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CM-08-10-255NOTICE OF SUBRECIPIENT GRANT AWARD GOVERNOR'S DIVISION OF EMERGENCY MANAGEMENT Program Title: FY 2008 Emergency Management Performance Grant (EMPG) DHS Instrument Number: 2008 -EM -E8-0013 GDEM Grant Number: 08TX-EMPG-1425 Administered By: Governor's Division of Emergency Management Texas Department of Public Safety P.O. Box 4087 Austin, Texas 78773-0220 Recipient: City of Round Rock 216 E. Main Round Rock, Texas 78664 Amount of Grant: $ 35,692 Period of Grant: October 1, 2007 to September 30, 2008 Return Signed Copy of This Page within 45 days to: Governor's Division of Emergency Management Attention: Rex Ogle, Preparedness Section PO Box 4087 Austin, TX 78773-0220 AGENCY APPROVAL GRANT ACCEPTANCE Original Signature Required s C Chi Prin - : ame/Title: Date: July 31, 2008 Date: c J'L -{ 31 i 2,01)42) Return Signed Copy of This Page within 45 days to: Governor's Division of Emergency Management Attention: Rex Ogle, Preparedness Section PO Box 4087 Austin, TX 78773-0220 RICK PERRY Governor DIVISION OF EMERGENCY MANAGEMENT Office of the Governor Mailing Address: PO Box 4087 Austin, Texas 78773-0220 The Honorable Alan McGraw Mayor, City of Round Rock 216 E. Main Round Rock, Texas 78664 Dear Mayor McGra Contact Numbers: 512-424-2138 Duty Hours 512-424-2277 Non -Duty Hours 512-424-2444 Fax August 22, 2008 Physical Address: 5805 N. Lamar Blvd. Austin, Texas 78752 RECEIVED SEP P a rr.9 STEVEN McCRAW Director Office of Homeland Security JACK COLLEY Chief This letter is to advise you that your application to participate in the Emergency Management Performance Grant (EMPG) program during Fiscal Year 2008 (FY 08) has been accepted. The award is late because Congress delayed approving an appropriations bill, and the bill was not signed by President Bush until December 2007. As a result, the State did not receive the EMPG award until May 23, 2008. We anticipate EMPG awards will be delayed again next year due to the Presidential elections. I encourage you to make financial management plans to prepare for this possibility. 1. Grant Award A. The Notice of Sub -recipient Grant Award, Attachment 1 specifies the federal EMPG program funding that will be provided during FY 08 and also provides other important terms and conditions relating to the grant. B. 'An individual authorized by your City Charter to accept grants on behalf of the jurisdiction, \Mayors, City Managers, or County Judges must sign the yellow cover sheet for the award and return it to the Division within 45 days to activate your grant. Retain a copy of the signed grant acceptance for your records and provide a copy of the entire grant award package to your local financial manager. 2. Required EMPG Tasks A. Your FY 08 EMPG Program Application is approved. The document may have changed to meet FY 08 program requirements since you originally submitted it. Therefore, you should carefully review the attached EMPG Statement of Work & Progress Report and the eight EMPG tasks. B. The process for reporting results of Task 5, Exercise Participation & Schedule on the EMPG Statement of Work & Progress Report has changed. All EMPG participants must prepare and submit an After Action Report (AAR) and Improvement Plan (IP), in the format prescribed by the DHS Homeland Security Exercise Evaluation Program (HSEEP) to GDEM. The full HSEEP document can be accessed at http://www.ojp.usdoj.gov/odp/exercises.htm. A sample AAR and IP is located on our website at http://www.txdps.state.tx.us/dem/documents/exerciseaarsips.doc. C. FY 08 NIMS Compliance Requirements. The US Department of Homeland Security has identified steps that States, territories, tribal, and local entities should take during FY 2008 to become compliant with the NIMS. A copy of the full NIMS document can be found at www.dhs.gov or http://www.fema.gov/emergency/nims/index.shtm. All jurisdictions awarded EMPG funds must complete NIMS compliance requirements for FY 08. D. Incorporate the National Response Framework and the National Incident Management System policies and procedures into your Emergency Management Plan. GDEM completed this process with the Local Planning Samples, State Planning Standards, and Planning Notes. These sample documents can be found on our web site at http://www.txdps. state.tx.us/dem/pages/downloadableforms. htm#annexindex. E. Participate in the Texas Regional Response Network (TRRN) by registering as a user and identifying resources that jurisdiction(s) participating in the local emergency management program are prepared to make available to other jurisdictions through mutual aid. F. As indicated in the FY 08 EMPG Guidance, grant recipients must apply no less than 25 percent of their grant award toward planning activities. The attached Staffing Commitment Certification should be submitted semi-annually with each Progress Report. For FY 08, the first report should be received by GDEM no later than September 15, 2008. 3. Task Progress & Reporting A. As noted in the Fiscal Year 2008 Local Emergency Management Program Guide, continued participation in the EMPG program is in part conditioned on making proportional progress on your Work Plan tasks and the timely submission of progress and financial reports. B. A. Proportional Progress in Program Tasks. Proportional progress on Work Plan tasks means you should complete a portion of those tasks each quarter rather than deferring most planning tasks, training, exercises, and other activities until the last several months of the fiscal year. Those who try to complete a year's work in several months frequently fail when major emergencies occur late in the year. C. Financial Reports. Financial reports are due to the Division 30 days after the close of each quarter of the federal Fiscal Year. Quarterly Financial Reports are due January 15, April 15, July 15, and October 15. These reports should be sent directly to the GDEM Support Services Section at the P.O. Box address at the top of the first page of this letter. D. Progress Reports. Your first semi-annual progress report was due to the GDEM Preparedness Section on April 15, 2008. The final progress report is due October 15, 2008. As noted previously, these reports should reflect progress in completing the tasks contained in your Statement of Work. E. Failure to complete the tasks outlined in the approved Statement of Work or to submit quarterly financial reports and semi-annual progress reports by the required due dates is cause for elimination from the EMPG program. If after reviewing the Notice of Grant Award you determine you do not wish to participate in the FY 08 EMPG program, please advise me as soon as possible. Should you have any questions regarding the Notice of Grant Award, please contact Doris Grisham of the Division's Support Services Section at 512-424-2448. If you have questions regarding EMPG tasks or your Jurisdiction Profile, please contact Rex Ogle of the Preparedness Section at 512-424-7051. Attachments: 1- Notice of Sub -Recipient Grant Award 2 -Terms and Conditions 3- Approved Statement of Work 4- DEM 71- Staffing Commitment Certification FISCAL YEAR 2008 EMPG STATEMENT OF WORK AND PROGRESS REPORT APPLICANT NAME (Jurisdiction): Ci of Round Rock, DT to s Document Statement of Work Submitted By Richard Johnson 12/10/07 Pro • ress Re sort #1 Prosress Re.ort#2 ® Work Plan 0 Progress Report#1 0 Progress Report #2 TASK 2 -LEGAL AUTHORITIES FOR EMERGENCY MANAGEMENT PROGRAM 1 -WORK PLAN & SEMIANNUAL PROGRESS REPORT • We will submit an EMPG Application, two Progress Reports, and quarterly Financial Resorts. ❑ This Progress Report# 1 is being submitted to the GDEM Preparedness Section ❑ First & Second Quarter Financial Reports have been submitted to GDEM Support ❑ This Progress Report # 2 is being submitted to the GDEM Preparedness Section. Services. ❑ Third & Fourth Quarter Financial Reports have been submitted to GDEM Support Services. ® Work Plan O We will maintain current legal documents establishing our emergency management program. ® Our legal documents are current & on file with GDEM; no additional action is required. ❑ We will prepare or update & submit to GDEM: O Commissioner's Court Order ❑ City Ordinance(s) for. Ridgeway ❑ Updated Joint Resolution ❑ NIMS Adoption • TRRN re•istration com•leted and resources entered ❑ Our legal documents are current & on file with GDEM, no additional action is required. ❑ We completed & submitted to GDEM: ❑ Commissioner's Court Order ❑ City Ordinance(s) for: Ridgeway ❑ Updated Joint Resolution ❑ NIMS Adoption ❑ TRRN re • istration com•leted and resources entered ❑ Our legal documents are current & on file with GDEM, no additional action is required. ❑ We completed & submitted to GDEM: ❑ Commissioner's Court Order ❑ City Ordinance(s) for: ❑ Updated Joint Resolution ❑ NIMS Adoption ❑ TRRN re•istration comsleted and resources entered ❑ Progress Report #1 (Oct. 1 -Mar. 31) ❑ Progress Report#2 (Apr. 1 -Sept. 30) DEM -17A 11/07 Page 1 of 6 ® Work Plan TASK 3 -PUBLIC EDUCATIONIINFORMATION S Option 1: We will conduct 30 hours of hazard awareness activities for local citizens. OR ❑ Option 2: We will prepare & distribute public education/information materials to a substantial portion of the community. In the space below, describe the materials to be distributed: ❑ We completed the following hazard awareness or public education/information activities: DProgress Report #2 (Apr. 1 -Sept. 30) We completed the following hazard awareness or public education/information activities: TASK 4 -EMERGENCY MANAGEMENTency PLgANNIementNGnDOCUMENTSlan & annexes forrrency and ® We have reviewed NIMS compliance. ❑ We will develop, update, or change these planning documents: 0 Basic Plan Annexes:O ❑P 00 DR ❑❑QS �T DG ❑H 01 DJ OK DL M ❑ Other documents: NOTE: Plans & annexes dated prior to September 30, 2003, must be revised or updated this ear. All Plans and Annexes must be NIMS com•liant. O We have reviewed our emergency management plan & annexes for currency and ❑ Our emergency management plan & all annexes are current and NIMS compliantNIMS compliance. ❑ We updated by revision or change these planning documents: Ann❑ Basic Plan ❑Ne❑O ❑P DCD DE ❑T ❑FUQ� DH 01 DJ OK OL OM ❑Other documents: ❑ We have reviewed our emergency management plan & annexes for currency and ❑ Our emergency management plan & all annexes are current and NIMS compliantNIMS compliance. ❑ We updated by revision or change these planning documents: Ann❑ Basic Plan ❑Ne❑O DP DC Q05 DE OF ❑T ❑U❑� OH ❑l OJ OK ❑L ❑M ❑ Other documents: ® Work Plan ❑ Progress Report #1 (Oct. 1 -Mar. 31) ❑ Progress Report #2 (Apr. 1 -Sept. 30) DEM -17A 11/07 Page 2 of 6 ceiv4A Fax Mar 05 2008 18:24 Fax Station : Texas De t. of Public Safet 0310512008 18:36 City of Round Rock 1 Police Dept (FAX)512 218 3267 . 5 P.005!013 TASK 5—EXERGISt rAtt 1 itArM i rvri a .7vnt_.v.. ® Work Plan ►I Our required three-year exercise schedule Is listed below. ■ Our required exercise schedule includes make up exercises from FY 2007. ❑ We will conduct & report participation in a tabletop exercise and a functional or full- scale exercise this fiscal year or obtain exercise credit for actual events for these exercises. NOTE: A Full -Scale exercise must be conducted every three (3) years. 1 REQUIRED EXERCISE SCHEDULE Period Exercise Type Exercise Scenario* Quarter of Year Fiscal Year 2008 (Oct. 2007 -Sept 2008) CI Tabletop 0 NH ■TH ■ NS ■ TR 1 HM ❑ 1 ❑ 2 ® 3 ❑ 4 Ca Functional ® NH ■TH ■ NS 1 TR 0 HM 0 1 ❑ 2 ® 3 ❑ 4 II Full -Scale ■ NH DTH ■ NS ■ TR 0 HM ❑ 1 ❑ 2 ❑ 3 ❑ 4 Fiscal Year 2009 (Oct 2008 sept 2009) irS Tabletop ■ NH ■TH 0 NS CI TR ■ HM ❑ 1 ❑ 2 ❑ 3 ® 4 ► Functional ■ NH ■TH ■ NS rj TR ❑ HM ❑ 1 0 2 ❑ 3 ® 4 II Full -Scale ■ NH NTH IN NS ■ TR ■ HM ❑ 1 ❑ 2 ❑ 3 ❑ 4 Fiscal Year 2010 (Oct. 2009 -Sept. 2010) ►< Tabletop ■ NH ■TH ■ NS 1 TR ►� HM 0 0 031E14 ► Functional 0 NH NTH D NS ■ TR ►i HM ❑ 1 ❑ 2 0 3 tg 4 1 Full -Scale ■ NH •TH 1 NS 0 TR • HM 0 1 ❑ 2 0 3 ❑ 4 Our last Full -Scale exercise was conducted on (date): Scenario': 'Scenarios: NH=Natural Hazard, TH=Technological Hazard, NS --National security. TR=Terrorism, HM=Public Health or Medical • Progress Report#1 (Oct. 1 -Mar. 31) We conducted the following exercises and provided documentation to GDEM: Exercise Date # of Participants # of Jurisdictions ■ Tabletop • Functional • Full -Scale 1 Tabletop • Functional 0 Full -Scale ❑ Tabletop ■ Functional ■ Full -Scale ■ We requested functional or full-scale exercise credit for an ac ual event on and our request 0 is pending 1 was approved and documentation of approval is attached. IIProgress Report#2 (Apr. 1 -Sept. 30) We conducted the following exercises and provided documentation to GDEM: Exercise Date # of Participants # ofJurisdictions ❑ Tabletop • Functional • Full -Scale 1 Tabletop • Functional 0 Full -Scale ■ Tabletop • Functional • Fult-Scale ■ We requested functional or full-scale exercise credit for an actual event on and our request ■ is pending 1 was approved and documentation of approval is attached. 3 f6 DEM -17A 11/07 Page o ® Work PI TASK 6 --TRAINING FOR EMERGENCY MANAGEMENT rsonnel will PERSONNELate in theollowing ® EMPG-fundedemergency training durin• FY 2008: PositionlName Course Name or Number Richard Johnson G197 Emerg Planning & Spec Needs 2/11/08-2/13/08 Richard Johnson G290 Basic PIO Course 3/24/08-3127/08 Richard Johnson G310 Hurricane Readiness for Inland Comm 2/19/08 Ken Evans G197 Emerg Planning & Spec Needs 6/3/08-6/5/08 Ken Evans Plan G386 Mass Fatalities 3125/08-3/27/08 ❑ Progress Report #1 (Oct. 1 -Mar. 31) ❑ Emergency management personnel completed the following training and Course Name or Number Date documentation is attached: Position/Name ❑ Progress Report #2 (Apr. 1 -Sept. 30) DEM -17A 11/07 ❑ Emergency management personnel completed the following training and Course Name or Number Date documentation is attached: Position/Name Page 4 of 6 TASK 7—EMERGENCY MANAGEMENT TRAINING FOR OTHER PERSONNEL ® We will conduct or arrange emergency management related training for elected Plan officials, other local officials, & support agencies. The following formal training courses were taught or contracted: Course Taught of Individuals Trained ® Work ❑ Progress Report #1 (Oct. 1 -Mar. 31) Progress Report #2 (Apr. 1 -Sept. 30) Date The following formal training courses were taught or contracted: Course Taught # of Individuals Trained Date TASK 8—EMERGENCY MANAGEMENT ORGANIZATIONAL DEVELOPMENT ® We will participate in the following emergency management organizational development activities: Attend various conferences. ®Work Plan ❑ Progress Report #1 (Oct. 1 -Mar. 31) O We completed the following staff development activities: Progress Report #2 ( Apr. 1 -Sept. 30) DEM -17A 11/07 D We completed the following staff development activities: Mail completed forms and application materials to: EMPG Program Administrator Preparedness Section Governor's Division of Emergency Management Texas Department of Public Safety PO Box 4087 Austin, TX 78773-02231 Page 5 of 6 APPLICANT NAME: Ci of Round Rock, TX REMARKS (Use an Additional Sheet if Necessary) Richard Johnson is the interim E s the AssiencY stant Emergency Managemeanagement Coordinator nt Coordinator. l the full-time vacancy is filled. Lt. Ken Evans Page 6 of 6 DEM -17A FY 2008 EMPG Terms and Conditions 1. Purpose: Grant funds will be used to support local comprehensive emergency management programs to encourage improvement of mitigation, preparedness, response, and recovery capabilities for all hazards. Funding may be used to support activities that contribute to the capability to manage consequences of acts of terrorism. Funds provided may also be used to accomplish initiatives described in the Federal Program Guidelines, including local implementation of the National Incident Management System (NIMS), incorporation of appropriate references to the National Response Framework (NRF) into local plans, homeland security assessment and strategy integration, and assessment of the local emergency management program using Emergency Management Assessment Program (EMAP) standards. 2. Grant Conditions: If federal or state grant funds are involved in funding of this contract, then the conditions of those respective grants are incorporated herein by reference and made a part hereof for all intents and purposes. 3. Grant Acceptance: The Notice of Subrecipient Grant Award is only an offer until the Subrecipient returns the signed copy of the Acceptance of Subrecipient Grant Award in accordance with the instructions provided in the transmittal letter. 4. Work to Be Performed: The approved FY 08 Statement of Work & Progress Report outlines eight tasks that the grantee must perform during the grant period. The following additional tasks are also required of subrecipients: A. Implement the National Incident Management System (NIMS) at the local level. B. Incorporate pertinent information concerning the National Response Framework (NRF) into the local or inter jurisdictional emergency management plan and its annexes. C. Participate in the Texas Regional Response Network (TRRN) by registering as a user and identifying resources that the jurisdiction(s) participating in the local emergency management program are prepared to make available to other jurisdictions through mutual aid. D. During the performance period of this grant, sub -recipient must maintain an emergency management plan at the Basic Level of planning preparedness or higher, as prescribed by GDEM. This may be accomplished by a jurisdiction maintaining its own emergency management plan or participating in an inter -jurisdictional emergency management program that meets the required standards. If GDEM identifies deficiencies in the sub - recipient's plan, sub -recipient will correct deficiencies within 60 days of receiving notice of such deficiencies from GDEM. E. Projects identified in the State Preparedness Assessment Report System (SPARS) (www.texasdpa.com) must identify and relate to the goals and objectives indicated by the applicable 14 approved project investments for the period of performance of the grant. 1 F. During the performance period of this grant, sub -recipient agrees that it will participate in a legally -adopted county and/or regional mutual aid agreement. G. Sub -recipients must submit Fiscal Year 2007 Indirect Cost Allocation Plan signed by Cognizant Agency. Plan should be forwarded to the SAA along with the Planning and Administration Grant Budget Form. H. Council of Governments (COG) will follow guidelines listed in the FY 07 COG Statement of Work. I. Up to 15% of the program funds for SHSP, UASI and LETPP may be used to support the hiring of full or part-time personnel to conduct program activities that are allowable under the FY 2007 HSGP (i.e., planning, training program management, exercise program management, etc) The ceiling on personnel costs does not apply to contractors, and is in addition to eligible management and administrative (M&A) costs and eligible hiring of intelligence analysts. Sub -recipients may hire staff only for program management functions, not operational duties. Hiring planners, training program coordinators, exercise managers, and grant administrators fall within the scope of allowable program management functions. J. Sub -recipient agrees that, during the performance period of this grant, any and all changes to their sub -recipient agreement regarding planning, training, equipment, and exercises must be routed through the appropriate reviewing authority, either the local Council of Governments or Urban Area Security Initiative (UASI) Working Group. K. Sub -recipients must maintain an updated inventory of equipment purchased through this grant program in accordance with Uniform Grant Management Standards — III, State Uniform Administrative Requirements for Grants and Cooperative Agreements, Subpart C - Post -Award Requirements, Reports, Records, Retention, and Enforcement, .32 Equipment and the Office of Grant Operations Financial Management Guide. L. The sub -recipient agrees that any equipment purchased with grant funding shall be prominently marked as follows: "Purchased with funds provided by the U.S. Department of Homeland Security." Exceptions to this requirement are limited to items where placing of the marking is not possible due to the nature of the equipment. 5. Urban Areas Securities Initiative (UASI) Grants: A. If the sub -recipient is a participant in a UASI program, during the performance period of this grant, sub -recipient agrees to adhere to the UASI strategy, goals, objectives, and implementation steps. B. Sub -recipient agrees that, during the performance period of this grant, all communications equipment purchases must be reviewed and approved by the Regional Interoperable Communications Committee and the UASI points of contact (voting members), if applicable. 6. Grant Funding: The amount of this grant may be less than the amount requested in your Application for Federal Assistance due to limits on federal funding for the EMPG program. However, EMPG grant recipients should continue to report all eligible expenses in quarterly financial reports. In the event additional program funding becomes available from the 2 federal government or unspent EMPG funds remain at the end of the fiscal year, the Governor's Division of Emergency Management (GDEM) may be able to allocate additional funds to EMPG program participants. 7. Financial and Administrative Requirements: Subrecipient agrees to comply with the applicable financial and administrative requirements set forth in the current edition of the Office of Justice Programs (OJP) Financial Guide located at http://www.ojp.usdoj.gov/oc/. A. All emergency management program costs for which the Subrecipient seeks reimbursement must be eligible in accordance with Attachment A to OMB Circular A-87, Cost Principles for State, Local, and Indian Tribal Governments. A copy of that document is available at: http://www.whitehouse.gov/omb/circulars/index.html. B. Sub -recipient will comply with the organizational audit requirements of OMB Circular A- 133, Audits of States, Local Governments, and Non -Profit Organizations, as further described in the current edition of the Office of Grant Operations (OGO)'s Financial Management Guide (January 2006) at: http://www.oip.usdoi.gov/odp/docs/Financial Management Guide.pdf C. When implementing FEMA National Preparedness Directorate funded activities, the sub -recipient must comply with all federal civil rights laws, to include Title VI of the Civil Rights Act, as amended. The sub -recipient is required to take reasonable steps to ensure persons of limited English proficiency have meaningful access to language assistance services regarding the development of proposals and budgets and conducting FEMA funded activities. D. Sub -recipient will assist the awarding agency (if necessary) in assuring compliance with section 106 of the National Historic Preservation Act of 1966 (16 U.S.C. § 470), Ex. Order 11593 (identification and protection of historic properties), the Archeological and Historical Preservation Act of 1974 (16 U.S.C. § 469 a-1 et seq.), and the National Environmental Policy Act of 1969 (42 U.S.C. § 4321). (Federal Assurance). E. Sub -recipient agrees to make no request for reimbursement for goods or services procured by the Subrecipient prior to the start of the period of performance stated in this award document or after the end of the period of performance. F. Notwithstanding any other provisions of this document, the parties hereto understand and agree that the obligations of GDEM under this Agreement are contingent upon the availability of adequate funds to meet GDEM's liabilities hereunder. GDEM shall not be liable to the Subrecipient for costs under this Agreement that exceed the amount specified in the Notice of Subrecipient Grant Award. 8. Single Audit Act Requirements: If Subrecipient has expenditures in excess of $500,000 in federal funds of all types within a single fiscal year, it must have an audit performed in accordance with the Single Audit Act Amendment. Subrecipient agrees to comply with the audit requirements of OMB Circular A-133, Audits of States, Local Governments, and Non- profit Organizations. 9. Reporting Requirements: Subrecipient agrees to comply with all reporting requirements and shall provide such information as required by GDEM. Sub -recipients may be required to 3 submit additional information and data requested by GDEM and/or the State Administrative Agency after the end of the period of performance in order to close out the grant. 10. Sub -recipient must prepare and submit performance reports to GDEM/SAA for the duration of the grant performance period or until all grant activities are completed and the grant is formally closed. Sub -recipient may also be required to submit additional information and data requested by GDEM/SAA. 11 Review of Work and Expenditures: GDEM may review the work of the Subrecipient with respect to approved program tasks and also review expenditures for which reimbursement is requested as necessary to ensure the federal awards are used for authorized purposes in compliance with laws, regulations, and the provisions of contracts or grant agreements and that performance goals are achieved. These reviews may include, without limitation: comparing actual subrecipient activities to those approved in the sub -award application and subsequent modifications if any; ensuring that grant funds have been expended in accordance with applicable guidelines; confirming compliance with grant assurances, and verifying information provided on performance reports and payment requests. 12. Grant Suspension or Termination: GDEM may suspend or terminate sub -award funding, in whole or in part, or other measures may be imposed for any of the following reasons: failing to comply with the requirements of federal or state law, failing to make satisfactory progress toward the goals or objectives set forth in the sub -award application, failing to follow grant agreement requirements or special conditions, failing to submit required reports, filing a false certification in the application or other report or document. 13. Lobbying: A. As required by Section 1352, Title 31 of the U.S. Code, and implemented at 28 CFR Part 69, for persons entering into a grant or cooperative agreement over $100,000, as defined at 28 CFR Part 69, the sub -recipient certifies that: B. No Federal appropriated funds have been paid or will be paid, by or on behalf of the sub - recipient, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the making of any Federal grant, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal grant or cooperative agreement; C. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal grant or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. 14. Debarment, Suspension, and other Responsibility Matters: A. As required by Executive Order 12549, Debarment and Suspension, and implemented at 28 CFR Part 67, for prospective participants in primary covered transactions, as defined at 28 CFR Part 67, Section 67.510. (Federal Certification) 4 B. The sub -recipient certifies that it and its principals and vendors: C. Are not presently 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; sub - recipients can access debarment information by going to www.epls.gov and the State Debarred Vendor List www.tbpc.state.tx.us/communities/procurement/grog/vendor_performance/debarred. D. Have not within a three-year period preceding this application 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; E. 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 (1)(b) of this certification; and F. Have not within a three-year period preceding this application had one or more public transactions (Federal, State, or local) terminated for cause or default; and G Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. (Federal Certification) 15. Monitoring: A. Sub -recipient will provide GDEM, State Auditor, or DHS personnel or their authorized representative, access to and the right to examine all paper or electronic records related to the financial assistance. B. Sub -recipient agrees to monitor their program to ensure that federal awards are used for authorized purposes in compliance with laws, regulations, and the provisions of contracts or grant agreements and that the performance goals are achieved. In addition, Councils of Governments will perform periodic monitoring of grant recipients to ensure compliance. C. GDEM/SAA may perform periodic reviews of sub -recipient performance of eligible activities and approved projects. These reviews may include, without limitation: performance of on-site audit and compliance monitoring, including inspection of all grant - related records and items, comparing actual sub -recipient activities to those approved in the sub -award application and subsequent modifications if any, ensuring that advances have been disbursed in accordance with applicable guidelines, confirming compliance with grant assurances, verifying information provided in performance reports and reviewing payment requests, needs and threat assessments and strategies. D. Sub -recipient understands and agrees that it cannot use any federal funds, either directly or indirectly, in support of the enactment, repeal, modification or adoption of any law, regulation or policy, at any level of government, without the express prior written approval of FEMA National Preparedness Directorate. 5 E. The sub -recipient agrees that all allocations and use of funds under this grant will be in accordance with the Homeland Security Grant Program Guidelines and Application Kit for that fiscal year and must support the goals and objectives included in the State Homeland Security Strategic Plan and the Urban Area Homeland Security (UASI) Strategies. F. The sub -recipient official certifies federal funds will be used to supplement existing funds, and will not replace (supplant) funds that have been appropriated for the same purpose. Sub -recipient 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. 16. Reimbursement for Expenses: A. Reimbursement for expenses incurred during the second and fourth quarter of Fiscal Year 2008 will not be disbursed until GDEM receives the first and second semi-annual EMPG Progress Reports, which are due on April 15, 2008 and October 15, 2008 respectively. B. As GDEM plans to promptly close out the Fiscal Year 2008 EMPG program with the State Administrative Agency, requests for reimbursement of expenses that are delivered or postmarked more than 45 days after the end of the stated period of performance will not be paid. 17. Choice of Law: This agreement shall be construed and governed by Texas law. 18. Changes to the Law: DPS is a state agency whose authority and appropriations are subject to the actions of the Texas Legislature and the United States Congress. If DPS and/or the subject matter of this contract become subject to a legislative or regulatory change, revocation of statutory or regulatory authority, or lack of funds that would render the services and/or goods and/or payment to be provided under this agreement impossible, unnecessary, void, or substantially amended, DPS may terminate this agreement without penalty to, or any liability whatsoever on the part of, DPS, the State of Texas, and the United States. This contract does not grant vendor a franchise or any other vested property right. 19. Written Modification: No modification or amendment to this Agreement shall become valid unless in writing and signed by both parties. 20. To the extent it applies, Subrecipient shall comply with Texas Government Code, Chapter 783, 1 TAC §§5.141 et seq., and the Uniform Grant Management Standards, State Uniform Administrative Requirements for Grants and Cooperative Agreements, Subpart B, §..14. See attached. 21. To the extent it applies, Subrecipient shall comply with the General Appropriations Act, 80th Legislature, Article IX, Part 17, Sections 17.02, 17.03, and 17.05). See attached. 22. GDEM/SAA may suspend or terminate sub -award funding, in whole or in part, or other measures may be imposed for any of the following reasons: failing to comply with the requirements or statutory objectives of federal law, failing to make satisfactory progress toward the goals or objectives set forth in the sub -award application, failing to follow grant agreement requirements or special conditions, failing to submit required reports, or filing a 6 false certification or other report or document. Satisfactory Progress is defined as accomplishing the following during the performance period of the grant: requesting federal funds for purchases, training, etc. and deciding what purchases will be made, ordering the equipment, ensuring the equipment is shipped and received, and training is accomplished with the equipment (or readied for deployment). All of the aforementioned tasks must be accomplished in a timely manner. Special Conditions may be imposed on sub- recipient's use of grant funds until problems identified during grant monitoring visits conducted by GDEM audit and compliance personnel are resolved 23. The sub-recipient 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. 7 Subpart B—Pre-Award Requirements .14 State assurances Scope. In addition to federal requirements, state law requires a number of assurances from applicants for federal pass-through or other state -appropriated funds. An attempt has been made below to list major state and federal assurances. Generally, not all of these assurances will be required for any one grant. However, it is the applicant's responsibility to ensure that all assurances required by the awarding agency are submitted. The legal instrument for awarding state funds must be consistent with the standards prescribed herein;•however, these standard conditions or assurances may be incorporated into contracts or grant agreements by reference rather than by being reproduced in their entirety. (1) A subgrantee must comply with Texas Government Code, Chapter 573, Vernon's 1994, by ensuring that no officer, employee, or member of the applicant's governing body or of the applicant'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) A subgrantee must insure that all information collected, assembled or maintained by the applicant relative to a project will be available to the public during normal business hours in compliance with Texas Government Code, Chapter 552, Vernon's 1994, unless otherwise expressly prohibited by law. (3) A subgrantee must comply with Texas Government Code, Chapter 551, Vernon's 1994, which requires all regular, special or called meeting of governmental bodies to be open to the public, except as otherwise provided by law or specifically permitted in the Texas Constitution. (4) A subgrantee must comply with Section 231.006, Texas Family Code, which prohibits payments to a person who is in arrears on child support payments. (5) 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 local subrecipients shall maintain an appropriate contract administration system to insure that all terms, conditions. and specifications are met. (See Section .36 for additional guidance on contract provisions. (6) Subgrantees 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), 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; (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. 290 dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and (j) the requirements of any other nondiscrimination statute(s) which may apply to the application. (7) Subgrantees 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 subagreements. (8) Subgrantees will comply with the provisions of the Hatch Political Activity Act (5 U.S.C. § 7321-29) which limit the political activity of employees whose principal employment activities are funded in whole or in part with Federal funds. (9) Subgrantees will 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. (10) Subgrantees will comply with Public Law 103-277, also known as the Pro -Children Act of 1994 (Act), which prohibits smoking within any portion of any indoor facility used for the provision of services for children as defined by the Act. (11) Subgrantees will comply with all federal tax laws and are solely responsible for filing all required state and federal tax forms. (12) Subgrantees will comply with all applicable requirements of all other federal and state laws, executive orders, regulations and policies governing this program. (13) The applicant must certify that they are not debarred or suspended or otherwise excluded from or ineligible for participation in federal assistance programs. (14) Subgrantees must adopt and implement applicable provisions of the model HIV/AIDS work place guidelines of the Texas Department of Health as required by the Texas Health and Safety Code, Ann., Sec. 85.001, et seq. Subpart C—Post-Award Requirements - Reports, Records, Retention, and Enforcement .42 Retention and access requirements for records. (a) Applicability. Certain additional standards for retention of public records in Texas are codified at 13 TAC Chap. 6 for state agencies and at 13 TAC Chap. 7 for local governments. The Texas State Library and Archives Commission, through the Records Preservation Advisory Committee has established recommended retention periods longer than three years for many types of public documents, whether in original hard copy or in microfilm form. State awarding agencies may obtain a copy of the Recommended Retention Schedule by contacting the State Library and Archives Commission. (1) This section applies to all financial and programmatic records, supporting documents, statistical records, and other records of grantees or subgrantees which are: (i) Required to be maintained by the terms of this Part, program regulations or the grant agreement, or (ii) Otherwise reasonably considered as pertinent to program regulations or the grant agreement. (2) This section applies to records maintained by contractors or subcontractors for purchases of goods or services funded in whole or in part from state funds. For a requirement to place a provision concerning records in certain kinds of contracts, see Section .36 (i) (10). (b) Length of retention period. (1) Except as otherwise provided, records must be retained for three years from the starting date specified in paragraph (c) of this section. (2) If any litigation, claim, negotiation, audit or other action involving the records has been started before the expiration of the 3 -year period, the records must be retained until completion of the action and resolution of all issues which arise from it, or until the end of the regular 3 -year period, whichever is later. (3) To avoid duplicate recordkeeping, awarding agencies may make special arrangements with grantees and subgrantees to retain any records which are continuously needed for joint use. The awarding agency will request transfer of records to its custody when it determines that the records possess long-term retention value. When the records are transferred to or maintained by the federal or state agency, the 3 -year retention requirement is not applicable to the grantee or subgrantee. (c) Starting date of retention period. (1) General. When grant support is continued or renewed at annual or other intervals, the retention period for the records of each funding period starts on the day the grantee or subgrantee submits to the awarding agency it's single or last audit report for that period. However, if grant support is continued or renewed quarterly, the retention period for each year's records starts on the day the grantee submits its expenditure report for the last quarter of the federal, state, or other designated fiscal year. In all other cases, the retention period starts on the day the grantee submits its final audit report. If an expenditure or audit report has been waived, the retention period starts on the day the report would have been due. (2) Real property and equipment records. The retention period for real property and equipment records starts from the date of the disposition or replacement or transfer at the direction of the awarding agency. (3) Records for income transactions after grant or subgrant support. In some cases grantees must report income after the period of grant support. Where there is such a requirement, the retention period for the records pertaining to the earning of the income starts from the end of the grantee's fiscal year in which the income is earned. (4) Indirect cost rate proposals, cost allocations plans, etc. This paragraph applies to the following types of documents, and their supporting records: indirect cost rate computations or proposals, cost allocation plans, and any similar accounting computations of the rate at which a particular group of costs is chargeable (such as computer usage chargeback rates or composite fringe benefit rates). (i) If submitted for negotiation. If the proposal, plan, or other computation is required to be submitted to the federal government (or to the grantee) to form the basis for negotiation of the rate, then the 3 -year retention period for its supporting records starts from the date of such submission. (ii) If not submitted for negotiation. If the proposal, plan, or other computation is not required to be submitted to the federal government (or to the grantee) for negotiation purposes, then the 3 -year retention period for the proposal plan, or computation and its supporting records starts from end of the fiscal year (or other accounting period) covered by the proposal, plan, or other computation. (d) Substitution of microfilm. Copies made by microfilming, photocopying, or similar methods may be substituted for the original records. (e) Access to records -- (1) Records of grantees and subgrantees. The awarding agency and the Comptroller General of the United States, the Texas State Auditor, or any of their authorized representatives, shall have the right of access to any pertinent books, documents, papers, or other records of grantees and subgrantees which are pertinent to the grant, in order to make audits, examinations, excerpts, and transcripts. (2) Expiration of right of access. The right of access in this section must not be limited to the required retention period but shall last as long as the records are retained. (f) Restrictions on public access. The federal Freedom of Information Act (5 U.S.C. 552) does not apply to records. Unless required by federal, state, or local law, grantees and subgrantees are not required to permit public access to their records. PART 17. GRANT -MAKING PROVISIONS Sec. 17.01. Emergency and Deficiency Grants Out of Special Funds. For the purposes of §§ 401.061 and 403.075, Government Code, appropriations to the Office of the Governor from "special funds" include excess revenues from General Revenue Fund—Dedicated accounts that were previously special funds above those estimated by the Comptroller in certifying this Act. Sec. 17.02. Limitation on Grants to Units of Local Government. (a) The funds appropriated by this Act may not be expended in the form of a grant to, or a contract with, a unit of local government unless the terms of the grant or contract require that the funds received under the grant or contract will be expended subject to limitations and reporting requirements similar to those provided by: (1) Parts 2 and 3 of this Article (except there is no requirement for increased salaries for local government employees); (2) § § 556.004, 556.005, and 556.006, Government Code; (3) § § 2113.012 and 2113.101, Government Code; (4) § 6.15 of this Article (Performance Rewards and Penalties); (5) § 7.01 of this Article (Budgeting and Reporting); (6) § 7.02 of this Article (Annual Reports and Inventories); and (7) § 2102.0091, Government Code. (b) In this section, "unit of local government" means: Art IX-Conf IX -72 May 25, 2007 (1) a council of governments, a regional planning commission, or a similar regional planning agency created under Chapter 391, Local Government Code; (2) a local workforce development board; or (3) a MHMR community center. Sec. 17.03. Grant Restriction. Funds appropriated by this Act may not be expended for a grant to a law enforcement agency regulated by Chapter 1701, Occupations Code, unless: (1) the law enforcement agency requesting the grant is in compliance with all rules developed by the Commission on Law Enforcement Officer Standards and Education; or (2) the Commission on Law Enforcement Officer Standards and Education certifies that the requesting agency is in the process of achieving compliance with such rules. Sec. 17.04. Grants. (a) Funds appropriated by this Act for grants of money to be made by state agencies, including the agencies in the legislative branch, are appropriated for the statutory purposes as the grantor agency may specify. A state agency shall distribute grants on a reimbursement or as needed basis unless otherwise provided by statute or otherwise determined by the grantor agency to be necessary for the purposes of the grant. (b) Funds appropriated by this Act for grants to be made by a state agency for a particular fiscal year may be distributed in subsequent fiscal years so long as the grant has been awarded and treated as a binding encumbrance by the grantor agency prior to the end of the appropriation year of the funds appropriated for grant purposes. Distribution of the grant funds is subject to § 403.071, Government Code. Sec. 17.05. Grants for Political Polling Prohibited. None of the funds appropriated by the Act may be granted to or expended by any entity which performs political polling. This prohibition regarding political polling does not apply to a poll conducted by an academic institution as a part of the institution's academic mission that is not conducted for the benefit of a particular candidate or party. U.S. DEPARTMENT OF HOMELAND SECURITY 1 HOMELAND SECURITY GRANT PROGRAM Examples of Allowable Planning Costs Following are examples of allowable FY 2008 HSGP planning costs: • Developing scenario plans that incorporate the range of prevention, protection, response, and recovery activities for a scenario • Developing and implementing homeland security support programs and adopting DHS national initiatives including but not limited to the following: o Implementing the National Preparedness Guidelines o Costs associated with the adoption, implementation and adherence to NIMS compliance requirements; including implementing the NIMS National Credentialing Framework. o Modifying existing incident management and EOPs to ensure proper alignment with the NRF coordinating structures, processes, and protocols o Establishing or enhancing mutual aid agreements o Developing communications and interoperability protocols and solutions o Conducting local, regional, and Tribal program implementation meetings o Developing or updating resource inventory assets in accordance to typed resource definitions issued by the NIMS Integration Center (NIC) o Designing State and local geospatial data systems o Conducting public education and outreach campaigns, including promoting individual, family and business emergency preparedness; alerts and warnings education; and evacuation plans as well as IED or bombing prevention awareness o Preparing materials for the State Preparedness Report (SPR) • Developing related terrorism prevention activities including: o Developing law enforcement prevention activities, to include establishing and/or enhancing a fusion center o Hiring an IT specialist to plan, develop, and implement the IT applications necessary for a fusion center o Developing and planning for information/intelligence sharing groups o Hiring contractors and consultants to make recommendations on the development of a fusion center o Integrating and coordinating private sector participation with fusion center activities o Acquiring systems allowing connectivity to State, local, and Federal data networks, such as the National Crime Information Center (NCIC) and Integrated Automated Fingerprint Identification System (IAFIS), as appropriate o Planning to enhance security during heightened alerts, during terrorist incidents, and/or during mitigation and recovery 1 U.S. DEPARTMENT OF HOMELAND SECURITY HOMELAND SECURITY GRANT PROGRAM o Multi -discipline preparation across first responder community, including EMS for response to catastrophic events and acts of terrorism o Public information/education: printed and electronic materials, public service announcements, seminars/town hall meetings, web postings coordinated through local Citizen Corps Councils o Citizen Corps volunteer programs and other activities to strengthen citizen participation o Conducting public education campaigns, including promoting individual, family and business emergency preparedness; promoting the Ready campaign; and/or creating State, regional or local emergency preparedness efforts that build upon the Ready campaign o Evaluating CIP security equipment and/or personnel requirements to protect and secure sites o CIP cost assessments, including resources (e.g., financial, personnel) required for security enhancements/deployments o Multi -Jurisdiction Bombing Prevention Plans (MJBPP)1 o Underwater Terrorist Protection Plans Developing and enhancing plans and protocols, including but not limited to: o Developing or enhancing EOPs and operating procedures o Developing terrorism prevention/deterrence plans o Developing plans, procedures, and requirements for the management of infrastructure and resources related to HSGP and implementation of State or Urban Area Homeland Security Strategies o Developing or enhancing border security plans o Developing or enhancing cyber security plans o Developing or enhancing cyber risk mitigation plans o Developing or enhancing agriculture/food security risk mitigation, response, and recovery plans o Developing public/private sector partnership emergency response, assessment, and resource sharing plans o Developing or enhancing plans to engage and interface with, and to increase the capacity of, private sector/non-governmental entitites working to meet the human service response and recovery needs of victims o Developing or updating local or regional communications plans o Developing plans to support and assist special needs jurisdictions, such as port authorities and rail and mass transit agencies o Developing or enhancing continuity of operations and continuity of government plans ' The SAA should examine current bombing prevention and explosive device response capabilities as an import risk reduction activity. An explosive devise recognition capability analysis can assist in determining their opportunities for increasing the capability to execute steady state and threat initiated tasks to prevent and respond to a bombing incident. 2 U.S. DEPARTMENT OF HOMELAND SECURITY 1 HOMELAND SECURITY GRANT PROGRAM o Developing or enhancing existing catastrophic incident response and recovery plans to include and integrate Federal assets provided under the NRF o Developing or enhancing evacuation plans o Developing or enhancing citizen surge capacity o Developing or enhancing plans for donations and volunteer management and the engagement/integration of private sector/non-governmental entities in preparedness, response, and recovery activities o Developing or enhancing Bombing Prevention Plans o Developing school preparedness plans o Ensuring jurisdiction EOPs adequately address warnings, emergency public information, evacuation, mass care, resource management from non-governmental sources, unaffiliated volunteer and donations management, and volunteer resource integration to support each Emergency Support Function, to include appropriate considerations for special needs populations o Developing and implementing civil rights, civil liberties and privacy policies, procedures, and protocols o Designing and developing State and local geospatial data systems • Developing or conducting assessments, including but not limited to: o Conducting point vulnerability assessments at critical infrastructure sites/key assets and develop remediation/security plans o Developing border security operations plans in coordination with CBP o Developing, implementing, and reviewing Area Maritime Security Plans for ports, waterways, and coastal areas o Updating and refining threat matrices o Conducting cyber risk and vulnerability assessments o Conducting assessments and exercising existing catastrophic incident response and recovery plans and capabilities to identify critical gaps that cannot be met by existing local and State resources o Conducting Bombing Prevention Capability Analysis o Activities that directly support the identification of specific catastrophic incident priority response and recovery projected needs across disciplines (e.g. law enforcement, fire, EMS, public health, behavioral health, public works, agriculture, information technology, and citizen preparedness) o Activities that directly support the identification of pre -designated temporary housing sites o Conducting community assessments, surveys, and research of vulnerabilities and resource needs, and determine citizen education and participation to meet the needs o Conducting Citizen Corps program assessments and evaluations, citizen preparedness surveys, volunteer impact studies, and cost/benefit analysis o Soft target security planning (public gatherings) 3