CM-2023-171 - 7/28/2023Texas Division of Emergency Management
Subrecipient Agreement for
TDEM-Administered Grant
Awards
Date Revised: May 1, 2023
Index
Letter to Subrecipient
Letter to Subrecipient
Dear Subrecipient:
Congratulations on your new award!
The following document, in conjunction with the applicable State Administrative Plan
(SAP) or Disaster State Administrative Plan (DSAP), lays out applicable laws, rules, and
regulations set forth by local, State, and Federal authority that you, Subrecipient, agree
to upon acknowledgement. Before you may request or receive any funding awarded to
you, you must establish acceptance of this award. By accepting this award, you
acknowledge that the terms of the following document are conditions of your award.
Please read this agreement in full. Acknowledgement by means of signature at the
conclusion of the document, holds Subrecipient to the terms and conditions in the
agreement. Failure to sign this agreement infringes on the ability to obtain Federal
awards, or stake or local grant awards, administered through the Texas Division of
Emergency Management.
Subrecipient Information
Entity Name:
EINITIN:
UEI:
Address Line 1:
Address Line 2:
City
State
Entity Information
City of Round Rock
74-6017485
L6TJ FVAE4DM5
221 East Main Street
Round Rock
TX
UEI Expiration Date: 03/12/24
Zip (+4) 78664 _
Subrecipient Contacts
Primary Contact
Serves as the primary point of contact for project(s).
Name: Debra Doss Position/Job Title: Accounting Supervisor
Email: ddoss@roundrocktexas.gov Phone Number: (512) 218-5436
Certifying Official
Serves as the official representative of the organization.
Must possess the authority to obligate funds & enter into contracts for the organization.
Name: 6fVPL(fl Position/Job Title: i` City Manager
!r , �,K
Email: roundrocktexas.gov Phone Number: (512) 218-54G1
Name:
Authorized Agent
(if different than the Certifying Official)
Serves as an authority of the organization.
Must possess the authority act on behalf of the Certifying Official.
Position/Job Title:
Email: Phone Number:
Texas Division of Emergency Management
Subrecipient Agreement for
TDEM-Administered Grant
Awards
Table of Contents
Ac-RcEVIcmTAuTnmnnv------- ------- ---- ......................... __-------____________.2
Acirement......_.....,.....,.......................................................................................3
i
GENERAL TERMS .............. ............... ---.-.......... -......... ---........ ---.------..3
U.
STANDARD OF ----------------.----------------..4
|N.
FAILURE TO PERFORM ...... ......... ------.............. --------------------- ----------------------------
4
IV.
pUNowxGOBLIGn1KM............................................................ -.......................... -.......... ---�
V-
REcoupwEwTmFPuwos'.------------ -............................... ..............................................................
5
VI.
UNIFORM ADMimiSTRATivE REQUIREMENTS, COST PRWxpwLSAND Auorr REouIREMENTs ---------- ------
6
Vql.
STATE REQUIREMENTS FOR GRAWS........... --------........... ..... -............ ...... ... .---8
\qN.
RESnnCTw)wS*wmGENERAL CmwmTwOwn---.-------_-............................................
7
|K
PROCUREMENT CONTmACnNG.............. ................... ......... --....... ........................................ ...
-9
XMONITORING
--........ --------- ..................................... ...............................................................
1O
X.
AumT.... ----_.......... .----------...... ----------------------- -------- -----------------
11
XI|.
Re7ENnuwAND AcCESSCILnY OF RF-coRm............................................... --.................... --.12
N3U.
CHANGES, AwEwmMswTs SUsPEwsxzwsOnTERMINATION ... ------- ------ ----------------------------------------
12
XKiENFORCEMENT
.......................................................................... ....... -........... .............. -----13
*V-
CmnpuCTnm*INTEREST ......... --- ...................................................................................................
14
NV1.
CWOSiNG OFTHS AWARD ... -........... --------_....... -.-------------'.14
XVliNOTICES
.................................................................... ----..... ............. -----....... -.-1S
XVIU.
T0EM GRANTS MANAGEMENT SYSTEM ...................... ---.....................................................
16
W.
PERp0nMAW-EPERIOD .......................... -........... .------...... ...... ..... --...... ......
15
XX
CC�ZrISCuPeKNOmIFxCATnOw...........................................................................................................
16
XXT.
F1uALExpswmTuREsREPORT. ...... ... ....... ----------- ---------- ---- ----- -........................
16
XXU.
Nr:;/SMALL PROJECT OVERRUN ....................... ............................................................. --- ........
1?
XX||J.AP"s»Ls------
---------- -......................................................................................................
17
XXIV,
REQUESTS FOR --------------------------------IS
XXV.
QUARTERLY REPORT -----.---------_---.---.-----18
XAVI.
GompMsnTRsnOncS----------------- ...............................................................................................
19
XX/U.pEMApUe'r.AssIS7ANNCE
PORTAL AND PEMA GO- ....... -................ -----------.19
XXV0.
INDIRECT COST RATES .......................................................................................................... -.2O
EXHIBIT kAssuAnwcE- pncGnmwwa---.......... --- ....... --------------------- 21
EXHIBITS: Assum/mvCES- CONSFRUCTION PROGRAMS .......................... ........................ ................. ....... 24
ExxIBnC� FOR GRANT AGREEMENTS ------ --- --- --- --- ---------------- -------- ........................ 37
EXHIBIT D' STATE 8plExasASSURpNCES...... -....... ............ -....... ...... -----_---.-------- 39
EXHIBITE: ENVIRONMENTAL REVIEW ......................................................................................................... 93
Ew*IBITP: Ac0.1Tmzcq*L GRANT CIERTIFICATIONS ----- ................................................................................ 34
ExMIBIT G, REQUEST FOR INFORMATION POLICY ..... -.............. ...... -...... -.------............. --35
EXHIBIT H:PRc-Omuq*nowREQUEST FOR INFORMATION POLICY .............................................................. 36
Revisions
Rev. 01: Overall language revisions to improve clarity through the agreement.
Rev. 02: Updates to 2 CFR and 44 CFR references throughout the document.
Rev. 03: Language has been updated to provide links to TDEM's main website where GMS was
previously mentioned.
Rev. 04: Addition of a Subrecipient Letter.
Rev. 05: Addition of a contact page for Subrecipient Primary contacts.
Rev. 06: Revision of the word "Introduction" to "Authority" and "Terms and Conditions for FEMA
Grant Awards Programs" to "Agreement" to align with language appropriate of a
contract.
Rev. 07: Revisions to the mention of FEMA or DHS to DHSIFEMA throughout the document.
Rev. 08: Language to state that the terms "grant" and "award" would be used interchangeably
through the document.
Rev. 09: Language added to clarify State or Federal Authority of the exhibits included in the
agreement (Section 11).
Rev. 10: Language added to clarify the non -inclusive list of program regulations are granted by
Federal Authority (Section VI).
Rev. 11: Addition of requirement to completed Federal Procurement Training within a year of
award (Section V11).
Rev. 12: Removal of mention of the Dun and Bradstreet Data Universal Number System
(Section VI 11).
Rev. 13: Deadlines for documentation submission updated to align with SAP (Section XX).
Rev. 14: Language added to include potential Enforcement actions (Section XIV) for non-
compliance with Single Audit submissions (Section XI).
Rev. 15: Removal of the language to include "partial" termination of an award (Section XIII).
Rev. 16: Removal of specific Grants Management System workflows to become all inclusive of
the grant related functions in GMS (Section XVIII).
Rev. 17: Removal of the Damage and Impact Identification language as this is listed in the
Public Assistance SAP.
Rev. 18: Language added to clarify enforcement action for QPRs that do not show progression
for two or more quarters (Section XXV).
Rev. 19: Addition of BRIC and PDM grant programs in the QPR requirements (Section XXV).
Rev. 20: Revision of the Equipment Records language to include where in federal guidance (2
CFR) to look for full rules and regulations (Section XXVI).
Rev. 21: Addition of FEMA GO for HMA grants (Section XXVII).
Rev. 22: Updates to the general RFI Policy to include language that an extension not to exceed
30 days may be granted at TDEM's discretion (Exhibit G).
Rev. 23: Addition of a Pre -Obligation RFI Policy for HMA grants to include a 15-day timeline for
information requests beginning from the day an application begins review (Exhibit H).
Rev. 24: Inclusion of an acknowledgement that the subrecipient understands that TDEM will not
award additional funding or time extensions unless previously approved (Grant
Acknowledgement, Agreement and Signature).
Rev. 25: Subrecipient full signature is now a requirement to attest that they have read, agree,
and will comply with all Exhibits (Grant Acknowledgement, Agreement and Signature).
Terms and Conditions — May 2023 Page 11
State of the Agreement
Agreement Authority
This agreement applies to all Department of Homeland Security Federal Emergency
Management Agency (DHSIFEMA) awards or other awarding agency financial
assistance awards administered by the Texas Division of Emergency Management
(TDEM). The federal government, the State of Texas, and TDEM have the right to seek
judicial enforcement of these actions.
Subrecipients are required to follow applicable provisions of the Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards located at
Title 2, Code of Federal Regulations (C.F.R.) Part 200, and adopted by DHS at 2 C.F.R
Part 3002, as well as all other applicable federal, state, and local laws, regulations,
policies, procedures, and executive orders.
By accepting this agreement, Subrecipient and its executives, as defined in 2 C.F. R_
170.315, certify that the subrecipient's policies are in accordance with guidance
applicable to federal, state and local laws, and relevant executive guidance. This
agreement, consisting of these terms and conditions and all exhibits, is between the
Texas Division of Emergency Management (TDEM), an agency of the State of Texas,
hereinafter referred to as TDEM, and Subrecipient.
TDEM and Subrecipient are collectively hereinafter referred to as the parties. All awards
made under this agreement are subject to the same terms and conditions except where
additional provisions may be added by TDEM to assure compliance with the
aforementioned authority.
Subrecipient may not assign or transfer any interest in this award without prior written
consent of TDEM and, if required, DHSIFEMA or other awarding agency.
Terms and Conditions -- May 2023 Page 12
Agreement
General Terms
The terms recipient and pass -through entity have the same meaning as grantee,
as used in governing statutes, regulations, and DHS/FEMA guidance.
2. Throughout this document the terms grant and award will be used
interchangeably.
3. A recipient is a non -Federal entity for administration purposes.
4. A subrecipient is known as a subgrantee as used in governing statutes,
regulations, and DHSIFEMA guidance.
5. The grant referred to in this agreement is an award to the subrecipient passed
through from TDEM to Subrecipient.
6. The "certifying official' is the mayor, judge, or executive director authorized to
execute these terms and conditions, and to submit changes of subrecipient
agents. Contracted staff and/or vendors may assist the certifying official in
completing related grant tasks but may not act in lieu of the certifying official.
7. Project and any subsequent versions for those projects accepted by
Subrecipient and subsequently obligated or de -obligated by DHS/FEMA are
considered subawards to this agreement.
8. TDEM uses contractors to assist in administering subawards, both in
communication with Subrecipient and the awarding agency. A subrecipient's
point of contact for all awards will be the assigned regional staff. TDEM may
task various grant management tasks to contractors to work directly with
subrecipients.
9. Within 10 calendar days of any change, Subrecipient must notify TDEM of any
change in Designated Subrecipient Agents as submitted during the execution of
this agreement, and any subsequent changes submitted by Subrecipient in
TDEM's Grants Management System (GMS).
10. In the event Subrecipient hires a consultant to assist them with managing its
Public Assistance and Hazard Mitigation grants (or other), they must be listed on
the Designated Subrecipient Agent Form (DSA) and may not act in lieu of the
designated agent. TDEM will direct all correspondence to the Subrecipient. The
Subrecipient is solely responsible for sharing written communications with the
consultant. The Subrecipient is the primary point of contact and must be
included in all decision -making activities.
Terms and Conditions - May 2023 Page 13
Standard of Performance
Subrecipient must perform all activities as approved by TDEM and that is required in
applicable grant/funding awards. Subrecipient must perform all activities in
accordance with all terms, provisions and requirements set forth in the award,
including, the following exhibits:
1. Assurances — Non -Construction Programs (Federal authority), hereinafter
referred to as Exhibit A
2. Assurances — Construction Programs (Federal authority), hereinafter referred to
as Exhibit B
3. Certifications for Grant Agreements (Federal authority), hereinafter referred to as
Exhibit C
4. State of Texas Assurances (State authority), hereinafter referred to as Exhibit D
5. Environmental Review Certification (Federal authority), hereinafter referred to as
Exhibit E
6. Additional Grant Certifications (State authority), hereinafter referred to as Exhibit
F
7. Request for Information and Documentation Policy (State authority), hereinafter
referred to as Exhibit G
8. Pre -Obligation Request for Information and Documentation Policy (State
authority), hereinafter referred to as Exhibit H
9. Recoupment of Funds (State authority), hereinafter referred to as Exhibit
lil. 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 is liable to
TDEM for an amount not to exceed the amount of this award and may be barred
from receiving additional DHS/FEMA grant program funds or any other grant
program funds administered by the State of Texas until repayment 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 TDEM.
Terms and Conditions — May 2023 Page 14
IV. Funding Obligations
TDEM is not liable to Subrecipient for any costs incurred by Subrecipient that are not
allowable costs authorized under the applicable award.
Notwithstanding any other provision of this grant, the total of all payments and
other obligations incurred by TDEM under this award must not exceed the total
cumulative award amounts listed on the subawards (projects and subsequent
versions).
2. Subrecipient must contribute the required cost share, also known as non -Federal
share or match, listed on the subaward.
3. Subrecipient must provide supporting documentation that supports the totality of
funding requests in accordance with program policy.
V. Recoupment of Funds
Subrecipient must refund to TDEM any sum of these award funds that TDEM and/or
DHS/FEMA determines to be an overpayment to and/or has not been spent by
Subrecipient in accordance with this award. Refund payment(s) may be made from
local, state, or federal grant funds unless prohibited by federal regulation or other
provision.
Nothing in Exhibit I-Recoupment of Federal Funds shall limit TDEM's ability to
implement alternative remedies for which it has authority to resolve outstanding
recoupments or to limit TDEM's ability to take immediate recoupment action(s) after
notice of required refund has been made.
VI. Uniform Administrative Requirements, Cost Principals and Audit Requirements
Except as specifically modified by law or this grant, Subrecipient shall administer this
award through compliance with the most recent version of all applicable laws and
regulations, including but not limited to DHS/FEMA program legislation, federal
awarding agency regulations, and the terms and conditions of this grant. A non-
exclusive list sanctioned by Federal Authority is provided below (not all may apply in
every project):
a. Public Law 93-288, as amended (Stafford Act)
b. 44 C.F.R., Emergency Management and Assistance
c. 2 C.F.R., Grants and Agreements
d. Disaster Mitigation Act of 2000
e. Executive Order 11988, Floodplain Management
f. Executive Order 11990, Protection of Wetlands
g. Executive Order 12372, Intergovernmental Review of Programs and Activities
Terms and Conditions — May 2023 Page 15
h. Executive Order 12549, Debarment and Suspension
i. Executive Order 12612, Federalism
j. Executive Order 12699, Seismic Design
k. Executive Order 12898, Environmental Justice
I. Coastal Barrier Resources Act, Public Law 97-348
m. Single Audit Act, Public Law 98-502
n. Sandy Recovery Improvement Act publications
o. Disaster Recovery Reform Act of 201816 U.S.C. § 470, National Historic
Preservation Act
p. 16 U.S.C. § 1531, Endangered Species Act References
q. FEMA program publications, guidance, and policies
VIL State Requirements for Grants
Subrecipient must comply with all other federal, state, and local laws and regulations
applicable to this award 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/orocurement/catrad/ugms.pdf and the most recent
applicable version of the program State Administrative Plan (and all effective
updates), available at: https://tdem.texas.gov. Subrecipient must, 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, Office of Management and Budget (OMB) circulars,
terms and conditions of this award and the approved application.
Grant funds must 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.
Award 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;
Terms and Conditions — May 2023 Page 16
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. 1X, Sections 7.01 and 7.02, and Texas
Government Code §2102.0091, which requires that this award may only be
expended if Subrecipient timely completes and files its reports.
Federal procurement training will be required in advance of funding, or as a
condition of funding if additional monitoring is deemed appropriate by TDEM.
Training must be completed within a year of award or before closeout of the
award, whichever is sooner. TDEM strongly encourages subrecipients to complete
refresher training in federal procurement standards as variances from these
standards account for the majority of funding de -obligation. TDEM will provide
training or sources for subrecipients to attain training.
VIII. Restrictions and General Conditions
DHS/FEMA grant funds must only be used for the purposes set forth in this award
and must be consistent with the statutory authority for the grant. Award funds must
not be used for matching funds for other federal grants/cooperative agreements,
lobbying, or intervention in federal regulatory or adjudicatory proceedings. In
addition, federal funds must not be used to sue the federal government or any other
government entity.
Federal employees are prohibited from directly benefiting from any funds under
this Grant.
2. In accordance with 2 C.F.R. U5.300, TDEM will not make a subaward unless the
Subrecipient has obtained a unique entity identifier (UEI). A UEI is the identifier
required for System for Award Management (SAM) registration to uniquely
identify entities with which the federal government does business.
3. Subrecipient maintains that it has registered at SAM.gov or other federally
established site for contractor registration and entered 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
Terms and Conditions — May 2023 Page 17
or receives final award payment. Subrecipient agrees that it must not make any
subaward agreement or contract related to this award without first obtaining the
vendor or subawardee's mandatory UEI. See 2 C.F.R. Part 25, Appendix A.
4. Subrecipient must report total compensation for each of the five most highly
compensated executives for the preceding completed fiscal year if the following
is applicable (2 C.F_R. Subtitle A; Chapter 1, Part 170, Appendix A to Part 170).
See FEMA Information Bulletin 350.
a. 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. §170.320.
b. 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 UEI, 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.
c. Subrecipient shall report executive total compensation at SAM.gov, or other
federally established replacement site.
5. By signing this grant, Subrecipient certifies that, if required, Subrecipient has
registered, entered the required information, and shall keep information in the
System for Award Management (SAM) database current, and update the
information at least annually until the subrecipient submits its final financial
report, or receives final payment.
6. Subrecipient agrees that it shall not make any subaward agreement or contract
without first obtaining the subawardee's mandatory UEI.
7. Subrecipient must comply with Federal Executive Orders 12549 and 12689,
which provide protection against waste, fraud, and abuse by debarring or
suspending those persons deemed irresponsible in their dealings with the
Federal government
8. A completed direct deposit form from Subrecipient must be provided to TDEM,
prior to receiving any funds under the provisions of this grant. The direct deposit
form is currently available at https://tdem.texas_gov.
9. 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,
Terms and Conditions -- May 2023 Page 18
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. DHS/FEMA and/or 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 or TDEM on the premises of
Subrecipient or a contractor under this grant, Subrecipient must provide and
must 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. A final physical site inspection
for eligible scope of work and program compliance may be conducted after the
subrecipient's Project Completion and Certification Report has been submitted.
IX. Procurement Contracting
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
award in accordance with 2 C.F.R. 200. 317-327 and Appendix II to Part 200 (A-C)
and (E-J).
All contracts executed using funds awarded under this award shall contain the
contract provisions listed under 2 C.F.R. 200.327 and Appendix II (A), Uniform
Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments.
2. For each of the following types of procurement, activities must follow the most
restrictive of federal, state, or local procurement regulations:
a. Micro purchase
b. Small purchase
c. Sealed bid
d. Competitive proposal
e. Non -Competitive proposal (solely when the award of a contract is unfeasible
under the other methods)
3. The State must approve the use of a noncompetitive procurement method.
Federal regulations allow for noncompetitive procurements under certain
circumstances, including when a non -state entity determines that immediate
Terms and Conditions — May 2023 Page 19
actions required to address the public exigency or emergency cannot be delayed
by a competitive solicitation. 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.
4. Contracts attributed as "cost -plus -percentage -of -cost" or "percentage -of -
construction -cost" are explicitly prohibited by Federal procurement standards and
are ineligible for DHS/FEMA grant.
5. Subrecipients must perform cost/price analysis for every procurement action in
excess of the Simplified Acquisition Threshold.
6. Subrecipients must negotiate profit as a separate element where required.
7. Subrecipients must not make any award to any party which is debarred or
suspended, or is otherwise excluded from participation in the Federal assistance
programs (Executive Order 12549, Debarment and Suspension).
a. Subrecipient must maintain documentation validating review of debarment list
of eligible contractors. Evidence of non -debarment for vendors must be
documented through SAM.gov and
http://www.window.state.tx.us/procurement/prog/vendor_ performance/debarr
ed/ and submitted for review. TDEM will not reimburse any expense for a
debarred vendor or a vendor or Subrecipient that does not have a valid
SAM.aov registration.
8. Subrecipients must comply with rules related to underutilized businesses (small
and minority businesses, women's enterprises and labor surplus firms) at 2
C.F.R U00.321.
9. Subrecipients must comply with the rules of recovered materials for
procurements at 2 C.F.R U00.323.
10. Subrecipients must comply with the rules for domestic preferences for
procurements at 2 C.F.R & 200.322.
X. 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.
Terms and Conditions — May 2023 Page 110
a. 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 award and of the adequacy and timeliness of subrecipient's performance
pursuant to this award.
b. 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 that includes requirements for the timely
correction of such deficiencies by subrecipient. Failure by subrecipient to take
action(s) specified in the monitoring report may be cause for suspension or
termination of this award pursuant to the Changes, Amendments,
Suspensions or Termination Section (XI11) herein.
XI. Audit
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.
1. A copy of the Single Audit must be submitted to TDEM or your cognizant state
agency within nine months of the end of the subrecipient's fiscal year. If not
required to submit a single audit, a response to the request will suffice. Failing to
follow the regulation can result in significant adverse consequences including
any action listing in the Enforcement Section (XIV) of this agreement
Subrecipient must give DHS/FEMA, the Comptroller General of the United States,
the Texas State Auditor, TDEM, or any of their duly authorized representatives
access to and the right to conduct a financial or compliance audit of funds received,
and performances rendered under this award. Subrecipient must permit TDEM or
its authorized representative to audit subrecipient's records. Subrecipient must
provide any documents, materials, or information necessary to facilitate such audit.
1. Subrecipient understands and agrees that it is liable to TDEM for any costs
disallowed pursuant to any financial or compliance audit(s) of these funds.
Subrecipient further understands and agrees that reimbursement to TDEM of
such disallowed costs shall be paid by Subrecipient from funds that were not
provided or otherwise made available to the subrecipient pursuant to this award
or any other federal contract.
2. Subrecipient must take such action to facilitate the performance of such audit(s)
conducted pursuant to this section as TDEM may require of Subrecipient.
Subrecipient must ensure that this clause concerning the authority to audit funds
received indirectly by subcontractors through Subrecipient and the requirement
Terms and Conditions — May 2023 Page 111
to cooperate is included in any subcontract it awards.
3. Subrecipient understands that acceptance of funds under this award 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's audit or investigation, including
providing all records requested. Subrecipient must 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 award.
X11. Retention and Accessibility of Records
Subrecipient shall follow its own internal retention policy, or the State's retention
policy, whichever is more restrictive. At a minimum, the subrecipient must maintain
fiscal records and supporting documentation for all expenditures of this award's
funds pursuant to the applicable OMB 2 C.F.R. Subpart D — Post Federal Award
Requirements, 4200.334-338, and this agreement.
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, orany litigation, dispute,or
audit.
2. Records shall be retained for three (3) years after any real estate or equipment
final disposition.
3. DHSIFEMA or TDEM may direct subrecipient to retain documents or to transfer
certain records to DHSIFEMA custody when DHSIFEMA determines that the
records possess long term retention value.
Subrecipient must give DHSIFEMA, the Comptroller General of the United States,
the Texas State Auditor, 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 award
including records concerning the past use of DHSIFEMA funds. Such rights to
access shall continue as long as the records are retained by Subrecipient.
X111. Changes, Amendments, Suspensions or Termination
TDEM may modify this agreement after an award has been made. Once notification
has been made in writing, any subsequent request for funds indicates Subrecipient's
Terms and Conditions — May 2023 Page 1 12
acceptance of the changes to this subrecipient award. Any alteration, addition, or
deletion to this agreement by subrecipient is not valid.
Any alterations, additions, or deletions to this agreement that are required by
changes in federal and state laws, regulations, or policy are automatically
incorporated into this agreement without written amendment to this award and shall
become effective upon the date designated by such law or regulation. In the event
DHSIFEMA or TDEM determines that changes are necessary to this agreement
after an award has been made, including changes to the period of performance of
the award, or terms and conditions, the certifying official shall be notified
electronically of the changes in writing. Once notification has been made, any
subsequent request for refunds will indicate subrecipients acceptance of the
changes to this award.
1. In the event subrecipient fails to comply with any term of this grant or agreement,
TDEM may, upon written notification to subrecipient, suspend this award, in whole or
in part, withhold payments to Subrecipient, and prohibit Subrecipient from incurring
additional obligations of this grant's funds.
2. TDEM has the right to terminate this award, in whole or in part, at any time before
the end of the Performance Period, if TDEM determines that subrecipient has failed
to comply with any terms of this grant. TDEM shall provide written notice of the
termination that includes:
a. The reason(s) for such determination;
b. The effective date of such termination; and
c. The scope of the termination of the award.
d. Termination of an award is final.
XIV. Enforcement
If subrecipient materially fails to comply with any term of this award or agreement,
whether stated in a federal or state statute or regulation, an assurance, in a state
plan or application, a notice of award, or elsewhere, TDEM or DHSIFEMA 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
Terms and Conditions — May 2023 Page 113
activity or action not in compliance;
5. Request DHS/FEMA to wholly or partially de -obligate funding for a project;
6. Withhold cash payments pending correction of the deficiency bysubrecipient or
more severe enforcement action by TDEM or DHS/FEMA;
7. Withhold future awards for the grant program; and
8. Take other remedies that may be legally available
In taking an enforcement action, TDEM will adhere to any administrative proceeding
to which Subrecipient is entitled under any statute or regulation applicable to the
action involved, and where TDEM, as the recipient, is obligated to follow.
The costs to a subrecipient resulting from expenses incurred by the subrecipient
during a suspension or after termination of this award are not allowable.
The enforcement remedies identified in this section, including suspension and
termination, do not preclude subrecipient from being subject to "Debarment and
Suspension" under Executive Order 12549. 2 C.F.R., Appendix II Part 200, (1).
XV. Conflicts of Interest
The subrecipient must maintain and provide upon request 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 must 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.
XVI. Closing of this Award
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, TDEM will send the final payment automatically to
subrecipient. If Subrecipient did not use all the funds received, TDEM will recover the
unused funds. This does not affect:
DHSIFEMA or 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
Terms and Conditions — May 2023 Page 114
requirements, as set forth herein; and
4. Any other provisions of this award that impose continuing obligations on
Subrecipient or that govern the rights and limitations of the parties to this award
after the expiration or termination of this award.
XVII. Notices
All notices and other communications pertaining to this agreement shall be delivered
in electronic format and shall be transmitted in TDEM's Grant Management System,
hereinafter referred to as "GMS". TDEM reserves the right to use other delivery
avenues as needed.
XVIII. TDEM Grants Management System
TDEM requires the use of the TDEM's Grants Management System (GMS) for
subrecipient grant management functions. Subrecipient is required to access GMS
for all grant related functions as required by TDEM unless written authorization from
TDEM is given. 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. Paper forms and email requests
to initiate grant management functions within GMS are not accepted.
XIX. Performance Period
The performance period for this award is listed on the subaward letter for each
project. All projects must be completed within the performance period and within the
approved budget. Subrecipient shall have expended all award funds and must
submit final requests for reimbursements, invoices, and any supporting
documentation to TDEM no later than 60 calendar days after the end of the
performance period. TDEM is not obligated to reimburse expenses incurred after the
performance period or submitted after the deadline.
From time to time, the performance period for grants may be extended by TDEM.
These extensions do not change the established performance periods for
subrecipients to submit final requests for reimbursements, invoices, and any
supporting documentation.
1. All work musk be done prior to the approved project completion deadline
assigned to each project.
a. For Public Assistance projects written at 100% complete, documentation must
be submitted within 60 days of the Recovery Scoping Meeting (or DHSIFEMA
process equivalent).
Terms and Conditions — May 2023 Page 1115
b. For projects not written at 100% complete for both Hazard Mitigation and
Public Assistance awards, documentation must be submitted within 60 days
of the work completion date.
2. 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;
e. Provides detailed milestones documenting expected progress.
The reason for an extension must be based on extenuating circumstances, or
unusual project requirements that are beyond the control of Subrecipient. Failure to
submit a time extension request 90 days prior to the end of the period of
performance may result in denial, or reduction or withdrawal of federal funds for
approved work.
XX. Cost/Scope Modification
Any change to a project's approved scope of work must be reported and approved
through TDEM and DHS/FEMA before starting the project. Failure to do so will
jeopardize award funding.
Subrecipient shall submit requests for cost overruns to TDEM for review. Any
requests sent for a Public Assistance project will be submitted to DHSIFEMA for
review and approval. Approval of these requests is not guaranteed and is subject to
funding availability. Costs incurred prior to approval of any scope or budget/cost
changes may be denied.
XXI. Final Expenditures Report
The Project Completion and Certification Report (P4) must be submitted to TDEM
within 90 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 and the Applicant's Attestation for
Duplication of Benefits (DOB) form certifying other funds were received to complete
the project.
Terms and Conditions — May 2023 Page 116
XXII. Net Small Project Overrun
If the total actual cost of all of a subrecipient's Public Assistance small projects
combined exceeds the total obligated for all small projects, the subrecipient may
request additional funding through the appeal process, within 60 days of the latest
work completion date of all its Small Projects, as described in the Public Assistance
Program and Policy Guide. A net small project overrun appeal will require a review
of all small projects and could result in a reduction of funding.
XXIII. Appeals
1. Public Assistance
In the event that a subrecipient does not agree with the determinations made
by DHS/FEMA, the subrecipient has the right to file an appeal. This appeal
must be submitted in GMS by initiating a New Project Appeal, attaching
documented justification supporting the subrecipient's position, specifying the
monetary figure in dispute and the provisions in federal law, regulation, or
policy with which the subrecipient believes the initial action was inconsistent.
Additionally, for disasters declared on or after January 1, 2022, subrecipients
must submit appeals using DHS/FEMA's Grants Portal system, in addition to
GMS. An appeal must be submitted by the subrecipient within the following
time frames:
a. Any DHS/FEMA determination — 60 days from the written notice of the
determination being made.
b. Second Appeal — 60 days from the written notice of the determination
made on the previous appeal.
Appeals should be addressed to the TDEM's Division Chief of Recovery and
should contain additional information that the subrecipient wants to have
considered. Upon receipt of an appeal from Subrecipient, TDEM will review
the material submitted, and forward the appeal with a written recommendation
to DHS/FEMA within 60 days.
For presidentially declared disasters on or after October 30, 2012, a
subrecipient may choose to arbitrate in lieu of submitting a second appeal. The
arbitration program is designed to offer an alternate second appeal process by
providing final adjudication through an independent, neutral panel of arbitrators
for particular PA projects involving a dispute equal to or in excess of $500,000
(or $100,000 if the Applicant is in a "rural area", defined as having a population
of less than 200,000 living outside an urbanized area) and must be filed within
60 days of receipt of the first appeal decision. For specific information, refer to
44 CFR § 206.206.
Terms and Conditions — May 2023 Page 117
2. Hazard Mitigation
In the event that a subrecipient does not agree with the determinations made
by DHS/FEMA, the subrecipient has the right to file an appeal. This appeal
must be submitted in GMS by initiating a New Project Appeal, attaching
documented justification supporting the subrecipient's position, specifying the
monetary figure in dispute and the provisions in federal law, regulation, or
policy with which the subrecipient believes the initial action was inconsistent.
In accordance with 44 C.F.R §206.440, an appeal must be submitted by the
subrecipient within the following time frames:
a. Any DHS/FEMA or TDEM determination — 60 days from the date of the
determination of the appeal written on the DHS/FEMA letter;
b. Second Appeal — 60 days from the written notice of the determination
made on the previous appeal. The decision of the Second Appeal is final
and not subject to arbitration.
Appeals must be addressed to the State Hazard Mitigation Officer (SHMO) and
should contain additional information, in accordance with Hazard Mitigation
Assistance (HMA) guidance, that the subrecipient wants to have considered by
DHS/FEMA. Upon receipt of an appeal from the subrecipient, TDEM will forward
the appeal to DHS/FEMA within 60 days.
XXIV. Requests for Reimbursement
Subrecipient will request payment of funds on projects by initiating a request for
reimbursement (RFR) in GMS or an advance of funds request (AFR) through GMS.
The request must include documentation supporting the request.
Payments for open projects must be requested at least quarterly if expenditures have
been made in that quarter. If payment is not requested quarterly, Subrecipient is
subject to enforcement mechanisms described in the Enforcement section (XIV).
Additional monitoring may be required of subrecipients if funds are advanced.
Small projects will be paid upon completion of work and submission of all necessary
closeout documentation to TDEM. Due to the increase of the small project
maximum, subrecipients may require an Advance of Funds to pay eligible costs of
approved project scopes of work.
XXV. Quarterly Report Requirements
Subrecipients must submit quarterly progress reports (QPR) for open, large projects
in Public Assistance, all Hazard Mitigation Grant Program, Building Resilient
Infrastructure and Committees (BRIC), and Pre -Disaster Mitigation Grant projects
using GMS. QPRs are due to TDEM the 15th of the month after the reporting period
Terms and Conditions — May 2023 Page 1 1 a
ends. The reporting period consists of 4 3-month periods:
a. Quarter 1 (Q1): October — December
b. Quarter 2 (Q2): January — March
c. Quarter 3 (Q3): April — June
d. Quarter 4 (Q4): July — September
Failure to submit required APRs that demonstrate appropriate project progress for
two or more quarters, or Requests for Reimbursement (RFR) not submitted
quarterly, can result in the withholding or de -obligation of funding for subrecipients
until all APRs are submitted to TDEM.
TDEM may use the data provided in APRs when considering requests for overruns,
period of performance extensions, or any other award activity. If projects are not
progressing, TDEM will require additional reporting or may take any other
appropriate action to comply with required standards.
XXVI. Equipment Records
When an individual item of equipment is no longer required for federally -funded
programs or projects, Subrecipient must calculate the current fair market value of the
individual item. If items have a fair market value in excess of $5,000.00, Subrecipient
must make DHSIFEMA aware. For full rules and regulations regarding purchased
equipment, reference 2 C.F.R. 200.313.
XXVII. FEMA Public Assistance Portal and FEMA GO
In addition to TDEM's Grants Management System, must utilize the required
DHSIFEMA grant management systems. The FEMA Public Assistance Delivery
Model, or Simplified Application process, is used to facilitate the writing of project
worksheets in FEMA's Grants Portal system (Portal). The subrecipient must establish
and maintain an active account in the Portal. It is the subrecipient's responsibility to
provide and upload timely, all information requested that is needed to write accurate
project worksheets. The Portal provides the subrecipient visibility of the entire project
writing process.
The FEMA Grant Outcomes (FEMA GO) platform is used to facilitate the application,
tracking, and management of Hazard Mitigation Grant Programs (HMGP) including
Building Resilient Infrastructure and Communities (BRIC), Flood Mitigation
Assistance (FMA), and HMGP Post Fire Assistance. The subrecipient is responsible
for requesting and maintaining an active account in FEMA GO and responding
timely to any information requested in order to complete the award process.
Terms and Conditions — May 2023 Page 119
The use of FEMA's Grants Portal and FEMA GO do not eliminate the requirement to
use TDEM's Grants Management System.
XXVIII. Indirect Cost Rates
The subrecipient may use the negotiated Indirect Cost Rate approved by its
cognizant agency, or may use the 10 percent de minimis rate of modified total direct
costs (MTDC) (as per 2 C.F.R. & 200.414) when receiving Management Costs.
XXIX. Request for Information
TDEM and/or DHS/FEMA may request additional information from the subrecipient
throughout the life cycle of this grant. This process, the Request for Information,
herein referred to as RFI. DHS/FEMA RFIs may be received directly from TDEM's
Grants Management System (GMS), FEMA systems (FEMA Grants Portal & FEMA
GO), DHS/FEMA employees, or indirectly through TDEM representatives.
DHS/FEMA RFI timeframes may vary, but due dates are always communicated
upon transmission of the RFI. The TDEM RFI policies can be found in Exhibits G &
H.
Terms and Conditions — May 2023 Page 120
Exhibits
Exhibit A: Assurance — 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,
managerial and financial capability (including funds sufficient to pay the non-federal
share of project cost) to ensure proper planning, management and completion of the
project described in this grant.
2. Will give the Department of Homeland Security, the Texas Division of Emergency
Management, the Comptroller General of the United States and, if appropriate, the
State, through any authorized representative, access to and the right to examine all
records, books, papers, or documents related to this grant and will establish a
proper accounting system in accordance with generally accepted accounting
standards or agency directives.
3. Will establish safeguards to prohibit employees from using their positions for a
purpose that constitutes or presents the appearance of personal or organizational
conflict of interest or personal gain.
4. Will initiate and complete the work within the applicable time frame after receipt of
approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C.§§4728-
4763) relating to prescribed standards for merit systems for programs funded under
one of the 19 statutes or regulations specified in Appendix A ofOPM's Standards for
a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to nondiscrimination. These include but
are not limited to: (a) Title V1 of the Civil Rights Act of 1964 (P.L. 88-352) which
prohibits discrimination on the basis of race, color or national origin; (b) Title IX of
the Education Amendments of 1972, as amended (20 U.S.C. §§1681-1683, and
1685-1686 and 44 C.F.R. Part 19), which prohibits discrimination on the basis of
sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794),
which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination
Act of 1975, as amended (42U.S.C. §§6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-
255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the
Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination
on the basis of alcohol abuse or alcoholism; (g) §§523 and 527 of the Public Health
Service Act of 1912 (42 U.S.C. §§290dd-3 and 290ee-3), as amended, relating to
Terms and Conditions — May 2023 Page 121
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 agreement for
Federal assistance is being made; and 0) the requirements of any other
nondiscrimination statute(s) which may apply to the application.
7. Will comply or has already complied with the requirements of Titles 11 and I I I of the
Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970
(P.L. 91-646) which provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or federally -assisted programs.
These requirements apply to all interests in real property acquired for project
purposes regardless of Federal participation in purchases.
8. Will comply, as applicable, with provisions of the Hatch Act (5 U.S.C. §§1501-1508
and 7324-7328) which limit the political activities of employees whose principal
employment activities are funded in whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C.
§§276a to 276a-7), the Copeland Act (40 U.S.C. §276c and 18 U.S.C. §874), and
the Contract Work Hours and Safety Standards Act (40 U.S.C. §§327-333),
regarding labor standards for federally -assisted construction sub -agreements.
10. Will comply, if applicable, with flood insurance purchase requirements of Section
102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires
recipients in a special flood hazard area to participate in the program and to
purchase flood insurance if the total cost of insurable construction and acquisition is
$10,000.00 or more.
11. Will comply with environmental standards which may be prescribed pursuant to the
following: (a) institution of environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190 as amended by 42 U.S.C. 4311 et
seq. and Executive Order (EO) 11514) which establishes national policy goals and
procedures to protect and enhance the environment, including protection against
natural disasters. To comply with NEPA for DHSgrant-supported activities, DHS-
FEMA requires the environmental aspects tobe reviewed and evaluated before final
action on the application; (b) notification of violating facilities pursuant to EO 11738;
(c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in
floodplains in accordance with EO 11988; (e) assurance of project consistency with
the approved State management program developed underthe Coastal Zone
Management Act of 1972 (16 U.S.C.§§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 of and enhancement of the quality of the nation's air resources to promote
public health and welfare and for restoring and maintaining the chemical, physical,
Terms and Conditions — May 2023 Page 122
and biological integrity of the nation's waters; (g) protection of underground sources
of drinking water under the Safe Drinking Water Act of 1974, as amended (P.L. 93-
523); and, (h) protection of endangered species under the Endangered Species Act
of 1973, as amended (P.L. 93- 205).
12.Will 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.
13. Will assist the awarding agency in assuring compliance with Section 106 of the
National Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO 11593
(identification and protection of historic properties), and the Archaeological and
Historic Preservation Act of 1974 (16 U.S.C. §§469a-1 etseq.).
14. Will comply with P.L. 93-348, 45 C.F.R. 46, and DHS Management Directive 026-
044 (Directive) regarding the protection of human subjects involved in research,
development, and related activities supported by this Grant. "Research" means a
systematic investigation, including research, development, testing, and evaluation
designed to develop or contribute to general knowledge. See Directive for
additional provisions for including humans in the womb, pregnant women, and
neonates (Subpart B); prisoners (Subpart C); and children (Subpart D). See also
state and local law for research using autopsy materials.
15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as
amended, 7 U.S.C. §§2131 et seq.) which requires the minimum standards of care
and treatment for vertebrate animals bred for commercial sale, used in research,
transported commercially, or exhibited to the public according to the Guide for Care
and Use of Laboratory Animals and Public Health Service Policy and Government
Principals Regarding the Care and Use of Animals.
16. Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C.§§4801
et seq.), which prohibits the use of lead -based paint in construction or rehabilitation of
residence structures.
17. Will cause to be performed the required financial and compliance audits in
accordance with the Single Audit Act Amendments of 1996 and OMB Circular No. A-
133 (now OMB 2 C.F.R. 200,500), "Audits of States, Local Governments, and Non -
Profit Organizations."
18. Will comply with all applicable requirements of all other Federal laws, executive
orders, regulations, grant guidance, and policies governing this Grant.
Terms and Conditions — May 2023 Page 123
Exhibit B: Assurances — Construction Programs
(See Standard Form. 424D)
As the duly authorized representative of subrecipient, I certify that subrecipient:
1. Has the legal authority to apply for federal assistance, and the institutional,
managerial and financial capability (including funds sufficient to pay the non-federal
share of project costs) to ensure properplanning, management and completion of
project described in this Grant.
2. Will give the Department of Homeland Security, the Texas Division of Emergency
Management, the Comptroller General of the United States and, if appropriate, the
State, the right to examine all records, books, papers, or documents related to this
grant and will establish a proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3. Will not dispose of, modify the use of, or change the terms of the real property title
or other interest in the site and facilities without permission and instructions from the
awarding agency. Will record the federal awarding agency directives and will include
a covenant in the title of real property acquired in whole or in part with federal
assistance funds to assure nondiscrimination during the useful life of this Grant.
4. Will comply with the requirements of the assistance awarding agency with regard to
the drafting, review and approval of construction plans and specifications.
5. Will provide and maintain competent and adequate engineering supervision at the
construction site to ensure that the complete work conforms with the approved plans
and specifications and will furnish progressive reports and such other information as
may be required by the awarding agency or State.
6. Will initiate and complete the work within the applicable time frame afterreceipt of
approval of the awarding agency.
7. Will establish safeguards to prohibit employees from using their positions for a
purpose that constitutes or presents the appearance of personal ororganizational
conflict of interest or personal gain.
8. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§4728-
4763) relating to prescribed standards of merit systems for programs funded under
one of the 19 statutes or regulations specified in Appendix A of OPM's Standards for
a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
9. Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §§4801
et seq.) which prohibits the use of lead -based paint in construction or rehabilitation
of residence structures.
Terms and Conditions — May 2023 Page 124
10. Will comply with all federal statutes relating to nondiscrimination. These include but
are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which
prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the
Education Amendments of 1972, as amended (20 U.S.C. §§1681 1683, and 1685-
1686 and 44 C.F.R. Part 19), which prohibits discrimination on the basis of sex; (c)
Section 504 of the Rehabilitation Act of 1973, as amended (29) U.S.C. §794), which
prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act of
1975, as amended (42 U.S.C. §§6101-6107), which prohibits discrimination on the
basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as
amended relating to nondiscrimination on the basis of drug abuse; (f) the
Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on
the basis of alcohol abuse or alcoholism; (g) §§523 and 527 of the Public Health
Service Act of 1912 (42 U.S.C. §§290dd-3 and 290ee-3), as amended, relating to
confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil
Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental or financing of housing; (i) any other
nondiscrimination provisions in the specific statue(s) under which agreement for
Federal assistance is being made; and 0) the requirements of any other
nondiscrimination statue(s) which may apply to the agreement.
11.Will comply with the provisions of the Hatch Act (5 U.S.C. §§1501-1508and 7324-
7328) which limit the political activities of employees whose principal employment
activities are funded in whole or in part with Federal funds.
12. Will comply or has already complied with the requirements of Titles II and III of the
Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970
(P.L. 91-646) which provide for fair and equitable treatment of persons displaced or
whose property is acquired as a resultof federal and federally -assisted programs.
These requirements apply to all interests in real property acquired for project
purposes regardless of Federal participation in purchases.
13. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C.
§§276a to 276a-7), the Copeland Act (40 U.S.C. §276c and 18 U.S.C. §874), and
the Contract Work Hours and Safety Standards Act (40 U.S.C. §§327- 333)
regarding labor standards for federally- assisted construction sub -agreements.
14. Will comply with flood insurance purchase requirements of Section 102(a) of the
Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a
special flood hazard area to participate in the program and to purchase flood
insurance if the total cost of insurable construction and acquisition is $10,000 or
more.
15. Will comply with environmental standards which may be prescribed pursuant to the
Terms and Conditions — May 2023 Page 125
following: (a) institution of environmental quality control measures under the
National Environmental Policy Act of 1969 (P.L. 91-190) as amended by 42 U.S.C.
4311 et seq. and Executive Order (EO) 11514 which establishes national policy
goals and procedures to protectand enhance the environment, including protection
against natural disasters; (b) notification of violating facilities pursuant to EO 11738;
(c)protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in
floodplains in accordance with EO 11988; (e) assurance of project consistency with
the approved State management program developed under the Coastal Zone
Management Act of 1972 (16 U.S.C. §§1451 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 of and enhancement of the quality of the nation's air resources to
promote public health and welfare and for restoring and maintaining the chemical,
physical, and biological integrity of the nation's waters; (g) protection of
underground sources of drinking water under the Safe Drinking Water Act of 1974,
as amended (P.L. 93-523); and, (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93-205).
16.Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§1271 et seq.)
related to protecting components or potential components of the national wild and
scenic rivers system.
17. Will assist the awarding agency in assuring compliance with Section 106 of the
National Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO
11593 (identification and protection of historic properties), and the Archaeological
and Historic Preservation Act of 1974 (16 U.S.C. §§469a-1 et seq).
18. Will cause to be performed the required financial and compliance audits in
accordance with the Single Audit Act Amendments of 1996 and OMB Circular No.
A-133 (now OMB 2 C.F.R. 200.500), "Audits of States, Local Governments, and
Non -Profit Organizations."
19. Will comply with all applicable requirements of all other Federal laws, executive
orders, regulations, grant guidance and policies governing this grant.
Terms and Conditions — May 2023 Page 126
Exhibit C: Certifications for Grant Agreements
The undersigned, as the authorized official, certifies the following to the best of his/her
knowledge and belief:
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.
2. If any funds other than federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an
employee 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.
3. 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 wasplaced 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
subjectto a civil penalty of not less than $10,000 and not more than $100,000 for
each such failure.
4. 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:
a. 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. Subrecipientcan access debarment information by going to
www.sam.gov and the State Debarred Vendor List at:
www.window.state.tx. usl rocurementlproilvendor_perf..ormanceldebarred.
Terms and Conditions — May 2023 Page 127
b. 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;
c. 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;
d. 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
e. 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).
5. 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.
6. 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.
7. Subrecipient will comply with the Drug -free Workplace Act, in Subpart B of 2 C.F.R.
Part 3001.
8. 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-1 29 and form SF-424, item number 17 for
additional information andguidance.
9. 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.
10. Subrecipient understands that failure to comply with any of the above assurances
may result in suspension, termination orreduction of funds in this grant.
Terms and Conditions — May 2023 Page 128
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, orshall 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 ensure that all terms,
conditions, and specifications are met. (See UGMS Section _.36 for additional
guidance on contract provisions).
Terms and Conditions — May 2023 Page 129
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, 11, 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 certaintesting 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 Vlll of the Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as amended,
relating to nondiscrimination in the sale, rental, or financing of housing; (i) any other
nondiscrimination provisions in the specific statute(s) under which application for
Federal assistance is being made; and 0) the requirements of any other
nondiscrimination statute(s) which may apply to thisgrant.
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-
Terms and Conditions — May 2023 Page 130
29), which limit the political activity of employees whose principal employment
activities are funded in whole or in part with Federal funds.
13.Shall comply with the minimum wage and maximum hours provisions of the Federal
Fair Labor Standards Act and the Intergovernmental Personnel Act of 1970, as
applicable.
14. Shall insure that the facilities under its ownership, lease, or supervision which shall
be utilized in the accomplishment of the project are not listed on the Environmental
Protection Agency's (EPA) list of Violating Facilities and that it will notify the Federal
grantor agency of the receipt of any communication from the Director of the EPA
Office of Federal Activities indicating that a facility to be used in the project is under
consideration for listing by the EPA (EO 11738).
15. Shall comply with the flood insurance purchase requirements of Section 102(a) of the
Flood Disaster Protection Act of 1973, Public Law 93-234. Section 102(a) requires
the purchase of flood insurance in communities where such insurance is available as
a condition for the receipt of any Federal financial assistance for construction or
acquisition proposed for use in any area that has been identified by the Secretary of
the Department of Housing and Urban Development as an area having special flood
hazards.
16. Shall comply with environmental standards which may be prescribed pursuant to the
following: (a) institution of environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b)
notification of violating facilities pursuant to EO 11738; (c) protection of wetlands
pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance
with EO 11988; (e) assurance of project consistency with the approved state
management program developed under the Coastal Zone Management Act of 1972
(16 U.S.C. §§1451 et seq.); (f) conformity of federal actions to State (Clear Air)
Implementation Plans under Section 176(c) of the Clean Air Act of 1977, as
amended (42 U.S.C. §§7401 et seq.); (g) protection of underground sources of
drinking water underthe Safe Drinking Water Act of 1974, as amended (P.L. 93-
523); and (h) protection of endangered species under the Endangered Species Act
of 1973, as amended (P.L. 93-205).
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.).
Terms and Conditions — May 2023 Page 131
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 commercially, or exhibited to the public according to the Guide for Care
and Use of Laboratory Animals and Public Health Service Policy and Government
Principals Regarding the Care and Use of Animals.
20. Shall comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §§4801
et seq.) which prohibits the use of lead -based paint in construction or rehabilitation of
residential structures.
21. Shall comply with the Pro -Children Act of 1994 (Public Law 103-277), which
prohibits smoking within any portion of any indoor facility used for the provision of
services for children.
22. Shall comply with all federal tax laws and are solely responsible for filing all required
state and federal tax forms.
23. Shall comply with all applicable requirements of all other federal and state laws,
executive orders, regulations, and policies governing this program.
24.And its principals are eligible to participate and have not been subjected to
suspension, debarment, or similar ineligibility determined by any federal, state, or
local governmental entity and it is not listed on a state or federal government's
terrorism watch list as described in Executive Order 13224. Entities ineligible for
federal procurement have Exclusions listed at SAM.gov.
25. Shall adopt and implement applicable provisions of the model HIVIAIDS workplace
guidelines of the Texas Department of Health as required by the Texas Health and
Safety Code, Ann., Sec. 85.001, et seq.
Terms and Conditions — May 2023 Page 132
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 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 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 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 1660-01151FEMA Form 024-0-01 and submitting it, with all
supporting documentation, to 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 FEMAand the appropriate State Historical Preservation Office.
Terms and Conditions — May 2023 Page 133
Exhibit F: Additional Grant Certifications
Public Assistance and Hazard Mitigation Program Grant (HMGP)
a. Match Certifications
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.
b. Duplication of Program Statement
Subrecipient certifies there has not been, nor will be, a duplication of benefits for
this project Match Certification.
c. Federal Debt Disclosure
Subrecipient certifies that it not delinquent on and Federal debt.
2. HMGP Only
a. Maintenance Agreement
Applicant certifies that there is a Maintenance Agreement needed for this facility
and that a copy of that agreement will be provided to TDEM.
b. Environmental Justice Statement
Federal Executive Order 12898 compliance requirements -- If there are any
concentration of low income of minority populations in or near the HMGP
projects:
Applicant certifies that the HMGP project result will not result in a
disproportionately high effect on low income or minority populations.
•V
ii. Applicant certifies that actions will be taken to ensure of environmental
justice for low income and minority populations related to this HMGP
project.
Terms and Conditions — May 2023 Page 134
Exhibit G: Request for Information Policy
Timelines for providing complete and accurate information and documentation are
crucial to the success of the overall Grant Program and to the timely completion and
closure of awarded projects. TDEM has developed a framework following a progressive
series of communications for the Subrecipient, referred to as Request for Information
(RFI). TDEM will work with Subrecipients throughout the RFl process as communication
is the key to success.
This policy will be applied to Public Assistance and Hazard Mitigation projects for
management and closeout activities after obligation. This policy will address non-
responsive and inadequate responses to requests for information. Although the timeline
outlines milestones to be completed, nothing limits the ability of TDEM from sending
communications.
TDEM regional coordinators or the Support Affiliate will reach
out to Subrecipient's primary contact requesting the information
needed. Communication will be documented in GMS.
If adequate response is not received, TDEM Regional Unit Chief
will reach out to Subrecipient primary contact. Communication
will be documented in GMS.
If adequate response is not received, TDEM Regional Section
Chief will reach out to Subrecipient primary contact.
Communication will be documented in GMS
If adequate response is not received, TDEM regional
coordinator or Support Affi'iate will send a letter, signed by the
Regional Unit or Section Ch'ef notifying the subrecipient of the
missed deadline and any act on that will be taken.
If Subrecipient requires additional time a written request must
be submitted to the Regional Coordinator no later than Day
_ 30. Extensions will be approved at TDEM's desecration and
up to 30 days may be granted; in total an RFI will have a
window of no more than 60 days.
If adequate response is not received, TDEM regional
coordinator will send a letter, signed by the Regional Unit or
Section Chief notifying the subrecipient of the missed deadline
and any action that will be taken.
Terms and Conditions — May 2023 Page 135
Exhibit H: Pre -Obligation Request for Information Policy
Timelines for providing complete and accurate information and documentation are
crucial to the success of the overall Grant Program and to the timely obligation of
projects. TDEM has developed a framework following a progressive series of
communications for the subrecipient, referred to as Request for Information (RFI).
TDEM will work with subrecipients throughout the RFI process as communication is the
key to success.
This policy will be applied to Hazard Mitigation projects for management activities pre -
obligation. This policy will address non -responsive and inadequate responses to
requests for information. The timeline outlined below represents a single, 15-day period
beginning from TDEM's first review of Subrecipient's application. Failure to supply
timely responses could result in dismissal of application or award submission. Although
the timeline outlines milestones to be completed, nothing limits the ability of TDEM from
sending communications.
Upon initial review of Subrecipient's HMGP application, TDEM
staff will initiate contact with Subrecipient via email. This first
communication begins the 15-day pre -obligation request for
information policy timeline.
5 days after the first communication, if adequate response is not
received, the Regional Unit Chief will issue a read receipt, high
importance email to the Subrecipient's primary contact
highlighting previous requests and notifying Subrecipient of the
10 remaining days to provide the requested information.
5 days after the second communication, if adequate response
is not received, TDEM staff will issue a formal reminder through
a letter signed by the Regional Unit Chief and emailed to the
Subrecipient's primary contact and Certifying Official informing
them of the final 5 days remaining to provide the requested
information. The Assistant Chief is to be copied on the email for
5 days after the third communication, if adequate response is
not received, TDEM staff will send a letter, signed by the
Regional Unit Chief, to Subrecipient's primary contact notifying
Subrecipient of missed deadline.
`terms and Conditions n May 2023 Page 136
Exhibit I: Recoupment of Federal Funds
Procedure Summary
• This procedure is to ensure responsible spending of federal dollars, 2 CFR
200.344 and 2 CFR § 200.345 require that the State of Texas and the Texas
Division of Emergency Management (TDEM) act to identify and recover any
improper payments.
This procedure applies to all Division subrecipients that receive funds from or
through TDEM and explains the process by which funding to subrecipients will be
recovered in the event that such funding is determined to be an overpayment or is
not expended appropriately under the terms and conditions between TDEM and the
subrecipient and/or applicable FEMA program, statue, regulations, or guidance.
• The federal dollars described in this policy are passed through the Division, which
serves as the Governor's authorized representative for certain federal grants and
awards. Any amount of debt owed to the federal government is ultimately the
responsibility of the State of Texas, not specifically the responsibility of the Division.
Procedure
1. Applicability of Recoupment
1.1. This procedure will be applied to subrecipients that have been determined by the
Division to have received an overpayment or that the Division determines has
not spent federal funds in accordance with their grant or financial award.
2. Recipient's Responsibilities
2.1. subrecipients are required to sign Grant Terms and Conditions prior to receipt of
funds that stipulate subrecipients shall refund to the Division any sum that has
been determined by the Division to be an overpayment to Subrecipient or that
the Division determines has not been spent by Subrecipient in accordance with
their grant or financial award.
2.2. No refund payment(s) shall be made from local, state or federal grant funds
unless repayment with grant funds is specifically permitted under the applicable
program.
2.3. Subrecipients shall make such refund to the Division within thirty (30) calendar
days after the Division requests such refund.
Terms and Conditions — May 2023 Page 137
3. Division Collection Actions
3.1. Upon determination that a subrecipient has received an overpayment or has not
expended funds in accordance with the grant or fiscal award, the following steps
will be taken:
3.1.1. First Formal Communication: A recoupment letter will be sent to the
subrecipient's Authorized Agent(s) highlighting the amount of federal
funds owed, electronic transfer information, and the requirement to repay
the amount within thirty (30) calendar days.
3.1.1.1. The communication will be sent using electronic mail to the
designated agent identified in the grant/funding application, and;
3.1.1.2. Posted in TDEM's Grants Management System (GMS), and;
3.1.2. The Division will confirm receipt of the recoupment letter by either
receiving a written confirmation from the subrecipient or making
documented verbal contact with the subrecipients designated agent,
mayor, or county judge as applicable.
3.1.3. If the subrecipient fails to make repayment of the amount identified in the
recoupment letter within thirty (30) business days of receipt of the letter,
the Division may offset an applicant's owed funds against current available
funding due to applicant unless an agreement to return funding is reached
with the applicant as approved by TDEM.
3.1.4. If the repayment is not made, the Division shall send an additional notice
to the subrecipient by electronic mail and posted to the TDEM Grants
Management System (GMS) thirty (30) to forty-five (45) days after the first
letter was sent and then confirm receipt of the recoupment letter by either
receiving a written confirmation from the subrecipient or making
documented verbal contact with the subrecipients designated agent,
mayor, or county judge as applicable. This letter will indicate the amount
of funds that have been transferred to offset the amount due and
remaining balance or will confirm if offset will occur. In addition, the letter
will contain information related to recoupment options that may be taken in
accordance with section 3.2 Delinquent Accounts.
3.1.5. If the repayment is not made after the second letter, the Division shall
send a third notice to the subrecipient by electronic mail and posted to the
TDEM Grants Management System (GMS) thirty (30) to forty-five (45)
days after the second letter was sent and then confirm receipt of the
recoupment letter by either receiving a written confirmation from the
subrecipient or making documented verbal contact with the subrecipients
Terms and Conditions — May 2023 Page 138
designated agent, mayor, or county judge as applicable. This letter will
indicate the amount of funds that have been transferred to offset the
amount due and remaining balance or will confirm if offset will occur. In
addition, the letter will contain information related to recoupment options
that may be taken in accordance with section 3.2 Delinquent Accounts.
3.1.6. If the subrecipient fails to make repayment of the amount identified in the
recoupment letter or enter an agreement to repay the funding with the
Division approved by TDEM within one hundred twenty (120) days from
the date that the original recoupment letter was sent, the Division will take
any and all authorized actions to withhold funding for other grants,
including issuing a State Comptroller Warrant Hold and/or referring the
matter to the attorney general. The Division shall notify the subrecipient of
any such decision.
3.2. Delinquent Accounts
3.2.1. Delinquency Determination
3.2.1.1. If a subrecipient fails to make repayment of the amount identified in
the recoupment letter or enter an agreement approved by TDEM to
repay the funding with the Division within 120 days from the date the
original recoupment letter was sent, the Division may determine that
the account is delinquent.
3.2.1.2. At TDEM's sole discretion, TDEM may authorize payment plans that
fully reimburse the full amount owed over a 1-9-month period or prior
to the end of the grant period. From time to time, variances in
approved timelines may occur based on the phase of the grant
process and other timelines determined by FEMA such as periods of
performance and closeout liquidation periods.
3.2.1.3. Should a subrecipient enter into a payment plan and then fail to make
more than one timely payment, the payment plan shall be considered
invalid and the full balance shall be due within 30 calendar days. If
payment is not made within 30 days, the actions contained within
Section 3.1.7 and Section 3.2.
3.2.2. Warrant Hold Process
3.2.2.1. Once the Division has determined that the debt is delinquent, the
Division may utilize the state comptroller's warrant hold process to
ensure payments are not issued to the individual or entity that is
indebted to the state.
Terms and Conditions — May 2023 Page 139
3.2.3. Referral to the Attorney General
3.2.3.1. Once the account is determined to be delinquent, the Division may
determine whether to refer the account to the Attorney General
through the System Office of the General Counsel.
3.2.3.2. The determination as to the manner in which to pursue the collection
of the account must consider the following:
3.2.3.2.1. The size of the debt;
3.2.3.2.2. The existence of any security or collateral;
3.2.3.2.3. The likelihood of collection through passive means;
3.2.3.2.4. The cost to the Division or Attorney General in attempting to
collect the obligation; and
3.2.3.2.5. The availability of resources within the Division or Attorney
General to devote to the collection of the obligation.
3.2.4. Referral to the Attorney General
3.2.4.1. Upon a determination to refer to the Attorney General, the Division
shall notify the subrecipient of the delinquency status of the account,
including the amount in no more than two mailed letters.
3.2.4.1.1. The first demand letter shall be mailed USPS First Class Mail
within 30 days after the debt has been determined delinquent
and an Attorney General referral is desired.
3.2.4.1.2. The second demand letter shall be mailed USPS First Class
Mail between 30-60 days after the first demand letter was
mailed if repayment of the amount has not occurred.
3.2.4.2. If the Division determines that it will refer the matter to the Attorney
General, it shall, through the System Office of the General Counsel,
notify the Attorney General around the 90'h day after the first demand
letter was sent.
3.3.The Division shall maintain copies of all communications with the subrecipients
regarding the recoupment of the grant or financial award funding.
Terms and Conditions — May 2023 Page 140
4. TDEM's Ability to Remedy
Nothing in this procedure shall limit TDEM's ability to implement alternative remedies for
which it has authority to resolve outstanding recoupments.
Nothing in this policy shall prohibit TDEM from immediately taking any recoupment
action after the first thirty (30) day notice has been issued requesting repayment.
Related Statutes, Policies, or Requirements
• Texas A&M University System Regulation 21.01.04
• 1 Tex. Admin. Code Section 59.2
Tex. Gov't Code Section 403.055
Tex. Gov't Code Chapter 2107
Texas A&M University System Office Collection and Write-off Guidance
• Texas A&M University System Regulation 09.04.01
Terms and Conditions — May 2023 Page 141
Grant Acknowledgement, Agreement and Signature
Please provide your signature next to each item in acknowledgement you have
rec"ed, read, unde tand, and agree to abide by the terms.
I, , the undersigned and Certifying Official of
Printed Name
City of Round Rock certify that I have read and understand each section of the
Subrecipient Name
of the above agreement. My signatures below serve as Subrecipient agreement to comply
with all laws, rules, regulations, and policy presented.
Agreement Authority
Signat e
I �I.C.C�Q''l�lG4 Agreement (Section I — XXIX)
Si natu e
/ oW_JzL.Exhibit A: Assurance — Non -Construction
Signs re Programs
Il ] r
Exhibit B: Assurance —Construction
Signat a Programs
�eAo�
natur
natu e
I � +
Signat re
Exhibit C: Certifications for Grant
Agreements
Exhibit D: State of Texas Assurances
Exhibit E: Environmental Review
Certification
Exhibit F: Additional Grant Certifications
Terms and Conditions — May 2023 Page 142
)—. V �4 XW
Exhibit G: Request for Information Policy
ignatur
1 �.Gt/��a/Y'✓�J Exhibit H: Pre -Obligation Request for
nat re Information Policy
Exhibit I: Recoupment of Federal Funds
9
i nat�i ee
I understand that by signing these terms
Signatu a and conditions, only costs deemed eligible
in the approved scope of work (SOW) for
my award will be reimbursed. Additional
funding or time extensions will not be made
available unless previously approved.
Please sign below to acknowledge subrecipient's acceptance of this grant and all
exhibits and subrecipient's agreement to abide by all terms and conditions.
Signattire of Certifying Official Date
1_aU4&11_ad_1e,y,,City 9Manager
Printed Name, Title (e.g., Jane Doe, Mayor)
-Z623--/�
Terms and Conditions — May 2023
Page 143
IRCity of Round Rock
OUNQ ROCK
TEXAS Agenda Item Summary
Agenda Number:
Title: Consider executing a Subrecipient Agreement for TDEM-Administered Grant
Award related to Ice Storm Mara.
Type: City Manager Item
Governing Body: City Manager Approval
Agenda Date: 7/28/2023
Dept Director: Susan Morgan, CFO
Cost:
Indexes:
Attachments: Grant Terms and Conditions May 2023
Department: Finance
Text of Legislative File CM-2023-171
TDEM recently updated their Grant Terms and Conditions. In order to activate the City's account for Ice
Storm Mara, they require this document to be signed by Laurie Hadley as our Certifying Official. There
are 13 places on pages 42 and 43 of the document (pages 48 and 49 of the PDF file) that need a signature.
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