution No. 18-492 authorizing the City Manager to apply
for Harvey Disaster Mitigation Grants with the Texas Division
of Emergency Management; and
WHEREAS, City Council designates the City Manager as the
grantee' s authorized official . The authorized official is
given the power to apply for, accept, reject, alter or
terminate the grant on behalf of the City of Port Arthur; and
WHEREAS, the Texas Division of Emergency Management
(TDEM) sent notification that the City of Port Arthur was
awarded funding for Phase I (Engineering and Design) of the
following drainage projects : El Vista Subdivision, Port Acres
Drainage and Lake Arthur Detention in the total amount of
$1, 651, 002 . 00; and
WHEREAS, in order to receive the aforesaid allocation, it
is necessary that the City Manager accept the award through
the Hazard Mitigation Grant Program (HMGP) ; and
WHEREAS, the HMGP Grant is 75% funded with a 25% match
requirement, which the City will receive from the Community
Development Block Grant - Disaster Recover (CDBG-DR) ; and
WHEREAS, the City Council finds it in the best interest
of the citizens of the City of Port Arthur to authorize the
City Manager to accept the HMGP Grant to mitigate some of the
drainage problems in Port Arthur, Texas; and
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE
CITY OF PORT ARTHUR:
Section 1 . That the facts and opinions in the preamble
are true and correct .
Section 2 . That the City Manager is authorized to accept
funding from Hazard Mitigation Grant Program (HMGP) grant for
the following drainage projects : El Vista Subdivision (Exhibit
"A") , Port Acres Drainage (Exhibit "B") and Lake Arthur
Detention (Exhibit "C") in the amount of $1, 651, 002 . 00 .
Section 3 . That a copy of the Resolution shall be spread
upon the Minutes of the City Council .
READ, ADOPTED AND APPROVED on this day of ,
A. D. , 2019, at a Regular Meeting of the City Council of the
City of Port Arthur, Texas, by the following vote:
AYES:
Mayor:
Councilmembers:
NOES:
Derrick Freeman, Mayor
ATTEST:
Sherri Bellard
City Secretary
APPROVED AS TO FORM:
VaW Mizen.'
Cit , Att./ney
APPROVED FOR ADMINISTRATION:
Rebecca Underhill
Interim City Manager
EXHIBIT "A"
El Vista Subdivision Drainage—Phase 1
TEXAS DEPARTMENT OF PUBLIC SAFETY
5805 N LAMAR BLVD•BOX 4087•AUSTIN,TEXAS 78773-0001ff
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nP` 512/424-2000
eus www.dps.texas.gov . ".${
STEVEN C.McCRAW COMMISSION
DIRECTOR STEVEN P.MACH.CHAIRMAN
SKYLOR HEARN A.CYNTHIA LEON
FREEMAN F.MARTIN JASON K.PULLIAM
RANDALL B.PRINCE
DEPUTY DIRECTORS
June 24, 2019
Ms. Rebecca Underhill
City Manager
City of Port Arthur
444 4th Street
Port Arthur, TX 77640
rebecca.underhill@portarthurtx.gov
RE: Phase I Sub-Grant Award
Dear Ms. Underhill,
The Texas Division of Emergency Management (TDEM) has issued a sub-grant for the
Hazard Mitigation Grant Program (HMGP), DR-4332, Hurricane Harvey. The following is the
information related to this award:
Sub-Recipient Information:
DUNS Number: 137134909
TINS Number: 74-60018850
FIPS Number: 245-58820-00
Award Information:
Catalog of Federal Domestic Assistance: 97-039
FEMA Project Number: DR-4332-0034
Project Title: El Vista Subdivision Drainage - Phase I
Period of Performance (POP): May 31, 2019 to May 31, 2020
Federal Local
Version / Total Federal Cost Local Cost Cost
Amendment Date Subgrant Cost Share Share Share Share
Amount Percentage Percentage
. - - Amount Amount
0 5/31/2019 '$167,34831 75% $125,511.00 , 25% $41,837.00
-i-'z 36%,,3-75.
Please Note: This award is not for research or development as defined in 2 Code of
Federal Regulations (C.F.R.) § 200.87.
EQUAL OPPORTUNITY EMPLOYER
COURTESY•SERVICE•PROTECTION
Page 2 DR-4332-0034 Award Letter
The approved Scope of Work (SOW) is below and the terms and conditions of this award
are attached. It is important that the sub-recipient read, understand and comply with the
SOW and all terms and conditions. It is also vital that this information be disseminated to
sub-recipient's staff and contractors involved in work related to this project.
The sub-recipient shall deliver to TDEM the following for review and comment:
• Revised Scope of Work (SOW) and work schedule for Phase II Construction.
• Revised Budget estimate.
• Benefit Cost Analysis (BCA) zip file based on the Hydraulic and Hydrologic (H&H)
Study with support documents.
• H&H Study with Calculations.
• Complete set of Signed and Sealed Construction Plans (100%).
After acceptance of the Phase I deliverables, you may receive notification and funding to
proceed with Phase II of the project.
Signing and returning this award letter indicates sub-recipient's acceptance of the scope of
work of the sub-award, the ability to pay the local cost share and all grant terms and
conditions outlined in the attached documents.
The sub-recipient must ensure that:
1. The initial quarterly progress report for the project is submitted at the end of the
approving quarter. Please include the project number (provided above) in your
future quarterly reports. Note that 44 C.F.R. § 206.438(c) indicates the State must
provide a quarterly progress report to FEMA indicating the status and completion
date for each project funded. The report must include any problems or
circumstances affecting completion dates, SOW, or project cost that may result in
non-compliance with the approved grant conditions.
2. In accordance with HMGP rules and policy, TDEM requires the submittal of all
closeout documentation within 90-days of the project completion not to exceed the
POP. The Governor's Authorized Representative (GAR) "shall certify that reported
costs were incurred in the performance of eligible work, that the approved work was
completed and that the mitigation measure is in compliance with the provisions of
the FEMA-State Agreement" in accordance with 44 C.F.R. § 206.438(d).
If changes are needed to the SOW for the sub-award, period of performance or costs
associated to the sub-award, the sub-recipient should immediately contact TDEM. No
change to the sub-award will be considered approved until the sub-recipient is notified in
writing by TDEM.
EQUAL OPPORTUNITY EMPLOYER
COURTESY•SERVICE•PROTECTION
Page 3 DR-4332-0034 Award Letter
This signed and dated award letter must be returned to TDEM before payment on the sub-
award can be processed. Please sign, date, and return this award letter acknowledging
acceptance of this sub-award and agreement to abide by all terms and conditions to the
address below:
Texas Division of Emergency Management
1033 La Posada Dr.
Suite 150
Austin, TX 78752
Rebecca Underhill, City Manager Date
Should you wish to appeal any determination related to this sub-award you must do so within
60 days of receipt of the notice of the action. You will need to provide your appeal with any
documentation supporting your position to your assigned TDEM project officer within the
allotted time.
If you have any questions please contact your Grant Coordinator, Terrell Kincaid at 512-
437-4055 or terrell.kincaid@dps.texas.gov.
Respectfully,
Nim Kidd, CEM°,TEM°
Chief, Texas Division of Emergency Management
N K/tk
ATTACHMENTS: Grant Terms and Conditions
cc: Ron Burton, Assistant City Manager
Kandy Daniel, Director of Finance
Craig Taffaro, Ardurra Group Recovery Specialist
EQUAL OPPORTUNITY EMPLOYER
COURTESY•SERVICE•PROTECTION
GRANT TERMS AND CONDITIONS
This Grant Agreement (consisting of these terms and conditions and all exhibits) is made and
entered into by and between the Department of Public Safety (DPS) /Texas Division of
Emergency Management (TDEM), an agency of the State of Texas, hereinafter referred to as
"DPS/TDEM," and the grant recipient,
hereinafter referred to as the "Subrecipient." Furthermore, DPS/TDEM and the Subrecipient are
collectively hereinafter referred to as the "Parties." All subawards made under this grant
agreement are subject to the same terms and conditions below.
Subrecipient may not assign or transfer any interest in this Grant without the express, prior
written consent of TDEM and DHS/FEMA.
a. The term Recipient and pass-through entity have the same meaning as "Grantee," as used in
governing statutes, regulations, and DHS/FEMA guidance.
b. A Recipient is also a "non-federal entity"for grants administration purposes.
c. A Subrecipient is also known as a "SubGrantee" as used in governing statutes regulations
and DHS/ FEMA guidance.
d. A Subrecipient is also a "non-federal entity"for grants administration purposes.
e. The"Grant" referred to in this agreement is a subgrant to the Subrecipient passed thru from
DPS/TDEM to the Subrecipient.
f. Certifying Official will be the Mayor, Judge, or Executive Director authorized to execute these
grant terms and conditions, and to submit changes of Subrecipient Agents.
f. Projects and any subsequent versions for those projects accepted by the Subrecipient and
subsequently obligated or deobligated by DHS/FEMA are considered subawards to this grant
agreement.
A. Standard of Performance. Subrecipient shall perform all activities as approved by TDEM.
Any change to a project shall receive prior written approval by TDEM and, if required, by
FEMA. Subrecipient shall perform all activities in accordance with all terms, provisions and
requirements set forth in this Grant, including but not limited to the following Exhibits:
1. Assurances— Non-Construction Programs, hereinafter referred to as "Exhibit A"
2. Assurances— Construction Programs, hereinafter referred to as "Exhibit B"
3. Certifications for Grant Agreements, hereinafter referred to as "Exhibit C"
4. State of Texas Assurances, hereinafter referred to as "Exhibit D"
5. Environmental Review Certification, hereinafter referred to as "Exhibit E"
6. Additional Grant Conditions, hereinafter referred to as "Exhibit F"
7. Additional Grant Certifications, hereinafter referred to as "Exhibit G"
8. Request for Information and Documentation referred to as "Exhibit H"
B. Failure to Perform. In the event Subrecipient fails to implement and complete the project(s)
approved and awarded, or comply with any provision of this Grant, Subrecipient shall be liable
to DPS/TDEM for an amount not to exceed the award amount of this Grant and may be barred
from applying for or receiving additional DHS/FEMA grant program funds
Page 1 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
or any other grant program funds administered by DPS until repayment to DPS/TDEM is made
and any other compliance or audit finding is satisfactorily resolved, in addition to any other
remedy specified in this Grant. Failure to timely implement and complete projects may reduce
future funding in additional DHS/FEMA and/or other grant programs administered by DPS.
C. Funding Obligations. DPS/TDEM shall not be liable to Subrecipient for any costs incurred
by Subrecipient that are not allowable costs.
1. Notwithstanding any other provision of this Grant, the total of all payments and other
obligations incurred by DPS/TDEM under this Grant shall not exceed the total cumulative
award amounts listed on the Subawards (projects and subsequent versions).
2. Subrecipient shall contribute the match funds listed on the subaward.
Subrecipient shall refund to DPS/TDEM any sum of these Grant funds that has been
determined by DPS/TDEM or DHS/FEMA to be an overpayment to Subrecipient or that
DPS/TDEM determines has not been spent by Subrecipient in accordance with this Grant. No
refund payment(s) shall be made from local, state or federal Grant funds unless repayment
with Grant funds is specifically permitted by statute or regulation. Subrecipient shall make
such refund to DPS/TDEM within thirty (30) calendar days after DPS/TDEM requests such
refund
D. Performance Period. The performance period for this Grant is listed on the subaward letter
for each project. All projects shall be completed within the Performance period AND all
reimbursement requests shall be submitted to TDEM within 60 days of the end of the
performance period. Subrecipient shall have expended all Grant funds and submitted
reimbursement requests, invoices and any supporting documentation to DPS/TDEM within
60 days of the end of the performance period. DPS/TDEM shall not be obligated to
reimburse expenses incurred after the performance period or submitted after the deadline.
E. Uniform Administrative Requirements. Cost Principals and Audit Requirements. Except
as specifically modified by law or this Grant, Subrecipient shall administer this Grant through
compliance with the most recent version of all applicable laws and regulations, including but
not limited to DHS program legislation, Federal awarding agency regulations, and the terms
and conditions of this Grant. A non-exclusive list is provided below[not all may apply in every
projects]:
• Public Law 93-288, as amended (Stafford Act)
• 44 CFR, Emergency Management and Assistance
• Disaster Mitigation Act of 2000
• OMB Regulations 2 CFR, Grant and Agreements
• Executive Order 11988, Floodplain Management
• Executive Order 11990, Protection of Wetlands
• Executive Order 12372, Intergovernmental Review of Programs and Activities
• Executive Order 12549, Debarment and Suspension
• Executive Order 12612, Federalism
• Executive Order 12699, Seismic Design
• Executive Order 12898, Environmental Justice
• Coastal Barrier Resources Act, Public Law 97-348
• Single Audit Act, Public Law 98-502
• Sandy Recovery Improvement Act publications
Page 2 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
• 16 U.S.C. § 470, National Historic Preservation Act
• 16 U.S.C. § 1531, Endangered Species Act References
• FEMA program publications, guidance and policies
F. State Reauirements for Grants. Subrecipient shall comply with all other federal, state, and
local laws and regulations applicable to this Grant including but not limited to the laws and
the regulations promulgated in Texas Government Code, Chapter 783, Uniform Grant and
Contract Management, (UGMS) at:_
http://www.window.state.tx.us/procurement/catrad/uqms.pdf
and the program State Administrative Plan, available at:
http://www.txdps.state.tx.us/dem/GrantsResources/index.htm.
Subrecipient shall, in addition to the assurances and certifications, comply and require each
of its subcontractors employed in the completion of the project to comply with all applicable
statutes, regulations, executive orders, OMB circulars, terms and conditions of this Grant and
the approved application.
Grant funds may not be awarded to or expended by any entity which performs political polling.
This prohibition does not apply to a poll conducted by an academic institution as part of the
institution's academic mission that is not conducted for the benefit of a particular candidate or
party.
Grant funds may not be expended by a unit of local government unless the following
limitations and reporting requirements are satisfied:
1. Texas General Appropriations Act, Art. IX, Parts 2 and 3, except there is no
requirement for increased salaries for local government employees;
2. Texas Government Code Sections 556.004, 556.005, and 556.006, which prohibits
using any money or vehicle to support the candidacy of any person for office,
influencing positively or negatively the payment, loan, or gift to a person or political
organization for a political purpose, and using Grant funds to influence the passage or
defeat of legislation including not assisting with the funding of a lobbyist, or using Grant
funds to pay dues to an organization with a registered lobbyist;
3. Texas Government Code Sections 2113.012 and 2113.101, which prohibits using
Grant funds to compensate any employee who uses alcoholic beverages on active
duty and Subrecipient may not use Grant funds to purchase an alcoholic beverage
and may not pay or reimburse any travel expense for an alcoholic beverage;
4. Texas General Appropriations Act, Art. IX, Section 6.13, which requires Subrecipient
to make every effort to attain key performance target levels associated with this Grant,
including performance milestones, milestone time frames, and related performance
reporting requirements; and
5. General Appropriations Act, Art. IX, Sections 7.01 and 7.02, and Texas Government
Code §2102.0091, which requires that this Grant may only be expended if
Subrecipient timely completes and files its reports.
G. Restrictions and General Conditions.
1. Use of Funds. DHS/FEMA Grant funds may only be used for the purposes set forth in this
Grant, and shall be consistent with the statutory authority for this Grant. Grant funds may
not be used for matching funds for other Federal grants/cooperative agreements, lobbying,
or intervention in Federal regulatory or adjudicatory proceedings. In addition,
Page 3 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
Federal funds may not be used to sue the Federal government or any other government
entity.
2. Federal Employee Prohibition. Federal employees are prohibited directly benefiting from
any funds under this Grant.
3. Points of Contacts. Within 10 calendar days of any change, Subrecipient shall notify
DPS/TDEM of any change in designated of Subrecipient Agents as submitted during the
execution of this agreement, and any subsequent changes submitted by Subrecipient. In
the event a Subrecipient hires a consultant to assist them with managing its Public
Assistance grants, they must be listed on the Designated Subrecipient Agent Form. TDEM
will direct all correspondence to the Subrecipient but will cc: the consultant on all email
exchanges. The Subrecipient will be responsible for sharing written communications with
the consultant. The Subrecipient will remain the primary point of contact and must be
included in all decision making activities.
4. DUNS Number. Subrecipient confirms its Data Universal Numbering Systems (DUNS)
Number is accurate and is registered on Sams.gov. The DUNS Number is the nine digit
number established and assigned by Dun and Bradstreet, Inc., at 866/705-5711 or
http://fedqov.dnb.com/webform
5. Central Contractor Registration and Universal Identifier Requirements. Subrecipient
maintains that it has registered on the System for Award Management (SAM) at
www.sam.gov or other federally established site for contractor registration, and entered
DPS/TDEM-required information. Subrecipient shall keep current, and then review and
update the information at least annually. Subrecipient shall keep information current in the
SAM database until the later of when it submits this Grant's final financial report or receives
final Grant award payment. Subrecipient agrees that it shall not make any subaward
agreement or contract related to this Grant without first obtaining the vendor/subawardee's
mandatory DUNS number. See Section §200.32 of OMB 2 C.F.R.
6. Reporting Total Compensation of Subrecipient Executives. 2 C.F.R. §200.331; see FEMA
Information Bulletin 350.
a. Applicability and what to report: Subrecipient shall report whether Subrecipient
received $25 million or more in Federal procurement contracts or financial assistance
subject to the Transparency Act per 2 C.F.R. §200.331. Subrecipient shall report
whether 80% or more of Subrecipient's annual gross revenues were from Federal
procurement contracts or Federal financial assistance. If Subrecipient answers "yes"
to both questions, Subrecipient shall report, along with Subrecipient's DUNS number,
the names and total compensation (see 17 C.F.R. §229.402(c)(2)) for each of
Subrecipient's five most highly compensated executives for the preceding completed
fiscal year.
b. Where and when to report: Subrecipient shall report executive total compensation at
www.sam.gov or other federally established replacement site. By signing this Grant,
Subrecipient certifies that, if required, Subrecipient's jurisdiction has already
registered, entered the required information, and shall keep information in the SAM
database current, and update the information at least annually for each year until the
later of when the jurisdiction submits its final financial report or receives final payment.
Subrecipient agrees that it shall not make any subaward agreement or contract without
first obtaining the subawardee's mandatory DUNS number.
7. Debarment and Suspension. Subrecipient shall comply with Executive Order 12549 and
12689, which provide protection against waste, fraud, and abuse by debarring or
Page 4 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
suspending those persons deemed irresponsible in their dealings with the Federal
government.
8. Direct Deposit. A completed direct deposit form from Subrecipient shall be provided to
DPS/TDEM, prior to receiving any payments under the provisions of this grant. The direct
deposit form is currently available at grants.dps.texas.gov under Resources/Public
Assistance.
9. Property Management and Inventory. Subrecipient shall maintain property/inventory
records which, at minimum, shall include a description of the property, a serial number or
other identification number, the source of property, who holds title, the acquisition date,
the cost of the property, the percentage of Federal participation in the cost of the property,
the location, use and condition of the property, and any ultimate disposition data including
the date of disposal and sale price of the property Subrecipient shall develop and
implement a control system to prevent loss, damage or theft of property and Subrecipient
shall investigate and document any loss, damage or theft of property funded under this
Grant.
10. Site Visits. DHS/FEMA and/or DPS/TDEM, through its authorized representatives, have
the right at all reasonable times to make site visits to review project accomplishments and
management control systems and to provide such technical assistance as may be
required. If any site visit is made by DHS/FEMA on the premises of Subrecipient or a
contractor under this Grant, Subrecipient shall provide and shall require its contractors to
provide all reasonable facilities and assistance for the safety and convenience of the
government representatives in the performance of their duties. All site visits and
evaluations shall be performed in such a manner that will not unduly delay the work.
H. Procurement and Contracting.
1. Procurements. Subrecipient shall comply with all applicable federal, state, and local laws
and requirements, including but not limited to proper competitive solicitation processes
where required,for any procurement which utilizes federal funds awarded under this Grant
in accordance with 2 C.F.R. 200. 318-326 and Appendix II to Part 200 (A-C) and (E-J)
2. Contract Provisions. All contracts executed using funds awarded under this Grant shall
contain the contract provisions listed under 2 C.F.R. 200.326 and Appendix II (A), Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments.
3. Procurement activities must follow the most restrictive of Federal, State and Local
procurement regulations:
a. Procurement by micro purchase
b. Procurement by small purchase
c. Procurement by sealed bid
d. Procurement by competitive proposal
e. Procurement by non-competitive proposal, solely when the award of a contract is
unfeasible under the other methods
The State must be contacted for approval to use a noncompetitive procurement method.
Failure to follow eligible procurement methods will result in ineligible costs. Other types of
agreements for services must have State approval prior to use or execution. A copy of the
local procurement policy must be provided to the State before initial payment.
Page 5 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
The cost plus a percentage of cost and percentage of construction cost methods of
contracting are ineliaible.
Must perform cost/price analysis for every procurement action in excess of the Simplified
Acquisition Threshold.
Must negotiate profit as a separate element where required.
4. Evidence of non-debarment for vendors must be documented through
http://www.sam.gov/portal/public/SAM and
http://www.window.state.tx.us/procurement/proq/vendor performance/debarred/ and
submitted for review.
5. Comply with rules related to underutilized businesses (small and minority businesses,
women's enterprises and labor surplus firms) at 2 CFR 200.321
I. Monitorina. Subrecipient will be monitored periodically by federal, state or local entities, both
programmatically and financially, to ensure that project goals, objectives, performance
requirements, timelines, milestone completion, budget, and other program-related criteria are
met.
DPS/TDEM, or its authorized representative, reserves the right to perform periodic
desk/office-based and/or on-site monitoring of Subrecipient's compliance with this Grant and
of the adequacy and timeliness of Subrecipient's performance pursuant to this Grant. After
each monitoring visit, if the monitoring visit reveals deficiencies in Subrecipient's performance
under this Grant, a monitoring report will be provided to the Subrecipient and shall include
requirements for the timely correction of such deficiencies by Subrecipient. Failure by
Subrecipient to take action specified in the monitoring report may be cause for suspension or
termination of this Grant pursuant to the Suspension and/or Termination Section herein.
J. Audit.
1. Audit of Federal and State Funds. Subrecipient shall arrange for the performance of an
annual financial and compliance audit of funds received and performances rendered under
this Grant as required by the Single Audit Act (OMB 2 C.F.R. 200.501, formerly A- 133).
Subrecipient shall comply, as applicable, with Texas Government Code, Chapter 783, the
Uniform Grant Management Standards (UGMS), the State Uniform Administrative
Requirements for Grants and Cooperative Agreements.
2. Right to Audit. Subrecipient shall give the United States Department of Homeland Security
(DHS), Federal Emergency Management Agency(FEMA), the Comptroller General of the
United States, the Texas State Auditor, DPS/TDEM, or any of their duly authorized
representatives, access to and the right to conduct a financial or compliance audit of
Grant funds received and performances rendered under this Grant. Subrecipient
shall permit DPS/TDEM or its authorized representative to audit Subrecipient's records.
Subrecipient shall provide any documents, materials or information necessary to facilitate
such audit.
3. Subrecipient's Liability for Disallowed Costs. Subrecipient understands and agrees that it
shall be liable to DPS/TDEM for any costs disallowed pursuant to any financial or
compliance audit(s) of these funds. Subrecipient further understands and agrees that
reimbursement to DPS/TDEM of such disallowed costs shall be paid by Subrecipient
Page 6 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
from funds that were not provided or otherwise made available to Subrecipient pursuant
to this Grant or any other federal contract.
4. Subrecipient's Facilitation of Audit. Subrecipient shall take such action to facilitate the
performance of such audit(s) conducted pursuant to this Section as DPS/TDEM may
require of Subrecipient. Subrecipient shall ensure that this clause concerning the authority
to audit funds received indirectly by subcontractors through Subrecipient and the
requirement to cooperate is included in any subcontract it awards.
5. State Auditor's Clause. Subrecipient understands that acceptance of funds under this
Grant acts as acceptance of the authority of the State Auditor's Office to conduct an audit
or investigation in connection with those funds. Subrecipient further agrees to cooperate
fully with the State Auditor's Office in the conduct of the audit or investigation, including
providing all records requested. Subrecipient shall ensure that this clause concerning the
State Auditor's Office's authority to audit funds and the requirement to cooperate fully with
the State Auditor's Office is included in any subgrants or subcontracts it awards.
Additionally, the State Auditor's Office shall at any time have access to and the rights to
examine, audit, excerpt, and transcribe any pertinent books, documents, working papers,
and records of Subrecipient relating to this Grant.
K. Retention and Accessibility of Records.
1. Retention of Records. Subrecipient shall follow its own internal retentaion policy, or the
state's retention policy,whichever is stricter. At a minimum, the subrecipient shall maintain
fiscal records and supporting documentation for all expenditures of this Grant's funds
pursuant to the applicable OMB 2 C.F.R. Subpart D— Post Federal Award Requirements,
§200.333-337, and this Grant. Subrecipient shall retain these records and any supporting
documentation for a minimum of three (3) years from the later of the completion of this
project's public objective, submission of the final expenditure report, any litigation, dispute,
or audit. Records shall be retained for three (3) years after any real estate or equipment
final disposition. The OHS or DPS/TDEM may direct Subrecipient to retain documents or
to transfer certain records to DHS/FEMA custody when DHS/FEMA determines that the
records possess long term retention value.
2. Access to Records. Subrecipient shall give the United States Department of Homeland
Security, the Comptroller General of the United States, the Texas State Auditor,
DPS/TDEM, or any of its duly authorized representatives, access to and the right to
examine all books, accounts, records, reports, files, other papers, things or property
belonging to or in use by Subrecipient pertaining to this Grant including records concerning
the past use of DHS/FEMA funds. Such rights to access shall continue as long as the
records are retained by Subrecipient.
L. Changes. Amendments. Suspension or Termination
1. Modification. DHS/FEMA or DPS/TDEM may modify this Grant after an award has been
made. Once notification has been made in writing, any subsequent request for funds
indicates Subrecipient's acceptance of the changes to this Grant. Any alteration, addition,
or deletion to this Grant by Subrecipient is not valid.
2. Effect of Changes in Federal and State Laws. Any alterations, additions, or deletions to
this Grant that are required by changes in federal and state laws, regulations or policy are
automatically incorporated into this Grant without written amendment to this Grant and
shall become effective upon the date designated by such law or regulation. In the event
DHS/FEMA or DPS/TDEM determines that changes are necessary to this Grant after
an award has been made, including changes to the period of performance or terms and
conditions, Subrecipient shall be notified of the changes in writing. Once notification has
Page 7 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
been made, any subsequent request for funds will indicate Subrecipient's acceptance of
the changes to this Grant.
3. Suspension. In the event Subrecipient fails to comply with any term of this Grant,
DPS/TDEM may, upon written notification to Subrecipient, suspend this Grant, in whole or
in part, withhold payments to Subrecipient and prohibit Subrecipient from incurring
additional obligations of this Grant's funds.
4. Termination. DPS/TDEM shall have the right to terminate this Grant, in whole or in part, at
any time before the end of the Performance Period, if DPS/TDEM determines that
Subrecipient has failed to comply with any term of this Grant. DPS/TDEM shall provide
written notice of the termination and include:
a. The reason(s) for such termination;
b. The effective date of such termination; and
c. In the case of partial termination, the portion of this Grant to be terminated.
d. Appeal may be made to the Deputy Assistant Director of Texas Division of Emergency
Management- Recovery Mitigation and Standards, Texas Department of Public
Safety.
M. Enforcement. If Subrecipient materially fails to comply with any term of this Grant, whether
stated in a federal or state statute or regulation, an assurance, in a state plan or application,
a notice of award, or elsewhere, DPS/TDEM or DHS/FEMA may take one or more of the
following actions, as appropriate in the circumstances:
1. Increased monitoring of projects and require additional financial and performance
reports
2. Require all payments as reimbursements rather than advance payments
3. Temporarily withhold payments pending correction of the deficiency
4. Disallow or deny use of funds and matching credit for all or part of the cost of the
activity or action not in compliance;
5. Request DHS/FEMA to wholly or partially de-obligate funding for a project
6. Temporarily withhold cash payments pending correction of the deficiency by
subrecipient or more severe enforcement action by DPS/TDEM or DHS/FEMA;
7. Withhold further awards for the grant program
8. Take other remedies that may be legally available
In taking an enforcement action, DPS/TDEM will provide Subrecipient an opportunity for a
hearing, appeal, or other administrative proceeding to which Subrecipient is entitled under any
statute or regulation applicable to the action involved.
The costs of Subrecipient resulting from obligations incurred by Subrecipient during a
suspension or after termination of this Grant are not allowable unless DPS/TDEM or
DHS/FEMA expressly authorizes them in the notice of suspension or termination or
subsequently.
Other Subrecipient costs during suspension or after termination which are necessary and
not reasonably avoidable are allowable if:
• The costs result from obligations which were properly incurred by Subrecipient before the
effective date of suspension or termination, are not in anticipation of it, and in the case of
a termination, are non-cancellable; and
• The costs would be allowable if this Grant were not suspended or expired normally at the
end of the funding period in which the termination takes effects.
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GRANT TERMS AND CONDITIONS
The enforcement remedies identified in this section, including suspension and termination, do
not preclude Subrecipient from being subject to "Debarment and Suspension" under E.O.
12549. 2 C.F.R., Appendix II to Part 200, (I).
N. Conflicts of Interest. The subrecipient will maintain written standards of conduct covering
conflicts of interest and governing the actions of its employees engaged in the selection,
award and administration of contracts and will establish safeguards to prohibit employees
from using their positions for a purpose that constitutes or presents the appearance of
personal or organizational conflict of interest or personal gain.
O. Closing of this Grant. DPS/TDEM will close each subaward after receiving all required final
documentation from the Subrecipient. If the close out review and reconciliation indicates that
Subrecipient is owed additional funds, DPS/TDEM will send the final payment automatically
to Subrecipient. If Subrecipient did not use all the funds received, DPS/TDEM will recover
the unused funds.
At the completion and closure of all Subrecipient's projects (subawards), DPS/TDEM will
request the Subrecipient to Certify the completion of all projects (subawards) in accordance
of the grants terms and conditions to state there are no further claims under this subgrant.
The closeout of this Grant does not affect:
1. DHS/FEMA or DPS/TDEM's right to disallow costs and recover funds on the basis of a
later audit or other review;
2. Subrecipient's obligation to return any funds due as a result of later refunds, corrections,
or other transactions;
3. Records retention requirements, property management requirements, and audit
requirements, as set forth herein; and
4. Any other provisions of this Grant that impose continuing obligations on Subrecipient or
that govern the rights and limitations of the parties to this Grant after the expiration or
termination of this Grant.
P. Notices,All notices and other communications pertaining to this agreement shall be
delivered in electronic format and/or writing and shall be transmitted by fax, e-mail,
personal hand-delivery (and receipted for) or deposited in the United States Mail, as
certified mail, return receipt requested and postage prepaid, to the other party.
Page 9 of 20
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GRANT TERMS AND CONDITIONS
EXHIBIT A
ASSURANCES - NON-CONSTRUCTION PROGRAMS See Standard Form 424B
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. Has the legal authority to apply for Federal assistance and the institutional, program and to purchase flood insurance if the total cost of insurable
managerial and financial capability(induding funds sufficient to pay the non- construction and acquisition is$10,000 or more.
Federal share of project cost)to ensure proper planning,management and
completion of the project described in this Grant. 11. Will comply with environmental standards which may be prescribed pursuant
to the following:(a)institution of environmental quality control measures under
2. Will give the Department of Homeland Security, the Department of Public the National Environmental Policy Act of 1969(P.L.91-190 as amended by
Safety,the Comptroller General of the United States and,if appropriate,the 42 U.S.C.4311 et seq.and Executive Order(EO)11514)which establishes
State, through any authorized representative, access to and the right to national policy goals and procedures to protect and enhance the environment,
examine all records,books,papers,or documents related to this Grant and including protection against natural disasters.To comply with NEPA for DHS
will establish a proper accounting system in accordance with generally grant-supported activities,DHS-FEMA requires the environmental aspects to
accepted accounting standards or agency directives. be reviewed and evaluated before final action on the application; (b)
notification of violating facilities pursuant to EO 11738;
3. Will establish safeguards to prohibit employees from using their positions for (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood
a purpose that constitutes or presents the appearance of personal or hazards in floodplains in accordance with EO 11988;(e)assurance of project
organizational conflict of interest or personal gain. consistency with the approved State management program developed under
the Coastal Zone Management Act of 1972 (16 U.S.C.
4. Will initiate and complete the work within the applicable time frame after §§1451 et seq.); (f)comply with the Clean Air Act of 1977, (42 U.S.C.
receipt of approval of the awarding agency. §§7401 et seq.and Executive Order 11738)providing for the protection of and
enhancement of the quality of the nation's air resources to promote public
5. Will comply with the Intergovernmental Personnel Act of 1970(42 U.S.C. health and welfare and for restoring and maintaining the chemical,physical,
§§4728-4763)relating to prescribed standards for merit systems for programs and biological integrity of the nation's waters;(g)protection of underground
funded under one of the 19 statutes or regulations specified in Appendix A of sources of drinking water under the Safe Drinking Water Act of 1974, as
OPM's Standards for a Merit System of Personnel Administration(5 C.F.R. amended(P.L.93-523);and,(h)protection of endangered species under the
900,Subpart F). Endangered Species Act of 1973,as amended(P.L.93-205).
6. Will comply with all Federal statutes relating to nondiscrimination. These 12. Will comply with the Wild and Scenic Rivers Act of 1968(16 U.S.C.§§1271 et
include but are not limited to:(a)Title VI of the Civil Rights Act of 1964(P.L. seq.)related to protecting components or potential components of the national
88-352)which prohibits discrimination on the basis of race,color or national wild and scenic rivers system.
origin;(b)Title IX of the Education Amendments of 1972,as amended(20
U.S.C.§§1681-1683,and 1685-1686 and 44 C.F.R.Part 19),which prohibits 13. Will assist the awarding agency in assuring compliance with Section 106 of the
discrimination on the basis of sex;(c)Section 504 of the Rehabilitation Act of National Historic Preservation Act of 1966,as amended(16 U.S.C.
1973,as amended(29 U.S.C.§794),which prohibits discrimination on the §470),EO 11593(identification and protection of historic properties),and the
basis of handicaps;(d)the Age Discrimination Act of 1975,as amended (42 Archaeological and Historic Preservation Act of 1974(16 U.S.C.§§469a-1 et
U.S.C.§§6101-6107),which prohibits discrimination on the basis of age;(e) seq.).
the Drug Abuse Office and Treatment Act of 1972(P.L.92-255),as amended,
relating to nondiscrimination on the basis of drug abuse; (f) the 14. Will comply with P.L.93-348,45 C.F.R.46,and DHS Management Directive
Comprehensive Alcohol Abuse and Alcoholism Prevention,Treatment and 026-044 (Directive)regarding the protection of human subjects involved in
Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to research, development, and related activities supported by this Grant.
nondiscrimination on the basis of alcohol abuse or alcoholism;(g)§§523 and "Research" means a systematic investigation, including research,
527 of the Public Health Service Act of 1912 (42 U.S.C. §§290dd-3 and development, testing, and evaluation designed to develop or contribute to
290ee-3),as amended,relating to confidentiality of alcohol and drug abuse general knowledge. See Directive for additional provisions for including
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. humans in the womb,pregnant women,and neonates(Subpart B);prisoners
§§3601 et seq.),as amended,relating to nondiscrimination in the sale,rental (Subpart C); and children (Subpart D). See also state and local law for
or financing of housing; (i) any other nondiscrimination provisions in the research using autopsy materials.
specific statute(s) under which agreement for Federal assistance is being
made;and(j)the requirements of any other nondiscrimination statute(s)which 15. Will comply with the Laboratory Animal Welfare Act of 1966(P.L.89-544,as
may apply to the application. amended,7 U.S.C.§§2131 et seq.)which requires the minimum standards of
care and treatment for vertebrate animals bred for commercial sale,used in
7. Will comply or has already complied with the requirements of Titles II and III research,transported commercially,or exhibited to the public according to the
of the Uniform Relocation Assistance and Real Property Acquisition Policies Guide for Care and Use of Laboratory Animals and Public Health Service
Act of 1970(P.L.91-646)which provide for fair and equitable treatment of Policy and Government Principals Regarding the Care and Use of Animals.
persons displaced or whose property is acquired as a result of Federal or
federally-assisted programs.These requirements apply to all interests in real
property acquired for project purposes regardless of Federal participation in 16. Will comply with the Lead-Based Paint Poisoning Prevention Act(42 U.S.C.
purchases. §§4801 et seq.),which prohibits the use of lead-based paint in construction or
rehabilitation of residence structures.
8. Will comply,as applicable,with provisions of the Hatch Act(5 U.S.C.§§1501-
1508 and 7324-7328)which limit the political activities of employees whose 17. Will cause to be performed the required financial and compliance audits in
principal employment activities are funded in whole or in part with Federal accordance with the Single Audit Act Amendments of 1996 and OMB Circular
funds. No. A-133 (now OMB 2 C.F.R. 200.500), "Audits of States, Local
9. Will comply,as applicable, with the provisions of the Davis-Bacon Act(40 Governments,and Non-Profit Organizations."
U.S.C. §§276a to 276a-7),the Copeland Act(40 U.S.C. §276c and 18
U.S.C.§874),and the Contract Work Hours and Safety Standards Act(40 18. Will comply with all applicable requirements of all other Federal laws,
U.S.C. §§327-333), regarding labor standards for federally-assisted executive orders, regulations, grant guidance, and policies governing this
construction sub-agreements. Grant.
10. Will comply, if applicable, with flood insurance purchase requirements of
Section 102(a)of the Flood Disaster Protection Act of 1973 (P.L. 93-234)
which requires recipients in a special flood hazard area to participate in the
Page 10 of 20
TDEM-April 2019
GRANT TERMS AND CONDITIONS
EXHIBIT B
ASSURANCES - CONSTRUCTION PROGRAMS See Standard Form 424D
As the duly authorized representative of Subrecipient, I certify that Subrecipient
1. Has the legal authority to apply for Federal assistance, and the requirements of any other nondiscrimination statue(s)which may apply
institutional, managerial and financial capability (including funds to the agreement.
sufficient to pay the non-Federal share of project costs)to ensure proper
planning,management and completion of project described in this Grant. 11. Will comply or has already complied with the requirements of Titles II and
III of the Uniform Relocation Assistance and Real Property Acquisition
2. Will give the Department of Homeland Security,the Department of Public Policies Act of 1970(P.L. 91-646)which provide for fair and equitable
Safety,the Comptroller General of the United States and,if appropriate, treatment of persons displaced or whose property is acquired as a result
the State,the right to examine all records,books,papers,or documents of Federal and federally-assisted programs. These requirements apply
related to this Grant and will establish a proper accounting system in to all interests in real property acquired for project purposes regardless
accordance with generally accepted accounting standards or agency of Federal participation in purchases.
directives.
12. Will comply with the provisions of the Hatch Act(5 U.S.C.§§1501-1508
3. Will not dispose of, modify the use of,or change the terms of the real and 7324-7328)which limit the political activities of employees whose
property title or other interest in the site and facilities without permission principal employment activities are funded in whole or in part with
and instructions from the awarding agency. Will record the Federal Federal funds.
awarding agency directives and will include a covenant in the title of real
property acquired in whole or in part with Federal assistance funds to 13. Will comply, as applicable, with the provisions of the Davis-Bacon Act
assure nondiscrimination during the useful life of this Grant. (40 U.S.C.§§276a to 276a-7),the Copeland Act(40 U.S.C.§276c and
18 U.S.C.§874),and the Contract Work Hours and Safety Standards Act
4. Will comply with the requirements of the assistance awarding agency (40 U.S.C.§§327-333)regarding labor standards for federally-assisted
with regard to the drafting,review and approval of construction plans and construction sub-agreements.
specifications.
14. Will comply with flood insurance purchase requirements of Section
5. Will provide and maintain competent and adequate engineering 102(a)of the Flood Disaster Protection Act of 1973(P.L.93-234)which
supervision at the construction site to ensure that the complete work requires recipients in a special flood hazard area to participate in the
conforms with the approved plans and specifications and will furnish program and to purchase flood insurance if the total cost of insurable
progressive reports and such other information as may be required by construction and acquisition is$10,000 or more.
the awarding agency or State.
15. Will comply with environmental standards which may be prescribed
6. Will initiate and complete the work within the applicable time frame after pursuant to the following:(a)institution of environmental quality control
receipt of approval of the awarding agency. measures under the National Environmental Policy Act of 1969(P.L.91-
190)as amended by 42 U.S.C.4311 et seq.and Executive Order(EO)
7. Will establish safeguards to prohibit employees from using their positions 11514 which establishes national policy goals and procedures to protect
for a purpose that constitutes or presents the appearance of personal or and enhance the environment, including protection against natural
organizational conflict of interest or personal gain. disasters;(b)notification of violating facilities pursuant to EO 11738;(c)
8. Will comply with the Intergovernmental Personnel Act of 1970(42 protection of wetlands pursuant to EO 11990; (d) evaluation of flood
U.S.C.§§4728-4763)relating to prescribed standards of merit systems hazards in floodplains in accordance with EO 11988; (e)assurance of
for programs funded under one of the 19 statutes or regulations specified project consistency with the approved State management program
in Appendix A of OPM's Standards for a Merit System of Personnel developed under the Coastal Zone Management Act of 1972(16 U.S.C.
Administration(5 C.F.R.900,Subpart F). §§1451 et seq.); (f)comply with the Clean Air Act of 1977, (42 U.S.C.
§§7401 et seq.and Executive Order 11738)providing for the protection
9. Will comply with the Lead-Based Paint Poisoning Prevention Act(42 of and enhancement of the quality of the nation's air resources to
U.S.C. §§4801 et seq.)which prohibits the use of lead-based paint in promote public health and welfare and for restoring and maintaining the
construction or rehabilitation of residence structures. chemical, physical, and biological integrity of the nation's waters; (g)
protection of underground sources of drinking water under the Safe
10. Will comply with all Federal statutes relating to nondiscrimination.These Drinking Water Act of 1974, as amended (P.L. 93-523); and, (h)
include but are not limited to:(a)Title VI of the Civil Rights Act of 1964 protection of endangered species under the Endangered Species Act of
(P.L.88-352)which prohibits discrimination on the basis of race,color or 1973,as amended(P.L.93-205).
national origin; (b)Title IX of the Education Amendments of 1972, as
amended (20 U.S.C. §§1681 1683, and 1685-1686 and 44 16. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C.
C.F.R. Part 19), which prohibits discrimination on the basis of sex; (c) §§1271 et seq.) related to protecting components or potential
Section 504 of the Rehabilitation Act of 1973,as amended(29)U.S.C. components of the national wild and scenic rivers system.
§794),which prohibits discrimination on the basis of handicaps; (d)the
Age Discrimination Act of 1975,as amended(42 U.S.C.§§6101-6107), 17. Will assist the awarding agency in assuring compliance with Section 106
which prohibits discrimination on the basis of age; (e)the Drug Abuse of the National Historic Preservation Act of 1966,as amended(16
Office and Treatment Act of 1972(P.L.92-255),as amended relating to U.S.C. §470), EO 11593 (identification and protection of historic
nondiscrimination on the basis of drug abuse; (f) the Comprehensive properties),and the Archaeological and Historic Preservation Act of 1974
Alcohol Abuse and Alcoholism Prevention,Treatment and rehabilitation (16 U.S.C.§§469a-1 et seq).
Act of 1970(P.L.91-616),as amended,relating to nondiscrimination on 18. Will cause to be performed the required financial and compliance audits
the basis of alcohol abuse or alcoholism; (g) in accordance with the Single Audit Act Amendments of 1996 and OMB
§§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. Circular No.A-133(now OMB 2 C.F.R.200.500),"Audits of States,Local
§§290dd-3 and 290ee-3), as amended, relating to confidentiality of Governments,and Non-Profit Organizations."
alcohol and drug abuse patient records; (h)Title VIII of the Civil Rights
Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to 19. Will comply with all applicable requirements of all other Federal laws,
nondiscrimination in the sale,rental or financing of housing;(i)any other executive orders,regulations,grant guidance and policies governing this
nondiscrimination provisions in the specific statue(s) under which Grant.
agreement for Federal assistance is being made; and Q) the
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GRANT TERMS AND CONDITIONS
Exhibit C
Certifications for Grant Agreements
The undersigned, as the authorized official,certifies the following to the best of his/her knowledge and belief.
A. No Federal appropriated funds have been paid or will be paid by or on behalf of the undersigned to any person for influencing or
attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an
employee or a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the
making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment,
or modification of any Federal contract,grant, loan, or cooperative agreement.
B. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee or a
Member of Congress in connection with this Federal contract,grant, loan,or cooperative agreement,the undersigned shall complete
and submit Standard Form-LLL Disclosure of Lobbying Activities, in accordance with its instructions.
C. The undersigned shall require that the language of this certification prohibiting lobbying be included in the award documents for all
subawards at all tiers(including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements)and that
all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into
this transaction imposed by Section 1352, Title 31, U.S. Code.Any person who fails to file the required certification shall be subject
to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
D. As required by Executive Order 12549, Debarment and Suspension, and implemented at 28 C.F.R. Part 67, for prospective
participants in primary covered transactions,as defined at 28 C.F.R. Part 67, Section 67.510. (Federal Certification),the Subrecipient
certifies that it and its principals and vendors:
1. Are not debarred, suspended, proposed for debarment,declared ineligible, sentenced to a denial of Federal benefits by a
State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency. Subrecipient
can access debarment information by going to www.sam.gov and the State Debarred Vendor List at:_
www.window.state.tx.us/procurement/proq/vendor performance/debarred.
2 Have not within a three-year period preceding this Grant been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal,
State, or local)transaction or contract under a public transaction, violation of Federal or State antitrust statutes or commission
of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen
property;
a Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity(Federal, State, or local)with
commission of any of the offenses enumerated in paragraph(D)(2) of this certification;
4. Have not within a three-year period preceding this Grant had one or more public transactions(Federal, State, or local)
terminated for cause or default; or
5 Where Subrecipient is unable to certify to any of the statements in this certification, he or she shall attach an explanation to
this Grant. (Federal Certification).
E. Federal funds will be used to supplement existing funds, and will not replace (supplant)funds that have been appropriated for the
same purpose. Subrecipient may be required to supply documentation certifying that a reduction in non-federal resources occurred
for reasons other than the receipt or expected receipt of federal funds.
F. Subrecipient will comply with 2 C.F.R. Part 180,Subpart C as a condition of receiving grant funds and Subrecipient will require such
compliance in any subgrants or contract at the next tier.
G. Subrecipient will comply with the Drug-free Workplace Act, in Subpart B of 2 C.F.R. Part 3001.
K Subrecipient is not delinquent on any Federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit
disallowances, and benefit overpayments. See OMB Circular A-129 and form SF-424, item number 17 for additional information and
guidance.
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GRANT TERMS AND CONDITIONS
L Subrecipient will comply with all applicable requirements of all other federal laws,executive orders, regulations, program and
administrative requirements, policies and any other requirements governing this Grant.
1 Subrecipient understands that failure to comply with any of the above assurances may result in suspension,termination or
reduction of funds in this Grant.
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GRANT TERMS AND CONDITIONS
EXHIBIT D
State of Texas Assurances
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. Shall comply with Texas Government Code, Chapter 573,by ensuring that no officer,employee,or member of the Subrecipient's governing
body or of the Subrecipient's contractor shall vote or confirm the employment of any person related within the second degree of affinity or
the third degree of consanguinity to any member of the governing body or to any other officer or employee authorized to employ or supervise
such person.This prohibition shall not prohibit the employment of a person who shall have been continuously employed for a period of two
years, or such other period stipulated by local law, prior to the election or appointment of the officer, employee, or governing body member
related to such person in the prohibited degree.
2. Shall insure that all information collected, assembled, or maintained by the Subrecipient relative to a project will be available to the public
during normal business hours in compliance with Texas Government Code, Chapter 552, unless otherwise expressly prohibited by law.
3. Shall comply with Texas Government Code, Chapter 551, which requires all regular, special, or called meetings of governmental bodies to
be open to the public,except as otherwise provided by law or specifically permitted in the Texas Constitution.
4. Shall comply with Section 231.006,Texas Family Code,which prohibits payments to a person who is in arrears on child support payments.
5. Shall not contract with or issue a license, certificate, or permit to the owner, operator, or administrator of a facility if the Subrecipient is a
health, human services, public safety, or law enforcement agency and the license, permit,or certificate has been revoked by another health
and human services agency or public safety or law enforcement agency.
6. Shall comply with all rules adopted by the Texas Commission on Law Enforcement pursuant to Chapter 1701,Texas Occupations Code, or
shall provide the grantor agency with a certification from the Texas Commission on Law Enforcement that the agency is in the process of
achieving compliance with such rules if the Subrecipient is a law enforcement agency regulated by Texas Occupations Code,Chapter 1701.
7. Shall follow all assurances. When incorporated into a grant award or contract, standard assurances contained in the application package
become terms or conditions for receipt of grant funds.Administering state agencies and subrecipients shall maintain an appropriate contract
administration system to insure that all terms, conditions, and specifications are met. (See UGMS Section_.36 for additional guidance on
contract provisions).
8. Shall comply with the Texas Family Code, Section 261.101, which requires reporting of all suspected cases of child abuse to local law
enforcement authorities and to the Texas Department of Child Protective and Regulatory Services. Subrecipient shall also ensure that all
program personnel are properly trained and aware of this requirement.
9. Shall comply with all federal statutes relating to nondiscrimination. These include but are not limited to: (a)Title VI of the Civil Rights Act of
1964(P.L.88-352),which prohibits discrimination on the basis of race, color, or national origin; (b)Title IX of the Education Amendments of
1972, as amended (20 U.S.C. §§1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the
Rehabilitation Act of 1973, as amended(29 U.S.C. §794),which prohibits discrimination on the basis of handicaps and the Americans with
Disabilities Act of 1990 including Titles I, II, and III of the Americans with Disability Act which prohibits recipients from discriminating on the
basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain
testing entities, 44 U.S.C. §§ 12101-12213; (d) the Age Discrimination Act of 1974, as amended (42 U.S.C. §§6101-6107), which prohibits
discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment, and
Rehabilitation Act of 1970(P.L.91-616), as amended, relating to the nondiscrimination on the basis of alcohol abuse or alcoholism; (g)
§§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§290dd-3 and 290ee-3), as amended, relating to confidentiality of
alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental, or financing of housing; (i)any other nondiscrimination provisions in the specific statute(s)under which
application for Federal assistance is being made;and(j)the requirements of any other nondiscrimination statute(s)which may apply to this
Grant.
10. Shall comply, as applicable, with the provisions of the Davis-Bacon Act(40 U.S.C. §§276a to 276a-7), the Copeland Act(40 U.S.C. §276c
and 18 U.S.C.§874),and the Contract Work Hours and Safety Standards Act(40 U.S.C.§§327-333), regarding labor standards for federally
assisted construction subagreements.
11. Shall comply with requirements of the provisions of the Uniform Relocation Assistance and Real Property Acquisitions Act of 1970(P.L.91-
646), which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally
assisted programs.These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation
in purchases.
12. Shall comply with the provisions of the Hatch Political Activity Act(5 U.S.C.§§7321-29),which limit the political activity of employees whose
principal employment activities are funded in whole or in part with Federal funds.
13. Shall comply with the minimum wage and maximum hours provisions of the Federal Fair Labor Standards Act and the Intergovernmental
Personnel Act of 1970,as applicable.
Page 14 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
14. Shall insure that the facilities under its ownership, lease, or supervision which shall be utilized in the accomplishment of the project are not
listed on the Environmental Protection Agency's(EPA)list of Violating Facilities and that it will notify the Federal grantor agency of the receipt
of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under
consideration for listing by the EPA(EO 11738).
15. Shall comply with the flood insurance purchase requirements of Section 102(a)of the Flood Disaster Protection Act of 1973, Public Law 93-
234.Section 102(a)requires the purchase of flood insurance in communities where such insurance is available as a condition for the receipt
of any Federal financial assistance for construction or acquisition proposed for use in any area that has been identified by the Secretary of
the Department of Housing and Urban Development as an area having special flood hazards.
16. Shall comply with environmental standards which may be prescribed pursuant to the following:(a)institution of environmental quality control
measures under the National Environmental Policy Act of 1969(P.L. 91-190) and Executive Order(EO) 11514; (b) notification of violating
facilities pursuant to EO 11738;(c)protection of wetlands pursuant to EO 11990;(d)evaluation of flood hazards in floodplains in accordance
with EO 11988; (e) assurance of project consistency with the approved state management program developed under the Coastal Zone
Management Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of federal actions to State (Clear Air) Implem entation Plans under
Section 176(c)of the Clear Air Act of 1955,as amended(42 U.S.C.§§7401 et seq.);(g)protection of underground sources of drinking water
under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); and (h) protection of endangered species under the Endangered
Species Act of 1973, as amended(P.L. 93-205).
17. Shall comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§1271 et seq.) related to protecting components or potential
components of the national wild and scenic rivers system.
18. Shall assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966,as amended(16
U.S.C. §470), EO 11593(identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974
(16 U.S.C. §§469a-1 et seq.).
19. Shall comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. §§2131 et seq.) which requires the
minimum standards of care and treatment for vertebrate animals bred for commercial sale, used in research, transported commer cially, or
exhibited to the public according to the Guide for Care and Use of Laboratory Animals and Public Health Service Policy and Government
Principals Regarding the Care and Use of Animals.
20. Shall comply with the Lead-Based Paint Poisoning Prevention Act(42 U.S.C.§§4801 et seq.)which prohibits the use of lead-based paint in
construction or rehabilitation of residential structures.
21. Shall comply with the Pro-Children Act of 1994(Public Law 103-277), which prohibits smoking within any portion of any indoor facility used
for the provision of services for children.
22. Shall comply with all federal tax laws and are solely responsible for filing all required state and federal tax forms.
23. Shall comply with all applicable requirements of all other federal and state laws, executive orders, regulations, and policies governing this
program.
24. And its principals are eligible to participate and have not been subjected to suspension,debarment,or similar ineligibility determined by any
federal,state,or local governmental entity and it is not listed on a state or federal government's terrorism watch list as described in Executive
Order 13224. Entities ineligible for federal procurement have Exclusions listed at https://www.sam.gov/portal/public/SAM/.
25. Shall adopt and implement applicable provisions of the model HIV/AIDS work place guidelines of the Texas Department of Health as required
by the Texas Health and Safety Code,Ann., Sec. 85.001,et seq.
Page 15 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
EXHIBIT E
Environmental Review
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. shall assess its federally funded projects for potential impact to environmental resources and historic properties.
2. shall submit any required screening form(s) as soon as possible and shall comply with deadlines established by DPS/TDEM.
Timelines for the Environmental Planning and Historic Preservation(EHP)review process will vary based upon the complexity of the
project and the potential for environmental or historical impact.
3. shall include sufficient review time within its project management plan to comply with EHP requirements. Initiation of any activity prior
to completion of FEMA's EHP review will result in a non-compliance finding and DPS/TDEM will not authorize or release Grant funds
for non-compliant projects.
4. as soon as possible upon receiving this Grant,shall provide information to DPS/TDEM to assist with the legally-required EHP review
and to ensure compliance with applicable EHP laws and Executive Orders (EO) currently using the FEMA EHP Screening Form
OMB Number 1660-0115/FEMA Form 024-0-01 and submitting it,with all supporting documentation,to DPS/TDEM for review. These
EHP requirements include but are not limited to the National Environmental Policy Act, the National Historic Preservation Act, the
Endangered Species Act, EO 11988—Floodplain Management, EO 11990—Protection of Wetlands,and EO 12898—Environmental
Justice. Subrecipient shall comply with all Federal, State, and local EHP requirements and shall obtain applicable permits and
clearances.
5. shall not undertake any activity from the project that would result in ground disturbance, facility modification, or purchase and use of
sonar equipment without the prior approval of FEMA. These include but are not limited to communications towers, physical security
enhancements involving ground disturbance, new construction, and modifications to buildings.
6. shall comply with all mitigation or treatment measures required for the project as the result of FEMA's EHP review.Any changes to
an approved project description will require re-evaluation for compliance with EHP requirements before the project can proceed.
7. if ground disturbing activities occur during project implementation, Subrecipient shall ensure monitoring of ground disturbance and if
any potential archeological resources are discovered,Subrecipient shall immediately cease construction in that area and notify FEMA
and the appropriate State Historical Preservation Office.
Page 16 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
EXHIBIT F
Additional Grant Conditions
1. Additional damage requiring a new Public Assistance project to be written must be reported within 60 days
following the Project Scoping meeting with the State- Federal team.
2. All work must be done prior to the approved project completion deadline assigned to each Project (POP).
Should additional time be required, a time extension request must be submitted which: a.) Identifies the
projects requiring an extension. b.) Explains the reason for an extension. c.) Indicates the percentage of work
that has been completed. d.) Provides an anticipated completion date. The reason for an extension must be
based on extenuating circumstances or unusual project requirements that are beyond the control of your
jurisdiction/organization. Failure to submit a time extension request 60 days prior to the end of the
period of performance may result in reduction or withdrawal of federal funds for approved work.
3. Any significant change to a project's approved Scope of Work must be reported and approved through TDEM
and FEMA before starting the project. Failure to do so will jeopardize grant funding. The Subrecipient shall
submit requests for cost overruns requiring additional obligations to TDEM, who will forward to FEMA for
review and approval prior to incurring costs.
4. The Project Completion and Certification Report must be submitted to TDEM within 60 days of all approved
work being completed for each project. If any project requires the purchase of insurance as a condition of
receiving federal funds, a copy of the current policy must be attached to this report, or Duplication of Benefits
form certifying other funds were received to complete the project.
5. A cost overrun appeal on small ($128,900) Public Assistance projects must be reported to the Texas Division
of Emergency Management (TDEM) within 60 days of completing the last small project in order to be
considered for additional funding.
6. Appeals may be filed on any determination made by FEMA or TDEM. All appeals must be submitted to TDEM
within 60 days from receiving written notice of the action you wish to appeal. Should you wish to appeal a
determination contained in the project application, the 60 days will start the day the application is signed.
Appeals for Alternative Projects will be subject to the terms of the signed agreement for the Alternative
Project.
7. Public Assistance program projects will not receive funding until all of the requirements identified in the
comments section of the Project Worksheet are met.
8. You may request a payment of funds on projects by initiating a Request for Reimbursement(RFR) in TDEM's
Grant Management System (GMS) or an Advance of Funds Request (AFR), and including documentation
supporting your request. Small Public Assistance projects are paid upon obligation and will be initiated by
TDEM personnel. Payments for open projects must be requested at least quarterly if expenditures have been
made in that quarter.
9. Subrecipients will be required to submit quarterly project reports (QPR)for open large projects using TDEM's
GMS. Your assigned Grant Coordinator will coordinate the due date for your specific reporting. Public
Assistance program small projects are typically exempt from quarterly reporting, however TDEM reserves
the right to require QPRs on any smalls requiring a POP extension. The first quarterly report will be due at
the end of the first full quarter following the quarter in which the project was obligated. No quarterlies are
required for projects that Subrecipient has initiated a closeout request and has provided a certificate of
completion. Failure to submit required quarterly reports for two or more quarters can result in withholding or
deobligation of funding for Subrecipients until all reports are submitted and up-to-date.
Page 17 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
10.Subrecipients expending $750,000 or more in total Federal financial assistance in a fiscal year will be
required to provide an audit made in accordance with OMB Uniform Guidance; Cost Principles, Audit, and
Administrative Requirements for Federal Awards, Subpart F. A copy of the Single Audit must be submitted
to your cognizant State agency or TDEM within nine months of the end of the subrecipient's fiscal year.
Consult with your financial officer regarding this requirement. If not required to submit a single audit, a letter
must be sent to TDEM certifying to this.
11.Subrecipients will not make any award to any party which is debarred or suspended, or is otherwise excluded
from participation in the Federal assistance programs(EO 12549, Debarment and Suspension). Subrecipient
must maintain documentation validating review of debarment list of eligible contractors.
12.Subrecipients must keep record of equipment acquired by federal funds for the life cycle of the equipment.
A life cycle for most equipment will be three years, but could be longer. If the fair market value of a piece of
equipment is valued over $5,000, FEMA will have the right to a portion of proceeds if equipment is sold. If
the fair market value of a piece of equipment is less than $5,000, the property can either be retained, sold or
designated as surplus with no further obligation to FEMA.
13.TDEM will be using the new FEMA Public Assistance Delivery Model to facilitate the writing of project
worksheets (Portal). Subrecipient will be responsible for establishing and maintaining an active account in
the Portal and to provide and upload timely, all information requested that is needed to write accurate project
worksheets. The Portal will provide the Subrecipient visibility of the entire project writing process.
14.TDEM will be using its new Grant Management System (GMS)for Subrecipient grant management functions.
Subrecipient will access GMS to initiate Requests for Reimbursements (RFR), Advance of Funds Requests
(AFR), Time Extensions, Scope and Cost changes requests, Quarterly Reports, Project Closeouts, Appeals,
and other items deemed necessary by TDEM. Requested forms and processes may be adjusted and
changed to accommodate GMS processes and requirements. Subrecipient agrees to monitor GMS as
necessary to properly manage and complete awarded projects under this agreement.
16.2 CFR 200.210(a)(15), 2 CFR 200.331(a)(1)(xiii) and (a)(4) make reference to indirect cost rates. The
Subrecipient may use the negotiated Indirect Cost Rate approved by its cognizant agency, or may use the
10% de minimis rate of modified total direct costs (MTDC) (as per § 200.414) when receiving Management
Costs.
Page 18 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
EXHIBIT G
Additional Grant Certifications
AAmfnh rscirtifintiesn
Subrecipient certifies that it has the ability to meet or exceed the cost share required for all subawards(Projects)
and amendments(versions)under this Grant Agreement.
rlunlir o+inn of Drnnrnm Cf•afcmcnf
Subrecipient certifies there has not been, nor will there be, a duplication of benefits for this project.
Match Certification
Federal Debt Disclosure
Subrecipient certifies that it is not delinquent on any Federal Debt.
For Hazard Mitigation Projects Only:
lAo intcnnnnc Anrmmcnt
Applicant certifies that if there is a Maintenance Agreement needed for this facility copy of that agreement will be
provided to TDEM.
Fnuirnnmcnfol Iticfinn Ct.tcmcnf
Federal Executive Order 12898 compliance requirements—If there are any concentrations of low income or
minority populations in or near the HMGP project:
1. Applicant certifies that the HMGP project result will not result in a disproportionately high or adverse effect on
low income or minority populations.
OR
2. Applicant certifies that action will be taken to ensure achievement of environmental justice for low income and
minority populations related to this HMGP project.
Page 19 of 20
TDEM—April 2019
Request for Information and Documentation Policy and
Guideline
It is crucial to the success of the overall Grant Program and to the timely completion and closure of
awarded projects that timelines be established for providing information and documentation. TDEM
has developed a framework to support this endeavor following a progressive series of communications
for the Subrecipient(RFI).TDEM will work with you throughout the RFI process as communication is the
key to your success.
RFI Timelines
First Informal Request The primary contact for the Subrecipient will receive the RFI via email
with five business days to respond.
Second Informal Request A second email to the primary contact will be sent with an additional
five business days to respond.
Third Informal Request A phone call will be made to the primary contact with a third email
requesting the information to be provided within five business days.
The Regional Section Administrator and State Coordinator will be
copied.
Fourth Formal Request The Supervising Program Director of Recovery will issue a certified letter
to the highest ranking official highlighting previous requests and an
additional ten days to provide the requested information.
Final Formal Request A final request by certified letter will be issued by the Deputy Assistant
Director of Recovery, Mitigation, and Standards, or the Assistant
Director of the Texas Division of Emergency Management to the highest
ranking official giving the final ten business days to respond or
deobligation of the project will begin.
Final Action If the RFI is not sufficiently answered,the project will be deobligated,
and any previously paid funds must be returned to TDEM.
Reference: RMS Services Grant Program Request for Information and Documentation August 2017
GRANT TERMS AND CONDITIONS
Please initial by each Exhibit, acknowledging you have received them, understand them, and
agree to abide by them.
Assurances— Non-Construction Programs, hereinafter referred to as "Exhibit A"
Assurances—Construction Programs, hereinafter referred to as "Exhibit B"
Certifications for Grant Agreements, hereinafter referred to as "Exhibit C"
State of Texas Assurances, hereinafter referred to as "Exhibit D"
Environmental Review Certification, hereinafter referred to as "Exhibit E"
Additional Grant Conditions, hereinafter referred to as "Exhibit F"
Additional Grant Certifications, hereinafter referred to as "Exhibit G"
Request for Information and Documentation referred to as "Exhibit H"
Please sign below to acknowledged acceptance of the grant and all exhibits in
this agreement, and to abide by all terms and conditions.
Signature of Certifying Official Date
Printed Name and Title
Page 20 of 20
TDEM—April 2019
EXHIBIT "B"
Port Acres Drainage—Phase 1
TEXAS DEPARTMENT OF PUBLIC SAFETY
5805 N LAMAR BLVD• BOX 4087•AUSTIN,TEXAS 78773-0001
(42111;:k4,:-.1
512/424-2000 „`fir:www.dps.texas.gov
STEVEN C.McCRAW COMMISSION
DIRECTOR STEVEN P.MACH,CHAIRMAN
SKYLOR HEARN A CYNTHIA LEON
FREEMAN F.MARTIN JASON K.PULUAM
RANDALL B.PRINCE
DEPUTY DIRECTORS
June 24, 2019
Ms. Rebecca Underhill
City Manager
City of Port Arthur
444 4th Street
Port Arthur, TX 77640
rebecca.underhill@portarthurtx_gov
RE: Phase I Sub-Grant Award
Dear Ms. Underhill,
The Texas Division of Emergency Management (TDEM) has issued a sub-grant for the
Hazard Mitigation Grant Program (HMGP), DR-4332, Hurricane Harvey. The following is the
information related to this award:
Sub-Recipient Information:
DUNS Number: 137134909
TINS Number: 74-60018850
FIPS Number: 245-58820-00
Award Information:
Catalog of Federal Domestic Assistance: 97-039
FEMA Project Number: DR-4332-0033
Project Title: City of Port Arthur Port Acres Drainage - Phase I
Period of Performance (POP): May 31, 2019 to May 31, 2020
Total Federal Federal Local Cost Local Cost
Version! Date Subgrant Cost Share Cost Share Share
Amendment Amount Percentage Share Percentage Amount
Amount
0 5/31/2019 $685,867.00 75% $514,400.25 25% $171,466.75
Please Note: This award is not for research or development as defined in 2 Code of
Federal Regulations (C.F.R.) § 200.87.
EQUAL OPPORTUNITY EMPLOYER
COURTESY•SERVICE•PROTECTION
Page 2 DR-4332-0033 Award Letter
The approved Scope of Work (SOW) is below and the terms and conditions of this award
are attached. It is important that the sub-recipient read, understand and comply with the
SOW and all terms and conditions. It is also vital that this information be disseminated to
sub-recipient's staff and contractors involved in work related to this project.
The sub-recipient shall deliver to TDEM the following for review and comment:
• Revised Scope of Work (SOW) and work schedule for Phase II Construction.
• Revised Budget estimate.
• Benefit Cost Analysis (BCA) zip file based on the Hydraulic and Hydrologic (H&H)
Study with support documents.
• Complete set of Signed and Sealed Construction Plans (100%).
• H&H Study with Calculations.
• United States Army Corps of Engineers (USACE) permit (if applicable).
• State Historic Preservation Office (SHPO) response for Phase II Scope of Work.
After acceptance of the Phase I deliverables, you may receive notification and funding to
proceed with Phase II of the project.
Signing and returning this award letter indicates sub-recipient's acceptance of the scope of
work of the sub-award, the ability to pay the local cost share and all grant terms and
conditions outlined in the attached documents.
The sub-recipient must ensure that:
1. The initial quarterly progress report for the project is submitted at the end of the
approving quarter. Please include the project number (provided above) in your
future quarterly reports. Note that 44 C.F.R. § 206.438(c) indicates the State must
provide a quarterly progress report to FEMA indicating the status and completion
date for each project funded. The report must include any problems or
circumstances affecting completion dates, SOW, or project cost that may result in
non-compliance with the approved grant conditions.
2. In accordance with HMGP rules and policy, TDEM requires the submittal of all
closeout documentation within 90-days of the project completion not to exceed the
POP. The Governor's Authorized Representative (GAR) "shall certify that reported
costs were incurred in the performance of eligible work, that the approved work was
completed and that the mitigation measure is in compliance with the provisions of
the FEMA-State Agreement" in accordance with 44 C.F.R. § 206.438(d).
If changes are needed to the SOW for the sub-award, period of performance or costs
associated to the sub-award, the sub-recipient should immediately contact TDEM. No
change to the sub-award will be considered approved until the sub-recipient is notified in
writing by TDEM.
This signed and dated award letter must be returned to TDEM before payment on the sub-
award can be processed. Please sign, date, and return this award letter acknowledging
EQUAL OPPORTUNITY EMPLOYER
COURTESY•SERVICE•PROTECTION
Page 3 DR-4332-0033 Award Letter
acceptance of this sub-award and agreement to abide by all terms and conditions to the
address below:
Texas Division of Emergency Management
1033 La Posada Dr.
Suite 150
Austin, TX 78752
Rebecca Underhill, City Manager Date
Should you wish to appeal any determination related to this sub-award you must do so within
60 days of receipt of the notice of the action. You will need to provide your appeal with any
documentation supporting your position to your assigned IDEM project officer within the
allotted time.
If you have any questions please contact your Grant Coordinator, Terrell Kincaid at 512-
437-4055 or terrell.kincaidCa)dps.texas.gov_
Respectfully,
7—(°* 76°
Nim Kidd, CEM°,TEM°
Chief, Texas Division of Emergency Management
N K/tk
ATTACHMENTS: Grant Terms and Conditions
cc: Ron Burton, Assistant City Manager
Kandy Daniel, Director of Finance
Craig Taffaro, Ardurra Group Recovery Specialist
EQUAL OPPORTUNITY EMPLOYER
COURTESY•SERVICE•PROTECTION
GRANT TERMS AND CONDITIONS
This Grant Agreement (consisting of these terms and conditions and all exhibits) is made and
entered into by and between the Department of Public Safety (DPS) /Texas Division of
Emergency Management (TDEM), an agency of the State of Texas, hereinafter referred to as
"DPS/TDEM," and the grant recipient,
hereinafter referred to as the "Subrecipient." Furthermore, DPS/TDEM and the Subrecipient are
collectively hereinafter referred to as the "Parties."All subawards made under this grant
agreement are subject to the same terms and conditions below.
Subrecipient may not assign or transfer any interest in this Grant without the express, prior
written consent of TDEM and DHS/FEMA.
a. The term Recipient and pass-through entity have the same meaning as "Grantee," as used in
governing statutes, regulations, and DHS/FEMA guidance.
b. A Recipient is also a "non-federal entity"for grants administration purposes.
c. A Subrecipient is also known as a "SubGrantee" as used in governing statutes regulations
and DHS/ FEMA guidance.
d. A Subrecipient is also a "non-federal entity"for grants administration purposes.
e. The "Grant" referred to in this agreement is a subgrant to the Subrecipient passed thru from
DPS/TDEM to the Subrecipient.
f. Certifying Official will be the Mayor, Judge, or Executive Director authorized to execute these
grant terms and conditions, and to submit changes of Subrecipient Agents.
f. Projects and any subsequent versions for those projects accepted by the Subrecipient and
subsequently obligated or deobligated by DHS/FEMA are considered subawards to this grant
agreement.
A. Standard of Performance. Subrecipient shall perform all activities as approved by TDEM.
Any change to a project shall receive prior written approval by TDEM and, if required, by
FEMA. Subrecipient shall perform all activities in accordance with all terms, provisions and
requirements set forth in this Grant, including but not limited to the following Exhibits:
1. Assurances— Non-Construction Programs, hereinafter referred to as "Exhibit A"
2. Assurances—Construction Programs, hereinafter referred to as "Exhibit B"
3. Certifications for Grant Agreements, hereinafter referred to as "Exhibit C"
4. State of Texas Assurances, hereinafter referred to as "Exhibit D"
5. Environmental Review Certification, hereinafter referred to as "Exhibit E"
6. Additional Grant Conditions, hereinafter referred to as "Exhibit F"
7. Additional Grant Certifications, hereinafter referred to as "Exhibit G"
8. Request for Information and Documentation referred to as "Exhibit H"
B. Failure to Perform. In the event Subrecipient fails to implement and complete the project(s)
approved and awarded, or comply with any provision of this Grant, Subrecipient shall be liable
to DPS/TDEM for an amount not to exceed the award amount of this Grant and may be barred
from applying for or receiving additional DHS/FEMA grant program funds
Page 1 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
or any other grant program funds administered by DPS until repayment to DPS/TDEM is made
and any other compliance or audit finding is satisfactorily resolved, in addition to any other
remedy specified in this Grant. Failure to timely implement and complete projects may reduce
future funding in additional DHS/FEMA and/or other grant programs administered by DPS.
C. Funding Obligations. DPS/TDEM shall not be liable to Subrecipient for any costs incurred
by Subrecipient that are not allowable costs.
1. Notwithstanding any other provision of this Grant, the total of all payments and other
obligations incurred by DPS/TDEM under this Grant shall not exceed the total cumulative
award amounts listed on the Subawards (projects and subsequent versions).
2. Subrecipient shall contribute the match funds listed on the subaward.
Subrecipient shall refund to DPS/TDEM any sum of these Grant funds that has been
determined by DPS/TDEM or DHS/FEMA to be an overpayment to Subrecipient or that
DPS/TDEM determines has not been spent by Subrecipient in accordance with this Grant. No
refund payment(s) shall be made from local, state or federal Grant funds unless repayment
with Grant funds is specifically permitted by statute or regulation. Subrecipient shall make
such refund to DPS/TDEM within thirty (30) calendar days after DPS/TDEM requests such
refund
D. performance Perim'. The performance period for this Grant is listed on the subaward letter
for each project. All projects shall be completed within the performance period AND all
reimbursement reauests shall be submitted to TDEM within 60 days of the end of the
performance period. Subrecipient shall have expended all Grant funds and submitted
reimbursement requests, invoices and any supporting documentation to DPS/TDEM within
60 days of the end of the performance period. DPSITDEM shall not be obligated to
reimburse expenses incurred after the performance period or submitted after the deadline.
E. Uniform Administrative Reauirements. Cost Principals and Audit Reauirements. Except
as specifically modified by law or this Grant, Subrecipient shall administer this Grant through
compliance with the most recent version of all applicable laws and regulations, including but
not limited to DHS program legislation, Federal awarding agency regulations, and the terms
and conditions of this Grant. A non-exclusive list is provided below[not all may apply in every
projects]:
• Public Law 93-288, as amended (Stafford Act)
• 44 CFR, Emergency Management and Assistance
• Disaster Mitigation Act of 2000
• OMB Regulations 2 CFR, Grant and Agreements
• Executive Order 11988, Floodplain Management
• Executive Order 11990, Protection of Wetlands
• Executive Order 12372, Intergovernmental Review of Programs and Activities
• Executive Order 12549, Debarment and Suspension
• Executive Order 12612, Federalism
• Executive Order 12699, Seismic Design
• Executive Order 12898, Environmental Justice
• Coastal Barrier Resources Act, Public Law 97-348
• Single Audit Act, Public Law 98-502
• Sandy Recovery Improvement Act publications
Page 2 of 20
TDEM-April 2019
GRANT TERMS AND CONDITIONS
• 16 U.S.C. § 470, National Historic Preservation Act
• 16 U.S.C. § 1531, Endangered Species Act References
• FEMA program publications, guidance and policies
F. State Reauirements for Grants. Subrecipient shall comply with all other federal, state, and
local laws and regulations applicable to this Grant including but not limited to the laws and
the regulations promulgated in Texas Government Code, Chapter 783, Uniform Grant and
Contract Management, (UGMS) at:_
http://www.window.state.tx.us/procurement/catrad/uqms.pdf
and the program State Administrative Plan, available at:
http://www.txdps.state.tx.us/dem/GrantsResources/index.htm.
Subrecipient shall, in addition to the assurances and certifications, comply and require each
of its subcontractors employed in the completion of the project to comply with all applicable
statutes, regulations, executive orders, OMB circulars, terms and conditions of this Grant and
the approved application.
Grant funds may not be awarded to or expended by any entity which performs political polling.
This prohibition does not apply to a poll conducted by an academic institution as part of the
institution's academic mission that is not conducted for the benefit of a particular candidate or
party.
Grant funds may not be expended by a unit of local government unless the following
limitations and reporting requirements are satisfied:
1. Texas General Appropriations Act, Art. IX, Parts 2 and 3, except there is no
requirement for increased salaries for local government employees;
2. Texas Government Code Sections 556.004, 556.005, and 556.006, which prohibits
using any money or vehicle to support the candidacy of any person for office,
influencing positively or negatively the payment, loan, or gift to a person or political
organization for a political purpose, and using Grant funds to influence the passage or
defeat of legislation including not assisting with the funding of a lobbyist, or using Grant
funds to pay dues to an organization with a registered lobbyist;
3. Texas Government Code Sections 2113.012 and 2113.101, which prohibits using
Grant funds to compensate any employee who uses alcoholic beverages on active
duty and Subrecipient may not use Grant funds to purchase an alcoholic beverage
and may not pay or reimburse any travel expense for an alcoholic beverage;
4. Texas General Appropriations Act, Art. IX, Section 6.13, which requires Subrecipient
to make every effort to attain key performance target levels associated with this Grant,
including performance milestones, milestone time frames, and related performance
reporting requirements; and
5. General Appropriations Act, Art. IX, Sections 7.01 and 7.02, and Texas Government
Code §2102.0091, which requires that this Grant may only be expended if
Subrecipient timely completes and files its reports.
G. Restrictions and General Conditions.
1. Use of Funds. DHS/FEMA Grant funds may only be used for the purposes set forth in this
Grant, and shall be consistent with the statutory authority for this Grant. Grant funds may
not be used for matching funds for other Federal grants/cooperative agreements, lobbying,
or intervention in Federal regulatory or adjudicatory proceedings. In addition,
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GRANT TERMS AND CONDITIONS
Federal funds may not be used to sue the Federal government or any other government
entity.
2. Federal Employee Prohibition. Federal employees are prohibited directly benefiting from
any funds under this Grant.
3. Points of Contacts. Within 10 calendar days of any change, Subrecipient shall notify
DPS/TDEM of any change in designated of Subrecipient Agents as submitted during the
execution of this agreement, and any subsequent changes submitted by Subrecipient. In
the event a Subrecipient hires a consultant to assist them with managing its Public
Assistance grants, they must be listed on the Designated Subrecipient Agent Form. TDEM
will direct all correspondence to the Subrecipient but will cc: the consultant on all email
exchanges. The Subrecipient will be responsible for sharing written communications with
the consultant. The Subrecipient will remain the primary point of contact and must be
included in all decision making activities.
4. DUNS Number. Subrecipient confirms its Data Universal Numbering Systems (DUNS)
Number is accurate and is registered on Sams.gov. The DUNS Number is the nine digit
number established and assigned by Dun and Bradstreet, Inc., at 866/705-5711 or
http://fedqov.dnb.com/webform
5. Central Contractor Registration and Universal Identifier Requirements. Subrecipient
maintains that it has registered on the System for Award Management (SAM) at
www.sam.gov or other federally established site for contractor registration, and entered
DPS/TDEM-required information. Subrecipient shall keep current, and then review and
update the information at least annually. Subrecipient shall keep information current in the
SAM database until the later of when it submits this Grant's final financial report or receives
final Grant award payment. Subrecipient agrees that it shall not make any subaward
agreement or contract related to this Grant without first obtaining the vendor/subawardee's
mandatory DUNS number. See Section §200.32 of OMB 2 C.F.R.
6. Reporting Total Compensation of Subrecipient Executives. 2 C.F.R. §200.331; see FEMA
Information Bulletin 350.
a. Applicability and what to report: Subrecipient shall report whether Subrecipient
received $25 million or more in Federal procurement contracts or financial assistance
subject to the Transparency Act per 2 C.F.R. §200.331. Subrecipient shall report
whether 80% or more of Subrecipient's annual gross revenues were from Federal
procurement contracts or Federal financial assistance. If Subrecipient answers "yes"
to both questions, Subrecipient shall report, along with Subrecipient's DUNS number,
the names and total compensation (see 17 C.F.R. §229.402(c)(2)) for each of
Subrecipient's five most highly compensated executives for the preceding completed
fiscal year.
b. Where and when to report: Subrecipient shall report executive total compensation at
www.sam.gov or other federally established replacement site. By signing this Grant,
Subrecipient certifies that, if required, Subrecipient's jurisdiction has already
registered, entered the required information, and shall keep information in the SAM
database current, and update the information at least annually for each year until the
later of when the jurisdiction submits its final financial report or receives final payment.
Subrecipient agrees that it shall not make any subaward agreement or contract without
first obtaining the subawardee's mandatory DUNS number.
7. Debarment and Suspension. Subrecipient shall comply with Executive Order 12549 and
12689, which provide protection against waste, fraud, and abuse by debarring or
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GRANT TERMS AND CONDITIONS
suspending those persons deemed irresponsible in their dealings with the Federal
government.
8. Direct Deposit. A completed direct deposit form from Subrecipient shall be provided to
DPS/TDEM, prior to receiving any payments under the provisions of this grant. The direct
deposit form is currently available at grants.dps.texas.gov under Resources/Public
Assistance.
9. Property Management and Inventory. Subrecipient shall maintain property/inventory
records which, at minimum, shall include a description of the property, a serial number or
other identification number, the source of property, who holds title, the acquisition date,
the cost of the property, the percentage of Federal participation in the cost of the property,
the location, use and condition of the property, and any ultimate disposition data including
the date of disposal and sale price of the property Subrecipient shall develop and
implement a control system to prevent loss, damage or theft of property and Subrecipient
shall investigate and document any loss, damage or theft of property funded under this
Grant.
10. Site Visits. DHS/FEMA and/or DPSITDEM, through its authorized representatives, have
the right at all reasonable times to make site visits to review project accomplishments and
management control systems and to provide such technical assistance as may be
required. If any site visit is made by DHS/FEMA on the premises of Subrecipient or a
contractor under this Grant, Subrecipient shall provide and shall require its contractors to
provide all reasonable facilities and assistance for the safety and convenience of the
government representatives in the performance of their duties. All site visits and
evaluations shall be performed in such a manner that will not unduly delay the work.
H. Procurement and Contracting.
1. Procurements. Subrecipient shall comply with all applicable federal, state, and local laws
and requirements, including but not limited to proper competitive solicitation processes
where required,for any procurement which utilizes federal funds awarded under this Grant
in accordance with 2 C.F.R. 200. 318-326 and Appendix II to Part 200 (A-C) and (E-J)
2. Contract Provisions. All contracts executed using funds awarded under this Grant shall
contain the contract provisions listed under 2 C.F.R. 200.326 and Appendix II (A), Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments.
3. Procurement activities must follow the most restrictive of Federal, State and Local
procurement regulations:
a. Procurement by micro purchase
b. Procurement by small purchase
c. Procurement by sealed bid
d. Procurement by competitive proposal
e. Procurement by non-competitive proposal, solely when the award of a contract is
unfeasible under the other methods
The State must be contacted for approval to use a noncompetitive procurement method.
Failure to follow eligible procurement methods will result in ineligible costs. Other types of
agreements for services must have State approval prior to use or execution. A copy of the
local procurement policy must be provided to the State before initial payment.
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GRANT TERMS AND CONDITIONS
The cost plus a percentage of cost and percentage of construction cost methods of
contracting are ineligible.
Must perform cost/price analysis for every procurement action in excess of the Simplified
Acquisition Threshold.
Must negotiate profit as a separate element where required.
4. Evidence of non-debarment for vendors must be documented through
http://www.sam.gov/portal/public/SAM and
http://www.window.state.tx.us/procurement/proq/vendor performance/debarred/ and
submitted for review.
5. Comply with rules related to underutilized businesses (small and minority businesses,
women's enterprises and labor surplus firms) at 2 CFR 200.321
I. Monitoring. Subrecipient will be monitored periodically by federal, state or local entities, both
programmatically and financially, to ensure that project goals, objectives, performance
requirements, timelines, milestone completion, budget, and other program-related criteria are
met.
DPS/TDEM, or its authorized representative, reserves the right to perform periodic
desk/office-based and/or on-site monitoring of Subrecipient's compliance with this Grant and
of the adequacy and timeliness of Subrecipient's performance pursuant to this Grant. After
each monitoring visit, if the monitoring visit reveals deficiencies in Subrecipient's performance
under this Grant, a monitoring report will be provided to the Subrecipient and shall include
requirements for the timely correction of such deficiencies by Subrecipient. Failure by
Subrecipient to take action specified in the monitoring report may be cause for suspension or
termination of this Grant pursuant to the Suspension and/or Termination Section herein.
J. Audit.
1. Audit of Federal and State Funds. Subrecipient shall arrange for the performance of an
annual financial and compliance audit of funds received and performances rendered under
this Grant as required by the Single Audit Act (OMB 2 C.F.R. 200.501, formerly A- 133).
Subrecipient shall comply, as applicable, with Texas Government Code, Chapter 783, the
Uniform Grant Management Standards (UGMS), the State Uniform Administrative
Requirements for Grants and Cooperative Agreements.
2. Right to Audit. Subrecipient shall give the United States Department of Homeland Security
(DHS), Federal Emergency Management Agency (FEMA), the Comptroller General of the
United States, the Texas State Auditor, DPS/TDEM, or any of their duly authorized
representatives, access to and the right to conduct a financial or compliance audit of
Grant funds received and performances rendered under this Grant. Subrecipient
shall permit DPS/TDEM or its authorized representative to audit Subrecipient's records.
Subrecipient shall provide any documents, materials or information necessary to facilitate
such audit.
3. Subrecipient's Liability for Disallowed Costs. Subrecipient understands and agrees that it
shall be liable to DPS/TDEM for any costs disallowed pursuant to any financial or
compliance audit(s) of these funds. Subrecipient further understands and agrees that
reimbursement to DPS/TDEM of such disallowed costs shall be paid by Subrecipient
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GRANT TERMS AND CONDITIONS
from funds that were not provided or otherwise made available to Subrecipient pursuant
to this Grant or any other federal contract.
4. Subrecipient's Facilitation of Audit. Subrecipient shall take such action to facilitate the
performance of such audit(s) conducted pursuant to this Section as DPS/TDEM may
require of Subrecipient. Subrecipient shall ensure that this clause concerning the authority
to audit funds received indirectly by subcontractors through Subrecipient and the
requirement to cooperate is included in any subcontract it awards.
5. State Auditor's Clause. Subrecipient understands that acceptance of funds under this
Grant acts as acceptance of the authority of the State Auditor's Office to conduct an audit
or investigation in connection with those funds. Subrecipient further agrees to cooperate
fully with the State Auditor's Office in the conduct of the audit or investigation, including
providing all records requested. Subrecipient shall ensure that this clause concerning the
State Auditor's Office's authority to audit funds and the requirement to cooperate fully with
the State Auditor's Office is included in any subgrants or subcontracts it awards.
Additionally, the State Auditor's Office shall at any time have access to and the rights to
examine, audit, excerpt, and transcribe any pertinent books, documents, working papers,
and records of Subrecipient relating to this Grant.
K. Retention and Accessibility of Records.
1. Retention of Records. Subrecipient shall follow its own internal retentaion policy, or the
state's retention policy, whichever is stricter. At a minimum,the subrecipient shall maintain
fiscal records and supporting documentation for all expenditures of this Grant's funds
pursuant to the applicable OMB 2 C.F.R. Subpart D— Post Federal Award Requirements,
§200.333-337, and this Grant. Subrecipient shall retain these records and any supporting
documentation for a minimum of three (3) years from the later of the completion of this
project's public objective, submission of the final expenditure report, any litigation, dispute,
or audit. Records shall be retained for three (3) years after any real estate or equipment
final disposition. The DHS or DPS/TDEM may direct Subrecipient to retain documents or
to transfer certain records to DHS/FEMA custody when DHS/FEMA determines that the
records possess long term retention value.
2. Access to Records. Subrecipient shall give the United States Department of Homeland
Security, the Comptroller General of the United States, the Texas State Auditor,
DPS/TDEM, or any of its duly authorized representatives, access to and the right to
examine all books, accounts, records, reports, files, other papers, things or property
belonging to or in use by Subrecipient pertaining to this Grant including records concerning
the past use of DHS/FEMA funds. Such rights to access shall continue as long as the
records are retained by Subrecipient.
L. Chanaes. Amendments. Suspension or Termination
1. Modification. DHS/FEMA or DPS/TDEM may modify this Grant after an award has been
made. Once notification has been made in writing, any subsequent request for funds
indicates Subrecipient's acceptance of the changes to this Grant. Any alteration, addition,
or deletion to this Grant by Subrecipient is not valid.
2. Effect of Changes in Federal and State Laws. Any alterations, additions, or deletions to
this Grant that are required by changes in federal and state laws, regulations or policy are
automatically incorporated into this Grant without written amendment to this Grant and
shall become effective upon the date designated by such law or regulation. In the event
DHS/FEMA or DPS/TDEM determines that changes are necessary to this Grant after
an award has been made, including changes to the period of performance or terms and
conditions, Subrecipient shall be notified of the changes in writing. Once notification has
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GRANT TERMS AND CONDITIONS
been made, any subsequent request for funds will indicate Subrecipient's acceptance of
the changes to this Grant.
3. Suspension. In the event Subrecipient fails to comply with any term of this Grant,
DPS/TDEM may, upon written notification to Subrecipient, suspend this Grant, in whole or
in part, withhold payments to Subrecipient and prohibit Subrecipient from incurring
additional obligations of this Grant's funds.
4. Termination. DPS/TDEM shall have the right to terminate this Grant, in whole or in part, at
any time before the end of the Performance Period, if DPS/TDEM determines that
Subrecipient has failed to comply with any term of this Grant. DPSITDEM shall provide
written notice of the termination and include:
a. The reason(s) for such termination;
b. The effective date of such termination; and
c. In the case of partial termination, the portion of this Grant to be terminated.
d. Appeal may be made to the Deputy Assistant Director of Texas Division of Emergency
Management- Recovery Mitigation and Standards, Texas Department of Public
Safety.
M. Enforcement. If Subrecipient materially fails to comply with any term of this Grant, whether
stated in a federal or state statute or regulation, an assurance, in a state plan or application,
a notice of award, or elsewhere, DPS/TDEM or DHS/FEMA may take one or more of the
following actions, as appropriate in the circumstances:
1. Increased monitoring of projects and require additional financial and performance
reports
2. Require all payments as reimbursements rather than advance payments
3. Temporarily withhold payments pending correction of the deficiency
4. Disallow or deny use of funds and matching credit for all or part of the cost of the
activity or action not in compliance;
5. Request DHS/FEMA to wholly or partially de-obligate funding for a project
6. Temporarily withhold cash payments pending correction of the deficiency by
subrecipient or more severe enforcement action by DPS/TDEM or DHS/FEMA;
7. Withhold further awards for the grant program
8. Take other remedies that may be legally available
In taking an enforcement action, DPS/TDEM will provide Subrecipient an opportunity for a
hearing, appeal, or other administrative proceeding to which Subrecipient is entitled under any
statute or regulation applicable to the action involved.
The costs of Subrecipient resulting from obligations incurred by Subrecipient during a
suspension or after termination of this Grant are not allowable unless DPS/TDEM or
DHS/FEMA expressly authorizes them in the notice of suspension or termination or
subsequently.
Other Subrecipient costs during suspension or after termination which are necessary and
not reasonably avoidable are allowable if:
• The costs result from obligations which were properly incurred by Subrecipient before the
effective date of suspension or termination, are not in anticipation of it, and in the case of
a termination, are non-cancellable; and
• The costs would be allowable if this Grant were not suspended or expired normally at the
end of the funding period in which the termination takes effects.
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GRANT TERMS AND CONDITIONS
The enforcement remedies identified in this section, including suspension and termination, do
not preclude Subrecipient from being subject to "Debarment and Suspension" under E.O.
12549. 2 C.F.R., Appendix II to Part 200, (I).
N. Conflicts of Interest. The subrecipient will maintain written standards of conduct covering
conflicts of interest and governing the actions of its employees engaged in the selection,
award and administration of contracts and will establish safeguards to prohibit employees
from using their positions for a purpose that constitutes or presents the appearance of
personal or organizational conflict of interest or personal gain.
O. Closing of this Grant. DPS/TDEM will close each subaward after receiving all required final
documentation from the Subrecipient. If the close out review and reconciliation indicates that
Subrecipient is owed additional funds, DPS/TDEM will send the final payment automatically
to Subrecipient. If Subrecipient did not use all the funds received, DPS/TDEM will recover
the unused funds.
At the completion and closure of all Subrecipient's projects (subawards), DPS/TDEM will
request the Subrecipient to Certify the completion of all projects (subawards) in accordance
of the grants terms and conditions to state there are no further claims under this subgrant.
The closeout of this Grant does not affect:
1. DHS/FEMA or DPS/TDEM's right to disallow costs and recover funds on the basis of a
later audit or other review;
2. Subrecipient's obligation to return any funds due as a result of later refunds, corrections,
or other transactions;
3. Records retention requirements, property management requirements, and audit
requirements, as set forth herein; and
4. Any other provisions of this Grant that impose continuing obligations on Subrecipient or
that govern the rights and limitations of the parties to this Grant after the expiration or
termination of this Grant.
P. Notices,All notices and other communications pertaining to this agreement shall be
delivered in electronic format and/or writing and shall be transmitted by fax, e-mail,
personal hand-delivery (and receipted for) or deposited in the United States Mail, as
certified mail, return receipt requested and postage prepaid, to the other party.
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GRANT TERMS AND CONDITIONS
EXHIBIT A
ASSURANCES - NON-CONSTRUCTION PROGRAMS See Standard Form 424B
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. Has the legal authority to apply for Federal assistance and the institutional, program and to purchase flood insurance if the total cost of insurable
managerial and financial capability(including funds sufficient to pay the non- construction and acquisition is$10,000 or more.
Federal share of project cost)to ensure proper planning,management and
completion of the project described in this Grant. 11. Will comply with environmental standards which may be prescribed pursuant
to the following:(a)institution of environmental quality control measures under
2. Will give the Department of Homeland Security, the Department of Public the National Environmental Policy Act of 1969(P.L.91-190 as amended by
Safety,the Comptroller General of the United States and,if appropriate,the 42 U.S.C.4311 et seq.and Executive Order(EO) 11514)which establishes
State, through any authorized representative, access to and the right to national policy goals and procedures to protect and enhance the environment,
examine all records,books,papers,or documents related to this Grant and including protection against natural disasters.To comply with NEPA for DHS
will establish a proper accounting system in accordance with generally grant-supported activities,DHS-FEMA requires the environmental aspects to
accepted accounting standards or agency directives. be reviewed and evaluated before final action on the application; (b)
notification of violating fealties pursuant to EO 11738;
3. Will establish safeguards to prohibit employees from using their positions for (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood
a purpose that constitutes or presents the appearance of personal or hazards in floodplains in accordance with EO 11988;(e)assurance of project
organizational conflict of interest or personal gain. consistency with the approved State management program developed under
the Coastal Zone Management Act of 1972 (16 U.S.C.
4. Will initiate and complete the work within the applicable time frame after §§1451 et seq.); (f)comply with the Clean Air Act of 1977, (42 U.S.C.
receipt of approval of the awarding agency. §§7401 et seq.and Executive Order 11738)providing for the protection of and
enhancement of the quality of the nation's air resources to promote public
5. Will comply with the Intergovernmental Personnel Act of 1970(42 U.S.C. health and welfare and for restoring and maintaining the chemical,physical,
§§4728-4763)relating to prescribed standards for merit systems for programs and biological integrity of the nation's waters;(g)protection of underground
funded under one of the 19 statutes or regulations specified in Appendix A of sources of drinking water under the Safe Drinking Water Act of 1974, as
OPM's Standards for a Merit System of Personnel Administration(5 C.F.R. amended(P.L.93-523);and,(h)protection of endangered species under the
900,Subpart F). Endangered Species Act of 1973,as amended(P.L.93-205).
6. Will comply with all Federal statutes relating to nondiscrimination. These 12. Will comply with the Wild and Scenic Rivers Act of 1968(16 U.S.C.§§1271 et
include but are not limited to:(a)Title VI of the Civil Rights Act of 1964(P.L. seq.)related to protecting components or potential components of the national
88-352)which prohibits discrimination on the basis of race,color or national wild and scenic rivers system.
origin;(b)Title IX of the Education Amendments of 1972,as amended(20
U.S.C.§§1681-1683,and 1685-1686 and 44 C.F.R.Part 19),which prohibits 13. Will assist the awarding agency in assuring compliance with Section 106 of the
discrimination on the basis of sex;(c)Section 504 of the Rehabilitation Act of National Historic Preservation Act of 1966,as amended(16 U.S.C.
1973,as amended(29 U.S.C.§794),which prohibits discrimination on the §470),EO 11593(identification and protection of historic properties),and the
basis of handicaps;(d)the Age Discrimination Act of 1975,as amended (42 Archaeological and Historic Preservation Act of 1974(16 U.S.C.§§469a-1 et
U.S.C.§§6101-6107),which prohibits discrimination on the basis of age;(e) seq.).
the Drug Abuse Office and Treatment Act of 1972(P.L.92-255),as amended,
relating to nondiscrimination on the basis of drug abuse; (f) the 14. Will comply with P.L.93-348,45 C.F.R.46,and OHS Management Directive
Comprehensive Alcohol Abuse and Alcoholism Prevention,Treatment and 026-044(Directive) regarding the protection of human subjects involved in
Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to research, development, and related activities supported by this Grant.
nondiscrimination on the basis of alcohol abuse or alcoholism;(g)§§523 and "Research' means a systematic investigation, including research,
527 of the Public Health Service Act of 1912 (42 U.S.C. §§290dd-3 and development,testing, and evaluation designed to develop or contribute to
290ee-3),as amended, relating to confidentiality of alcohol and drug abuse general knowledge. See Directive for additional provisions for induding
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. humans in the womb,pregnant women,and neonates(Subpart B);prisoners
§§3601 et seq.),as amended,relating to nondiscrimination in the sale,rental (Subpart C); and children (Subpart D). See also state and local law for
or financing of housing; (i) any other nondiscrimination provisions in the research using autopsy materials.
specific statute(s) under which agreement for Federal assistance is being
made;and(j)the requirements of any other nondiscrimination statute(s)which 15. Will comply with the Laboratory Animal Welfare Act of 1966(P.L.89-544,as
may apply to the application. amended,7 U.S.C.§§2131 et seq.)which requires the minimum standards of
care and treatment for vertebrate animals bred for commercial sale,used in
7. Will comply or has already complied with the requirements of Titles II and III research,transported commercially,or exhibited to the public according to the
of the Uniform Relocation Assistance and Real Property Acquisition Policies Guide for Care and Use of Laboratory Animals and Public Health Service
Act of 1970(P.L. 91-646)which provide for fair and equitable treatment of Policy and Government Principals Regarding the Care and Use of Animals.
persons displaced or whose property is acquired as a result of Federal or
federally-assisted programs.These requirements apply to all interests in real
property acquired for project purposes regardless of Federal participation in 16. Will comply with the Lead-Based Paint Poisoning Prevention Act(42 U.S.C.
purchases. §§4801 et seq.),which prohibits the use of lead-based paint in construction or
rehabilitation of residence structures.
8. Will comply,as applicable,with provisions of the Hatch Act(5 U.S.C.§§1501-
1508 and 7324-7328)which limit the political activities of employees whose 17. Will cause to be performed the required financial and compliance audits in
principal employment activities are funded in whole or in part with Federalaccordance with the Single Audit Act Amendments of 1996 and OMB Circular
funds. No. A-133 (now OMB 2 C.F.R. 200.500), "Audits of States, Local
9. Will comply,as applicable,with the provisions of the Davis-Bacon Act(40 Governments,and Non-Profit Organizations."
U.S.C. §§276a to 276a-7),the Copeland Act(40 U.S.C. §276c and 18
U.S.C.§874),and the Contract Work Hours and Safety Standards Act(40 18. Will comply with all applicable requirements of all other Federal laws,
U.S.C. §§327-333), regarding labor standards for federally-assisted executive orders, regulations, grant guidance, and policies governing this
construction sub-agreements. Grant.
10. Will comply, if applicable, with flood insurance purchase requirements of
Section 102(a) of the Flood Disaster Protection Act of 1973(P.L. 93-234)
which requires recipients in a special flood hazard area to participate in the
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GRANT TERMS AND CONDITIONS
EXHIBIT B
ASSURANCES -CONSTRUCTION PROGRAMS See Standard Form 424D
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. Has the legal authority to apply for Federal assistance, and the requirements of any other nondiscrimination statue(s)which may apply
institutional, managerial and financial capability (including funds to the agreement.
sufficient to pay the non-Federal share of project costs)to ensure proper
planning,management and completion of project described in this Grant. 11. Will comply or has already complied with the requirements of Titles II and
Ill of the Uniform Relocation Assistance and Real Property Acquisition
2. Will give the Department of Homeland Security,the Department of Public Policies Act of 1970(P.L. 91-646)which provide for fair and equitable
Safety,the Comptroller General of the United States and,if appropriate, treatment of persons displaced or whose property is acquired as a result
the State,the right to examine all records,books,papers,or documents of Federal and federally-assisted programs.These requirements apply
related to this Grant and will establish a proper accounting system in to all interests in real property acquired for project purposes regardless
accordance with generally accepted accounting standards or agency of Federal participation in purchases.
directives.
12. Will comply with the provisions of the Hatch Act(5 U.S.C.§§1501-1508
3. Will not dispose of, modify the use of, or change the terms of the real and 7324-7328)which limit the political activities of employees whose
property title or other interest in the site and facilities without permission principal employment activities are funded in whole or in part with
and instructions from the awarding agency. Will record the Federal Federal funds.
awarding agency directives and will include a covenant in the title of real
property acquired in whole or in part with Federal assistance funds to 13. Will comply, as applicable, with the provisions of the Davis-Bacon Act
assure nondiscrimination during the useful life of this Grant. (40 U.S.C.§§276a to 276a-7),the Copeland Act(40 U.S.C.§276c and
18 U.S.C.§874),and the Contract Work Hours and Safety Standards Act
4. Will comply with the requirements of the assistance awarding agency (40 U.S.C.§§327-333)regarding labor standards for federally-assisted
with regard to the drafting,review and approval of construction plans and construction sub-agreements.
specifications.
14. Will comply with flood insurance purchase requirements of Section
5. Will provide and maintain competent and adequate engineering 102(a)of the Flood Disaster Protection Act of 1973(P.L.93-234)which
supervision at the construction site to ensure that the complete work requires recipients in a special flood hazard area to participate in the
conforms with the approved plans and specifications and will furnish program and to purchase flood insurance if the total cost of insurable
progressive reports and such other information as may be required by construction and acquisition is$10,000 or more.
the awarding agency or State.
15. Will comply with environmental standards which may be prescribed
6. Will initiate and complete the work within the applicable time frame after pursuant to the following:(a)institution of environmental quality control
receipt of approval of the awarding agency. measures under the National Environmental Policy Act of 1969(P.L.91-
190)as amended by 42 U.S.C.4311 et seq.and Executive Order(EO)
7. Will establish safeguards to prohibit employees from using their positions 11514 which establishes national policy goals and procedures to protect
for a purpose that constitutes or presents the appearance of personal or and enhance the environment, including protection against natural
organizational conflict of interest or personal gain. disasters;(b)notification of violating facilities pursuant to EO 11738;(c)
8. Will comply with the Intergovernmental Personnel Act of 1970(42 protection of wetlands pursuant to EO 11990; (d) evaluation of flood
U.S.C.§§4728-4763)relating to prescribed standards of merit systems hazards in floodplains in accordance with EO 11988; (e)assurance of
for programs funded under one of the 19 statutes or regulations specified project consistency with the approved State management program
in Appendix A of OPM's Standards for a Merit System of Personnel developed under the Coastal Zone Management Act of 1972(16 U.S.C.
Administration(5 C.F.R.900,Subpart F). §§1451 et seq.); (f)comply with the Clean Air Act of 1977, (42 U.S.C.
§§7401 et seq.and Executive Order 11738)providing for the protection
9. Will comply with the Lead-Based Paint Poisoning Prevention Act(42 of and enhancement of the quality of the nation's air resources to
U.S.C. §§4801 et seq.)which prohibits the use of lead-based paint in promote public health and welfare and for restoring and maintaining the
construction or rehabilitation of residence structures. chemical, physical, and biological integrity of the nation's waters; (g)
protection of underground sources of drinking water under the Safe
10. Will comply with all Federal statutes relating to nondiscrimination.These Drinking Water Act of 1974, as amended (P.L. 93-523); and, (h)
include but are not limited to:(a)Title VI of the Civil Rights Act of 1964 protection of endangered species under the Endangered Species Act of
(P.L.88-352)which prohibits discrimination on the basis of race,color or 1973,as amended(P.L 93-205).
national origin; (b)Title IX of the Education Amendments of 1972, as
amended (20 U.S.C. §§1681 1683, and 1685-1686 and 44 16. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C.
C.F.R. Part 19),which prohibits discrimination on the basis of sex; (c) §§1271 et seq.) related to protecting components or potential
Section 504 of the Rehabilitation Act of 1973,as amended(29)U.S.C. components of the national wild and scenic rivers system.
§794),which prohibits discrimination on the basis of handicaps;(d)the
Age Discrimination Act of 1975,as amended(42 U.S.C.H6101-6107), 17. Will assist the awarding agency in assuring compliance with Section 106
which prohibits discrimination on the basis of age; (e)the Drug Abuse of the National Historic Preservation Act of 1966,as amended(16
Office and Treatment Act of 1972(P.L.92-255),as amended relating to U.S.C. §470), EO 11593 (identification and protection of historic
nondiscrimination on the basis of drug abuse; (f) the Comprehensive properties),and the Archaeological and Historic Preservation Act of 1974
Alcohol Abuse and Alcoholism Prevention,Treatment and rehabilitation (16 U.S.C.§§469a-1 et seq).
Act of 1970(P.L.91-616),as amended,relating to nondiscrimination on 18. Will cause to be performed the required financial and compliance audits
the basis of alcohol abuse or alcoholism; (g) in accordance with the Single Audit Act Amendments of 1996 and OMB
§§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. Circular No.A-133(now OMB 2 C.F.R.200.500),"Audits of States,Local
§§290dd-3 and 290ee-3), as amended, relating to confidentiality of Governments,and Non-Profit Organizations."
alcohol and drug abuse patient records; (h)Title VIII of the Civil Rights
Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to 19. Will comply with all applicable requirements of all other Federal laws,
nondiscrimination in the sale,rental or financing of housing;(i)any other executive orders,regulations,grant guidance and policies governing this
nondiscrimination provisions in the specific statue(s) under which Grant.
agreement for Federal assistance is being made; and (j) the
Page 11 of 20
TDEM-April 2019
GRANT TERMS AND CONDITIONS
Exhibit C
Certifications for Grant Agreements
The undersigned, as the authorized official,certifies the following to the best of his/her knowledge and belief.
A. No Federal appropriated funds have been paid or will be paid by or on behalf of the undersigned to any person for influencing or
attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an
employee or a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the
making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment,
or modification of any Federal contract,grant, loan, or cooperative agreement.
B. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee or a
Member of Congress in connection with this Federal contract,grant, loan,or cooperative agreement,the undersigned shall complete
and submit Standard Form-LLL Disclosure of Lobbying Activities, in accordance with its instructions.
C. The undersigned shall require that the language of this certification prohibiting lobbying be included in the award documents for all
subawards at all tiers(including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements)and that
all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into
this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject
to a civil penalty of not less than $10,000 and not more than$100,000 for each such failure.
D. As required by Executive Order 12549, Debarment and Suspension, and implemented at 28 C.F.R. Part 67, for prospective
participants in primary covered transactions,as defined at 28 C.F.R. Part 67,Section 67.510.(Federal Certification),the Subrecipient
certifies that it and its principals and vendors:
1. Are not debarred,suspended, proposed for debarment, declared ineligible, sentenced to a denial of Federal benefits by a
State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency. Subrecipient
can access debarment information by going to www.sam.qov and the State Debarred Vendor List at:_
www.window.state.tx.us/procurementlproq/vendor performance/debarred.
2. Have not within a three-year period preceding this Grant been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal,
State, or local)transaction or contract under a public transaction, violation of Federal or State antitrust statutes or commission
of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen
property;
a Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity(Federal, State, or local)with
commission of any of the offenses enumerated in paragraph(D)(2)of this certification;
4 Have not within a three-year period preceding this Grant had one or more public transactions(Federal, State, or local)
terminated for cause or default; or
5 Where Subrecipient is unable to certify to any of the statements in this certification, he or she shall attach an explanation to
this Grant. (Federal Certification).
E. Federal funds will be used to supplement existing funds, and will not replace (supplant)funds that have been appropriated for the
same purpose. Subrecipient may be required to supply documentation certifying that a reduction in non-federal resources occurred
for reasons other than the receipt or expected receipt of federal funds.
F. Subrecipient will comply with 2 C.F.R. Part 180, Subpart C as a condition of receiving grant funds and Subrecipient will require such
compliance in any subgrants or contract at the next tier.
G. Subrecipient will comply with the Drug-free Workplace Act, in Subpart B of 2 C.F.R. Part 3001.
K Subrecipient is not delinquent on any Federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit
disallowances,and benefit overpayments. See OMB Circular A-129 and form SF-424, item number 17 for additional information and
guidance.
Page 12 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
I. Subrecipient will comply with all applicable requirements of all other federal laws, executive orders, regulations, program and
administrative requirements, policies and any other requirements governing this Grant.
J. Subrecipient understands that failure to comply with any of the above assurances may result in suspension,termination or
reduction of funds in this Grant.
Page 13 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
EXHIBIT D
State of Texas Assurances
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. Shall comply with Texas Government Code,Chapter 573, by ensuring that no officer,employee, or member of the Subrecipient's governing
body or of the Subrecipient's contractor shall vote or confirm the employment of any person related within the second degree of affinity or
the third degree of consanguinity to any member of the governing body or to any other officer or employee authorized to employ or supervise
such person. This prohibition shall not prohibit the employment of a person who shall have been continuously employed for a period of two
years, or such other period stipulated by local law, prior to the election or appointment of the officer,employee,or governing body member
related to such person in the prohibited degree.
2. Shall insure that all information collected, assembled, or maintained by the Subrecipient relative to a project will be available to the public
during normal business hours in compliance with Texas Government Code,Chapter 552, unless otherwise expressly prohibited by law.
3. Shall comply with Texas Government Code, Chapter 551,which requires all regular, special, or called meetings of governmental bodies to
be open to the public,except as otherwise provided by law or specifically permitted in the Texas Constitution.
4. Shall comply with Section 231.006,Texas Family Code,which prohibits payments to a person who is in arrears on child support payments.
5. Shall not contract with or issue a license, certificate, or permit to the owner, operator, or administrator of a facility if the Subrecipient is a
health, human services,public safety, or law enforcement agency and the license, permit,or certificate has been revoked by another health
and human services agency or public safety or law enforcement agency.
6. Shall comply with all rules adopted by the Texas Commission on Law Enforcement pursuant to Chapter 1701, Texas Occupations Code, or
shall provide the grantor agency with a certification from the Texas Commission on Law Enforcement that the agency is in the process of
achieving compliance with such rules if the Subrecipient is a law enforcement agency regulated by Texas Occupations Code,Chapter 1701.
7. Shall follow all assurances.When incorporated into a grant award or contract, standard assurances contained in the application package
become terms or conditions for receipt of grant funds.Administering state agencies and subrecipients shall maintain an appropriate contract
administration system to insure that all terms, conditions, and specifications are met. (See UGMS Section_.36 for additional guidance on
contract provisions).
8. Shall comply with the Texas Family Code, Section 261.101, which requires reporting of all suspected cases of child abuse to local law
enforcement authorities and to the Texas Department of Child Protective and Regulatory Services. Subrecipient shall also ensure that all
program personnel are properly trained and aware of this requirement.
9. Shall comply with all federal statutes relating to nondiscrimination.These include but are not limited to: (a)Title VI of the Civil Rights Act of
1964(P.L.88-352),which prohibits discrimination on the basis of race,color,or national origin;(b)Title IX of the Education Amendments of
1972, as amended (20 U.S.C. §§1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the
Rehabilitation Act of 1973, as amended(29 U.S.C. §794),which prohibits discrimination on the basis of handicaps and the Americans with
Disabilities Act of 1990 including Titles I, II, and III of the Americans with Disability Act which prohibits recipients from discriminating on the
basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain
testing entities, 44 U.S.C. §§ 12101-12213; (d)the Age Discrimination Act of 1974, as amended (42 U.S.C. §§6101-6107),which prohibits
discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255). as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment, and
Rehabilitation Act of 1970(P.L.91-616), as amended, relating to the nondiscrimination on the basis of alcohol abuse or alcoholism; (g)
§§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§290dd-3 and 290ee-3), as amended, relating to confidentiality of
alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental,or financing of housing; (i)any other nondiscrimination provisions in the specific statute(s)under which
application for Federal assistance is being made; and(j)the requirements of any other nondiscrimination statute(s)which may apply to this
Grant.
10. Shall comply, as applicable,with the provisions of the Davis-Bacon Act(40 U.S.C. §§276a to 276a-7), the Copeland Act(40 U.S.C. §276c
and 18 U.S.C.§874),and the Contract Work Hours and Safety Standards Act(40 U.S.C.§§327-333),regarding labor standards for federally
assisted construction subagreements.
11. Shall comply with requirements of the provisions of the Uniform Relocation Assistance and Real Property Acquisitions Act of 1970(P.L.91-
646), which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally
assisted programs.These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation
in purchases.
12. Shall comply with the provisions of the Hatch Political Activity Act(5 U.S.C. §§7321-29),which limit the political activity of employees whose
principal employment activities are funded in whole or in part with Federal funds.
13. Shall comply with the minimum wage and maximum hours provisions of the Federal Fair Labor Standards Act and the Intergovernmental
Personnel Act of 1970,as applicable.
Page 14 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
14. Shall insure that the facilities under its ownership, lease, or supervision which shall be utilized in the accomplishment of the project are not
listed on the Environmental Protection Agency's(EPA)list of Violating Facilities and that it will notify the Federal grantor agency of the receipt
of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under
consideration for listing by the EPA(EO 11738).
15. Shall comply with the flood insurance purchase requirements of Section 102(a)of the Flood Disaster Protection Act of 1973, Public Law 93-
234. Section 102(a)requires the purchase of flood insurance in communities where such insurance is available as a condition for the receipt
of any Federal financial assistance for construction or acquisition proposed for use in any area that has been identified by the Secretary of
the Department of Housing and Urban Development as an area having special flood hazards.
16. Shall comply with environmental standards which may be prescribed pursuant to the following:(a)institution of environmental quality control
measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order(EO) 11514; (b) notification of violating
facilities pursuant to EO 11738;(c)protection of wetlands pursuant to EO 11990;(d)evaluation of flood hazards in floodplains in accordance
with EO 11988; (e) assurance of project consistency with the approved state management program developed under the Coastal Zone
Management Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of federal actions to State (Clear Air) Implem entation Plans under
Section 176(c)of the Clear Air Act of 1955,as amended(42 U.S.C. §§7401 et seq.); (g)protection of underground sources of drinking water
under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); and (h) protection of endangered species under the Endangered
Species Act of 1973, as amended(P.L. 93-205).
17. Shall comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§1271 et seq.) related to protecting components or potential
components of the national wild and scenic rivers system.
18. Shall assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966,as amended(16
U.S.C. §470), EO 11593(identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974
(16 U.S.C.§§469a-1 et seq.).
19. Shall comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. §§2131 et seq.) which requires the
minimum standards of care and treatment for vertebrate animals bred for commercial sale, used in research, transported commer cially, or
exhibited to the public according to the Guide for Care and Use of Laboratory Animals and Public Health Service Policy and Government
Principals Regarding the Care and Use of Animals.
20. Shall comply with the Lead-Based Paint Poisoning Prevention Act(42 U.S.C.§§4801 et seq.)which prohibits the use of lead-based paint in
construction or rehabilitation of residential structures.
21. Shall comply with the Pro-Children Act of 1994(Public Law 103-277),which prohibits smoking within any portion of any indoor facility used
for the provision of services for children.
22. Shall comply with all federal tax laws and are solely responsible for filing all required state and federal taxforms.
23. Shall comply with all applicable requirements of all other federal and state laws, executive orders, regulations, and policies governing this
program.
24. And its principals are eligible to participate and have not been subjected to suspension, debarment,or similar ineligibility determined by any
federal,state,or local governmental entity and it is not listed on a state or federal government's terrorism watch list as described in Executive
Order 13224. Entities ineligible for federal procurement have Exclusions listed athttps://www.sam.gov/portal/public/SAM/.
25. Shall adopt and implement applicable provisions of the model HIV/AIDS work place guidelines of the Texas Department of Health as required
by the Texas Health and Safety Code,Ann., Sec. 85.001, et seq.
Page 15 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
EXHIBIT E
Environmental Review
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. shall assess its federally funded projects for potential impact to environmental resources and historic properties.
2. shall submit any required screening form(s) as soon as possible and shall comply with deadlines established by DPS/TDEM.
Timelines for the Environmental Planning and Historic Preservation(EHP)review process will vary based upon the complexity of the
project and the potential for environmental or historical impact.
3. shall include sufficient review time within its project management plan to comply with EHP requirements. Initiation of any activity prior
to completion of FEMA's EHP review will result in a non-compliance finding and DPS/TDEM will not authorize or release Grant funds
for non-compliant projects.
4. as soon as possible upon receiving this Grant,shall provide information to DPS/TDEM to assist with the legally-required EHP review
and to ensure compliance with applicable EHP laws and Executive Orders (EO) currently using the FEMA EHP Screening Form
OMB Number 1660-0115/FEMA Form 024-0-01 and submitting it,with all supporting documentation,to DPS/TDEM for review.These
EHP requirements include but are not limited to the National Environmental Policy Act, the National Historic Preservation Act, the
Endangered Species Act, EO 11988—Floodplain Management, EO 11990—Protection of Wetlands,and EO 12898—Environmental
Justice. Subrecipient shall comply with all Federal, State, and local EHP requirements and shall obtain applicable permits and
clearances.
5. shall not undertake any activity from the project that would result in ground disturbance,facility modification, or purchase and use of
sonar equipment without the prior approval of FEMA. These include but are not limited to communications towers, physical security
enhancements involving ground disturbance, new construction, and modifications to buildings.
6. shall comply with all mitigation or treatment measures required for the project as the result of FEMA's EHP review. Any changes to
an approved project description will require re-evaluation for compliance with EHP requirements before the project can proceed.
7. if ground disturbing activities occur during project implementation, Subrecipient shall ensure monitoring of ground disturbance and if
any potential archeological resources are discovered,Subrecipient shall immediately cease construction in that area and notify FEMA
and the appropriate State Historical Preservation Office.
Page 16 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
EXHIBIT F
Additional Grant Conditions
1. Additional damage requiring a new Public Assistance project to be written must be reported within 60 days
following the Project Scoping meeting with the State- Federal team.
2. All work must be done prior to the approved project completion deadline assigned to each Project (POP).
Should additional time be required, a time extension request must be submitted which: a.) Identifies the
projects requiring an extension. b.) Explains the reason for an extension. c.) Indicates the percentage of work
that has been completed. d.) Provides an anticipated completion date. The reason for an extension must be
based on extenuating circumstances or unusual project requirements that are beyond the control of your
jurisdiction/organization. Failure to submit a time extension request 60 days prior to the end of the
period of performance may result in reduction or withdrawal of federal funds for approved work.
3. Any significant change to a project's approved Scope of Work must be reported and approved through TDEM
and FEMA before starting the project. Failure to do so will jeopardize grant funding. The Subrecipient shall
submit requests for cost overruns requiring additional obligations to TDEM, who will forward to FEMA for
review and approval prior to incurring costs.
4. The Project Completion and Certification Report must be submitted to TDEM within 60 days of all approved
work being completed for each project. If any project requires the purchase of insurance as a condition of
receiving federal funds, a copy of the current policy must be attached to this report, or Duplication of Benefits
form certifying other funds were received to complete the project.
5. A cost overrun appeal on small ($128,900) Public Assistance projects must be reported to the Texas Division
of Emergency Management (TDEM) within 60 days of completing the last small project in order to be
considered for additional funding.
6. Appeals may be filed on any determination made by FEMA or TDEM. All appeals must be submitted to TDEM
within 60 days from receiving written notice of the action you wish to appeal. Should you wish to appeal a
determination contained in the project application, the 60 days will start the day the application is signed.
Appeals for Alternative Projects will be subject to the terms of the signed agreement for the Alternative
Project.
7. Public Assistance program projects will not receive funding until all of the requirements identified in the
comments section of the Project Worksheet are met.
8. You may request a payment of funds on projects by initiating a Request for Reimbursement(RFR) in TDEM's
Grant Management System (GMS) or an Advance of Funds Request (AFR), and including documentation
supporting your request. Small Public Assistance projects are paid upon obligation and will be initiated by
TDEM personnel. Payments for open projects must be requested at least quarterly if expenditures have been
made in that quarter.
9. Subrecipients will be required to submit quarterly project reports (QPR)for open large projects using TDEM's
GMS. Your assigned Grant Coordinator will coordinate the due date for your specific reporting. Public
Assistance program small projects are typically exempt from quarterly reporting, however TDEM reserves
the right to require QPRs on any smalls requiring a POP extension. The first quarterly report will be due at
the end of the first full quarter following the quarter in which the project was obligated. No quarterlies are
required for projects that Subrecipient has initiated a closeout request and has provided a certificate of
completion. Failure to submit required quarterly reports for two or more quarters can result in withholding or
deobligation of funding for Subrecipients until all reports are submitted and up-to-date.
Page 17 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
10.Subrecipients expending $750,000 or more in total Federal financial assistance in a fiscal year will be
required to provide an audit made in accordance with OMB Uniform Guidance; Cost Principles, Audit, and
Administrative Requirements for Federal Awards, Subpart F. A copy of the Single Audit must be submitted
to your cognizant State agency or TDEM within nine months of the end of the subrecipient's fiscal year.
Consult with your financial officer regarding this requirement. If not required to submit a single audit, a letter
must be sent to TDEM certifying to this.
11.Subrecipients will not make any award to any party which is debarred or suspended, or is otherwise excluded
from participation in the Federal assistance programs(E0 12549, Debarment and Suspension). Subrecipient
must maintain documentation validating review of debarment list of eligible contractors.
12.Subrecipients must keep record of equipment acquired by federal funds for the life cycle of the equipment.
A life cycle for most equipment will be three years, but could be longer. If the fair market value of a piece of
equipment is valued over $5,000, FEMA will have the right to a portion of proceeds if equipment is sold. If
the fair market value of a piece of equipment is less than $5,000, the property can either be retained, sold or
designated as surplus with no further obligation to FEMA.
13.TDEM will be using the new FEMA Public Assistance Delivery Model to facilitate the writing of project
worksheets (Portal). Subrecipient will be responsible for establishing and maintaining an active account in
the Portal and to provide and upload timely, all information requested that is needed to write accurate project
worksheets. The Portal will provide the Subrecipient visibility of the entire project writing process.
14.TDEM will be using its new Grant Management System (GMS)for Subrecipient grant management functions.
Subrecipient will access GMS to initiate Requests for Reimbursements (RFR), Advance of Funds Requests
(AFR), Time Extensions, Scope and Cost changes requests, Quarterly Reports, Project Closeouts, Appeals,
and other items deemed necessary by TDEM. Requested forms and processes may be adjusted and
changed to accommodate GMS processes and requirements. Subrecipient agrees to monitor GMS as
necessary to properly manage and complete awarded projects under this agreement.
16.2 CFR 200.210(a)(15), 2 CFR 200.331(a)(1)(xiii) and (a)(4) make reference to indirect cost rates. The
Subrecipient may use the negotiated Indirect Cost Rate approved by its cognizant agency, or may use the
10% de minimis rate of modified total direct costs (MTDC) (as per § 200.414) when receiving Management
Costs.
Page 18 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
EXHIBIT G
Additional Grant Certifications
IlAatrh rcrtifir,+inn
Subrecipient certifies that it has the ability to meet or exceed the cost share required for all subawards(Projects)
and amendments(versions)under this Grant Agreement.
rh nlir�+inn of Prnnrarn Ctn+nmcnt
Subrecipient certifies there has not been, nor will there be, a duplication of benefits for this project.
Match Certification
Federal Debt Disclosure
Subrecipient certifies that it is not delinquent on any Federal Debt.
For Hazard Mitigation Proiects Only:
f1ASin+nmmnrc Anrncmcn+
Applicant certifies that if there is a Maintenance Agreement needed for this facility copy of that agreement will be
provided to TDEM.
Fnuirnmmcintal la etiry C+atcmcn+
Federal Executive Order 12898 compliance requirements—If there are any concentrations of low income or
minority populations in or near the HMGP project:
1. Applicant certifies that the HMGP project result will not result in a disproportionately high or adverse effect on
low income or minority populations.
OR
2. Applicant certifies that action will be taken to ensure achievement of environmental justice for low income and
minority populations related to this HMGP project.
Page 19 of 20
TDEM—April 2019
Request for Information and Documentation Policy and
Guideline
It is crucial to the success of the overall Grant Program and to the timely completion and closure of
awarded projects that timelines be established for providing information and documentation. TDEM
has developed a framework to support this endeavor following a progressive series of communications
for the Subrecipient(RFI).TDEM will work with you throughout the RFI process as communication is the
key to your success.
RFI Timelines
First Informal Request The primary contact for the Subrecipient will receive the RFI via email
with five business days to respond.
Second Informal Request A second email to the primary contact will be sent with an additional
five business days to respond.
Third Informal Request A phone call will be made to the primary contact with a third email
requesting the information to be provided within five business days.
The Regional Section Administrator and State Coordinator will be
copied.
Fourth Formal Request The Supervising Program Director of Recovery will issue a certified letter
to the highest ranking official highlighting previous requests and an
additional ten days to provide the requested information.
Final Formal Request A final request by certified letter will be issued by the Deputy Assistant
Director of Recovery, Mitigation, and Standards, or the Assistant
Director of the Texas Division of Emergency Management to the highest
ranking official giving the final ten business days to respond or
deobligation of the project will begin.
Final Action If the RFI is not sufficiently answered,the project will be deobligated,
and any previously paid funds must be returned to TDEM.
Reference: RMS Services Grant Program Request for Information and Documentation August 2017
GRANT TERMS AND CONDITIONS
Please initial by each Exhibit, acknowledging you have received them, understand them, and
agree to abide by them.
Assurances— Non-Construction Programs, hereinafter referred to as "Exhibit A"
Assurances—Construction Programs, hereinafter referred to as "Exhibit B"
Certifications for Grant Agreements, hereinafter referred to as "Exhibit C"
State of Texas Assurances, hereinafter referred to as "Exhibit D"
Environmental Review Certification, hereinafter referred to as "Exhibit E"
Additional Grant Conditions, hereinafter referred to as "Exhibit F"
Additional Grant Certifications, hereinafter referred to as "Exhibit G"
Request for Information and Documentation referred to as "Exhibit H"
Please sign below to acknowledged acceptance of the grant and all exhibits in
this agreement, and to abide by all terms and conditions.
Signature of Certifying Official Date
Printed Name and Title
Page 20 of 20
TDEM—April 2019
127
,.,0,1 ,, U.S.Department of Homeland Security
' -a FEMA Federal Emergency Management Agency
7Regi_
......_..)
on 6 Environmental and Historic Preservation
800 North Loop 288
-1vr)sc.' Denton,TX 76209
EHP Phase I Considerations:
City of Port Arthur Port Acres Drainage
HMGP-DR-4332-TX Project #33
• SHPO response. If the applicant has not sent this project to the SHPO for review, FEMA requests that they do
so and provide us with the SHPO response.
• If any waters of the US or wetlands will be affected by the project, applicant should obtain any permits from
USACE during Phase I.
• SOW clarification:Are the relief outfall storm sewers along 63rd,64th,65th,66th,and 67th streets,and
Garnet Avenue,Susie Street,Anne Street,and Jade Avenue new installations or replacements/improvements
to existing infrastructure in the same utility corridor?
• Note that FEMA will consult with tribes as needed on this project and will do so upon receipt of Phase I
deliverables.
Page 1 of 1
EXHIBIT "C"
Lake Arthur Detention Facilities—Phase 1
TEXAS DEPARTMENT OF PUBLIC SAFETY
5805 N LAMAR BLVD• BOX 4087•AUSTIN,TEXAS 78773-0001
~ 512/424-2000
gg www.dps.texas.gov
STEVEN C.McCRAW COMMISSION
DIRECTOR STEVEN P.MACH,CHAIRMAN
SKYLOR HEARN k CYNTHIA LEON
FREEMAN F.MARTIN JASON K.PULUAM
RANDALL B.PRINCE
DEPUTY DIRECTORS
June 24, 2019
Ms. Rebecca Underhill
City Manager
City of Port Arthur
444 4th Street
Port Arthur, TX 77640
rebecca.underhill@portarthurtx.gov
RE: Phase I Sub-Grant Award
Dear Ms. Underhill,
The Texas Division of Emergency Management (TDEM) has issued a sub-grant for the
Hazard Mitigation Grant Program (HMGP), DR-4332, Hurricane Harvey. The following is the
information related to this award:
Sub-Recipient Information:
DUNS Number: 137134909
TINS Number: 74-60018850
FIPS Number: 245-58820-00
Award Information:
Catalog of Federal Domestic Assistance: 97-039
FEMA Project Number: DR-4332-0032
Project Title: Lake Arthur Detention Facilities - Phase I
Period of Performance (POP): May 31, 2019 to May 31, 2020
Total Federal Federal Local Cost Local Cost
Version / Date Subgrant Cost Share Cost Share Share
Amendment Amount Percentage Share Percentage Amount
Amount
0 5/31/2019 $725,780.00 75% $544,335.00 25% $181,445.00
Please Note: This award is not for research or development as defined in 2 Code of
Federal Regulations (C.F.R.) § 200.87.
EQUAL OPPORTUNITY EMPLOYER
COURTESY•SERVICE•PROTECTION
Page 2 DR-4332-0032 Award Letter
The approved Scope of Work (SOW) is below and the terms and conditions of this award
are attached. It is important that the sub-recipient read, understand and comply with the
SOW and all terms and conditions. It is also vital that this information be disseminated to
sub-recipient's staff and contractors involved in work related to this project.
The sub-recipient shall deliver to TDEM the following for review and comment:
• Scope of Work (SOW) for Phase II Construction.
• Final Engineering and Design.
• H&H Study with Calculations.
• Complete set of Signed and Sealed Construction Plan (100%).
• Revised Budget estimate.
• Benefit Cost Analysis (BCA) zip file based on the H&H Study with support
documents.
• Environmental Assessment, if applicable (over 25 acres of ground is disturbed).
- If the USACE prepares an EA for its permit of the project, there is an opportunity
for FEMA to adopt that EA and a separate EA won't be required.
• Principles Requirement and Guidelines (PRG) analysis.
- Can be incorporated into the EA if one is prepared.
• United States Army Corps of Engineers (USACE) Permit.
• State Historic Preservation Office (SHPO) response for Phase II Scope of Work.
After acceptance of the Phase I deliverables, you may receive notification and funding to
proceed with Phase II of the project.
Signing and returning this award letter indicates sub-recipient's acceptance of the scope of
work of the sub-award, the ability to pay the local cost share and all grant terms and
conditions outlined in the attached documents.
The sub-recipient must ensure that:
1. The initial quarterly progress report for the project is submitted at the end of the
approving quarter. Please include the project number (provided above) in your
future quarterly reports. Note that 44 C.F.R. § 206.438(c) indicates the State must
provide a quarterly progress report to FEMA indicating the status and completion
date for each project funded. The report must include any problems or
circumstances affecting completion dates, SOW, or project cost that may result in
non-compliance with the approved grant conditions.
2. In accordance with HMGP rules and policy, TDEM requires the submittal of all
closeout documentation within 90-days of the project completion not to exceed the
POP. The Governor's Authorized Representative (GAR) "shall certify that reported
costs were incurred in the performance of eligible work, that the approved work was
completed and that the mitigation measure is in compliance with the provisions of
the FEMA-State Agreement" in accordance with 44 C.F.R. § 206.438(d).
EQUAL OPPORTUNITY EMPLOYER
COURTESY•SERVICE•PROTECTION
Page 3 DR-4332-0032 Award Letter
If changes are needed to the SOW for the sub-award, period of performance or costs
associated to the sub-award, the sub-recipient should immediately contact TDEM. No
change to the sub-award will be considered approved until the sub-recipient is notified in
writing by TDEM.
This signed and dated award letter must be returned to TDEM before payment on the sub-
award can be processed. Please sign, date, and return this award letter acknowledging
acceptance of this sub-award and agreement to abide by all terms and conditions to the
address below:
Texas Division of Emergency Management
1033 La Posada Dr.
Suite 150
Austin, TX 78752
Rebecca Underhill, City Manager Date
Should you wish to appeal any determination related to this sub-award you must do so within
60 days of receipt of the notice of the action. You will need to provide your appeal with any
documentation supporting your position to your assigned TDEM project officer within the
allotted time.
If you have any questions please contact your Grant Coordinator, Terrell Kincaid at 512-
437-4055 or terrell.kincaid[a�dps.texas.gov.
Respectfully,
Nim Kidd, CEM®,TEM°
Chief, Texas Division of Emergency Management
N K/tk
ATTACHMENTS: Grant Terms and Conditions
cc: Ron Burton, Assistant City Manager
Kandy Daniel, Director of Finance
Craig Taffaro, Ardurra Group Recovery Specialist
EQUAL OPPORTUNITY EMPLOYER
COURTESY•SERVICE•PROTECTION
GRANT TERMS AND CONDITIONS
This Grant Agreement (consisting of these terms and conditions and all exhibits) is made and
entered into by and between the Department of Public Safety (DPS)/Texas Division of
Emergency Management (TDEM), an agency of the State of Texas, hereinafter referred to as
"DPS/TDEM," and the grant recipient,
hereinafter referred to as the"Subrecipient." Furthermore, DPS/TDEM and the Subrecipient are
collectively hereinafter referred to as the "Parties."All subawards made under this grant
agreement are subject to the same terms and conditions below.
Subrecipient may not assign or transfer any interest in this Grant without the express, prior
written consent of TDEM and DHS/FEMA.
a. The term Recipient and pass-through entity have the same meaning as "Grantee," as used in
governing statutes, regulations, and DHS/FEMA guidance.
b. A Recipient is also a "non-federal entity"for grants administration purposes.
c. A Subrecipient is also known as a "SubGrantee" as used in governing statutes regulations
and DHS/ FEMA guidance.
d. A Subrecipient is also a "non-federal entity"for grants administration purposes.
e. The "Grant" referred to in this agreement is a subgrant to the Subrecipient passed thru from
DPS/TDEM to the Subrecipient.
f. Certifying Official will be the Mayor, Judge, or Executive Director authorized to execute these
grant terms and conditions, and to submit changes of Subrecipient Agents.
f. Projects and any subsequent versions for those projects accepted by the Subrecipient and
subsequently obligated or deobligated by DHS/FEMA are considered subawards to this grant
agreement.
A. Standard of Performance. Subrecipient shall perform all activities as approved by TDEM.
Any change to a project shall receive prior written approval by TDEM and, if required, by
FEMA. Subrecipient shall perform all activities in accordance with all terms, provisions and
requirements set forth in this Grant, including but not limited to the following Exhibits:
1. Assurances— Non-Construction Programs, hereinafter referred to as "Exhibit A"
2. Assurances— Construction Programs, hereinafter referred to as "Exhibit B"
3. Certifications for Grant Agreements, hereinafter referred to as "Exhibit C"
4. State of Texas Assurances, hereinafter referred to as "Exhibit D"
5. Environmental Review Certification, hereinafter referred to as "Exhibit E"
6. Additional Grant Conditions, hereinafter referred to as "Exhibit F"
7. Additional Grant Certifications, hereinafter referred to as "Exhibit G"
8. Request for Information and Documentation referred to as "Exhibit H"
B. Failure to Perform. In the event Subrecipient fails to implement and complete the project(s)
approved and awarded, or comply with any provision of this Grant, Subrecipient shall be liable
to DPS/TDEM for an amount not to exceed the award amount of this Grant and may be barred
from applying for or receiving additional DHS/FEMA grant program funds
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GRANT TERMS AND CONDITIONS
or any other grant program funds administered by DPS until repayment to DPS/TDEM is made
and any other compliance or audit finding is satisfactorily resolved, in addition to any other
remedy specified in this Grant. Failure to timely implement and complete projects may reduce
future funding in additional DHS/FEMA and/or other grant programs administered by DPS.
C. Funding Obligations. DPS/TDEM shall not be liable to Subrecipient for any costs incurred
by Subrecipient that are not allowable costs.
1. Notwithstanding any other provision of this Grant, the total of all payments and other
obligations incurred by DPS/TDEM under this Grant shall not exceed the total cumulative
award amounts listed on the Subawards (projects and subsequent versions).
2. Subrecipient shall contribute the match funds listed on the subaward.
Subrecipient shall refund to DPS/TDEM any sum of these Grant funds that has been
determined by DPS/TDEM or DHS/FEMA to be an overpayment to Subrecipient or that
DPSITDEM determines has not been spent by Subrecipient in accordance with this Grant. No
refund payment(s) shall be made from local, state or federal Grant funds unless repayment
with Grant funds is specifically permitted by statute or regulation. Subrecipient shall make
such refund to DPS/TDEM within thirty (30) calendar days after DPS/TDEM requests such
refund
D. Performance Period. The performance period for this Grant is listed on the subaward letter
for each project. All nroiects shall be completed within the performance period AND all
reimbursement reauests shall be submitted to TDEM within 60 days of the end of the
performance period. Subrecipient shall have expended all Grant funds and submitted
reimbursement requests, invoices and any supporting documentation to DPS/TDEM within
60 days of the end of the performance period. DPS/TDEM shall not be obligated to
reimburse expenses incurred after the performance period or submitted after the deadline.
E. Uniform Administrative Reauirements. Cost Principals and Audit Reauirements. Except
as specifically modified by law or this Grant, Subrecipient shall administer this Grant through
compliance with the most recent version of all applicable laws and regulations, including but
not limited to DHS program legislation, Federal awarding agency regulations, and the terms
and conditions of this Grant. A non-exclusive list is provided below[not all may apply in every
projects]:
• Public Law 93-288, as amended (Stafford Act)
• 44 CFR, Emergency Management and Assistance
• Disaster Mitigation Act of 2000
• OMB Regulations 2 CFR, Grant and Agreements
• Executive Order 11988, Floodplain Management
• Executive Order 11990, Protection of Wetlands
• Executive Order 12372, Intergovernmental Review of Programs and Activities
• Executive Order 12549, Debarment and Suspension
• Executive Order 12612, Federalism
• Executive Order 12699, Seismic Design
• Executive Order 12898, Environmental Justice
• Coastal Barrier Resources Act, Public Law 97-348
• Single Audit Act, Public Law 98-502
• Sandy Recovery Improvement Act publications
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GRANT TERMS AND CONDITIONS
• 16 U.S.C. § 470, National Historic Preservation Act
• 16 U.S.C. § 1531, Endangered Species Act References
• FEMA program publications, guidance and policies
F. State Requirements for Grants. Subrecipient shall comply with all other federal, state, and
local laws and regulations applicable to this Grant including but not limited to the laws and
the regulations promulgated in Texas Government Code, Chapter 783, Uniform Grant and
Contract Management, (UGMS) at:_
http://www.window.state.tx.us/procurement/catrad/uqms.pdf
and the program State Administrative Plan, available at:
http://www.txdps.state.tx.us/dem/GrantsResources/index.htm.
Subrecipient shall, in addition to the assurances and certifications, comply and require each
of its subcontractors employed in the completion of the project to comply with all applicable
statutes, regulations, executive orders, OMB circulars, terms and conditions of this Grant and
the approved application.
Grant funds may not be awarded to or expended by any entity which performs political polling.
This prohibition does not apply to a poll conducted by an academic institution as part of the
institution's academic mission that is not conducted for the benefit of a particular candidate or
party.
Grant funds may not be expended by a unit of local government unless the following
limitations and reporting requirements are satisfied:
1. Texas General Appropriations Act, Art. IX, Parts 2 and 3, except there is no
requirement for increased salaries for local government employees;
2. Texas Government Code Sections 556.004, 556.005, and 556.006, which prohibits
using any money or vehicle to support the candidacy of any person for office,
influencing positively or negatively the payment, loan, or gift to a person or political
organization for a political purpose, and using Grant funds to influence the passage or
defeat of legislation including not assisting with the funding of a lobbyist, or using Grant
funds to pay dues to an organization with a registered lobbyist;
3. Texas Government Code Sections 2113.012 and 2113.101, which prohibits using
Grant funds to compensate any employee who uses alcoholic beverages on active
duty and Subrecipient may not use Grant funds to purchase an alcoholic beverage
and may not pay or reimburse any travel expense for an alcoholic beverage;
4. Texas General Appropriations Act, Art. IX, Section 6.13, which requires Subrecipient
to make every effort to attain key performance target levels associated with this Grant,
including performance milestones, milestone time frames, and related performance
reporting requirements; and
5. General Appropriations Act, Art. IX, Sections 7.01 and 7.02, and Texas Government
Code §2102.0091, which requires that this Grant may only be expended if
Subrecipient timely completes and files its reports.
G. Restrictions and General Conditions.
1. Use of Funds. DHS/FEMA Grant funds may only be used for the purposes set forth in this
Grant, and shall be consistent with the statutory authority for this Grant. Grant funds may
not be used for matching funds for other Federal grants/cooperative agreements, lobbying,
or intervention in Federal regulatory or adjudicatory proceedings. In addition,
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GRANT TERMS AND CONDITIONS
Federal funds may not be used to sue the Federal government or any other government
entity.
2. Federal Employee Prohibition. Federal employees are prohibited directly benefiting from
any funds under this Grant.
3. Points of Contacts. Within 10 calendar days of any change, Subrecipient shall notify
DPS/TDEM of any change in designated of Subrecipient Agents as submitted during the
execution of this agreement, and any subsequent changes submitted by Subrecipient. In
the event a Subrecipient hires a consultant to assist them with managing its Public
Assistance grants, they must be listed on the Designated Subrecipient Agent Form. TDEM
will direct all correspondence to the Subrecipient but will cc: the consultant on all email
exchanges. The Subrecipient will be responsible for sharing written communications with
the consultant. The Subrecipient will remain the primary point of contact and must be
included in all decision making activities.
4. DUNS Number. Subrecipient confirms its Data Universal Numbering Systems (DUNS)
Number is accurate and is registered on Sams.gov. The DUNS Number is the nine digit
number established and assigned by Dun and Bradstreet, Inc., at 866/705-5711 or
http://fedqov.dnb.com/webform
5. Central Contractor Registration and Universal Identifier Requirements. Subrecipient
maintains that it has registered on the System for Award Management (SAM) at
www.sam.gov or other federally established site for contractor registration, and entered
DPS/TDEM-required information. Subrecipient shall keep current, and then review and
update the information at least annually. Subrecipient shall keep information current in the
SAM database until the later of when it submits this Grant's final financial report or receives
final Grant award payment. Subrecipient agrees that it shall not make any subaward
agreement or contract related to this Grant without first obtaining the vendor/subawardee's
mandatory DUNS number. See Section §200.32 of OMB 2 C.F.R.
6. Reporting Total Compensation of Subrecipient Executives. 2 C.F.R. §200.331; see FEMA
Information Bulletin 350.
a. Applicability and what to report: Subrecipient shall report whether Subrecipient
received $25 million or more in Federal procurement contracts or financial assistance
subject to the Transparency Act per 2 C.F.R. §200.331. Subrecipient shall report
whether 80% or more of Subrecipient's annual gross revenues were from Federal
procurement contracts or Federal financial assistance. If Subrecipient answers "yes"
to both questions, Subrecipient shall report, along with Subrecipient's DUNS number,
the names and total compensation (see 17 C.F.R. §229.402(c)(2)) for each of
Subrecipient's five most highly compensated executives for the preceding completed
fiscal year.
b. Where and when to report: Subrecipient shall report executive total compensation at
www.sam.gov or other federally established replacement site. By signing this Grant,
Subrecipient certifies that, if required, Subrecipient's jurisdiction has already
registered, entered the required information, and shall keep information in the SAM
database current, and update the information at least annually for each year until the
later of when the jurisdiction submits its final financial report or receives final payment.
Subrecipient agrees that it shall not make any subaward agreement or contract without
first obtaining the subawardee's mandatory DUNS number.
7. Debarment and Suspension. Subrecipient shall comply with Executive Order 12549 and
12689, which provide protection against waste, fraud, and abuse by debarring or
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GRANT TERMS AND CONDITIONS
suspending those persons deemed irresponsible in their dealings with the Federal
government.
8. Direct Deposit. A completed direct deposit form from Subrecipient shall be provided to
DPS/TDEM, prior to receiving any payments under the provisions of this grant. The direct
deposit form is currently available at grants.dps.texas.gov under Resources/Public
Assistance.
9. Property Management and Inventory. Subrecipient shall maintain property/inventory
records which, at minimum, shall include a description of the property, a serial number or
other identification number, the source of property, who holds title, the acquisition date,
the cost of the property, the percentage of Federal participation in the cost of the property,
the location, use and condition of the property, and any ultimate disposition data including
the date of disposal and sale price of the property Subrecipient shall develop and
implement a control system to prevent loss, damage or theft of property and Subrecipient
shall investigate and document any loss, damage or theft of property funded under this
Grant.
10. Site Visits. DHS/FEMA and/or DPS/TDEM, through its authorized representatives, have
the right at all reasonable times to make site visits to review project accomplishments and
management control systems and to provide such technical assistance as may be
required. If any site visit is made by DHS/FEMA on the premises of Subrecipient or a
contractor under this Grant, Subrecipient shall provide and shall require its contractors to
provide all reasonable facilities and assistance for the safety and convenience of the
government representatives in the performance of their duties. All site visits and
evaluations shall be performed in such a manner that will not unduly delay the work.
H. Procurement and Contracting.
1. Procurements. Subrecipient shall comply with all applicable federal, state, and local laws
and requirements, including but not limited to proper competitive solicitation processes
where required,for any procurement which utilizes federal funds awarded under this Grant
in accordance with 2 C.F.R. 200. 318-326 and Appendix II to Part 200 (A-C) and (E-J)
2. Contract Provisions. All contracts executed using funds awarded under this Grant shall
contain the contract provisions listed under 2 C.F.R. 200.326 and Appendix II (A), Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments.
3. Procurement activities must follow the most restrictive of Federal, State and Local
procurement regulations:
a. Procurement by micro purchase
b. Procurement by small purchase
c. Procurement by sealed bid
d. Procurement by competitive proposal
e. Procurement by non-competitive proposal, solely when the award of a contract is
unfeasible under the other methods
The State must be contacted for approval to use a noncompetitive procurement method.
Failure to follow eligible procurement methods will result in ineligible costs. Other types of
agreements for services must have State approval prior to use or execution. A copy of the
local procurement policy must be provided to the State before initial payment.
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GRANT TERMS AND CONDITIONS
The cost plus a percentage of cost and percentage of construction cost methods of
contracting are ineligible.
Must perform cost/price analysis for every procurement action in excess of the Simplified
Acquisition Threshold.
Must negotiate profit as a separate element where required.
4. Evidence of non-debarment for vendors must be documented through
http://www.sam.gov/portal/public/SAM and
http://www.window.state.tx.us/procurement/proq/vendor performance/debarred/ and
submitted for review.
5. Comply with rules related to underutilized businesses (small and minority businesses,
women's enterprises and labor surplus firms) at 2 CFR 200.321
I. Monitoring. Subrecipient will be monitored periodically by federal, state or local entities, both
programmatically and financially, to ensure that project goals, objectives, performance
requirements, timelines, milestone completion, budget, and other program-related criteria are
met.
DPS/TDEM, or its authorized representative, reserves the right to perform periodic
desk/office-based and/or on-site monitoring of Subrecipient's compliance with this Grant and
of the adequacy and timeliness of Subrecipient's performance pursuant to this Grant. After
each monitoring visit, if the monitoring visit reveals deficiencies in Subrecipient's performance
under this Grant, a monitoring report will be provided to the Subrecipient and shall include
requirements for the timely correction of such deficiencies by Subrecipient. Failure by
Subrecipient to take action specified in the monitoring report may be cause for suspension or
termination of this Grant pursuant to the Suspension and/or Termination Section herein.
J. Audit.
1. Audit of Federal and State Funds. Subrecipient shall arrange for the performance of an
annual financial and compliance audit of funds received and performances rendered under
this Grant as required by the Single Audit Act (OMB 2 C.F.R. 200.501, formerly A- 133).
Subrecipient shall comply, as applicable, with Texas Government Code, Chapter 783, the
Uniform Grant Management Standards (UGMS), the State Uniform Administrative
Requirements for Grants and Cooperative Agreements.
2. Right to Audit. Subrecipient shall give the United States Department of Homeland Security
(DHS), Federal Emergency Management Agency (FEMA), the Comptroller General of the
United States, the Texas State Auditor, DPS/TDEM, or any of their duly authorized
representatives, access to and the right to conduct a financial or compliance audit of
Grant funds received and performances rendered under this Grant. Subrecipient
shall permit DPS/TDEM or its authorized representative to audit Subrecipient's records.
Subrecipient shall provide any documents, materials or information necessary to facilitate
such audit.
3. Subrecipient's Liability for Disallowed Costs. Subrecipient understands and agrees that it
shall be liable to DPS/TDEM for any costs disallowed pursuant to any financial or
compliance audit(s) of these funds. Subrecipient further understands and agrees that
reimbursement to DPS/TDEM of such disallowed costs shall be paid by Subrecipient
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GRANT TERMS AND CONDITIONS
from funds that were not provided or otherwise made available to Subrecipient pursuant
to this Grant or any other federal contract.
4. Subrecipient's Facilitation of Audit. Subrecipient shall take such action to facilitate the
performance of such audit(s) conducted pursuant to this Section as DPS/TDEM may
require of Subrecipient. Subrecipient shall ensure that this clause concerning the authority
to audit funds received indirectly by subcontractors through Subrecipient and the
requirement to cooperate is included in any subcontract it awards.
5. State Auditor's Clause. Subrecipient understands that acceptance of funds under this
Grant acts as acceptance of the authority of the State Auditor's Office to conduct an audit
or investigation in connection with those funds. Subrecipient further agrees to cooperate
fully with the State Auditor's Office in the conduct of the audit or investigation, including
providing all records requested. Subrecipient shall ensure that this clause concerning the
State Auditor's Office's authority to audit funds and the requirement to cooperate fully with
the State Auditor's Office is included in any subgrants or subcontracts it awards.
Additionally, the State Auditor's Office shall at any time have access to and the rights to
examine, audit, excerpt, and transcribe any pertinent books, documents, working papers,
and records of Subrecipient relating to this Grant.
K. Retention and Accessibility of Records.
1. Retention of Records. Subrecipient shall follow its own internal retentaion policy, or the
state's retention policy,whichever is stricter. At a minimum, the subrecipient shall maintain
fiscal records and supporting documentation for all expenditures of this Grant's funds
pursuant to the applicable OMB 2 C.F.R. Subpart D— Post Federal Award Requirements,
§200.333-337, and this Grant. Subrecipient shall retain these records and any supporting
documentation for a minimum of three (3) years from the later of the completion of this
project's public objective, submission of the final expenditure report, any litigation, dispute,
or audit. Records shall be retained for three (3) years after any real estate or equipment
final disposition. The DHS or DPS/TDEM may direct Subrecipient to retain documents or
to transfer certain records to DHS/FEMA custody when DHS/FEMA determines that the
records possess long term retention value.
2. Access to Records. Subrecipient shall give the United States Department of Homeland
Security, the Comptroller General of the United States, the Texas State Auditor,
DPS/TDEM, or any of its duly authorized representatives, access to and the right to
examine all books, accounts, records, reports, files, other papers, things or property
belonging to or in use by Subrecipient pertaining to this Grant including records concerning
the past use of DHS/FEMA funds. Such rights to access shall continue as long as the
records are retained by Subrecipient.
L. Changes. Amendments. Suspension or Termination
1. Modification. DHS/FEMA or DPS/TDEM may modify this Grant after an award has been
made. Once notification has been made in writing, any subsequent request for funds
indicates Subrecipient's acceptance of the changes to this Grant. Any alteration, addition,
or deletion to this Grant by Subrecipient is not valid.
2. Effect of Changes in Federal and State Laws. Any alterations, additions, or deletions to
this Grant that are required by changes in federal and state laws, regulations or policy are
automatically incorporated into this Grant without written amendment to this Grant and
shall become effective upon the date designated by such law or regulation. In the event
DHS/FEMA or DPS/TDEM determines that changes are necessary to this Grant after
an award has been made, including changes to the period of performance or terms and
conditions, Subrecipient shall be notified of the changes in writing. Once notification has
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GRANT TERMS AND CONDITIONS
been made, any subsequent request for funds will indicate Subrecipient's acceptance of
the changes to this Grant.
3. Suspension. In the event Subrecipient fails to comply with any term of this Grant,
DPS/TDEM may, upon written notification to Subrecipient, suspend this Grant, in whole or
in part, withhold payments to Subrecipient and prohibit Subrecipient from incurring
additional obligations of this Grant's funds.
4. Termination. DPSITDEM shall have the right to terminate this Grant, in whole or in part, at
any time before the end of the Performance Period, if DPS/TDEM determines that
Subrecipient has failed to comply with any term of this Grant. DPS/TDEM shall provide
written notice of the termination and include:
a. The reason(s) for such termination;
b. The effective date of such termination; and
c. In the case of partial termination, the portion of this Grant to be terminated.
d. Appeal may be made to the Deputy Assistant Director of Texas Division of Emergency
Management- Recovery Mitigation and Standards, Texas Department of Public
Safety.
M. Enforcement. If Subrecipient materially fails to comply with any term of this Grant, whether
stated in a federal or state statute or regulation, an assurance, in a state plan or application,
a notice of award, or elsewhere, DPS/TDEM or DHS/FEMA may take one or more of the
following actions, as appropriate in the circumstances:
1. Increased monitoring of projects and require additional financial and performance
reports
2. Require all payments as reimbursements rather than advance payments
3. Temporarily withhold payments pending correction of the deficiency
4. Disallow or deny use of funds and matching credit for all or part of the cost of the
activity or action not in compliance;
5. Request DHS/FEMA to wholly or partially de-obligate funding for a project
6. Temporarily withhold cash payments pending correction of the deficiency by
subrecipient or more severe enforcement action by DPS/TDEM or DHS/FEMA;
7. Withhold further awards for the grant program
8. Take other remedies that may be legally available
In taking an enforcement action, DPS/TDEM will provide Subrecipient an opportunity for a
hearing, appeal, or other administrative proceeding to which Subrecipient is entitled under any
statute or regulation applicable to the action involved.
The costs of Subrecipient resulting from obligations incurred by Subrecipient during a
suspension or after termination of this Grant are not allowable unless DPS/TDEM or
DHS/FEMA expressly authorizes them in the notice of suspension or termination or
subsequently.
Other Subrecipient costs during suspension or after termination which are necessary and
not reasonably avoidable are allowable if:
• The costs result from obligations which were properly incurred by Subrecipient before the
effective date of suspension or termination, are not in anticipation of it, and in the case of
a termination, are non-cancellable; and
• The costs would be allowable if this Grant were not suspended or expired normally at the
end of the funding period in which the termination takes effects.
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GRANT TERMS AND CONDITIONS
The enforcement remedies identified in this section, including suspension and termination, do
not preclude Subrecipient from being subject to "Debarment and Suspension" under E.O.
12549. 2 C.F.R., Appendix II to Part 200, (I).
N. Conflicts of Interest. The subrecipient will maintain written standards of conduct covering
conflicts of interest and governing the actions of its employees engaged in the selection,
award and administration of contracts and will establish safeguards to prohibit employees
from using their positions for a purpose that constitutes or presents the appearance of
personal or organizational conflict of interest or personal gain.
O. Closing of this Grant. DPS/TDEM will close each subaward after receiving all required final
documentation from the Subrecipient. If the close out review and reconciliation indicates that
Subrecipient is owed additional funds, DPS/TDEM will send the final payment automatically
to Subrecipient. If Subrecipient did not use all the funds received, DPS/TDEM will recover
the unused funds.
At the completion and closure of all Subrecipient's projects (subawards), DPS/TDEM will
request the Subrecipient to Certify the completion of all projects (subawards) in accordance
of the grants terms and conditions to state there are no further claims under this subgrant.
The closeout of this Grant does not affect:
1. DHS/FEMA or DPS/TDEM's right to disallow costs and recover funds on the basis of a
later audit or other review;
2. Subrecipient's obligation to return any funds due as a result of later refunds, corrections,
or other transactions;
3. Records retention requirements, property management requirements, and audit
requirements, as set forth herein; and
4. Any other provisions of this Grant that impose continuing obligations on Subrecipient or
that govern the rights and limitations of the parties to this Grant after the expiration or
termination of this Grant.
P. Notices. All notices and other communications pertaining to this agreement shall be
delivered in electronic format and/or writing and shall be transmitted by fax, e-mail,
personal hand-delivery (and receipted for) or deposited in the United States Mail, as
certified mail, return receipt requested and postage prepaid, to the other party.
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GRANT TERMS AND CONDITIONS
EXHIBIT A
ASSURANCES - NON-CONSTRUCTION PROGRAMS See Standard Form 424B
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. Has the legal authority to apply for Federal assistance and the institutional, program and to purchase flood insurance if the total cost of insurable
managerial and financial capability(including funds sufficient to pay the non- construction and acquisition is$10,000 or more.
Federal share of project cost)to ensure proper planning,management and
completion of the project described in this Grant. 11. Will comply with environmental standards which may be prescribed pursuant
to the following:(a)institution of environmental quality control measures under
2. Will give the Department of Homeland Security, the Department of Public the National Environmental Policy Act of 1969(P.L.91-190 as amended by
Safety,the Comptroller General of the United States and,if appropriate,the 42 U.S.C.4311 et seq.and Executive Order(EO)11514)which establishes
State, through any authorized representative, access to and the right to national policy goals and procedures to protect and enhance the environment,
examine all records,books,papers,or documents related to this Grant and including protection against natural disasters.To comply with NEPA for DHS
will establish a proper accounting system in accordance with generally grant-supported activities,DHS-FEMA requires the environmental aspects to
accepted accounting standards or agency directives. be reviewed and evaluated before final action on the application; (b)
notification of violating facilities pursuant to EO 11738;
3. Will establish safeguards to prohibit employees from using their positions for (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood
a purpose that constitutes or presents the appearance of personal or hazards in floodplains in accordance with EO 11988;(e)assurance of project
organizational conflict of interest or personal gain. consistency with the approved State management program developed under
the Coastal Zone Management Act of 1972 (16 U.S.C.
4. Will initiate and complete the work within the applicable time frame after §§1451 et seq.); (f)comply with the Clean Air Act of 1977, (42 U.S.C.
receipt of approval of the awarding agency. 7401 et seq.and Executive Order 11738
§§ )providing for the protection of and
enhancement of the quality of the nation's air resources to promote public
5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S C. health and welfare and for restoring and maintaining the chemical,physical,
§§4728-4763)relating to prescribed standards for merit systems for programs and biological integrity of the nation's waters;(g)protection of underground
funded under one of the 19 statutes or regulations specified in Appendix A of sources of drinking water under the Safe Drinking Water Act of 1974, as
OPM's Standards for a Merit System of Personnel Administration(5 C.F.R. amended(P.L.93-523);and,(h)protection of endangered species under the
900,Subpart F). Endangered Species Act of 1973,as amended(P.L.93-205).
6. Will comply with all Federal statutes relating to nondiscrimination. These 12. Will comply with the Wild and Scenic Rivers Act of 1968(16 U.S.C.§§1271 et
include but are not limited to:(a)Title VI of the Civil Rights Act of 1964(P.L. seq.)related to protecting components or potential components of the national
88-352)which prohibits discrimination on the basis of race,color or national wild and scenic rivers system.
origin; (b)Title IX of the Education Amendments of 1972,as amended(20
U.S.C.§§1681-1683,and 1685-1686 and 44 C.F.R.Part 19),which prohibits 13. Will assist the awarding agency in assuring compliance with Section 106 of the
discrimination on the basis of sex;(c)Section 504 of the Rehabilitation Act of National Historic Preservation Act of 1966,as amended(16 U.S.C.
1973. as amended(29 U.S.C. §794),which prohibits discrimination on the §470),EO 11593(identification and protection of historic properties),and the
basis of handicaps;(d)the Age Discrimination Act of 1975,as amended (42 Archaeological and Historic Preservation Act of 1974(16 U.S.C.§§469a-1 et
U.S.C.§§6101-6107),which prohibits discrimination on the basis of age;(e) seq.).
the Drug Abuse Office and Treatment Act of 1972(P.L.92-255),as amended,
relating to nondiscrimination on the basis of drug abuse; (f) the 14. Will comply with P.L.93-348,45 C.F.R.46,and DHS Management Directive
Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and 026-044 (Directive) regarding the protection of human subjects involved in
Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to research, development, and related activities supported by this Grant.
nondiscrimination on the basis of alcohol abuse or alcoholism;(g)§§523 and "Research" means a systematic investigation, including research,
527 of the Public Health Service Act of 1912 (42 U.S.C. §§290dd-3 and development, testing, and evaluation designed to develop or contribute to
290ee-3),as amended,relating to confidentiality of alcohol and drug abuse general knowledge. See Directive for additional provisions for including
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. humans in the womb,pregnant women,and neonates(Subpart B);prisoners
§§3601 et seq.),as amended,relating to nondiscrimination in the sale,rental (Subpart C); and children (Subpart D). See also state and local law for
or financing of housing; (i) any other nondiscrimination provisions in the research using autopsy materials.
specific statute(s) under which agreement for Federal assistance is being
made;and(j)the requirements of any other nondiscrimination statute(s)which 15. Will comply with the Laboratory Animal Welfare Act of 1966(P.L. 89-544,as
may apply to the application. amended,7 U.S.C.§§2131 et seq.)which requires the minimum standards of
care and treatment for vertebrate animals bred for commercial sale,used in
7. Will comply or has already complied with the requirements of Titles II and III research,transported commercially,or exhibited to the public according to the
of the Uniform Relocation Assistance and Real Property Acquisition Policies Guide for Care and Use of Laboratory Animals and Public Health Service
Act of 1970(P.L. 91-646)which provide for fair and equitable treatment of Policy and Government Principals Regarding the Care and Use of Animals.
persons displaced or whose property is acquired as a result of Federal or
federally-assisted programs.These requirements apply to all interests in real
property acquired for project purposes regardless of Federal participation in 16. Will comply with the Lead-Based Paint Poisoning Prevention Act(42 U.S.C.
purchases. §§4801 et seq.),which prohibits the use of lead-based paint in construction or
rehabilitation of residence structures.
8. Will comply,as applicable,with provisions of the Hatch Act(5 U.S.C.§§1501-
1508 and 7324-7328)which limit the political activities of employees whose 17. Will cause to be performed the required financial and compliance audits in
principal employment activities are funded in whole or in part with Federal accordance with the Single Audit Act Amendments of 1996 and OMB Circular
funds.
No. A-133 (now OMB 2 C.F.R. 200.500), "Audits of States, Local
9. Will comply, as applicable,with the provisions of the Davis-Bacon Act(40 Governments,and Non-Profit Organizations."
U.S.C. §§276a to 276a-7),the Copeland Act(40 U.S.C. §276c and 18
U.S.C.§874),and the Contract Work Hours and Safety Standards Act(40 18. Will comply with all applicable requirements of all other Federal laws,
U.S.C. §§327-333), regarding labor standards for federally-assisted executive orders. regulations, grant guidance, and policies governing this
construction sub-agreements. Grant.
10. Will comply, if applicable, with flood insurance purchase requirements of
Section 102(a)of the Flood Disaster Protection Act of 1973 (P.L. 93-234)
which requires recipients in a special flood hazard area to participate in the
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TDEM—April 2019
GRANT TERMS AND CONDITIONS
EXHIBIT B
ASSURANCES -CONSTRUCTION PROGRAMS See Standard Form 424D
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. Has the legal authority to apply for Federal assistance, and the requirements of any other nondiscrimination statue(s)which may apply
institutional, managerial and financial capability (including funds to the agreement.
sufficient to pay the non-Federal share of project costs)to ensure proper
planning,management and completion of project described in this Grant. 11. Will comply or has already complied with the requirements of Titles II and
III of the Uniform Relocation Assistance and Real Property Acquisition
2. Will give the Department of Homeland Security,the Department of Public Policies Act of 1970 (Pl. 91-646)which provide for fair and equitable
Safety,the Comptroller General of the United States and,if appropriate, treatment of persons displaced or whose property is acquired as a result
the State,the right to examine all records,books,papers,or documents of Federal and federally-assisted programs. These requirements apply
related to this Grant and will establish a proper accounting system in to all interests in real property acquired for project purposes regardless
accordance with generally accepted accounting standards or agency of Federal participation in purchases.
directives.
12. Will comply with the provisions of the Hatch Act(5 U.S.C.§§1501-1508
3. Will not dispose of, modify the use of,or change the terms of the real and 7324-7328)which limit the political activities of employees whose
property title or other interest in the site and facilities without permission principal employment activities are funded in whole or in part with
and instructions from the awarding agency. Will record the Federal Federal funds.
awarding agency directives and will include a covenant in the title of real
property acquired in whole or in part with Federal assistance funds to 13. Will comply, as applicable,with the provisions of the Davis-Bacon Act
assure nondiscrimination during the useful life of this Grant. (40 U.S.C.§§276a to 276a-7),the Copeland Act(40 U.S.C.§276c and
18 U.S.C.§874),and the Contract Work Hours and Safety Standards Act
4. Will comply with the requirements of the assistance awarding agency (40 U.S.C.§§327-333)regarding labor standards for federally-assisted
with regard to the drafting,review and approval of construction plans and construction sub-agreements.
specifications.
14. Will comply with flood insurance purchase requirements of Section
5. Will provide and maintain competent and adequate engineering 102(a)of the Flood Disaster Protection Act of 1973(P.L.93-234)which
supervision at the construction site to ensure that the complete work requires recipients in a special flood hazard area to participate in the
conforms with the approved plans and specifications and will furnish program and to purchase flood insurance if the total cost of insurable
progressive reports and such other information as may be required by construction and acquisition is$10,000 or more.
the awarding agency or State.
15. Will comply with environmental standards which may be prescribed
6. Will initiate and complete the work within the applicable time frame after pursuant to the following: (a)institution of environmental quality control
receipt of approval of the awarding agency. measures under the National Environmental Policy Act of 1969(P.L.91-
190)as amended by 42 U.S.C.4311 et seq.and Executive Order(EO)
7. Will establish safeguards to prohibit employees from using their positions 11514 which establishes national policy goals and procedures to protect
for a purpose that constitutes or presents the appearance of personal or and enhance the environment, including protection against natural
organizational conflict of interest or personal gain. disasters;(b)notification of violating facilities pursuant to EO 11738;(c)
8. Will comply with the Intergovernmental Personnel Act of 1970 (42 protection of wetlands pursuant to EO 11990; (d) evaluation of flood
U.S.C.§§4728-4763)relating to prescribed standards of merit systems hazards in floodplains in accordance with EO 11988; (e)assurance of
for programs funded under one of the 19 statutes or regulations specified project consistency with the approved State management program
in Appendix A of OPM's Standards for a Merit System of Personnel developed under the Coastal Zone Management Act of 1972(16 U.S.C.
Administration(5 C.F.R.900,Subpart F). §§1451 et seq.); (0 comply with the Clean Air Act of 1977, (42 U.S.C.
§§7401 et seq.and Executive Order 11738)providing for the protection
9. Will comply with the Lead-Based Paint Poisoning Prevention Act(42 of and enhancement of the quality of the nation's air resources to
U.S.C. §§4801 et seq.)which prohibits the use of lead-based paint in promote public health and welfare and for restoring and maintaining the
construction or rehabilitation of residence structures. chemical, physical, and biological integrity of the nation's waters; (g)
protection of underground sources of drinking water under the Safe
10. Will comply with all Federal statutes relating to nondiscrimination.These Drinking Water Act of 1974, as amended (P.L. 93-523); and, (h)
include but are not limited to:(a)Title VI of the Civil Rights Act of 1964 protection of endangered species under the Endangered Species Act of
(P.L.88-352)which prohibits discrimination on the basis of race,color or 1973,as amended(P.L.93-205).
national origin; (b)Title IX of the Education Amendments of 1972, as
amended (20 U.S.C. §§1681 1683, and 1685-1686 and 44 16. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C.
C.F.R. Part 19),which prohibits discrimination on the basis of sex; (c) §§1271 et seq.) related to protecting components or potential
Section 504 of the Rehabilitation Act of 1973, as amended(29)U.S.C. components of the national wild and scenic rivers system.
§794),which prohibits discrimination on the basis of handicaps; (d)the
Age Discrimination Act of 1975,as amended(42 U.S.C.§§6101-6107), 17. Will assist the awarding agency in assuring compliance with Section 106
which prohibits discrimination on the basis of age; (e)the Drug Abuse of the National Historic Preservation Act of 1966,as amended(16
Office and Treatment Act of 1972(P.L.92-255),as amended relating to U.S.C. §470), EO 11593 (identification and protection of historic
nondiscrimination on the basis of drug abuse; (f) the Comprehensive properties),and the Archaeological and Historic Preservation Act of 1974
Alcohol Abuse and Alcoholism Prevention,Treatment and rehabilitation (16 U.S.C.§§469a-1 et sag).
Act of 1970(P.L.91-616),as amended,relating to nondiscrimination on 18. Will cause to be performed the required financial and compliance audits
the basis of alcohol abuse or alcoholism; (g) in accordance with the Single Audit Act Amendments of 1996 and OMB
§§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. Circular No.A-133(now OMB 2 C.F.R.200.500),"Audits of States,Local
§§290dd-3 and 290ee-3), as amended, relating to confidentiality of Governments,and Non-Profit Organizations."
alcohol and drug abuse patient records;(h)Title VIII of the Civil Rights
Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to 19. Will comply with all applicable requirements of all other Federal laws,
nondiscrimination in the sale,rental or financing of housing;(i)any other executive orders,regulations,grant guidance and policies governing this
nondiscrimination provisions in the specific statue(s) under which Grant.
agreement for Federal assistance is being made; and co the
Page 11 of 20
TDEM-April 2019
GRANT TERMS AND CONDITIONS
Exhibit C
Certifications for Grant Agreements
The undersigned, as the authorized official,certifies the following to the best of his/her knowledge and belief.
A. No Federal appropriated funds have been paid or will be paid by or on behalf of the undersigned to any person for influencing or
attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an
employee or a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the
making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment,
or modification of any Federal contract,grant, loan, or cooperative agreement.
B. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee or a
Member of Congress in connection with this Federal contract,grant, loan,or cooperative agreement,the undersigned shall complete
and submit Standard Form-LLL Disclosure of Lobbying Activities, in accordance with its instructions.
C. The undersigned shall require that the language of this certification prohibiting lobbying be included in the award documents for all
subawards at all tiers(including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements)and that
all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into
this transaction imposed by Section 1352, Title 31, U.S. Code.Any person who fails to file the required certification shall be subject
to a civil penalty of not less than $10,000 and not more than$100,000 for each such failure.
D. As required by Executive Order 12549, Debarment and Suspension, and implemented at 28 C.F.R. Part 67, for prospective
participants in primary covered transactions,as defined at 28 C.F.R. Part 67, Section 67.510. (Federal Certification),the Subrecipient
certifies that it and its principals and vendors:
1. Are not debarred, suspended, proposed for debarment,declared ineligible, sentenced to a denial of Federal benefits by a
State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency. Subrecipient
can access debarment information by going to www.sam.gov and the State Debarred Vendor List at:_
www.window.state.tx.us/procurement/proq/vendor performance/debarred.
2 Have not within a three-year period preceding this Grant been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal,
State, or local)transaction or contract under a public transaction, violation of Federal or State antitrust statutes or commission
of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen
property;
3 Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity(Federal, State, or local)with
commission of any of the offenses enumerated in paragraph (D)(2)of this certification;
4. Have not within a three-year period preceding this Grant had one or more public transactions(Federal, State, or local)
terminated for cause or default;or
5. Where Subrecipient is unable to certify to any of the statements in this certification, he or she shall attach an explanation to
this Grant. (Federal Certification).
E. Federal funds will be used to supplement existing funds, and will not replace (supplant)funds that have been appropriated for the
same purpose. Subrecipient may be required to supply documentation certifying that a reduction in non-federal resources occurred
for reasons other than the receipt or expected receipt of federal funds.
F. Subrecipient will comply with 2 C.F.R. Part 180, Subpart C as a condition of receiving grant funds and Subrecipient will require such
compliance in any subgrants or contract at the next tier.
G. Subrecipient will comply with the Drug-free Workplace Act, in Subpart B of 2 C.F.R. Part 3001.
H Subrecipient is not delinquent on any Federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit
disallowances, and benefit overpayments. See OMB Circular A-129 and form SF-424, item number 17 for additional information and
guidance.
Page 12 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
L Subrecipient will comply with all applicable requirements of all other federal laws,executive orders, regulations, program and
administrative requirements, policies and any other requirements governing this Grant.
,1 Subrecipient understands that failure to comply with any of the above assurances may result in suspension,termination or
reduction of funds in this Grant.
Page 13 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
EXHIBIT D
State of Texas Assurances
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. Shall comply with Texas Government Code,Chapter 573,by ensuring that no officer,employee,or member of the Subrecipient's governing
body or of the Subrecipient's contractor shall vote or confirm the employment of any person related within the second degree of affinity or
the third degree of consanguinity to any member of the governing body or to any other officer or employee authorized to employ or supervise
such person. This prohibition shall not prohibit the employment of a person who shall have been continuously employed for a period of two
years, or such other period stipulated by local law, prior to the election or appointment of the officer,employee, or governing body member
related to such person in the prohibited degree.
2. Shall insure that all information collected, assembled, or maintained by the Subrecipient relative to a project will be available to the public
during normal business hours in compliance with Texas Government Code,Chapter 552, unless otherwise expressly prohibited by law.
3. Shall comply with Texas Government Code, Chapter 551,which requires all regular, special, or called meetings of governmental bodies to
be open to the public,except as otherwise provided by law or specifically permitted in the Texas Constitution.
4. Shall comply with Section 231.006, Texas Family Code,which prohibits payments to a person who is in arrears on child support payments.
5. Shall not contract with or issue a license, certificate, or permit to the owner, operator, or administrator of a facility if the Subrecipient is a
health, human services, public safety, or law enforcement agency and the license, permit,or certificate has been revoked by another health
and human services agency or public safety or law enforcement agency.
6. Shall comply with all rules adopted by the Texas Commission on Law Enforcement pursuant to Chapter 1701,Texas Occupations Code, or
shall provide the grantor agency with a certification from the Texas Commission on Law Enforcement that the agency is in the process of
achieving compliance with such rules if the Subrecipient is a law enforcement agency regulated by Texas Occupations Code,Chapter 1701.
7. Shall follow all assurances.When incorporated into a grant award or contract, standard assurances contained in the application package
become terms or conditions for receipt of grant funds.Administering state agencies and subrecipients shall maintain an appropriate contract
administration system to insure that all terms, conditions, and specifications are met. (See UGMS Section_.36 for additional guidance on
contract provisions).
8. Shall comply with the Texas Family Code, Section 261.101, which requires reporting of all suspected cases of child abuse to local law
enforcement authorities and to the Texas Department of Child Protective and Regulatory Services. Subrecipient shall also ensure that all
program personnel are properly trained and aware of this requirement.
9. Shall comply with all federal statutes relating to nondiscrimination. These include but are not limited to: (a)Title VI of the Civil Rights Act of
1964(P.L.88-352),which prohibits discrimination on the basis of race, color, or national origin; (b)Title IX of the Education Amendments of
1972, as amended (20 U.S.C. §§1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the
Rehabilitation Act of 1973, as amended(29 U.S.C. §794), which prohibits discrimination on the basis of handicaps and the Americans with
Disabilities Act of 1990 including Titles I, II, and III of the Americans with Disability Act which prohibits recipients from discriminating on the
basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain
testing entities,44 U.S.C. §§ 12101-12213; (d)the Age Discrimination Act of 1974, as amended (42 U.S.C. §§6101-6107), which prohibits
discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment, and
Rehabilitation Act of 1970(P.L.91-616),as amended, relating to the nondiscrimination on the basis of alcohol abuse or alcoholism; (g)
§§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§290dd-3 and 290ee-3), as amended, relating to confidentiality of
alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental, or financing of housing; (i)any other nondiscrimination provisions in the specific statute(s)under which
application for Federal assistance is being made; and (j)the requirements of any other nondiscrimination statute(s)which may apply to this
Grant.
10. Shall comply, as applicable, with the provisions of the Davis-Bacon Act(40 U.S.C. §§276a to 276a-7), the Copeland Act(40 U.S.C. §276c
and 18 U.S.C.§874),and the Contract Work Hours and Safety Standards Act(40 U.S.C.§§327-333), regarding labor standards for federally
assisted construction subagreements.
11. Shall comply with requirements of the provisions of the Uniform Relocation Assistance and Real Property Acquisitions Act of 1970(P.L. 91-
646), which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally
assisted programs.These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation
in purchases.
12. Shall comply with the provisions of the Hatch Political Activity Act(5 U.S.C.§§7321-29),which limit the political activity of employees whose
principal employment activities are funded in whole or in part with Federal funds.
13. Shall comply with the minimum wage and maximum hours provisions of the Federal Fair Labor Standards Act and the Intergovernmental
Personnel Act of 1970,as applicable.
Page 14 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
14. Shall insure that the facilities under its ownership, lease, or supervision which shall be utilized in the accomplishment of the project are not
listed on the Environmental Protection Agency's(EPA)list of Violating Facilities and that it will notify the Federal grantor agency of the receipt
of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under
consideration for listing by the EPA(EO 11738).
15. Shall comply with the flood insurance purchase requirements of Section 102(a)of the Flood Disaster Protection Act of 1973, Public Law 93-
234. Section 102(a)requires the purchase of flood insurance in communities where such insurance is available as a condition for the receipt
of any Federal financial assistance for construction or acquisition proposed for use in any area that has been identified by the Secretary of
the Department of Housing and Urban Development as an area having special flood hazards.
16. Shall comply with environmental standards which may be prescribed pursuant to the following: (a)institution of environmental quality control
measures under the National Environmental Policy Act of 1969 (P.L. 91-190)and Executive Order(EO) 11514; (b) notification of violating
facilities pursuant to EO 11738;(c)protection of wetlands pursuant to EO 11990; (d)evaluation of flood hazards in floodplains in accordance
with EO 11988; (e) assurance of project consistency with the approved state management program developed under the Coastal Zone
Management Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of federal actions to State (Clear Air) Implem entation Plans under
Section 176(c)of the Clear Air Act of 1955, as amended(42 U.S.C.§§7401 et seq.);(g)protection of underground sources of drinking water
under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); and (h) protection of endangered species under the Endangered
Species Act of 1973,as amended(P.L.93-205).
17. Shall comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§1271 et seq.) related to protecting components or potential
components of the national wild and scenic rivers system.
18. Shall assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966,as amended(16
U.S.C. §470), EO 11593(identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974
(16 U.S.C.§§469a-1 et seq.).
19. Shall comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. §§2131 et seq.) which requires the
minimum standards of care and treatment for vertebrate animals bred for commercial sale, used in research, transported commer cially, or
exhibited to the public according to the Guide for Care and Use of Laboratory Animals and Public Health Service Policy and Government
Principals Regarding the Care and Use of Animals.
20. Shall comply with the Lead-Based Paint Poisoning Prevention Act(42 U.S.C. §§4801 et seq.)which prohibits the use of lead-based paint in
construction or rehabilitation of residential structures.
21. Shall comply with the Pro-Children Act of 1994(Public Law 103-277), which prohibits smoking within any portion of any indoor facility used
for the provision of services for children.
22. Shall comply with all federal tax laws and are solely responsible for filing all required state and federal taxforms.
23. Shall comply with all applicable requirements of all other federal and state laws, executive orders, regulations, and policies governing this
program.
24. And its principals are eligible to participate and have not been subjected to suspension,debarment, or similar ineligibility determined by any
federal,state,or local governmental entity and it is not listed on a state or federal government's terrorism watch list as described in Executive
Order 13224. Entities ineligible for federal procurement have Exclusions listed athttps://www.sam.00v/portal/public/SAM/.
25. Shall adopt and implement applicable provisions of the model HIV/AIDS work place guidelines of the Texas Department of Health as required
by the Texas Health and Safety Code,Ann.,Sec. 85.001,et seq.
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TDEM—April 2019
GRANT TERMS AND CONDITIONS
EXHIBIT E
Environmental Review
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. shall assess its federally funded projects for potential impact to environmental resources and historic properties.
2. shall submit any required screening form(s) as soon as possible and shall comply with deadlines established by DPS/TDEM.
Timelines for the Environmental Planning and Historic Preservation(EHP)review process will vary based upon the complexity of the
project and the potential for environmental or historical impact.
3. shall include sufficient review time within its project management plan to comply with EHP requirements. Initiation of any activity prior
to completion of FEMA's EHP review will result in a non-compliance finding and DPS/TDEM will not authorize or release Grant funds
for non-compliant projects.
4. as soon as possible upon receiving this Grant, shall provide information to DPS/TDEM to assist with the legally-required EHP review
and to ensure compliance with applicable EHP laws and Executive Orders (EO) currently using the FEMA EHP Screening Form
OMB Number 1660-0115/FEMA Form 024-0-01 and submitting it,with all supporting documentation,to DPS/TDEM for review.These
EHP requirements include but are not limited to the National Environmental Policy Act, the National Historic Preservation Act, the
Endangered Species Act, EO 11988—Floodplain Management, EO 11990—Protection of Wetlands,and EO 12898—Environmental
Justice. Subrecipient shall comply with all Federal, State, and local EHP requirements and shall obtain applicable permits and
clearances.
5. shall not undertake any activity from the project that would result in ground disturbance,facility modification, or purchase and use of
sonar equipment without the prior approval of FEMA. These include but are not limited to communications towers, physical security
enhancements involving ground disturbance, new construction, and modifications to buildings.
6. shall comply with all mitigation or treatment measures required for the project as the result of FEMA's EHP review.Any changes to
an approved project description will require re-evaluation for compliance with EHP requirements before the project can proceed.
7. if ground disturbing activities occur during project implementation, Subrecipient shall ensure monitoring of ground disturbance and if
any potential archeological resources are discovered,Subrecipient shall immediately cease construction in that area and notify FEMA
and the appropriate State Historical Preservation Office.
Page 16 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
EXHIBIT F
Additional Grant Conditions
1. Additional damage requiring a new Public Assistance project to be written must be reported within 60 days
following the Project Scoping meeting with the State- Federal team.
2. All work must be done prior to the approved project completion deadline assigned to each Project (POP).
Should additional time be required, a time extension request must be submitted which: a.) Identifies the
projects requiring an extension. b.) Explains the reason for an extension. c.) Indicates the percentage of work
that has been completed. d.) Provides an anticipated completion date. The reason for an extension must be
based on extenuating circumstances or unusual project requirements that are beyond the control of your
jurisdiction/organization. Failure to submit a time extension request 60 days prior to the end of the
period of performance may result in reduction or withdrawal of federal funds for approved work.
3. Any significant change to a project's approved Scope of Work must be reported and approved through TDEM
and FEMA before starting the project. Failure to do so will jeopardize grant funding. The Subrecipient shall
submit requests for cost overruns requiring additional obligations to TDEM, who will forward to FEMA for
review and approval prior to incurring costs.
4. The Project Completion and Certification Report must be submitted to TDEM within 60 days of all approved
work being completed for each project. If any project requires the purchase of insurance as a condition of
receiving federal funds, a copy of the current policy must be attached to this report, or Duplication of Benefits
form certifying other funds were received to complete the project.
5. A cost overrun appeal on small ($128,900) Public Assistance projects must be reported to the Texas Division
of Emergency Management (TDEM) within 60 days of completing the last small project in order to be
considered for additional funding.
6. Appeals may be filed on any determination made by FEMA or TDEM. All appeals must be submitted to TDEM
within 60 days from receiving written notice of the action you wish to appeal. Should you wish to appeal a
determination contained in the project application, the 60 days will start the day the application is signed.
Appeals for Alternative Projects will be subject to the terms of the signed agreement for the Alternative
Project.
7. Public Assistance program projects will not receive funding until all of the requirements identified in the
comments section of the Project Worksheet are met.
8. You may request a payment of funds on projects by initiating a Request for Reimbursement(RFR) in TDEM's
Grant Management System (GMS) or an Advance of Funds Request (AFR), and including documentation
supporting your request. Small Public Assistance projects are paid upon obligation and will be initiated by
TDEM personnel. Payments for open projects must be requested at least quarterly if expenditures have been
made in that quarter.
9. Subrecipients will be required to submit quarterly project reports (QPR)for open large projects using TDEM's
GMS. Your assigned Grant Coordinator will coordinate the due date for your specific reporting. Public
Assistance program small projects are typically exempt from quarterly reporting, however TDEM reserves
the right to require QPRs on any smalls requiring a POP extension. The first quarterly report will be due at
the end of the first full quarter following the quarter in which the project was obligated. No quarterlies are
required for projects that Subrecipient has initiated a closeout request and has provided a certificate of
completion. Failure to submit required quarterly reports for two or more quarters can result in withholding or
deobligation of funding for Subrecipients until all reports are submitted and up-to-date.
Page 17 of 20
TDEM-April 2019
GRANT TERMS AND CONDITIONS
10.Subrecipients expending $750,000 or more in total Federal financial assistance in a fiscal year will be
required to provide an audit made in accordance with OMB Uniform Guidance; Cost Principles, Audit, and
Administrative Requirements for Federal Awards, Subpart F. A copy of the Single Audit must be submitted
to your cognizant State agency or TDEM within nine months of the end of the subrecipient's fiscal year.
Consult with your financial officer regarding this requirement. If not required to submit a single audit, a letter
must be sent to TDEM certifying to this.
11.Subrecipients will not make any award to any party which is debarred or suspended, or is otherwise excluded
from participation in the Federal assistance programs(EO 12549, Debarment and Suspension). Subrecipient
must maintain documentation validating review of debarment list of eligible contractors.
12.Subrecipients must keep record of equipment acquired by federal funds for the life cycle of the equipment.
A life cycle for most equipment will be three years, but could be longer. If the fair market value of a piece of
equipment is valued over $5,000, FEMA will have the right to a portion of proceeds if equipment is sold. If
the fair market value of a piece of equipment is less than $5,000, the property can either be retained, sold or
designated as surplus with no further obligation to FEMA.
13.TDEM will be using the new FEMA Public Assistance Delivery Model to facilitate the writing of project
worksheets (Portal). Subrecipient will be responsible for establishing and maintaining an active account in
the Portal and to provide and upload timely, all information requested that is needed to write accurate project
worksheets. The Portal will provide the Subrecipient visibility of the entire project writing process.
14.TDEM will be using its new Grant Management System(GMS)for Subrecipient grant management functions.
Subrecipient will access GMS to initiate Requests for Reimbursements (RFR), Advance of Funds Requests
(AFR), Time Extensions, Scope and Cost changes requests, Quarterly Reports, Project Closeouts, Appeals,
and other items deemed necessary by TDEM. Requested forms and processes may be adjusted and
changed to accommodate GMS processes and requirements. Subrecipient agrees to monitor GMS as
necessary to properly manage and complete awarded projects under this agreement.
16.2 CFR 200.210(a)(15), 2 CFR 200.331(a)(1)(xiii) and (a)(4) make reference to indirect cost rates. The
Subrecipient may use the negotiated Indirect Cost Rate approved by its cognizant agency, or may use the
10% de minimis rate of modified total direct costs (MTDC) (as per § 200.414) when receiving Management
Costs.
Page 18 of 20
TDEM—April 2019
GRANT TERMS AND CONDITIONS
EXHIBIT G
Additional Grant Certifications
Mn+nh ror+ifinn+inn
Subrecipient certifies that it has the ability to meet or exceed the cost share required for all subawards(Projects)
and amendments(versions) under this Grant Agreement.
rlunlina+inn of Prnnrom C+a+nmon+
Subrecipient certifies there has not been, nor will there be, a duplication of benefits for this project.
Match Certification
Federal Debt Disclosure
Subrecipient certifies that it is not delinquent on any Federal Debt.
For Hazard Mitiaation Projects Only:
RAnin+nnonrw Anroemon+
Applicant certifies that if there is a Maintenance Agreement needed for this facility copy of that agreement will be
provided to TDEM.
Pniiirnnmon+al 1i ac+inn C+.+mman+
Federal Executive Order 12898 compliance requirements—If there are any concentrations of low income or
minority populations in or near the HMGP project:
1. Applicant certifies that the HMGP project result will not result in a disproportionately high or adverse effect on
low income or minority populations.
OR
2. Applicant certifies that action will be taken to ensure achievement of environmental justice for low income and
minority populations related to this HMGP project.
Page 19 of 20
TDEM—April 2019
Request for Information and Documentation Policy and
Guideline
It is crucial to the success of the overall Grant Program and to the timely completion and closure of
awarded projects that timelines be established for providing information and documentation. TDEM
has developed a framework to support this endeavor following a progressive series of communications
for the Subrecipient(RFI).TDEM will work with you throughout the RFI process as communication is the
key to your success.
RFI Timelines
First Informal Request The primary contact for the Subrecipient will receive the RFI via email
with five business days to respond.
Second Informal Request A second email to the primary contact will be sent with an additional
five business days to respond.
Third Informal Request A phone call will be made to the primary contact with a third email
requesting the information to be provided within five business days.
The Regional Section Administrator and State Coordinator will be
copied.
Fourth Formal Request The Supervising Program Director of Recovery will issue a certified letter
to the highest ranking official highlighting previous requests and an
additional ten days to provide the requested information.
Final Formal Request A final request by certified letter will be issued by the Deputy Assistant
Director of Recovery, Mitigation, and Standards,or the Assistant
Director of the Texas Division of Emergency Management to the highest
ranking official giving the final ten business days to respond or
deobligation of the project will begin.
Final Action If the RFI is not sufficiently answered,the project will be deobligated,
and any previously paid funds must be returned to TDEM.
Reference: RMS Services Grant Program Request for Information and Documentation August 2017
GRANT TERMS AND CONDITIONS
Please initial by each Exhibit, acknowledging you have received them, understand them, and
agree to abide by them.
Assurances— Non-Construction Programs, hereinafter referred to as "Exhibit A"
Assurances—Construction Programs, hereinafter referred to as "Exhibit B"
Certifications for Grant Agreements, hereinafter referred to as "Exhibit C"
State of Texas Assurances, hereinafter referred to as "Exhibit D"
Environmental Review Certification, hereinafter referred to as "Exhibit E"
Additional Grant Conditions, hereinafter referred to as "Exhibit F"
Additional Grant Certifications, hereinafter referred to as "Exhibit G"
Request for Information and Documentation referred to as "Exhibit H"
Please sign below to acknowledged acceptance of the grant and all exhibits in
this agreement, and to abide by all terms and conditions.
Signature of Certifying Official Date
Printed Name and Title
Page 20 of 20
TDEM—April 2019
'`' U.S.Department of Homeland Security
t� o Federal Emergency Management Agency
FEMA Region 6 Environmental and Historic Preservation
800 North Loop 288
;` Denton,TX 76209
EHP Phase I Considerations:
City of Port Arthur Lake Arthur Detention Facilities
HMGP-DR-4332-TX Project #32
• This project appears to require preparation of an Environmental Assessment(EA).The project SOW looks to
be over 25 acres in ground disturbance,which is one trigger for a drainage EA. If the applicant determines
that the project footprint is under 25 acres in ground disturbance,then an EA won't be required. If the USACE
prepares an EA for its permit of the project,there is an opportunity for FEMA to adopt that EA and a separate
EA won't be required.As part of the EA, an analysis is required under the Principles Requirements and
Guidelines(PR&G)which is a mandate to FEMA out of the Water Resources Development Act. Both the EA
and PR&G can be combined into one document in order to streamline the process. Guidelines for both are
attached.
• The project appears to be located within wetlands,which triggers two issues:
o Under Executive Order 11990, FEMA must consider practicable alternatives outside of wetlands.The
applicant will need to determine if there are other feasible alternatives outside of wetlands to meet the
purpose and need of their project. If there is a practicable alternative outside of wetlands,then FEMA
must pursue funding that alternative. If the is no practicable alternative,the applicant needs to explain
why.
o Any permitting under the Clean Water Act should be pursued/completed with USACE during Phase I. If an
individual permit is required by the Corps,that needs to be obtained by the sub-applicant prior to EHP's
approval of Phase 2 construction. EHP will need a copy of the permit and its public notice.The Corps may
require some sort of compensatory mitigation for any wetlands that are filled/destroyed/modified as
part of the project. If so,expect that this will add costs to the project. Please note that if the Corps does
issue an Individual Permit,then they will also be preparing an Environmental Assessment that may cover
all or some of the FEMA funded action. It is suggested that the applicant begin coordination with the
Corps ASAP so that we can get a better understanding of their NEPA review level and
coordinate/streamline the EHP compliance review where possible.
• Portions of the project are in the 100-year floodplain.Similar to the wetlands issue, under EO 11988 for
floodplain management,we need the applicant to determine if there are practicable alternative
locations/actions outside the 100-year floodplain that meet the purposed and need for the project. If not,we
simply need an explanation why.
• SHPO response for the entire scope of work is required.This consultation should be done by the applicant
during Phase I.SHPO may require some level of survey and, if so,that should be completed during Phase I.
• Note that FEM FEMA will need to consult with tribes on this project and will do so upon receipt of Phase I
deliverables.
Page 1 of 1
Handbook on FEMA's Agency Specific
Procedures for the Principle, Requirements,
and Guidelines (PR&G) Analysis
March, 2018
4ARTM
fl/I
SEGr
FEMA
Introduction
Table of Contents
Introduction 2
Background 2
PR&G Applicability 3
Scoping the PR&G Analysis 3
The PR&G Analysis 6
Define the Purpose and Need 6
Formulate a Range of Alternatives 7
Identify Existing Conditions 8
Project Future Conditions of the Study Area using a watershed,ecosystems,or services approach 13
Evaluate Alternatives. 14
Display the Effects and Comparison of Alternatives 16
Integrating PR&G and the National Environmental Policy Act(NEPA) Documents 17
Relationship of PR&G and NEPA Reviews 17
Introduction and Purpose and Need 19
Alternatives 19
Affected Environment and Potential Impacts 20
Impacts Matrix 20
1
Introduction
Introduction
The Principles, Requirements, and Guidelines for Federal Investments in Water Resources (PR&G)
govern how Federal agencies evaluate proposed water resource projects by providing a common
framework for Federal agencies to analyze potential water resource investments. The PR&G apply to
Federal investments that by purpose, directly or indirectly,alter water resources by affecting water
quality or quantity, and have at least$10 million in project costs. These water resources projects
include projects involving navigation,flood control,water supply, hydropower, ecosystem restoration,
or recreation.
The PR&G is composed of three guiding documents:
1. Principles and Requirements for Federal Investments in Water Resources, March 2013
2. Interagency Guidelines, December 2014
3. FEMA's PR&G Agency Specific Procedures, August 2016
FEMA's PR&G Agency Specific Procedures are found in Chapters 3 and 4 of the FEMA EHP Instruction
108-1-1.
This handbook is intended to assist EHP staff to complete PR&G analyses. For projects where the PR&G
applies but an Environmental Assessment is not required,the handbook provides a template for
creating a stand-alone PR&G analysis. For projects where both an Environmental Assessment under
NEPA and a PR&G analysis is required,the handbook provides information to integrate the PR&G
analysis into the NEPA document.
Background
Previous to the PR&G,the 1983 Economic and Environmental Principles and Guidelines for Water and
Related Land Resources Implementation Studies,commonly known as the P&G, provided direction to
the U.S.Army Corps of Engineers (USACE),the Tennessee Valley Authority(TVA), Natural Resources
Conservation Service, and the Bureau of Reclamation for evaluating and selecting major water projects,
including projects related to navigation,storm resilience, wetland restoration, and flood prevention. In
the Water Resources Development Act of 2007, Congress instructed the Secretary of the Army to
develop a new P&G. During the update process,the Obama Administration broadened the scope of the
PR&G to cover more of the Federal agencies engaged in water resources projects to promote
consistency and informed decision across the Federal government. The PR&G applies to seven Federal
agencies, including the USCAE,the Environmental Protection Agency,the Department of Agriculture,the
Department of the Interior,the Department of Commerce,the TVA, and DHS FEMA. The updated PR&G
is intended to provide a framework for Federal agencies to evaluate proposed water resources projects
that balances consideration of economic, social,and environmental objectives.
2
Introduction
PR&G Applicability
There are two triggers which establish PR&G applicability. The first trigger is the project scope must by
purpose,directly or indirectly,affect water quality or quantity. The FEMA EHP Instruction establishes
the PR&G applies to projects whose scope includes one of the following:
• New or existing Federal investments to construct new infrastructure, modify or replace existing
infrastructure,or implement major changes to operations of Federal assets;
• Ecosystem restoration activities that have direct or indirect impacts on water quality or
quantity;
• Existing assets that may not result in changes in water quality or quantity by themselves, but
without which unintended changes to water resources may occur. These situations may occur
when existing infrastructure may fail or degrade in the absence of additional Federal
investment, resulting in change in quality or quantity of water resources or level of service
provided. Examples include but are not limited to dam safety modifications of existing projects
and major rehabilitation or replacement of facilities that have exceeded their useful life; or
• Activities where FEMA is responsible for implementation of an action,or when another party is
responsible for implementation using Federal funds.
The second trigger is a financial threshold. The PR&G applies to projects with a Federal investment of
$10 million or more, or as amended by the Interagency Guidelines. Water resource projects that only
meet or exceed the monetary threshold due to project bundling may not require a PR&G analysis if no
other thresholds triggering the PR&G are met.
Some projects are excluded from PR&G analysis.' Exclusions from the PR&G include:
1. Projects with less than$10 million dollars of Federal investment
2. Regulatory actions
3. Research or monitoring activities
4. All actions administered under the National Flood Insurance Program, including the Flood
Mitigation Assistance Program area. (Note that because the National Flood Insurance Program
is excluded from the scope of the PR&G,the PR&G does not apply to any projects funded by
Flood Mitigation Assistance grants. However,the PR&G does apply to Pre-Disaster Mitigation
(PDM)and Hazard Mitigation Grant Program (HMGP)grants.)
Scoping the PR&G Analysis
For projects which meet the two applicability triggers,there are two possible levels of analysis. EHP
staff should apply a scaled analysis to projects with $10 million up to$20 million in costs. EHP staff
should apply a standard analysis to projects with costs equal to or in excess of$20 million. A scaled
analysis is more limited in scope than a standard analysis. Scaled analyses can use a streamlined process
for the formulation of alternatives and should use justification procedures at a commensurate level of
detail to reflect the scope and complexity of the problem being assessed. Like the difference between
and EA and an EIS, a scaled analysis should be shorter and have less detail than a standard analysis. EHP
staff may apply a standard analysis rather than a scaled analysis to a water resource project with costs
between $10 and $20 million if the potential impact of the project to water resources is extensive.
1 FEMA EHP Instruction Chapter 3.4(F)
2 FEMA EHP Instruction Chapter 4.4
3
Introduction
The Flowchart of PR&G Applicability in Chapter 3 of the FEMA EHP Instruction guides the determination
of whether the PR&G is applicable and whether a scaled or standard analysis should apply. The left side
of the chart relates the PR&G process to commonly encountered EHP requirements. First,the
applicability of the PR&G is confirmed,the level of analysis (standard or scaled) is determined, and then
consultation and impacts analysis is conducted before implementing the action. The right side of the
chart guides Steps 1 and 2— Once the applicability of the PR&G is confirmed,the flow chart helps
decide whether a scaled or standard analysis is appropriate for the project.
Step 1.Determine iti PR&G Is the PR&G applicable
is triggered by evaluating
Yes investmentht above the lower No
threshold S and project l
1
Step 2.Decamine
appropriate level of Below tipper project No FEMA may exclude
analysis.standard or threshold?
tpye3mlent
scaled
l i
Sap 3.Consultation if
protected EHP resources yes Apply standard analysis
are',Mad
Step 4.Impacts Analysis Potentially mtensnr yes
EXEMPTIONS:
mss? I 1. Emage>xw
Aetians \
I I Regulatory
, ons
No
3. Research or
Monitoring
I 4. NFIPActions
Apply scaled analysis
I
Implematt Action
Figure 4: Flowchart of PR&G Applicability for Projects, Programs,and Plans3
There are four outcomes of the PR&G Applicability Flow Chart:
• The PR&G does not apply
• Apply a Scaled Analysis where$10,000,000<_ Project Cost<$20,000,000
Water resource projects with total (unbundled) costs ranging from$10 to$20 million qualify for
a scaled analysis.
3 FEMA EHP Instruction Chapter 3.4(F)(2)(b)(iii)
4
Introduction
• Apply a Standard Analysis where$10,000,000 5 Project Cost<$20,000,000, but potential
extensive impact to water resource
FEMA may choose to apply a standard analysis to a project which qualifies for a scaled analysis
because the potential impact to water resources is extensive.
• Apply a Standard Analysis where Project Cost>_$20,000,000
Projects with total (unbundled) costs$20 million and over require a standard analysis.
5
The PR&G Analysis
The PR&G Analysis
The PR&G Analysis follows six steps. The six steps are found in Chapter 4 of the FEMA EHP Instruction.
When a standalone PR&G analysis is required,the following template provides questions that can assist
in completing the PR&G analysis.
Define the Purpose and Need
The first step of the PR&G describes the location and context of the project area and identifies the
problems and opportunities which the project is intended to address.
Answer the questions with a narrative.
Describe the study area. The study area is the geographic area affected by the project in a
watershed/ecosystem/systems context.
Describe the watershed in which the project will occur. The scale of the described watershed should be
large enough area to encompass cause and effect relations among affected resources and activities that
are pertinent to realizing public benefits.'
Are there other water resource investments within the project area that could be affected?
Other water resource investments within the watershed should be identified when practicable.
State the water resource problems and/or opportunities to be addressed.
The need should be defined in terms of the water resource problem and opportunities that have
prompted a project proposal and should be framed in a watershed/ecosystem/systems context. For
example,a water resources problem might be to control flooding or improve flood conveyance capacity.
An example of a water resources opportunity might be to restore groundwater infiltration.
Describe the cause(s)of the problem, and constraints related to the problem.
The need should identify the cause of the problem and constraints related to the problem.
Principles and Requirements,2013
6
The PR&G Analysis
0EXAMPLES
Feasibility Studies for water resources projects prepared by USACE use a six-step planning
process similar to the steps of the FEMA PR&G Agency Specific Procedures. While these are not
exact examples of the PR&G process, they have similar steps such as defining water resources
problems and opportunities.
Examples:
• Sheridan, Wyoming Ecosystem Restoration Study
http://www.nwo.usace.army.mil/Portals/23/docs/civil works/planning/DRAFT Sheridan
1135 FR-EA FEB2018.pdf
• Lynn haven River Basin Ecosystem Restoration
http://www.nao.usace.army.mil/Portals/31/docs/civilworks/Lynnhaven/Main Report.pd
f
• Mill Creek Flood Risk Management Study
https://cdm 16021.contentdm.ocic.org/digital/collection/p16021co117/id/937
Formulate a Range of Alternatives
The second step of the PR&G requires the development of a range of alternatives that address the
identified problems or opportunities.
Document the range of alternatives, including(1) the proposed alternatives and(2)no action alternative,
that address the water resource problem, and achieve the objectives, principles and requirements outlined
in the PR&G.
The alternatives should be formulated to address the identified water resource problems and/or
opportunities. The alternatives should also achieve the Federal Objective, and the environmental,
economic, cultural, and social goals of the PR&G. At a minimum, the alternatives must include the
proposed action and the no action alternative.
7
The PR&G Analysis
Do any of the proposed alternatives have multiple discrete measures where one or more of them could
perform in a beneficial and sustainable manner without the measures? if yes, does the alternative
efficiently and effectively achieve the purpose and need?
For each considered alternative, the description should identify all structural or non-structural measures
which together comprise the alternative, and identify whether those measures are discrete. A measure
is a feature or activity that can be implemented at a geographic site to address a need. A measure is
discrete if it is not dependent upon another measure within the alternative. The alternative should
describe the full features and capabilities of each discrete measures. If the alternative has discrete
measures, it should be evaluated for whether the alternative is an effective and efficient means of
addressing the project purpose and need.'
Identify Existing Conditions
The purpose of this step is to establish the baseline conditions of the project area.
List the ecosystem services that flow from the project area ecosystems and infrastructure. Describe the
baseline levels of those ecosystem services, to the extent practicable. Identify which of these services may
be meaningfully altered as a result of the proposed action or alternatives.
FEMA's PR&G Agency Specific Procedures require an explicit list of ecosystem services that flow from
the existing project area ecosystems and infrastructure.'
Ecosystem Services
The FEMA PR&G Agency Specific Procedures include a requirement that impacts of the proposed
alternatives must be analyzed using an ecosystem services approach. Ecosystem services are benefits
that flow from nature to people. These services include the direct and indirect contributions, including
economic and social effects,which ecosystems make to the environment and human populations. The
Interagency Guidelines categorizes ecosystem services into three general types:'
1. Provisioning Services refer to the food,fuel,fiber, and clean water that ecosystems provide.
2. Regulating Services refer to the benefits obtained from the regulation of ecosystem processes.
Examples include pollination,storm protection, climate regulation,and water regulation.
3. Cultural Services refer to the benefits ecosystems confer that do not directly relate to our
physical health or material well-being. Examples include recreation, aesthetic, religious,
existence, and option "values."Whereas the first two of these are experiential,the latter"non-
use"values depend simply on the continued survival of the ecosystem and its attributes.
The concept of Provisioning, Regulation,and Cultural ecosystem services was introduced in the
Millennium Ecosystem Assessment conducted by the United Nations in 2005. The Millennium
Ecosystem Assessment introduced a list of ecosystem services for each category of services (See
Table 2).
S Interagency Guidelines,2014.
6 FEMA EHP Instruction Chapter 4.7(D)(2)
'Interagency Guidelines,2014.
8
The PR&G Analysis
Table 2: Ecosystem Services'
Provisioning Services - Food
- Fiber
- Fuel
- Genetic Resources
- Biochemicals, natural medicines, and
pharmaceuticals
- Ornamental resources
- Fresh Water
Regulating Services - Air quality regulation
- Climate regulation
- Water regulation
- Erosion regulation
- Water purification and waste treatment
- Disease regulation
- Pest regulation
- Pollination
- Natural hazard regulation
Cultural Services - Cultural diversity
- Spiritual and religious values
- Knowledge systems
- Educational values
- Inspiration
- Aesthetic values
- Social relations
- Sense of place
- Cultural heritage values
- Recreation and ecotourism
FEMA's PR&G Agency Specific Procedures require an explicit list of services (natural,social, cultural,and
economic)that flow from the existing project area ecosystems and infrastructure.9 Many of the impacts
that FEMA typically identifies in Environmental Assessments are linked to ecosystem services. The
impacted resource areas in the Environmental Assessment which provide societal benefits should be
explicitly identified as ecosystem services. Alternatively, lists of ecosystem services can be used to
explore other potential services which may be provided by the study area.
S Adapted from Box 2.1 from the Millennium Ecosystem Assessment,2005. Ecosystems and Human Well-being:
Synthesis. Island Press,Washington DC. Available from
http://millenniumassessment.orq/documents/document.356.aspx.pdf
9 FEMA EHP Instruction Chapter 4.7(D)(2)
9
The PR&G Analysis
0
RESOURCE
Available resources which provide lists of ecosystem services:
• Millennial Ecosystem Assessment:
https://www.millenniumassessment.org/documents/document356.aspx.pdf
• Common International Classification of Ecosystem Services:
https://cices.eu/
• National Ecosystem Services Classification System: https://www.epa.gov/eco-
resea rch/national-ecosystem-services-classification-system-framework-design-and-policy
For ecosystem services which will be meaningfully altered by the proposed Water Resources project,the
analysis should identify the projected trend for each service under each alternative. Best Practices for
Integrating Ecosystem Services into Federal Decision Making (Olander et al, 2005) provides two
questions to help assess if an ecosystem service will be meaningfully altered by the proposed action are:
— Is an impact on the ecosystem service likely to be large and strongly driven by the proposed
activity?
— Are the expected changes to the ecosystem service going to matter to a lot of people or to
groups of special concern?'
'°Olander, L,et al. (2015)."Best Practices for Integrating Ecosystem Services into Federal Decision Making."
Durham: National Ecosystem Services Partnership, Duke University.doi:10.13016/M2CH07 Available at
https://nicholasinstitute.duke.edu/sites/default/files/publications/es best practices fullpdf 0.pdf
10
The PR&G Analysis
EXAMPLES
Example analyses that provide lists of ecosystems services
• Marsh Project Environmental Assessment:
http://a123.g.akamai.net/7/123/11558/abc123/forestservic.download.akamai.com/11558/
www/nepa/91281 FSPLT3 2575781.pdf
• Cool Soda Project Environmental Assessment:
http://a123.g.akamai.net/7/123/11558/abc123/forestservic.download.akamai.com/11558/
www/nepa/97532 FSPLT3 2396492.pdf
• Valuing Ecosystem Services: Case Studies from Lowland England:
http://publications.naturalengland.org.uk/publication/2319433
4
RESOURCES
Other helpful resources on ecosystem services
• EPA Introduction to Ecosystem Services:
https://www.epa.gov/enviroatlas/more-information-ecosystem-services-and-enviroatlas
• Federal Resource Management and Ecosystem Services Guidebook:
https://nespguidebook.com/
• Forest Service Ecosystem Services Resources:
https://www.fs.fed.us/ecosystemservices/About ES/index.shtml
Provide a visual representation of the interactions among any natural, social, cultural, and economic
systems that affect or are directly affected by the action.
A visual representation of the interactions among natural,social, cultural, and economic systems that
affect or are directly affected by the action is required. The Interagency Guidelines suggest using
conceptual models to document the relationship and key linkages of resources and services, drivers of
change, and impacts of proposed investments.'1
11 Interagency Guidelines, 2014.
11
The PR&G Analysis
Conceptual Models
Conceptual models are diagrams composed of multiple causal chains where each chain shows how
changes to ecological condition due to an action such as a proposed project or policy change will affect
the provision of ecosystem services and their linked societal benefits.12
To build the causal chains that collectively complete the conceptual model, the Federal Resource
Management and Ecosystems Guidebook(National Ecosystem Services Partnership, 2016) suggests
considering the following questions sequentially:
1. How does a policy, management decision, or program action affect ecological conditions?
2. How do changes in ecological conditions lead to changes in the delivery of ecosystem services
(defined as ecological changes that directly influence people)?
3. How do those changes in the delivery of ecosystem services affect benefits or costs to
individuals or groups?'
0. Ecosystem
Action 1 Ecas stem service Societal
Polis, Y benefit k
management,or
project
Measured oy benefitits
-
. relevant indicators.-_.
Figure 2:Components of an ecosystem service causal chain (from Federal Resource Management and
Ecosystems Guidebook(National Ecosystem Services Partnership, 2016)) 14
Use an iterative process to answer the three questions for as many ecological conditions that will be
affected by the decision as can be identified. For the affected area, link the individual causal chains to
form the conceptual model.
12 National Ecosystem Services Partnership,2017. "Scoping:Conceptual Models," Federal Resource Management
and Ecosystem Services Guidebook. Available at https://nespguidebook.com/assessment-framework/building-
causal-chains/.
19 National Ecosystem Services Partnership,2017. "Building Causal Chains," Federal Resource Management and
Ecosystem Services Guidebook. Available at https://nespgu idebook.com/assessment-framework/building-causal-
chains/
14 National Ecosystem Services Partnership,2017. "Scoping:Conceptual Diagrams,"Federal Resource Management
and Ecosystem Services Guidebook. Available at https://nespguidebook.com/assessment-framework/conceptual-
diagrams/.
12
The PR&G Analysis
A.Ecological assessment and indicators of wildfire risk
Fuel load Fire behavior
(mass,volume) (fire mterstt)j
B.Ecosystem services assessment and benefit-relevant indicators of wildfire impacts on human health
Ecology
Mechanical Fuel load Fire behavior Air quality Exposure Health impacts Value of reduced
Thinning (smoke hazard, (populations in (e.g..hospital > illness caused by
(mass, (fire intensity( as particulates) airshed) visits) Evaluation of smoke
preference or
Airborne value
particulates Number of
in areas people
where - affected by
exposures particulates •
OCNr
Figure 3:An example of a conceptual model (from Federal Resource Management and Ecosystems
Guidebook(National Ecosystem Services Partnership,2016))15
Additional guidance on using conceptual models and causal chains can be found in the Federal Resource
Management and Ecosystem Services Guidebook.
Project Future Conditions of the Study Area using a watershed, ecosystems, or
services approach
The purpose of this step is to project the future conditions or trends of the study area under the no
action alternative
What is the expected service or operational life of the project?The estimated projected life should be used
as the timeframe for analysis under this step.
Describe the expected service or operational life of the project to establish the timeframe over which
impacts will be assessed.
Project the future conditions of the study area using a watershed, ecosystem, or systems approach.
Include projections of future conditions that account for the expected environmental, social, cultural, and
economic changes as a result of climate change.
The intent of this projection is to understand how key resources and services will change in the future to
better compare to future conditions with the investment and serve as a project baseline to assess the
effects of each proposed investment.
is National Ecosystem Services Partnership, 2017. "Building Causal Chains," Federal Resource Management and
Ecosystem Services Guidebook. Available at https://nespguidebook.com/assessment-framework/building-causal-
chains/
13
The PR&G Analysis
Was a Hydrologic and Hydraulics(H&H)Study performed? If yes, attach H&H study. If no, provide
explanation for not performing and documenting an H&H study in the space below.
An H&H study can document the effects of the project on the future conditions of stream or river flows,
flood elevations, and the floodway.l6
List other reasonably foreseeable actions by private and public entities that may affect the water resource.
If other water resource investments have been identified in the watershed, identify foreseeable actions
that may be taken which may affect the water source.
Evaluate Alternatives.
For the PR&G analysis,the discussion of alternatives should evaluate how well the alternatives meet (1)
the Federal Objective, (2)the Guiding Principles of the Principles and Requirements, and (3)the four
formulation criteria of completeness,effectiveness, efficiency,and acceptability.
Describe how each alternative meets the goals of the following PR&G Guiding Principles: (1)Healthy and
Resilient Ecosystems, (2)Sustainable Economic Development, (3)Floodplains, (4)Public Safety, (5)
Environmental Justice, and(6) Watershed Approach.
Under the PR&G, in addition to meeting the purpose and need, alternatives for the water resources
project must also be evaluated against their ability to achieve the Federal Objective and conform to the
Guiding Principles. The Federal Objective and the Guiding Principles are both defined in the Principles
and Requirements for Federal Investments in Water Resources.
The Federal Objective
The Federal Objective specifies that Federal water resources investments shall reflect national priorities,
encourage economic development, and protect the environment by:
1) Seeking to maximize sustainable economic development;
2) Seeking to avoid the unwise use of floodplains and flood-prone areas and minimizing adverse
impacts and vulnerabilities in any case in which a floodplain or flood-prone area must be used;
and
3) Protecting and restoring the functions of natural systems and mitigating any unavoidable
damage to natural systems.
PR&G Guiding Principles
The Guiding Principles are the six overarching concepts the Federal government seeks to promote
through Federal investments in water resources. The Guiding Principles are:
1. Healthy and Resilient Ecosystems
2. Sustainable Economic Development
3. Floodplains
4. Public Safety
5. Environmental Justice
6. Watershed Approach
16 FEMA EHP Instruction Chapter 4.7(E)(1)
14
The PR&G Analysis
Each Guiding Principle is further defined in Section 4.3 of the FEMA EHP Instruction. FEMA's PR&G
Agency Specific Procedures require a comparison of how each alternative performs against the Guiding
Principles. The assessment of the alternatives against the Guiding Principles should identify where
tradeoffs exist in terms of achieving one Principle over another. As with NEPA,the PR&G does not
require the selection any particular alternative.
A table matrix can aid in displaying how each alternative meets the Guiding Principles.
Guiding Principles
Alternatives Healthy and Sustainable Floodplains ' Public Environmental Watershed
Resilient Economic Safety Justice Approach
Ecosystems Development
No Action
Alternative
Alternative
1...
How do the public benefits compare to the public costs of the alternatives?
The PR&G require FEMA to account for the public benefits and costs of the proposed alternatives.
Public benefits and costs can be quantified using FEMA's Benefit Cost Analysis (BCA)Tool. Sea level rise
estimates and environmental benefits should be included in the cost benefit analysis when appropriate.
Was sea level rise included in the Benefit Cost Analysis?
Indicate if sea level rise was included in the benefit cost analysis.
Were environmental benefits included in the benefit cost analysis?
Indicate if environmental benefits were included in the benefit cost analysis.
For each alternative, describe the projected trends of the ecosystem services likely to be meaningfully
altered(as identified in the Existing Conditions). The future conditions projections should account for
expected changes as a result of climate variability and climate change.
Qualitatively or quantitatively describe the direction and magnitude of change (positive/negative,
large/small)of each of the ecosystem services identified as likely to be meaningfully altered (as
identified in the Existing Conditions) under each alternative.
15
The PR&G Analysis
Display the Effects and Comparison of Alternatives
Display the effects of the alternatives and the comparison of the alternatives for their contributions to the
PR&G.
Displays may include graphs, charts,tables, drawings, photographs, summary statements, or other
indications of impacts.i7
Identify the tradeoffs among the economic, environmental, and social goals for the proposed action and
alternatives. Identify any effects that are irreversible or that have high end-of-lifecycle costs to reverse.
Discuss the differences among the alternatives in terms of the effectiveness of the alternative in solving
the purpose and need in comparison to changes in the economic,environmental,or social conditions
under the alternative.
Explain how the economic environmental, and social benefits justify the costs of the proposed action.
Provide a discussion of how the benefits of the selected action justify the costs.
Explain how the selected alternative adequately attains the goals outlined in the Guiding Principles.
Discuss how the identified tradeoffs affect the level of attainment within the Guiding Principles for the
selected alternative.
17 Interagency Guidelines,2014.
16
Integrating PR&G and the National Environmental Policy Act(NEPA) Documents
Integrating PR&G and the National Environmental Policy Act
(NEPA) Documents
Relationship of PR&G and NEPA Reviews
The PR&G will only apply to a subset of the projects to which NEPA applies. Where the PR&G applies,
and an Environmental Assessment (or Environmental Impact Statement) is required under NEPA,the
Interagency Guidelines encourage agencies to integrate the two analyses, and the PR&G analysis can be
incorporated within the NEPA document.
Because the PR&G applicability and NEPA applicability are based on different criteria,the PR&G may
apply where projects qualify for a CATEX or a STATEX. For these projects, EHP staff should prepare a
stand-alone PR&G analysis.
The PR&G and NEPA have similar requirements and considerations, but some requirements of the PR&G
are not covered by the NEPA analysis. Under the PR&G, in addition to addressing the purpose and need,
project alternatives are evaluated for their ability to meet the goals of the PR&G,and the environmental
impacts of the alternatives must be described using an ecosystem services approach. FEMA's PR&G
Agency Specific Procedures have six steps that roughly correspond to chapters within Environmental
Assessments. When the PR&G and NEPA analyses are incorporated together,the document should
identify where analysis is specific to requirements of the PR&G. Analysis requirements unique to the
PR&G are summarized in Table 1 and are furthered described in the following sections.
Table 1: Relationship between Environmental Assessment Chapters and PR&G Agency Specific
Procedure Steps
Environmental Corresponding PR&G Additional PR&G Requirements
Assessment Chapter Section-Chapter 4.7
of EHP Instruction
Introduction B. Define Purpose and Introduction must:
Purpose and Need Need • Use a watershed approach to describe
the project area
• Identify other water resources
investments within the project area
when practicable
Purpose and Need must:
• Identify the water resource problems or
opportunities that have prompted a
project proposal
17
Integrating PR&G and the National Environmental Policy Act(NEPA) Documents
Environmental Corresponding PR&G Additional PR&G Requirements
Assessment Chapter Section-Chapter 4.7
of EHP Instruction
Alternatives C. Formulate a Range Alternatives must:
of Alternatives • Describe how each alternative achieves
the Federal Objective and conforms to
F. Evaluate each of the Guiding Principles defined in
Alternatives FEMA EHP Instruction Chapter 4.3
• Evaluate each alternative for the
provision of public benefits and public
costs using benefit cost analysis. The
benefit costs analysis should include sea
level rise and environmental benefits
when appropriate.
• Identify and discuss tradeoffs between
the achievement of economic,
environmental, cultural,and social goals
for the proposed action and
alternatives, and discuss how the
benefits of the proposed action justify
the costs
Affected D. Identify Existing The Affected Environment descriptions must:
Environment and Conditions • Use the service life of the project as the
Potential Impacts timeframe for the analysis
E. Project Future • Identify and list the ecosystem services
Conditions of the provided by the project area
Study Area • Provide a visual representation of the
interactions among ecosystem services
F. Evaluate affected by the action
Alternatives • Project the trend of each ecosystem
service likely to be meaningfully altered
under each alternative, and account for
the expected changes as a result of
climate change
• Hydrologic and Hydraulic analysis to
quantify the impacts to water resources,
such as changes to river flows or flood
elevations
Impacts Matrix G. Display the Effects • Displays must visualize the tradeoffs of
and Comparison of the alternatives for their contributions
Alternatives to the Federal Objective and Guiding
Principles
18
Integrating PR&G and the National Environmental Policy Act(NEPA) Documents
Introduction and Purpose and Need
FEMA's PR&G Agency Specific Procedures contain specific requirements for the project scope and
Purpose and Need. In the Introduction,the project area should be described in a
watershed/ecosystem/systems context. Other water resources investments within the project area that
could be affected should be identified when practicable.
FEMA's PR&G Agency Specific Procedures also specify that the Purpose and Need Statement of the
NEPA analysis should include a description of the water resources challenge(s)that have prompted a
project proposal. The water resource challenge should be described in terms of the problems or
opportunities to be addressed,the cause(s)of the problem, and constraints related to the problem. For
example, a water resources problem might be to control flooding or improve flood conveyance capacity.
An example of a water resources opportunity might be to restore groundwater infiltration.
Alternatives
Like NEPA, FEMA's PR&G Agency Specific Procedures require FEMA to evaluate a range of alternatives,
including the no action alternative.
Under Formulate a Range of Alternatives,the FEMA PR&G Agency Specific Procedures specify that if an
alternative can be broken into discrete measures, and one of those measures could perform in a
beneficial and sustainable manner independently,then FEMA must evaluate those measures as discrete
units. The discrete measures do not have to be evaluated as independent alternatives themselves, but
the description of the alternative containing the discrete measures should describe the full features and
capabilities of each measure, and the alternative should be evaluated for whether it is an effective and
efficient means of addressing the project purpose and need.
When evaluating alternatives, FEMA's PR&G Agency Specific Procedures require that, in addition to
meeting the purpose and need,the alternatives for the water resources project must also be evaluated
against their ability to achieve the Federal Objective and conform to the Guiding Principles. See the
subsections on the Federal Objective and Guiding Principles for more information. FEMA's PR&G
Agency Specific Procedures require a comparison of how each alternative performs against the Guiding
Principles. The assessment of the alternatives against the Guiding Principles should identify where
tradeoffs exist in terms of achieving one Principle over another. As with NEPA,the PR&G does not
require the selection of any particular alternative.
The FEMA PR&G Agency Specific Procedures also require FEMA to evaluate the benefits and costs of
each alternative. FEMA's benefit cost analysis tool can be used for this purpose. Where appropriate,
the benefit cost analysis should account for sea level rise and include environmental benefits. The
alternatives discussion should identify and discuss tradeoffs between the achievement of economic,
environmental,cultural, and social goals for the proposed action and alternatives, and discuss how the
benefits of the proposed action justify the costs.
19
Integrating PR&G and the National Environmental Policy Act(NEPA) Documents
Affected Environment and Potential Impacts
As under NEPA, FEMA's PR&G Agency Specific Procedures require a description of the physical setting
and information on the existing environment, or baseline conditions for those resources or areas of
concern that may be affected by the proposed alternative.This description correlates to the step of
Identify Existing Conditions in the PR&G. To comply with the PR&G,the expected service or operational
life of the project must be used as the timeframe for the analysis.
The step of Projecting Future Conditions of the Study Area is synonymous with the analysis of the
impacts of the No Action alternative. The analysis of the impacts of the other alternatives in the FEMA
PR&G Agency Specific Procedures falls under the step of Evaluate Alternatives. To satisfy the
requirements of the PR&G,an explicit list of ecosystem services must be provided. See the Ecosystem
Services section of for more information. The discussion should identify the ecosystem services likely to
be meaningfully altered by the alternatives, and project the trends for each of those service.
Additionally,to meet the requirements of the PR&G,the alternatives assessments should account for
the expected environmental,social, cultural, and economic changes as a result of climate change. The
level of detail provided in the discussion should be commensurate with the level (scaled or standard) of
PR&G analysis.
For the Water Resources section of the Affected Environment, information from Hydrologic and
Hydraulic(H&H) analyses can be utilized to project impacts of the alternatives on future water resource
conditions.
Impacts Matrix
FEMA's PR&G Agency Specific Procedures require FEMA to display the effects of alternatives and the
comparison of the alternatives for their contribution to the PR&G in an appropriate form. Utilizing an
Impacts Matrix within the Environmental Assessment would meet this criteria.
20
FEMA Agency Specific Procedures (ASPs) Documentation Template
Project Information
Date: Click here to enter a date.
Program: Choose an item. Disaster(if applicable): Click here to enter text.
Project Title: Click here to enter text.
Project ID: Click here to enter text.
Project Description: Click here to enter text.
Project location (address and/or latitude/longitude)
Click here to enter text.
Check all PR&G triggers that apply below (must check both for PR&G to apply):
• Water Resources Project Scope by purpose, has direct or indirect effect on water quality or
quantity
• Project cost is>$10,000,000
A. Scope the level of PR&G Analysis (check one):
• Scaled Analysis ($10,000,000<_ Project Cost< $20,000,000)
C Standard Analysis ($10,000,000 5 Project Cost<$20,000,000, potential extensive impact to water
resource)
C Standard Analysis (Project Cost>$20, 000,000)
B. Define the purpose and need. Using a watershed, ecosystem, or systems
approach respond to the following questions below, to the extent possible:
Using a watershed, ecosystem,or systems approach respond to the following questions below,to the
extent possible:
Describe the study area. The study area is the geographic area affected by the project in a
watershed/ecosystem/systems context.
Click here to enter text.
Are there other water resource investments within the project area that could be affected?
Click here to enter text.
State the water resource problems and/or opportunities to be addressed.
Click here to enter text.
Describe the cause(s) of the problem, and constraints related to the problem.
Click here to enter text.
C. Formulate a Range of Alternatives.
Document the range of alternatives that address the water resource problem, and achieve
the objectives, principles and requirements outlined in the PR&G.
Describe the proposed alternatives.
Click here to enter text.
Describe the no action alternative.
Click here to enter text.
Do any of the proposed alternatives have multiple discrete measures where one or more of
them could perform in a beneficial and sustainable manner without the measures?
❑ Yes ❑ No
If yes, does the alternative effectively and efficiently achieve the purpose and need?
Click here to enter text.
D. Identify Existing Conditions
List the ecosystem services that flow from the project area ecosystems and infrastructure.
Describe the baseline levels of those ecosystem services, to the extent practicable. Identify
which of these services may be meaningfully altered as a result of the proposed action or
alternatives.
Click here to enter text.
Provide a visual representation of the interactions among any natural, social, cultural, and
economic systems that affect or are directly affected by the action.
E. Project Future Conditions of the Study Area using a watershed, ecosystems, or
services approach
What is the expected service or operational life of the project?The estimated projected life
should be used as the timeframe for analysis under this step.
Click here to enter text.
Project the future conditions of the study area using a watershed, ecosystem, or systems
approach. Include projections of future conditions that account for the expected
environmental, social, cultural, and economic changes as a result of climate change.
Click here to enter text.
Was a Hydrologic and Hydraulics Study performed?
❑ Yes ❑ No
If yes, attach H&H study. If no, provide explanation for not performing and documenting an
H&H study in the space below.
Click here to enter text.
List other reasonably foreseeable actions by private and public entities that may affect the
water resource.
Click here to enter text.
F. Evaluate Alternatives.
See EHP Instruction Section 4.3 for definitions of Guiding Principles.
Describe how each alternative meets the goals of the following PR&G Guiding Principles:
Healthy and Resilient Ecosystems
Click here to enter text.
Sustainable Economic Development
Click here to enter text.
Floodplains
Click here to enter text.
Public Safety
Click here to enter text.
Environmental Justice
Click here to enter text.
Watershed Approach
Click here to enter text.
How do the public benefits compare to the public costs of the alternatives?
Click here to enter text.
Was sea level rise included in the Benefit Cost Analysis?
❑ Yes ❑ No
Were environmental benefits included in the benefit cost analysis?
❑ Yes ❑ No
For each alternative, describe the projected trends of the ecosystem services likely to be
meaningfully altered (as identified in D). The future conditions projections should account
for expected changes as a result of climate variability and climate change.
Click here to enter text.
G. Display the Effects and Comparison of Alternatives
Display the effects of the alternatives and the comparison of the alternatives for their
contributions to the PR&G.
Click here to enter text.
Identify the tradeoffs among the economic, environmental, and social goals for the
proposed action and alternatives. Identify any effects that are irreversible or that have high
end-of-lifecycle costs to reverse.
Click here to enter text.
Explain how the economic, environmental,and social benefits justify the costs of the
proposed action
Click here to enter text.
Explain how the selected alternative adequately attains the goals outlined in the Guiding
Principles
Click here to enter text.
Draft Environmental Assessment
Sub-Applicant Name
Project Title
J
Program / Project Number
Project County, Project State
Month and Year
U.S. Department of Homeland Security
Federal Emergency Management Agency
Region 6
FEMA 800 North Loop 288
Denton, TX 76209
Guidelines for Preparing an Environmental Assessment for FEMA
The following is an outline for how to prepare an Environmental Assessment (EA)for
FEMA-funded grant projects, including specifications for the public comment period.
Examples of EAs prepared for FEMA-funded projects can be found on FEMA's website
at https://edit.fema.gov/environmental-planninq-and-historic-preservation-
program/environmental-documents-public-notices-2 and http://www.fema.gov/media-
library/assets/documents. Additional information for how to prepare EAs is available in
FEMA's NEPA Desk Reference at http://www.fema.qov/library/viewRecord.do?id=3249.
It is advised that the EA be prepared in compliance with Section 508 of the
Rehabilitation Act of 1973, as amended (29 U.S.C. 794d). Section 508 requires that
when federal agencies develop, procure, maintain, or use electronic and information
technology, federal employees and members of the public with disabilities have access
to information and data that is comparable to the access and use by those without
disabilities. In order for an EA to enter public comment, the document must be 508-
compliant to be posted on the FEMA website. Guidance for preparing accessible (508-
compliant) Word and PDF documents is available as a supplement to these EA
Guidelines.
Suggested Format
Cover and Title Page (use template provided)
Table of Contents
List of Acronyms
1.0 Introduction
2.0 Purpose and Need
3.0 Alternatives
3.1 No Action Alternative
3.2 Proposed Action
3.3 Other Action Alternatives
3.4 Alternatives Considered and Dismissed
4.0 Affected Environment and Potential Impacts
4.1 Physical Resources
4.1.1 Geology, Soils, and Seismicity
4.1.2 Air Quality
4.1.3 Climate Change
4.2 Water Resources
4.2.1 Water Quality
4.2.2 Wetlands *
4.2.3 Floodplains *
4.3 Coastal Resources
4.4 Biological Resources
4.4.1 Threatened and Endangered Species and
Critical Habitat *
4.4.2 Wildlife and Fish
4.5 Cultural Resources *
4.5.1 Historic Properties
4.5.2 American Indian/Native Hawaiian/Native
Alaskan Cultural/Religious Sites
Region 6 EA Writing Guidance October 2015
(1)
4.6 Socioeconomic Resources
4.6.1 Environmental Justice *
4.6.2 Hazardous Material
4.6.3 Noise
4.6.4 Traffic
4.6.5 Public Service and Utilities
4.6.6 Public Health and Safety
4.7 Summary Table
5.0 Cumulative Impacts
6.0 Agency Coordination, Public Involvement and Permits
7.0 Mitigation
8.0 References
9.0 List of Preparers
10.0 Appendices (as appropriate, e.g. site maps and photographs,
copies of consultation letters)
NOTE: (*) These resources/areas of concern must be discussed in every FEMA EA.
Introduction
The introduction should include the following: a brief description of the project
background/history (also include a summary of the disaster event, if applicable); an
explanation of the nature of FEMA's involvement in the project (e.g. Greeley County,
through the Nebraska Emergency Management Agency, applied for and was awarded
funding under FEMA's Homeland Security Grant Program to improve first responder
communications); and a summary of the requirement under the National Environmental
Policy Act (NEPA) and FEMA's regulations implementing NEPA to prepare an
Environmental Assessment.
The following is recommended language to summarize the NEPA requirement:
This Environmental Assessment has been prepared in accordance with the
National Environmental Policy Act(NEPA) of 1969, the President's Council on
Environmental Quality regulations to implement NEPA (40 Code of Federal
Regulations Parts 1500-1508), and FEMA's procedures for implementing NEPA
(FEMA Instruction 108-1-1). FEMA is required to consider potential
environmental impacts before funding or approving actions and projects. The
purpose of this EA is to analyze the potential environmental impacts of the
[proposed project]. FEMA will use the findings in this EA to determine whether to
prepare an Environmental Impact Statement(EiS) or a Finding of No Significant
Impact (FONSI).
Purpose and Need
Purpose
Purpose is a statement of the grant program's goals and objectives. Purpose should be
general in nature and not specifically oriented to support the proposed action or limit
consideration of the other action alternatives. Contingent on the funding source, a
Region 6 EA Writing Guidance October 2015
(2)
purpose statement might include something like the examples below. These are
suggestions that may need to be revised for your specific project.
"Through HMGP, FEMA provides grants to states and local governments to
implement long-term hazard mitigation measures. The purpose of HMGP is to
reduce the loss of life and property due to natural disasters and to enable
mitigation measures to be implemented during the immediate recovery from a
disaster. HMGP is authorized under Section 404 of the Robert T. Stafford
Disaster Relief and Emergency Assistance Act."
Or
"The objective of the Federal Emergency Management Agency's (FEMA) Public
Assistance (PA) Grant Program is to provide assistance to State, Tribal and local
governments, and certain types of Private Nonprofit (PNP) organizations so that
communities can quickly respond to and recover from major disasters or
emergencies declared by the President.
Through the PA Program, FEMA provides supplemental Federal disaster grant
assistance for debris removal, emergency protective measures, and the repair,
replacement, or restoration of disaster-damaged, publicly owned facilities and the
facilities of certain PNP organizations. The PA Program also encourages
protection of these damaged facilities from future events by providing assistance
for hazard mitigation measures during the recovery process."
Need
Developing the appropriate project need is critical in an EA. Project need provides the
basis to develop appropriate action alternatives and select the proposed alternative. The
need is the specific problem the project is intended to address. The need should be
specific and stated as a problem, not a solution. The situation should be explained such
that readers understand why FEMA is involved. The need should be described in a
manner that allows multiple ways of addressing the problem. The need should not be
defined by the proposed action (e.g. the need is not "to build a dam," but rather"to
control flooding and prevent future flood damages and losses"; the need is not"to build a
300-foot communications tower," but rather"to improve public safety and interoperable
communications among first responders during an emergency event").
Alternatives
FEMA EAs must, at minimum, include a discussion of the No Action Alternative (i.e.
maintaining the status quo/consequences of not implementing the proposed project) and
the Proposed Action. Preferably, the EA should also include a discussion of Action
Alternatives; in other words, grantees/sub-grantees should ask the question: "if the
proposed project cannot be chosen, how else could the need be met?" Visual tools such
as maps and photographs should be included so that the audience has a clear
understanding of the proposed project and location.
Region 6 EA Writing Guidance October 2015
(3)
Affected Environment and Potential Impacts
In this section, provide a description of the physical setting and information on the
existing environment, or baseline conditions, for those resources/areas of concern that
may be affected by the proposed action or alternatives. The following EHP-related
resources/areas of concern must be discussed in every FEMA EA (these are designated
by an asterisk (*) in the table of contents above): wetlands, floodplains, threatened and
endangered species and critical habitat, cultural resources, and environmental justice.
All other EHP-related resources/areas of concern should be addressed only if the
proposed action and/or alternatives have the potential to affect that resource/area of
concern. Typically, EAs for new facility construction (e.g. school, hospital, fire station)
would also address air quality, noise, traffic, geology and soils.
Suggestion: Use information from other regional EAs that can be applied your project
area (But only use the applicable information). Often EAs prepared by FEMA,
Departments of Transportation (DOTs) and the U.S. Army Corps of Engineers (USACE)
can be a good resource.
EAs for actions in the floodplain or affecting wetlands must include a narrative
discussion of the 8-step process (44 CFR Part 9.6) in the associated floodplain and/or
wetland section of the document. An example of the narrative addressing floodplains
(Executive Order 11988 and 44 CFR Part 9) has been attached to the end of these
writing tips. This same narrative can be applied to address wetlands (Executive Order
11990 and 44 CFR Part 9) as well. EAs that do not provide this narrative when required
will be returned as deficient.
For each resource/area of concern that is discussed, provide the following:
• Description of the general setting and character of the existing proposed project
site relevant to the resource/area of concern being discussed;
• Summary of the EHP law, Executive Order or other requirement that may be
triggered because of potential impacts to that resource/area of concern;
• For each alternative (including the no action alternative) under each resource
provide:
o Description of the short-term (i.e. construction phase) and long-term (i.e.
facility operation) impacts, both positive and negative, on the
resource/area of concern;
o Identification of EHP mitigation measures or best management practices
(BMPs) that would be implemented to reduce or avoid impacts;
o If applicable, summary of coordination or consultation with resource
and/or regulatory agencies responsible for the management or protection
of that resource and outcome of that coordination or consultation (this will
usually only apply to the proposed action/preferred alternative).
Include a summary table of potential EHP impacts and the EHP mitigation
measures/BMPs that will be implemented to reduce or avoid those impacts. Resource
agency coordination and permits can also be included in the table. This table should
follow the same order as the narrative body of the EA and section titles and language
should be consistent.
Region 6 EA Writing Guidance October 2015
(4)
Affected Agency
Environment/ Impacts Coordination/Permits Mitigation/BMPs
Resource Area
(list separately
for each
Alternative)
Cumulative Impacts
Cumulative impacts are the impact on the environment which results from the
incremental impact of an action when added to other past, present, and reasonably
foreseeable future actions, regardless of what agency (Federal or non-Federal) or
person undertakes such other actions. Cumulative impacts can result from individually
minor but collectively significant actions taking place over a period of time. Impacts are
only cumulative for a given resource type or area of concern. In other words, impacts on
wetlands cannot accumulate with impacts on historic properties.
The EA must address cumulative impacts if the Proposed Action or Alternatives, when
taken into account with other past, present, and reasonably foreseeable future actions,
would have an impact on a particular resource/area of concern. Therefore, EA preparers
should contact the appropriate local or county governmental entity to get an idea of what
other projects, regardless of funding or proponent, may be going on or planned in the
area.
Mitigation
Mitigation measures or BMPs presented in the alternatives and summary table are listed
in this section as well. It is important that all mitigation measures are reiterated verbatim
throughout the document.
Agency Coordination, Public Involvement and Permits
In this section, provide the following, if applicable: a description of permits or approvals
that would typically be required for the proposed project (e.g. building codes; storm
water, air pollution, and sediment and erosion control requirements, etc.); a list of
Federal, state, and local agencies and offices or other stakeholders that were contacted
and asked to review the project; and a description of any public involvement that has
occurred regarding the proposed project, such as newspaper notices, town meetings,
etc.
Please note, for the purposes of consultation under the National Historic Preservation
Act (NHPA), applicants and sub-applicants must not contact federally recognized tribes.
Per 36 CFR Part 800.2(c)(2)(ii)(C), "consultation with an Indian tribe must recognize the
government-to-government relationship between the Federal Government and Indian
tribes. The agency official shall consult with representatives designated or identified by
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the tribal government or the governing body of a Native Hawaiian organization."Tribal
consultation cannot be delegated from FEMA to the state or to sub-applicants.
References
Use an accepted citation style such as Modern Language Association (MLA), American
Psychological Association (APA), etc., and remain consistent throughout EA.
List of Preparers
Include a list of individuals, with their professional qualifications and affiliations, who
contributed to the technical content of the EA.
Instructions for Submission of Document to FEMA
Preliminary draft document must be submitted to FEMA for review and approval. The
document must be in both PDF and editable MS Word format. FEMA may respond with
required revisions. This revised document must be re-submitted to FEMA for approval. It
can be helpful if the sub-applicant or contractor prepares an errata sheet that details how
revisions were addressed. It also helps if the revised draft EA document includes line
numbering to facilitate FEMA's review. The final PDF document to be posted to FEMA's
website must be 508-compliant as discussed above. It is the responsibility of the sub-
applicant to prepare a 508-compliant EA, including appendices. FEMA EHP can offer
limited assistance if issues are encountered. Please see attached guidance on preparing
508-accessible documents.
Public Notice and Public Comment Period
Once approved by FEMA, the Draft EA will go out for a 30 day public comment period,
though in some cases the length of the comment period can vary based on FEMA's
discretion.
Publication of Notice
In addition, the sub-applicant or contractor must publish the public notice at least twice
during the 30 day comment period, for one day at the beginning of the comment period
and again for one more day 15 days into the comment period. The public notice need
only be published once at the beginning of the comment period for EAs with a 15 day
public comment period. A daily regional paper of record would be preferred over a
weekly local paper. It is also preferred to be published in the Legal Section of the
newspaper if available. The public notice should include an explanation of how the public
can access the Draft EA and instructions for submitting comments to FEMA. The public
notice needs to be approved by FEMA before publication.
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The sub-applicant or the contractor must submit proof of publication of the public notice
to EHP. This proof must be in the form of an original copy of the notarized proof of
publication affidavit provided by the newspaper publisher. Any other forms of proof will
be accepted on a case by case basis and will require preapproval from EHP.
Physical Availability of Draft EA
The sub-applicant or contractor must make at least one (1) hard copy of the Draft EA
available to the public in an easily accessible location, such as a city hall or public
library. Copies of the public notice must accompany the Draft EA and must be posted in
highly visible areas where the document will be available for public review. In rural
areas, where public facilities can sometimes be too distant from the affected community,
private businesses such as a grocery store can be used with preapproval from EHP.
Locations that have limited operating hours that would prevent an average citizen from
access the document or sites that require pre-approval to access are not permitted.
Final Environmental Assessment
If any comments are received during the public comment period, FEMA may request that
the sub-applicant or contractor revise the EA to address the comments. The sub-
applicant or contractor may be contacted by FEMA EHP with additional instructions if a
Final EA public comment period is necessary. If no public comments are received,
revisions to the Final EA typically only include updating the date and the public
involvement sections.
Once the comment period has ended and all comments dealt with, and if there are no
significant impacts, a FONSI will be written and signed at FEMA Region 6. A FONSI is
FEMA's decision document that concludes that the proposed action will not significantly
impact the environment. It includes required mitigation measures that are conditions of
the grant award. Issuance of a FONSI completes FEMA's NEPA process.
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Example 8-Step Narrative for
Floodplains and Wetlands
(Executive Orders 11988 / 11990
and 44 CFR Part 9)
Region 6 EA Writing Guidance October 2015