Extracted text (via pymupdf)
45901 characters
FY 2018
PRE-DISASTER MITIGATION PROGRAM
GRANT AGREEMENT ARTICLES
CFDA# 97.047
RECIPIENT:
Arizona Department of Emergency and Military Affairs
Division of Emergency Management
AGREEMENT NUMBER: EMF-2020-PC-0001
AMENDMENT NUMBER: 0
DESIGNATED AGENCY: Arizona Department of Emergency and Military Affairs
Division of Emergency Management
PERFORMANCE PERIOD: August 7, 2019 through April 1, 2022
GENERAL INFORMATION:
The Pre-Disaster Mitigation (PDM) grant program provides grants to States, Territories, and
Indian Tribal governments or that, in turn, provide Subawards to local governments for cost-
effective mitigation activities that are selected via a Ranking. Funds will be used to implement
a sustained pre-disaster natural hazard mitigation program to reduce overall risk to the
population and structures, while also reducing reliance on funding from major disaster
declarations.
The following Articles I-VIII are FEMA’s Grant Award Terms and Conditions. DHS Grant
Award Standard Terms and Conditions follow those Articles. The Recipient agrees to abide by
all the Grant Award Terms and Conditions in this document.
ARTICLE I. FEMA AUTHORITY
The United States of America through the Department of Homeland Security’s Federal
Emergency Management Agency (FEMA) agrees to grant to the State/Indian Tribal
government, through its designated agency named above, hereinafter referred to as "the
Recipient," through its designated agency named above, the funds in the amount specified on
the obligating document, to support the Pre-Disaster Mitigation Grant Program, authorized
under 42 U.S.C. 5133, Section 203, of the Robert T. Stafford Disaster Relief and Emergency
Assistance Act (Stafford Act), Public Law 93-288, as amended.
ARTICLE II. PROJECT DESCRIPTION
The Recipient shall perform the work described in the application package and made a part of
these Grant Agreement Articles.
ARTICLE III. PERIOD OF PERFORMANCE
The period of performance shall be August 7, 2019 through April 1, 2022. All costs must be
incurred during the period of performance, including pre-award costs.
ARTICLE IV. AMOUNT AWARDED
This Grant Award is for the administration and completion of an approved Pre-
Disaster Mitigation project. Funds approved under this Grant Agreement may not
be used for other purposes. If costs exceed the amount of FEMA funding approved,
then the Recipient shall pay the costs that are in excess of the approved budget.
The approved budget for this Grant Award is shown in the Cost Review Section of
the grant application.
The Recipient shall follow regulations found in Title 2 Code of Federal Regulations (CFR) Part
200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for
Federal Awards “Super Circular” [which superseded 44 CFR Part 13, 2 CFR Part 215, and
Office of Management and Budget (OMB) Circulars A-21, A-50, A-87, A-89, A-102, A-110,
A-122, and A-133 as of December 26, 2014, for awards made under major disaster declarations
declared on or after that date; or for non-disaster awards made on or after that date], Title 2
CFR Part 170, Reporting Subaward and Executive Compensation – Appendix A to Part 170 –
Award Term (see ARTICLE VII. TERMS AND CONDITIONS), and the Hazard Mitigation
Assistance Guidance to implement this Grant Agreement.
ARTICLE V. COST SHARE
The cost-share requirement for this award is 75 % Federal and 25% non-Federal.
The cost-share for PDM is governed by 42 USC § 5133, Section 203(h), of the Stafford Act:
a. Small, impoverished communities may receive a Federal cost-share of up to 90%
of the total cost to implement eligible PDM activities.
b. The PDM program offers up to 75% Federal cost-share to all other applicants and
subapplicants for mitigation activities.
ARTICLE VI. FEMA OFFICIALS
FEMA officials are as follows:
The Project Officer shall be an official at the FEMA Regional Office who will be responsible for
the monitoring of the activities as described in the application.
The Project Officer is: Phillip Wang
The Assistance Officer is the FEMA official who has full authority to negotiate, administer and
execute all business matters of the Grant Agreement.
The Assistance Officer is: Sylvia Palmer
ARTICLE VII. TERMS AND CONDITIONS
The specific terms and conditions of this agreement are as follows:
Federal Funding Accountability and Transparency Act:
The Federal Funding Accountability and Transparency Act (FFATA) of 2006 (2 CFR Part 170)
requires Recipients to report certain information about themselves and their first-tier
Subrecipients for each Federal award of $25,000 or more awarded on or after October 1, 2010.
(See attached APPENDIX A to Part 170-Award term).
ASSURANCE COMPLIANCE:
The certifications signed by the Recipient in the application relating to maintenance of a Drug-
Free Workplace (44 CFR Part 17, Subpart F) and New Restrictions on Lobbying (44 CFR Part
18) apply to this grant agreement and are incorporated by reference.
Prohibition on Using Federal Funds.
The 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.
Compliance with Program Guidance.
The Recipient agrees that all use of funds under this Grant Agreement will be in accordance with
the Hazard Mitigation Assistance Guidance at the time of the application.
BUDGET REVISIONS:
The Recipient shall follow prior approval requirements for budget revisions found in 2 CFR §
200.308. Transfer of funds between total direct cost categories in the approved budget shall
receive the prior approval of FEMA when the Federal share of the award exceeds the simplified
acquisition threshold and the cumulative transfers among those direct cost categories exceed ten
percent of the total budget.
If a Recipient estimates that it will have obligated funds remaining after the end of the
performance period, the Recipient must report this to the FEMA Regional Office at the earliest
possible time and ask for disposition instructions.
Acceptance of Post Award Changes
In the event FEMA determines that changes are necessary to the award document after an award
has been made, including changes to period of performance or terms and conditions, Recipients
will be notified of the changes in writing. Once notification has been made, any subsequent
drawdown of additional funds will indicate the Recipient’s acceptance of the changes to the
award.
CLOSEOUT:
Reports Submission: Per 2 CFR Part 200, when the appropriate grant award performance period
expires, the Recipient shall submit the following documents within 90 days: (1) a final Financial
Report; (2) final Program Performance Report; (3) an inventory of equipment purchased under
each grant’s funds; (4) an inventory of Federally-owned property; and (5) other required
documents specified by program regulation.
Report Acceptance: FEMA shall review the Recipient reports, perform the necessary financial
reconciliation, negotiate necessary adjustments between the Recipient and FEMA’s records, and
close out the grant in writing.
Record Retention: Records shall be retained for 3 years (except in certain rare circumstances)
from the date the final Federal Financial Report for project completion as certified by the
Recipient is submitted to FEMA in compliance with 2 CFR Part 200 and Section 705 of the
Stafford Act (42 U.S.C. § 5205).
CONSTRUCTION PROJECT REQUIREMENTS:
1. Acceptance of Federal funding requires, the Recipient and any Subrecipients to comply with
all Federal, state and local laws prior to the start of any construction activity. Failure to
obtain all appropriate Federal, state and local environmental permits and clearances may
jeopardize Federal funding.
2. Any change to the approved scope of work will require re-evaluation by FEMA for Recipient
and Subrecipient compliance with the National Environmental Policy Act and other laws and
Executive Orders.
3. If ground disturbing activities occur during construction, the Recipient and any Subrecipients
must ensure monitoring of ground disturbance and, if any potential archaeological resources
are discovered, the Subrecipient will immediately cease construction in that area and notify
the Recipient and FEMA.
COPYRIGHT:
The Recipient is free to copyright any original work developed in the course of or under this
Grant Agreement. FEMA reserves a royalty-free, nonexclusive and irrevocable right to
reproduce, publish or otherwise use, and to authorize others to use the work for Government
purposes. Any publication resulting from work performed under this agreement shall include an
acknowledgement of FEMA financial support and a statement that the publication does not
constitute an endorsement by FEMA or reflect FEMA views.
COST SHARE:
The Recipient shall follow cost-sharing requirements mandated by program guidance and statute,
and in compliance with 2 CFR § 200.306. Cost-share funding shall be available with the
approval of each grant. Period of Performance extensions shall not be approved for delays
caused by lack of cost-share funding.
ENFORCEMENT:
FEMA enforcement remedies shall be processed as specified in 2 CFR § 200.338-200.342, and
for acquisitions, as specified in 44 CFR § 80.19(e), when the Terms and Conditions of this Grant
Agreement are not met.
EQUIPMENT/SUPPLIES:
The Recipient must comply with the regulations listed in 2 CFR Part 200 and must be in
compliance with state laws and procedures.
FUNDS TRANSFER:
No transfer of funds to agencies other than those identified in the approved Grant Agreement
shall be made without prior approval of FEMA.
INSURANCE:
In compliance with 42 U.S.C. 4012a(a), when financial assistance is approved for acquisition or
construction purposes within the Special Flood Hazard Area (SFHA), flood insurance shall be
maintained for the life of the property regardless of transfer of ownership for any properties.
PAYMENT:
Recipient shall be paid using the FEMA Payment and Reporting System (PARS), provided
Recipient maintains and complies with procedures for minimizing the time between transfer of
funds from the US Treasury and disbursement by the Recipient and Subrecipients. The Recipient
commits itself to: 1) initiating cash drawdowns only when actually needed for its disbursement;
2) timely financial reporting per FEMA requirements, using the SF-425; and 3) imposing the
same standards of timing and amount upon any Subrecipient.
Subrecipients must comply with the same payment requirement as the Recipient and must
comply with the requirements specified in the Recipient’s subaward Agreement.
DUPLICATION OF PROGRAMS:
FEMA will not provide assistance under its programs for activities that FEMA determines
another Federal program has a more specific or primary authority to provide. FEMA may
disallow or recoup amounts that duplicate funding from other authorities.
DUPLICATION OF BENEFITS:
Hazard Mitigation Assistance (HMA) funds cannot duplicate or be duplicated by funds received
by or available to Applicants, Subapplicants, or project or planning participants from other
sources for the same purpose, such as benefits received from insurance claims, other assistance
programs (including previous project or planning grants and subawards from HMA programs),
legal awards, or other benefits associated with properties or damage that are or could be subject
of litigation.
Because the availability of other sources of mitigation grant or loan assistance is subject to
available information and the means of each individual Applicant, HMA does not require proof
that other assistance (not including insurance) has been sought. However, it is the responsibility
of the property owner to report other benefits received, any applications for other assistance, the
availability of insurance proceeds, or the potential for other compensation, such as from pending
legal claims for damages, relating to the property. Amounts of other grants, loans or other
assistance designated for the same purpose as HMA funds, if received, may be used to reduce the
non-Federal cost-share.
Where the property owner has an insurance policy covering any loss to the property which relates
to the proposed HMA project, the means are available for receiving compensation for a loss or, in
the case of increased cost of compliance (ICC), assistance toward certain mitigation
projects. FEMA will generally require that the property owner file a claim prior to the receipt of
HMA funds.
NON DISCRIMINATION:
The program must be administered in an equitable and impartial manner, without discrimination
on the grounds of race, color, religion, nationality, sex, age, or economic status. The program
complies with Title VI of the 1964 Civil Rights Act and other applicable laws. All
applicants/Recipients must comply with Title VI, including State and local governments
distributing Federal assistance.
Applicants/Recipients and Subapplicants/Subrecipients will ensure that no discrimination is
practiced. Applicants must consider fairness, equity, and equal access when prioritizing and
selecting project subapplications to submit with their application. Subapplicants and
Subrecipients must ensure fairness, equity and equal access when consulting and making offers
of mitigation to property owners that benefit from mitigation activities.
CHANGES IN SCOPE OF WORK:
Requests for changes to the scope of work (SOW) after award are permissible as long as they do
not change the nature or total project cost of the activity, properties identified in the
subapplication, the feasibility and effectiveness of the project, or the benefit cost ratio. Requests
must be supported by adequate justification from the applicant in order to be processed. The
justification is a description of the proposed change, a written explanation of the reason or
reasons for the change; an outline of remaining funds available to support the change; and a full
description of the work necessary to complete the activity. All approvals will be at FEMA’s
discretion, and there is no guarantee that SOW changes will be approved.
PERFORMANCE PERIODS:
All grant award activities, including all projects and/or activities approved under each subaward,
shall be completed within the time period prescribed and authorized on the obligating documents.
All costs must be incurred within the approved performance period.
EXTENSIONS:
Requests for time extensions to the Period of Performance will be considered but will not be
granted automatically and must be supported by adequate justification submitted to the Regional
Office in order to be processed. This justification is a written explanation of the reason or
reasons for the delay; an outline of remaining funds available to support the extended Period of
Performance; and a description of performance measures necessary to complete the activity.
Without justification, extensions requests will not be processed. Financial and Performance
reports must be current in order for a time extension to be considered.
RECOUPMENT OF FUNDS:
FEMA will recoup mitigation planning grant funds for grants that do not meet the deliverable
criteria of an adopted, FEMA-approved mitigation plan by the end of the performance period.
RECOVERY OF FUNDS:
The Recipient will process the recovery of assistance paid to Subrecipients processed through
error, misrepresentation, or fraud or if funds are spent inappropriately. Recovered funds shall be
submitted to FEMA as soon as the funds are collected, but no later than 90 days from the
expiration date of the appropriate grant award agreement.
All fraud identifications will be reported to the FEMA Inspector General’s office. The Recipient
agrees to cooperate with investigation conducted by the FEMA Inspector General’s office.
REFUND, REBATE, CREDITS:
The Recipient shall transfer to FEMA the appropriate share, based on the Federal support
percentage, of any refund, rebate, credit or other amounts arising from the performance of this
agreement, along with accrued interest, if any. The Recipient shall take necessary action to effect
prompt collection of all monies due or which may become due and to cooperate with FEMA in
any claim or suit in connection with amounts due.
REPORTS:
Federal Financial Reports (SF-425):
The Recipient shall submit the Federal Financial Report (FFR, SF-425) within 30 days of the end
of the first Federal quarter following the initial Grant Agreement. The Recipient shall submit
quarterly FFRs thereafter until the grant ends. Reports are due on January 30, April 30, July 30,
and October 30. A report must be submitted for every quarter of the period of performance,
including partial calendar quarters, as well as for periods where no grant activity occurs. Future
awards and fund drawdowns may be withheld if these reports are delinquent.
Program Performance Reports (SF-PPR):
The Recipient shall submit the Program Performance Reports (SF-PPR) within 30 days of the
end of each quarter. The Regional Administrator may waive the initial report. The Recipient
shall submit quarterly PPRs thereafter until the grant ends. Reports are due on January 30, April
30, July 30, and October 30. PPRs shall report the name, completion status, expenditure, and
payment-to-date of each approved activity/subaward award under the Grant Award.
Final Reports:
The Recipient shall submit a final FFR for project completion, as certified by the Recipient, and
PPR, 90 days after the end date of the performance period.
TERMINATION:
The Recipient, Subrecipient, or FEMA may terminate grant award agreements by giving written
notice to the other party at least seven (7) calendar days prior to the effective date of the
termination. All notices are to be transmitted via registered or certified mail, return receipt
requested. The Recipient’s authority to incur new costs will be terminated upon the date of
receipt of the notice or the date set forth in the notice. Any costs incurred up to the earlier of the
date of the receipt of the notice or the date of termination set forth in the notice will be negotiated
for final payment. Closeout of the Grant Agreement will be commenced and processed as
prescribed under Article VII.
ARTICLE VIII. GOVERNING PROVISIONS
The Recipient and any Subrecipients shall comply with all applicable laws and regulations. A
non-exclusive list of laws and regulations applicable to PDM grants is attached hereto for
reference only.
The Recipient and any Subrecipients shall also be bound by the Hazard Mitigation Assistance
Guidance.
Applicable Statutes and Regulations
Robert T. Stafford Disaster Relief and Emergency Assistance Act, Public Law 93-288, as
amended, 42 U.S.C. 5121 et seq
Title 44 of the Code of Federal Regulations (CFR)
44 CFR Part 80-Property Acquisition and Relocation for Open Space
44 CFR Part 9-Floodplain Management and Protection of Wetlands
2 CFR Part 200-Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards
31 CFR Part 205-Rules and Procedures for Efficient Federal-State Funds Transfers
2 CFR Part 170, Reporting Subaward and Executive Compensation – Appendix A to Part
170 – Award Term (attached)
48 CFR Part 31.2 (Federal Acquisition Regulation)
DEPARTMENT OF HOMELAND SECURITY (DHS)
STANDARD TERMS AND CONDITIONS 2018
The FY 2018 DHS Standard Terms and Conditions apply to all new Federal financial assistance awards funded
in FY 2018. The terms and conditions of DHS financial assistance awards flow down to subrecipients, unless a
particular award term or condition specifically indicates otherwise.
Assurances, Administrative Requirements, Cost Principles, and Audit Requirements
DHS financial assistance recipients must complete either the OMB Standard Form 424B Assurances –
Non-Construction Programs, or OMB Standard Form 424D Assurances – Construction Programs as
applicable. Certain assurances in these documents may not be applicable to your program, and the
DHS financial assistance office may require applicants to certify additional assurances. Applicants are
required to fill out the assurances applicable to their program as instructed by the awarding agency.
Please contact the financial assistance office if you have any questions.
DHS financial assistance recipients are required to follow the applicable provisions of the Uniform
Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards located at 2
C.F.R. Part 200, and adopted by DHS at 2 C.F.R. Part 3002.
DHS Specific Acknowledgements and Assurances
All recipients, subrecipients, successors, transferees, and assignees must acknowledge and agree
to comply with applicable provisions governing DHS access to records, accounts, documents,
information, facilities, and staff.
1.
Recipients must cooperate with any compliance reviews or compliance investigations conducted by
DHS.
2.
Recipients must give DHS access to, and the right to examine and copy, records,
accounts, and other documents and sources of information related to the award and permit access
to facilities, personnel, and other individuals and information as may be necessary, as required by
DHS regulations and other applicable laws or program guidance.
3.
Recipients must submit timely, complete, and accurate reports to the appropriate
DHS officials and maintain appropriate backup documentation to support the reports.
4.
Recipients must comply with all other special reporting, data collection, and evaluation
requirements, as prescribed by law or detailed in program guidance.
5. Recipients of federal financial assistance from DHS must complete the DHS Civil Rights Evaluation Tool
within thirty (30) days of receipt of the Notice of Award or, for State Administering Agencies, thirty (30) days
from receipt of the DHS Civil Rights Evaluation Tool from DHS or its awarding component agency. Recipients
are required to provide this information once every two (2) years, not every time an award is made. After the
initial submission, Recipients are only required to submit updates. Recipients should submit the completed
tool, including supporting materials to CivilRIghtsEvaluation@hq.dhs.gov. This tool clarifies the civil rights
obligations and related reporting requirements contained in the DHS Standard Terms and Conditions.
Subreicpients are not required to complete and submit this tool to DHS. The evaluation tool can be found at
https://www.dhs.gov/publication/dhs-civil-rights-evaluation-tool. tool.
The United States has the right to seek judicial enforcement of these obligations.
Acknowledgment of Federal Funding from
DHS
Recipients must acknowledge their use of federal funding when
issuing statements, press releases, requests for proposals, bid
invitations, and other documents describing projects or programs
funded in whole or in part with Federal funds.
Activities Conducted Abroad
Recipients must ensure that project activities carried on outside the
United
States are coordinated as necessary with appropriate
government authorities
and that appropriate licenses, permits, or
approvals are obtained.
Age Discrimination Act of 1975
Recipients must comply with the requirements of the Age
Discrimination Act of 1975 (Title 42 U.S. Code, § 6101 et seq.),
which prohibits discrimination on the basis of age in any program or
activity receiving Federal financial assistance.
Americans with Disabilities Act of 1990
Recipients must comply with the requirements of Titles I, II,
and III of the Americans with Disabilities Act, which prohibits
recipients from discriminating on the basis of disability in the
operation of public entities, public and private transportation
systems, places of public accommodation, and certain testing
entities. (42 U.S.C. §§ 12101– 12213).
Best Practices for Collection and Use
of Personally Identifiable
Information (PII)
Recipients who collect PII are required to have a publicly-available
privacy policy that describes standards on the usage and
maintenance of PII they collect. DHS defines personally identifiable
information (PII) as any information that permits the identity of an
individual to be directly or indirectly inferred, including any
information that is linked or linkable to that individual. Recipients
may also find as a useful resource the DHS Privacy Impact
Assessments: Privacy Guidance and Privacy template respectively.
Civil Rights Act of 1964 – Title VI
Recipients must comply with the requirements of Title VI of the Civil
Rights Act of 1964 (42 U.S.C. § 2000d et seq.), which provides that
no person in the United States will, on the grounds of race, color, or
national origin, be excluded from participation in, be denied the
benefits of, or be subjected to discrimination under any program or
activity receiving Federal financial assistance. DHS implementing
regulations for the Act are found at 6 C.F. R., Part 21 and 44 C.F.R.
Part 7.
Civil Rights Act of 1968
Rrecipients must comply with Title VIII of the Civil Rights Act of
1968, which prohibits recipients from discriminating in the sale,
rental, financing, and advertising of dwellings, or in the provision of
services in connection therewith, on the basis of race, color,
national origin, religion, disability, familial status, and sex (42 U.S.C.
§ 3601 et seq.), as implemented by the Department of Housing and
Urban Development at 24 C.F.R. Part 100. The prohibition on
disability discrimination includes the requirement that new multifamily
housing with four or more dwelling units—i.e., the public and
common use areas and individual apartment units (all units in
buildings with elevators and ground-floor units in buildings without
elevators)—be designed and constructed with certain accessible
features (See 24 C.F.R. § 100.201).
Copyright
Rrecipients must affix the applicable copyright notices of 17 U.S.C. §§
401 or 402 and an acknowledgement of Government sponsorship
(including award number) to any work first produced under Federal
financial assistance awards.
Debarment and Suspension
Recipients are subject to the non-procurement debarment and
suspension regulations implementing Executive Orders 12549 and
12689, and 2 C.F.R. Part 180. These regulations restrict awards,
subawards, and contracts with certain parties that are debarred,
suspended, or otherwise excluded from or ineligible for
participation in federal assistance programs or activities.
Drug-Free Workplace Regulations
Recipients must comply with drug-free workplace requirements in
Subpart B (or Subpart C, if the recipient is an individual) of 2
C.F.R. Part 3001, which adopts the Government-wide
implementation (2 C.F.R. Part 182) of sec. 5152-5158 of the Drug-
Free Workplace Act of 1988 (Pub. L. 100-690, Title V, Subtitle D;
41 U.S.C. 8101).
Duplication of Benefits
Any cost allocable to a particular Federal award provided for in 2
C.F.R. Part 200, Subpart E may not be charged to other Federal
awards to overcome fund deficiencies, to avoid restrictions imposed
by Federal statutes, regulations, or
terms and conditions of the
Federal awards, or for other reasons. However, this prohibition would
not preclude recipients from shifting costs that are allowable under
two or more Federal awards in accordance with existing Federal
statutes, regulations, or the federal financial assistance award terms
and conditions. .
Education Amendments of 1972 (Equal
Opportunity in Education Act) – Title IX
Recipients must comply with the requirements of Title IX of the
Education Amendments of 1972 (20 U.S.C. § 1681 et seq.), which
provide that no person in the United States will, on the basis of sex, be
excluded from participation in, be denied the benefits of, or be subjected
to discrimination under any educational program or activity receiving
Federal financial assistance. DHS implementing regulations are
codified at 6 C.F.R. Part 17 and 44 C.F.R. Part 19
Energy Policy and Conservation Act
Recipients must comply with the requirements of 42 U.S.C. § 6201
which contain policies relating to energy efficiency that are defined in the
state energy conservation plan issued in compliance with this Act.
False Claims Act and Program Fraud Civil
Remedies
Recipients must comply with the requirements of The False Claims Act
(31 U.S.C. § 3729- 3733) which prohibits the submission of false or
fraudulent claims for payment to the Federal Government. ( See 31
U.S.C. § 3801-3812 which details the administrative remedies for false
claims and statements made.)
Federal Debt Status
Recipients are required to be non-delinquent in their repayment of
any Federal debt. Examples of relevant debt include delinquent
payroll and other taxes, audit disallowances, and benefit
overpayments. ( See OMB Circular A-129.)
Federal Leadership on Reducing Text
Messaging while Driving
Recipients are encouraged to adopt and enforce policies that ban text
messaging while driving as described in E.O. 13513, including
conducting initiatives described in Section 3(a) of the Order when on
official Government business or when performing any work for or on
behalf of the federal government.
Fly America Act of 1974
Recipients must comply with Preference for U.S. Flag Air
Carriers: (air carriers holding certificates under 49 U.S.C. §
41102) for international air transportation of people and property
to the extent that such service is available, in accordance with
the International Air Transportation Fair Competitive Practices
Act of 1974 (49 U.S.C. § 40118) and the interpretative
guidelines issued by the Comptroller General of the United
States in the March 31, 1981, amendment to Comptroller
General Decision B-138942.
Hotel and Motel Fire Safety Act of 1990
In accordance with Section 6 of the Hotel and Motel Fire Safety
Act of 1990 (15 U.S.C. § 2225a), Recipients must ensure that all
conference, meeting, convention, or training space funded in
whole or in part with Federal funds complies with the fire
prevention and control guidelines of the Federal Fire Prevention
and Control Act of 1974, as amended (15 U.S.C. § 2225).
Limited English Proficiency (Civil Rights
Act of 1964, Title VI)
Recipients must comply with the Title VI of the Civil Rights Act of
1964 (42 U.S.C. §2000d et seq.) prohibition against
discrimination on the basis of national origin, which requires that
recipients of federal financial assistance take reasonable steps to
provide meaningful access to persons with limited English
proficiency (LEP) to their programs and services. For additional
assistance and information regarding language access
obligations, please refer to the DHS Recipient Guidance
https://www.dhs.gov/guidance-published-help-department-
supported-organizations-provide-meaningful-access-people-
limited and additional resources on http://www.lep.gov.
Lobbying Prohibitions
Recipients must comply with 31 U.S.C. § 1352, which provides that
none of the funds provided under an award may be expended by
the recipient to pay any person to influence, or attempt 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 any federal action related to a federal
award or contract, including any extension, continuation, renewal,
amendment, or modification.
National Environmental Policy Act
Recipients must comply with the requirements of the National
Environmental Policy Act (NEPA) and the Council on Environmental
Quality (CEQ) Regulations for Implementing the Procedural
Provisions of NEPA, which requires recipients to use all practicable
means within their authority, and consistent with other essential
considerations of national policy, to create and maintain conditions
under which people and nature can exist in productive harmony and
fulfill the social, economic, and other needs of present and future
generations of Americans.
Nondiscrimination in Matters Pertaining
to Faith-Based Organizations
It is DHS policy to ensure the equal treatment of faith-based
organizations in social service programs administered or supported
by DHS or its component agencies, enabling those organizations to
participate in providing important social services to beneficiaries.
Recipients must comply with the equal treatment policies and
requirements contained in 6 C.F.R. Part 19 and other applicable
statutes, regulations, and guidance governing the participation of
faith-based organizations in individual DHS programs.
Non-supplanting Requirement
Recipients receiving federal financial assistance awards made
under programs that prohibit supplanting by law must ensure that
Federal funds do not replace (supplant) funds that have been
budgeted for the same purpose through non-Federal sources.
Notice of Funding Opportunity
Requirements
All of the instructions, guidance, limitations, and other conditions
set forth in the Notice of Funding Opportunity (NOFO) for this
program are incorporated here by reference in the award terms
and conditions. Recipients must comply with any such
requirements set forth in the program NOFO.
Patents and Intellectual Property Rights
Unless otherwise provided by law, recipients are subject to the Bayh-
Dole Act, Pub. L. No. 96-517, as amended, and codified in 35 U.S.C.
§ 200 et seq. Recipients are subject to the specific requirements
governing the development, reporting, and disposition of rights to
inventions and patents resulting from financial assistance awards
located at 37 C.F.R. Part 401 and the standard patent rights clause
located at 37 C.F.R. § 401.14.
Procurement of Recovered Materials
Recipients must comply with Section 6002 of the Solid Waste
Disposal Act, as amended by the Resource Conservation and
Recovery Act. The requirements of Section 6002 include procuring
only items designated in guidelines of the Environmental Protection
Agency (EPA) at 40 C.F.R. Part 247 that contain the highest
percentage of recovered materials practicable, consistent with
maintaining a satisfactory level of competition.
Reporting Subawards and
Executive Compensation
Recipients are required to comply with the requirements set forth in
the government-wide Award Term on Reporting Subawards and
Executive Compensation located at 2 C.F.R. Part 170, Appendix A,
the full text of which is incorporated here by reference in the award
terms and conditions.
SAFECOM
Recipients receiving federal financial assistance awards under
programs that provide emergency communication equipment and
its related activities must comply with the SAFECOM Guidance for
Emergency Communication Grants, including provisions on
technical standards that ensure and enhance interoperable
communications.
Terrorist Financing
Recipients must comply with E.O. 13224 and U.S. law that prohibit
transactions with, and the provisions of resources and support to,
individuals and organizations associated with terrorism. Recipients
are legally responsible to ensure compliance with the Order and
laws.
Trafficking Victims Protection Act of 2000
Recipients must comply with the requirements of the government-
wide award term which implements Section 106(g) of the
Trafficking Victims Protection Act of 2000, (TVPA) as amended by
22 U.S.C. § 7104. The award term is located at 2 CFR § 175.15,
the full text of which is incorporated here by reference.
Rehabilitation Act of 1973
Recipients must comply with the requirements of Section 504 of the
Rehabilitation Act of 1973 (29 U.S.C. § 794), as amended, which
provides that no otherwise qualified handicapped individual in the
United States will, solely by reason of the handicap, be excluded
from participation in, be denied the benefits of, or be subjected to
discrimination under any program or activity receiving Federal
financial assistance.
Reporting of Matters Related to Recipient
Integrity and Performance
If the total value of the recipient’s currently active grants, cooperative
agreements, and procurement contracts from all Federal assistance
office exceeds $10,000,000 for any period of time during the period
of performance of the federal financial assistance award, the
recipient must comply with the requirements set forth in the
government-wide Award Term and Condition for Recipient Integrity
and Performance Matters located at 2 C.F.R. Part 200, Appendix XII,
the full text of which is incorporated here by reference in the award
terms and conditions.
Universal Identifier and System
of Award Management (SAM)
Recipients are required to comply with the requirements set forth in
the government-wide Award Term regarding the System for Award
Management and Universal Identifier Requirements located at 2
C.F.R. Part 25, Appendix A,
USA Patriot Act of 2001
Recipients must comply with requirements of the Uniting and
Strengthening America by Providing Appropriate Tools Required to
Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which
amends 18 U.S.C. §§ 175–175c.
Use of DHS Seal, Logo and Flags
Recipients must obtain permission from their financial assistance
office, prior to using the DHS seal(s), logos, crests or
reproductions of flags or likenesses of DHS agency officials,
including use of the United States Coast Guard seal, logo, crests
or reproductions of flags or likenesses of Coast Guard officials.
Whistleblower Protection Act
Recipients must comply with the statutory requirements for
whistleblower protections (if applicable) at 10 U.S.C § 2409, 41
U.S.C. 4712, and 10 U.S.C.
§ 2324, 41 U.S.C. §§ 4304 and 4310.
Appendix A to Part 170—Award term
I.
Reporting Subawards and Executive Compensation.
a. Reporting of first-tier subawards.
1. Applicability. Unless you are exempt as provided in paragraph d. of this award
term, you must report each action that obligates $25,000 or more in Federal
funds that does not include Recovery funds (as defined in section 1512(a)(2) of
the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a
subaward to an entity (see definitions in paragraph e. of this award term).
2. Where and when to report.
i.
You must report each obligating action described in paragraph a.1. of
this award term to http://www.fsrs.gov.
ii.
ii. For subaward information, report no later than the end of the month
following the month in which the obligation was made. (For example, if
the obligation was made on November 7, 2010, the obligation must be
reported by no later than December 31, 2010.)
3. What to report. You must report the information about each obligating action
that the submission instructions posted at http://www.fsrs.gov specify.
b. Reporting Total Compensation of Recipient Executives.
1. Applicability and what to report. You must report total compensation for each of
your five most highly compensated executives for the preceding completed
fiscal year, if—
i.
the total Federal funding authorized to date under this award is $25,000
or more;
ii.
in the preceding fiscal year, you received—
A. 80 percent or more of your annual gross revenues from Federal
procurement contracts (and subcontracts) and Federal financial
assistance subject to the Transparency Act, as defined at 2 CFR
170.320 (and subawards); and
B. $25,000,000 or more in annual gross revenues from Federal
procurement contracts (and subcontracts) and Federal financial
assistance subject to the Transparency Act, as defined at 2 CFR
170.320 (and subawards); and
iii.
The public does not have access to information about the compensation
of the executives through periodic reports filed under section 13(a) or
15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a),
78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To
determine if the public has access to the compensation information, see
the U.S. Security and Exchange Commission total compensation filings
at http://www.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report executive total compensation
described in paragraph b.1. of this award term:
i.
As part of your registration profile at http://www.ccr.gov.
ii.
By the end of the month following the month in which this award is made,
and annually thereafter.
c. Reporting of Total Compensation of Subrecipient Executives.
1. Applicability and what to report. Unless you are exempt as provided in
paragraph d. of this award term, for each first-tier subrecipient under this award,
you shall report the names and total compensation of each of the subrecipient's
five most highly compensated executives for the subrecipient's preceding
completed fiscal year, if—
i. in the subrecipient's preceding fiscal year, the subrecipient received—
A. 80 percent or more of its annual gross revenues from Federal
procurement contracts (and subcontracts) and Federal financial
assistance subject to the Transparency Act, as defined at 2 CFR
170.320 (and subawards); and
B. $25,000,000 or more in annual gross revenues from Federal
procurement contracts (and subcontracts), and Federal financial
assistance subject to the Transparency Act (and subawards); and
ii.
The public does not have access to information about the compensation
of the executives through periodic reports filed under section 13(a) or
15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d))
or section 6104 of the Internal Revenue Code of 1986. (To determine if
the public has access to the compensation information, see the U.S.
Security and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report subrecipient executive total
compensation described in paragraph c.1. of this award term:
i.
To the recipient.
ii.
By the end of the month following the month during which you make
the subaward. For example, if a subaward is obligated on any date
during the month of October of a given year (i.e., between October 1
and 31), you must report any required compensation information of
the subrecipient by November 30 of that year.
d. Exemptions.
If, in the previous tax year, you had gross income, from all sources, under $300,000,
you are exempt from the requirements to report:
i.
Subawards, and
ii.
The total compensation of the five most highly compensated
executives of any subrecipient.
e. Definitions. For purposes of this award term:
1. Entity means all of the following, as defined in 2 CFR Part 25:
i.
A Governmental organization, which is a State, local government, or
Indian tribe;
ii.
A foreign public entity;
iii.
A domestic or foreign nonprofit organization;
iv.
A domestic or foreign for-profit organization;
v.
A Federal agency, but only as a subrecipient under an award or
subaward to a non-Federal entity.
2. Executive means officers, managing partners, or any other employees in
management positions.
3. Subaward:
i.
This term means a legal instrument to provide support for the
performance of any portion of the substantive project or program for
which you received this award and that you as the recipient award to an
eligible subrecipient.
ii.
The term does not include your procurement of property and services
needed to carry out the project or program (for further explanation, see
Sec. __ .210 of the attachment to OMB Circular A-133, “Audits of
States, Local Governments, and Non-Profit Organizations”).
iii.
A subaward may be provided through any legal agreement, including an
agreement that you or a subrecipient considers a contract.
4. Subrecipient means an entity that:
i.
Receives a subaward from you (the recipient) under this award; and
ii.
Is accountable to you for the use of the Federal funds provided by the
subaward.
5. Total compensation means the cash and noncash dollar value earned by the
executive during the recipient's or subrecipient's preceding fiscal year and
includes the following (for more information see 17 CFR 229.402(c)(2)):
i.
Salary and bonus.
ii.
Awards of stock, stock options, and stock appreciation rights. Use the
dollar amount recognized for financial statement reporting purposes
with respect to the fiscal year in accordance with the Statement of
Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R),
Shared Based Payments.
iii.
Earnings for services under non-equity incentive plans. This does not
include group life, health, hospitalization or medical reimbursement
plans that do not discriminate in favor of executives, and are available
generally to all salaried employees.
iv.
Change in pension value. This is the change in present value of
defined benefit and actuarial pension plans.
v.
Above-market earnings on deferred compensation which is not tax-
qualified.
vi.
Other compensation, if the aggregate value of all such other
compensation (e.g. severance, termination payments, value of life
insurance paid on behalf of the employee, perquisites or property) for
the executive exceeds $10,000.