Agenda 01/14/2020 Item #16A19 (Gordon River Control Strucuture Grant Agreement)01/14/2020
EXECUTIVE SUMMARY
Recommendation to accept the Federally-Funded Subaward and Grant Agreement with the Florida
Division of Emergency Management (FDEM) for funding in the amount of $187,500 under the
Federal Emergency Management Agency (FEMA) Hazard Mitigation Grant Program for the design
of the new Gordon River control structure and authorize necessary budget amendment. (Project No
60102).
OBJECTIVE: To accept the Federally-Funded Subaward and Grant Agreement with the Florida
Division of Emergency Management (FDEM) for funding in the amount of $187,500 under the Federal
Emergency Management Agency Hazard Mitigation Grant Program (HMGP) for the design of the new
Gordon River control structure and to authorize the necessary Budget amendment.
CONSIDERATIONS: The Hazard Mitigation Grant Program is provided through FEMA to help
implement hazard mitigation measures following a major disaster. Hazard mitigation measures are any
sustainable action taken to reduce or eliminate long-term risk to properties from future disasters. The
HMGP supports cost-effective post-disaster projects.
On September 11, 2018 (Item 16.E.3), the Collier County Board of County Commissioners provided
after-the-fact approval for the submittal of several applications for Hazard Miti gation Grant Program
funding. Capital Project Planning, Impact Fees and Program Management submitted eight (8) grant
applications for funding of which the Gordon River Water Control Structure Replacement application was
approved for funding in the amount of $187,500 and is attached for execution. The Gordon River Water
Control Structure Replacement project award is for the design and permitting of a water control structure
to replace the existing AMIL gate on the Gordon River to improve stormwater conveyance and to help
alleviate historical flooding in the Gordon River basin.
FISCAL IMPACT: If the agreement is accepted, a budget amendment will be required to appropriate
funding, in the amount $ 187,500 within GMD Grant Fund 711, Project 60102. The $187 ,500 grant
award requires a twenty-five percent (25%) local match of $62,500. A budget amendment to provide the
GMD local match in the amount of $62,500 will be required to transfer funds from Stormwater Capital
Fund 325 to GMD Grant Match Fund 712, Project 60102.
LEGAL CONSIDERATIONS: This item is approved for form and legality and requires a majority vote
for Board action. JAB
RECOMMENDATION: To accept the Federally-Funded Subaward and Grant Agreement with the
Florida Division of Emergency Management and authorize the necessary budget amendments.
Prepared By: Mindy Lee Collier, Stormwater, Capital Project Planning, Impact Fees and Program
Management Division
ATTACHMENT(S)
1. [Linked] Gordon River Water Control Structure Agreement (PDF)
16.A.19
Packet Pg. 750
01/14/2020
COLLIER COUNTY
Board of County Commissioners
Item Number: 16.A.19
Doc ID: 10966
Item Summary: Recommendation to accept the Federally-Funded Subaward and Grant
Agreement with the Florida Division of Emergency Management (FDEM) for funding in the amount of
$187,500 under the Federal Emergency Management Agency (FEMA) Hazard Mitigation Grant Program
for the design of the new Gordon River Control Structure and authorize necessary budget amendment.
(Project No 60102).
Meeting Date: 01/14/2020
Prepared by:
Title: – Capital Project Planning, Impact Fees, and Program Management
Name: Mindy Collier
12/02/2019 8:54 AM
Submitted by:
Title: Division Director - IF, CPP & PM – Capital Project Planning, Impact Fees, and Program
Management
Name: Amy Patterson
12/02/2019 8:54 AM
Approved By:
Review:
Capital Project Planning, Impact Fees, and Program Management Gerald Kurtz Additional Reviewer Completed 12/02/2019 9:03 AM
Growth Management Department Judy Puig Level 1 Reviewer Completed 12/06/2019 3:45 PM
Growth Management Department Lisa Taylor Additional Reviewer Completed 12/09/2019 1:37 PM
Capital Project Planning, Impact Fees, and Program Management Amy Patterson Additional Reviewer Completed 12/26/2019 10:22 AM
County Attorney's Office Jennifer Belpedio Level 2 Attorney of Record Review Completed 12/26/2019 1:48 PM
Growth Management Department Thaddeus Cohen Department Head Review Completed 12/26/2019 2:39 PM
Growth Management Operations Support Christopher Johnson Additional Reviewer Completed 12/30/2019 2:13 PM
Grants Erica Robinson Level 2 Grants Review Completed 01/02/2020 2:15 PM
Office of Management and Budget Debra Windsor Level 3 OMB Gatekeeper Review Completed 01/02/2020 2:26 PM
County Attorney's Office Jeffrey A. Klatzkow Level 3 County Attorney's Office Review Completed 01/02/2020 3:45 PM
Grants Therese Stanley Additional Reviewer Completed 01/02/2020 3:51 PM
Office of Management and Budget Susan Usher Additional Reviewer Completed 01/03/2020 10:54 AM
County Manager's Office Nick Casalanguida Level 4 County Manager Review Completed 01/03/2020 3:46 PM
Board of County Commissioners MaryJo Brock Meeting Pending 01/14/2020 9:00 AM
16.A.19
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SUB -RECIPIENT AGREEMENT CHECKLIST
DIVISION OF EMERGENCY MANAGEMENT
MITIGATION BUREAU
SUB -RECIPIENT REPRESENTATIVE (POINT OF CONTACT)
Gerald Kurtz, Principal Project Manager, Collier County BOCC
Enclosed is your copy of the proposed contract/modification between Collier County BOCC
and the Florida Division of Emergency Management (FDEM).
COMPLETE
❑ This form is required to be included with all Reviews, Approvals, and Submittal
❑ Two (2) Copies printed for Approval
❑ Printed Single -sided (If your policy is to copy two-sided please contact me and 1 will
send you two original one-sided copies for signature)
❑ Reviewed and Approved
❑ Signed and Dated by Official Representative (blue ink)
❑ Copy of the organization's resolution or charter that specifically identifies the
person or position that is authorized to sign, if not Chairman, Mayor, Chief
❑ Attachment I - Federal Funding Accountability and Transparency Act (FFATA)
completed, signed, and dated (❑ N/A for Modifications)
❑ Two Signed and dated Originals mailed to FDEM - Tallahassee
Florida Division of Emergency Management
Mitigation Bureau — HMGP
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
Attention — Grant Specialist — Brianna Nelson
If you have any questions regarding this contract, or who is authorized to sign it, please contact
your Project Manager at (850) 815-4571 or email me at Mike. Lalbachan em.rn lorida.com.
Agreement Number:
Project Number:
H0379
4337-305-R
FEDERALLY -FUNDED SUBAWARD AND GRANT AGREEMENT
2 C.F.R. §200.92 states that a "subaward may be provided through any form of legal agreement,
including an agreement that the pass-through entity considers a contract."
As defined by 2 C.F.R. §200,74, "pass-through entity" means "a non -Federal entity that provides a
subaward to a Sub -Recipient to carry out part of a Federal program."
As defined by 2 C.F.R. §200.93, "Sub -Recipient" means "a non -Federal entity that receives a
subaward from a pass-through entity to carry out part of a Federal program."
As defined by 2 C.F.R. §200.38, "Federal award" means "Federal financial assistance that a non -
Federal entity receives directly from a Federal awarding agency or indirectly from a pass-through entity,"
As defined by 2 C.F.R. §200.92, "subaward" means "an award provided by a pass-through entity to a
Sub -Recipient for the Sub -Recipient to carry out part of a Federal award received by the pass-through
entity."
The following information is provided pursuant to 2 C.F.R. §200,331(a)(1):
Sub -Recipient's name: Collier County BOCC
Sub -Recipient's unique entity identifier:
Federal Award Identification Number (FAIN):
Federal Award Date:
Subaward Period of Performance Start and End Date:
Amount of Federal Funds Obligated by this Agreement:
Total Amount of Federal Funds Obligated to the Sub -Recipient
by the pass-through entity to include this Agreement:
Total Amount of the Federal Award committed to the Sub -
Recipient by the pass-through entity
Federal award project description (see FFATA):
Name of Federal awarding agency:
Name of pass-through entity:
Contact information for the pass-through entity:
Catalog of Federal Domestic Assistance (CFDA) Number and
Name:
Whether the award is R&D:
Indirect cost rate for the Federal award:
596000558
FEMA -DR -4337 -FL
September 27, 2019
Upon execution through
November 30, 2020
187.500.00
187.500.00
187.500.00
Drainage
Federal Emergency Management Agency
FL Division of Emergency Management
Mike. Lalbachan@em.myflorida.com
97.039 Hazard Mitigation Grant Program
N/A
N/A
THIS AGREEMENT is entered into by the State of Florida, Division of Emergency Management,
with headquarters in Tallahassee, Florida (hereinafter referred to as the "Division"), and Collier County
BOCC, (hereinafter referred to as the "Sub -Recipient").
For the purposes of this Agreement, the Division serves as the pass-through entity for a Federal
award, and the Sub -Recipient serves as the recipient of a subaward.
THIS AGREEMENT IS ENTERED INTO BASED ON THE FOLLOWING REPRESENTATIONS:
A. The Sub -Recipient represents that it is fully qualified and eligible to receive these grant funds
to provide the services identified herein;
B. The State of Florida received these grant funds from the Federal government, and the
Division has the authority to subgrant these funds to the Sub -Recipient upon the terms and conditions
outlined below; and,
C. The Division has statutory authority to disburse the funds under this Agreement.
THEREFORE, the Division and the Sub -Recipient agree to the following:
(1) APPLICATION OF STATE LAW TO THIS AGREEMENT
2 C.F.R. §200,302 provides: "Each state must expend and account for the Federal award
in accordance with state laws and procedures for expending and accounting for the state's own funds."
Therefore, section 215.971, Florida Statutes, entitled "Agreements funded with federal or state
assistance", applies to this Agreement.
(2) LAWS RULES REGULATIONS AND POLICIES
a. The Sub -Recipient's performance under this Agreement is subject to 2 C.F.R, Part
200, entitled "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal
Awards."
b, As required by Section 215.971 (1), Florida Statutes, this Agreement includes:
A provision specifying a scope of work that clearly establishes the tasks that
the Sub -Recipient is required to perform.
A provision dividing the agreement into quantifiable units of deliverables that
must be received and accepted in writing by the Division before payment, Each deliverable must be
directly related to the scope of work and specify the required minimum level of service to be performed
and the criteria for evaluating the successful completion of each deliverable.
iii. A provision specifying the financial consequences that apply if the Sub -
Recipient fails to perform the minimum level of service required by the agreement.
iv. A provision specifying that the Sub -Recipient may expend funds only for
allowable costs resulting from obligations incurred during the specified agreement period.
A provision specifying that any balance of unobligated funds which has been
advanced or paid must be refunded to the Division.
vi. A provision specifying that any funds paid in excess of the amount to which
the Sub -Recipient is entitled under the terms and conditions of the agreement must be refunded to the
Division.
c. In addition to the foregoing, the Sub -Recipient and the Division shall be governed by
all applicable State and Federal laws, rules and regulations, including those identified in Attachment B,
Any express reference in this Agreement to a particular statute, rule, or regulation in no way implies that
no other statute, rule, or regulation applies.
(3) CONTACT
a. In accordance with section 215.971(2), Florida Statutes, the Division's Grant
Manager shall be responsible for enforcing performance of this Agreement's terms and conditions and
shall serve as the Division's liaison with the Sub -Recipient. As part of his/her duties, the Grant Manager
for the Division shall:
payment.
i. Monitor and document Sub -Recipient performance; and,
ii. Review and document all deliverables for which the Sub -Recipient requests
b. The Division's Grant Manager for this Agreement is:
Mike Lalbachan
Project Manager
Florida Division of Emergency Management
Mitigation Bureau
2702 Directors Row
Orlando, FL 32809
Telephone: (850) 815-4571
Email: Mike.Lalbachan@em.myflorida.com
c. The name and address of the Representative of the Sub -Recipient responsible for
the administration of this Agreement is:
Gerald Kurtz
Principal Project Manager
2685 South Horseshoe Drive, Suite 103
Naples, FL 34104
Telephone: (239) 252-5860
Email: gerald.kurtz@colliercountyfl.gov
d. In the event that different representatives or addresses are designated by either party
after execution of this Agreement, notice of the name, title and address of the new representative will be
provided to the other party.
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(4) TERMS AND CONDITIONS
This Agreement contains all the terms and conditions agreed upon by the parties.
(5) EXECUTION
This Agreement may be executed in any number of counterparts, any one of which may
be taken as an original,
(6) MODIFICATION
Either party may request modification of the provisions of this Agreement. Changes
which are agreed upon shall be valid only when in writing, signed by each of the parties, and attached to
the original of this Agreement.
(7) SCOPE OF WORK
The Sub -Recipient shall perform the work in accordance with the Budget and Scope of
Work, Attachment A of this Agreement.
(8) PERIOD OF AGREEMENT
This Agreement shall begin upon execution by both parties and shall end on November
30, 2020, unless terminated earlier in accordance with the provisions of Paragraph (17) of this
Agreement. Consistent with the definition of "period of performance" contained in 2 C.F.R. §200.77, the
term "period of agreement" refers to the time during which the Sub -Recipient "may incur new obligations
to carry out the work authorized under" this Agreement. In accordance with 2 C.F.R. §200.309, the Sub -
Recipient may receive reimbursement under this Agreement only for "allowable costs incurred during the
period of performance." In accordance with section 215.971(1)(d), Florida Statutes, the Sub -Recipient
may expend funds authorized by this Agreement "only for allowable costs resulting from obligations
incurred during" the period of agreement.
(9) FUNDING
a. This is a cost -reimbursement Agreement, subject to the availability of funds.
b. The State of Florida's performance and obligation to pay under this Agreement is
contingent upon an annual appropriation by the Legislature, and subject to any modification in
accordance with either Chapter 216, Florida Statutes, or the Florida Constitution.
c. The Division will reimburse the Sub -Recipient only for allowable costs incurred by the
Sub -Recipient in the successful completion of each deliverable. The maximum reimbursement amount
for each deliverable is outlined in Attachment A of this Agreement ("Budget and Scope of Work"). The
maximum reimbursement amount for the entirety of this Agreement is $187,500.00.
d. As required by 2 C.F.R. §200.415(a), any request for payment under this Agreement
must include a certification, signed by an official who is authorized to legally bind the Sub -Recipient,
which reads as follows: "By signing this report, I certify to the best of my knowledge and belief that the
report is true, complete, and accurate, and the expenditures, disbursements and cash receipts are for the
purposes and objectives set forth in the terms and conditions of the Federal award. I am aware that any
M
false, fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal,
civil or administrative penalties for fraud, false statements, false claims or otherwise. (U.S. Code Title 18,
Section 1001 and Title 31, Sections 3729-3730 and 3801-3812)."
e, The Division will review any request for reimbursement by comparing the
documentation provided by the Sub -Recipient against a performance measure, outlined in Attachment A,
that clearly delineates:
L The required minimum acceptable level of service to be performed; and,
ii. The criteria for evaluating the successful completion of each deliverable.
f. The performance measure required by section 215.971(1)(b), Florida Statutes,
remains consistent with the requirement for a "performance goal", which is defined in 2 C.F.R. §200.76 as
"a target level of performance expressed as a tangible, measurable objective, against which actual
achievement can be compared." It also remains consistent with the requirement, contained in 2 C.F.R.
§200.301, that the Division and the Sub -Recipient "relate financial data to performance accomplishments
of the Federal award."
g. If authorized by the Federal Awarding Agency, then the Division will reimburse the
Sub -Recipient for overtime expenses in accordance with 2 C.F.R. §200.430 ("Compensation—personal
services") and 2 C.F.R. §200.431 ("Compensation—fringe benefits"). If the Sub -Recipient seeks
reimbursement for overtime expenses for periods when no work is performed due to vacation, holiday,
illness, failure of the employer to provide sufficient work, or other similar cause (see 29 U.S.C.
§207(e)(2)), then the Division will treat the expense as a fringe benefit. 2 C.F.R. §200.431(a) defines
fringe benefits as "allowances and services provided by employers to their employees as compensation in
addition to regular salaries and wages," Fringe benefits are allowable under this Agreement as long as
the benefits are reasonable and are required by law, Sub -Recipient -employee agreement, or an
established policy of the Sub -Recipient. 2 C.F.R. §200.431(b) provides that the cost of fringe benefits in
the form of regular compensation paid to employees during periods of authorized absences from the job,
such as for annual leave, family -related leave, sick leave, holidays, court leave, military leave,
administrative leave, and other similar benefits, are allowable if all of the following criteria are met:
awards; and,
They are provided under established written leave policies;
The costs are equitably allocated to all related activities, including Federal
iii. The accounting basis (cash or accrual) selected for costing each type of
leave is consistently followed by the non -Federal entity or specified grouping of employees.
h. If authorized by the Federal Awarding Agency, then the Division will reimburse the
Sub -Recipient for travel expenses in accordance with 2 C.F.R. §200.474. As required by the Reference
Guide for State Expenditures, reimbursement for travel must be in accordance with section 112.061,
Florida Statutes, which includes submission of the claim on the approved state travel voucher. If the Sub -
Recipient seeks reimbursement for travel costs that exceed the amounts stated in section 112.061(6)(b),
Florida Statutes ($6 for breakfast, $11 for lunch, and $19 for dinner), then the Sub -Recipient must provide
documentation that:
The costs are reasonable and do not exceed charges normally allowed by
the Sub -Recipient in its regular operations as a result of the Sub -Recipient's written travel policy; and,
ii. Participation of the individual in the travel is necessary to the Federal award.
L The Division's grant manager, as required by section 215.971(2)(c), Florida Statutes,
shall reconcile and verify all funds received against all funds expended during the grant agreement period
and produce a final reconciliation report. The final report must identify any funds paid in excess of the
expenditures incurred by the Sub -Recipient.
j. As defined by 2 C.F.R. §200.53, the term "improper payment" means or includes:
Any payment that should not have been made or that was made in an
incorrect amount (including overpayments and underpayments) under statutory, contractual,
administrative, or other legally applicable requirements; and,
ii. Any payment to an ineligible party, any payment for an ineligible good or
service, any duplicate payment, any payment for a good or service not received (except for such
payments where authorized by law), any payment that does not account for credit for applicable
discounts, and any payment where insufficient or lack of documentation prevents a reviewer from
discerning whether a payment was proper,
(10)RECORDS
a. As required by 2 C.F.R. §200.336, the Federal awarding agency, Inspectors General,
the Comptroller General of the United States, and the Division, or any of their authorized representatives,
shall enjoy the right of access to any documents, papers, or other records of the Sub -Recipient which are
pertinent to the Federal award, in order to make audits, examinations, excerpts, and transcripts. The right
of access also includes timely and reasonable access to the Sub -Recipient's personnel for the purpose of
interview and discussion related to such documents. Finally, the right of access is not limited to the
required retention period but lasts as long as the records are retained.
b. As required by 2 C.F.R. §200.331(a)(5), the Division, the Chief Inspector General of
the State of Florida, the Florida Auditor General, or any of their authorized representatives, shall enjoy the
right of access to any documents, financial statements, papers, or other records of the Sub -Recipient
which are pertinent to this Agreement, in order to make audits, examinations, excerpts, and transcripts.
The right of access also includes timely and reasonable access to the Sub -Recipient's personnel for the
purpose of interview and discussion related to such documents.
c. As required by Florida Department of State's record retention requirements (Chapter
119, Florida Statutes) and by 2 C.F.R. §200.333, the Sub -Recipient shall retain sufficient records to show
its compliance with the terms of this Agreement, as well as the compliance of all subcontractors or
consultants paid from funds under this Agreement, for a period of five (5) fiscal years from the date of
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completion of grant cycle or project. The following are the only exceptions to the five (5) year
requirement:
If any litigation, claim, or audit is started before the expiration of the 5 -year
period, then the records must be retained until all litigation, claims, or audit findings involving the records
have been resolved and final action taken.
When the Division or the Sub -Recipient is notified in writing by the Federal
awarding agency, cognizant agency for audit, oversight agency for audit, cognizant agency for indirect
costs, or pass-through entity to extend the retention period,
iii. Records for real property and equipment acquired with Federal funds must
be retained for 5 years after final disposition.
iv. When records are transferred to or maintained by the Federal awarding
agency or pass-through entity, the 5 -year retention requirement is not applicable to the Sub -Recipient.
Records for program income transactions after the period of performance. In
some cases recipients must report program income after the period of performance. Where there is such
a requirement, the retention period for the records pertaining to the earning of the program income starts
from the end of the non -Federal entity's fiscal year in which the program income is earned.
vi. Indirect cost rate proposals and cost allocations plans. This paragraph
applies to the following types of documents and their supporting records: indirect cost rate computations
or proposals, cost allocation plans, and any similar accounting computations of the rate at which a
particular group of costs is chargeable (such as computer usage chargeback rates or composite fringe
benefit rates).
d. In accordance with 2 C.F.R. §200.334, the Federal awarding agency must request
transfer of certain records to its custody from the Division or the Sub -Recipient when it determines that
the records possess long-term retention value.
e, In accordance with 2 C.F.R. §200.335, the Division must always provide or accept
paper versions of Agreement information to and from the Sub -Recipient upon request. If paper copies
are submitted, then the Division must not require more than an original and two copies. When original
records are electronic and cannot be altered, there is no need to create and retain paper copies. When
original records are paper, electronic versions may be substituted through the use of duplication or other
forms of electronic media provided that they are subject to periodic quality control reviews, provide
reasonable safeguards against alteration, and remain readable.
f. As required by 2 C.F.R. §200.303, the Sub -Recipient shall take reasonable measures
to safeguard protected personally identifiable information and other information the Federal awarding
agency or the Division designates as sensitive or the Sub -Recipient considers sensitive consistent with
applicable Federal, state, local, and tribal laws regarding privacy and obligations of confidentiality.
g. Florida's Government in the Sunshine Law (Section 286.011, Florida Statutes)
provides the citizens of Florida with a right of access to governmental proceedings and mandates three,
basic requirements: (1) meetings of public boards or commissions must be open to the public; (2)
reasonable notice of such meetings must be given; and, (3) minutes of the meetings must be taken and
promptly recorded. The mere receipt of public funds by a private entity, standing alone, is insufficient to
bring that entity within the ambit of the open government requirements. However, the Government in the
Sunshine Law applies to private entities that provide services to governmental agencies and that act on
behalf of those agencies in the agencies' performance of their public duties. If a public agency delegates
the performance of its public purpose to a private entity, then, to the extent that private entity is
performing that public purpose, the Government in the Sunshine Law applies. For example, if a volunteer
fire department provides firefighting services to a governmental entity and uses facilities and equipment
purchased with public funds, then the Government in the Sunshine Law applies to board of directors for
that volunteer fire department. Thus, to the extent that the Government in the Sunshine Law applies to
the Sub -Recipient based upon the funds provided under this Agreement, the meetings of the Sub -
Recipient's governing board or the meetings of any subcommittee making recommendations to the
governing board may be subject to open government requirements. These meetings shall be publicly
noticed, open to the public, and the minutes of all the meetings shall be public records, available to the
public in accordance with Chapter 119, Florida Statutes.
h. Florida's Public Records Law provides a right of access to the records of the state
and local governments as well as to private entities acting on their behalf. Unless specifically exempted
from disclosure by the Legislature, all materials made or received by a governmental agency (or a private
entity acting on behalf of such an agency) in conjunction with official business which are used to
perpetuate, communicate, or formalize knowledge qualify as public records subject to public inspection,
The mere receipt of public funds by a private entity, standing alone, is insufficient to bring that entity
within the ambit of the public record requirements. However, when a public entity delegates a public
function to a private entity, the records generated by the private entity's performance of that duty become
public records. Thus, the nature and scope of the services provided by a private entity determine whether
that entity is acting on behalf of a public agency and is therefore subject to the requirements of Florida's
Public Records Law.
i. The Sub -Recipient shall maintain all records for the Sub -Recipient and for all
subcontractors or consultants to be paid from funds provided under this Agreement, including
documentation of all program costs, in a form sufficient to determine compliance with the requirements
and objectives of the Budget and Scope of Work - Attachment A - and all other applicable laws and
regulations.
(11)AUDITS
a. The Sub -Recipient shall comply with the audit requirements contained in 2 C.F.R.
Part 200, Subpart F.
b. In accounting for the receipt and expenditure of funds under this Agreement, the
Sub -Recipient shall follow Generally Accepted Accounting Principles ("GAAP"). As defined by 2 C.F.R.
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§200.49, GAAP "has the meaning specified in accounting standards issued by the Government
Accounting Standards Board (GASB) and the Financial Accounting Standards Board (FASB)."
c. When conducting an audit of the Sub -Recipient's performance under this Agreement,
the Division shall use Generally Accepted Government Auditing Standards ("GAGAS"). As defined by 2
C.F.R. §200.50, GAGAS, "also known as the Yellow Book, means generally accepted government
auditing standards issued by the Comptroller General of the United States, which are applicable to
financial audits."
d. If an audit shows that all or any portion of the funds disbursed were not spent in
accordance with the conditions of this Agreement, the Sub -Recipient shall be held liable for
reimbursement to the Division of all funds not spent in accordance with these applicable regulations and
Agreement provisions within thirty days after the Division has notified the Sub -Recipient of such non-
compliance.
e, The Sub -Recipient shall have all audits completed by an independent auditor, which
is defined in section 215.97(2)(i), Florida Statutes, as "an independent certified public accountant licensed
under chapter 473," The independent auditor shall state that the audit complied with the applicable
provisions noted above. The audit must be received by the Division no later than nine months from the
end of the Sub -Recipient's fiscal year.
f. The Sub -Recipient shall send copies of reporting packages for audits conducted in
accordance with 2 C.F.R. Part 200, by or on behalf of the Sub -Recipient, to the Division at the following
address:
DEMSingle_Audit@em.myflorida.com
OR
Office of the Inspector General
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
g. The Sub -Recipient shall send the Single Audit reporting package and Form SF -SAC
to the Federal Audit Clearinghouse by submission online at:
http://harvester,census.gov/fac/collect/ddeindex.html
h. The Sub -Recipient shall send any management letter issued by the auditor to the
Division at the following address:
DEMSingle_Audit@em.myflorida.com
OR
Office of the Inspector General
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
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(12)REPORTS
a. Consistent with 2 C.F.R. §200.328, the Sub -Recipient shall provide the Division with
quarterly reports and a close-out report, These reports shall include the current status and progress by
the Sub -Recipient and all subcontractors in completing the work described in the Scope of Work and the
expenditure of funds under this Agreement, in addition to any other information requested by the Division.
b. Quarterly reports are due to the Division no later than 15 days after the end of each
quarter of the program year and shall be sent each quarter until submission of the administrative close-
out report, The ending dates for each quarter of the program year are March 31, June 30, September 30
and December 31.
c. The close-out report is due 60 days after termination of this Agreement or 60 days
after completion of the activities contained in this Agreement, whichever first occurs.
d. If all required reports and copies are not sent to the Division or are not completed in a
manner acceptable to the Division, then the Division may withhold further payments until they are
completed or may take other action as stated in Paragraph (16) REMEDIES. "Acceptable to the
Division" means that the work product was completed in accordance with the Budget and Scope of Work.
e. The Sub -Recipient shall provide additional program updates or information that may
be required by the Division,
f. The Sub -Recipient shall provide additional reports and information identified in
Attachment F.
(13)MONITORING
a. The Sub -Recipient shall monitor its performance under this Agreement, as well as
that of its subcontractors and/or consultants who are paid from funds provided under this Agreement, to
ensure that time schedules are being met, the Schedule of Deliverables and Scope of Work are being
accomplished within the specified time periods, and other performance goals are being achieved. A
review shall be done for each function or activity in Attachment A to this Agreement, and reported in the
quarterly report,
b. In addition to reviews of audits, monitoring procedures may include, but not be limited
to, on-site visits by Division staff, limited scope audits, and/or other procedures. The Sub -Recipient
agrees to comply and cooperate with any monitoring procedures/processes deemed appropriate by the
Division. In the event that the Division determines that a limited scope audit of the Sub -Recipient is
appropriate, the Sub -Recipient agrees to comply with any additional instructions provided by the Division
to the Sub -Recipient regarding such audit, The Sub -Recipient further agrees to comply and cooperate
with any inspections, reviews, investigations or audits deemed necessary by the Florida Chief Financial
Officer or Auditor General. In addition, the Division will monitor the performance and financial
management by the Sub -Recipient throughout the contract term to ensure timely completion of all tasks.
10
(14)LIABILITY
a. Unless Sub -Recipient is a State agency or subdivision, as defined in section
768.28(2), Florida Statutes, the Sub -Recipient is solely responsible to parties it deals with in carrying out
the terms of this Agreement and, as authorized by section 768.28(19), Florida Statutes, Sub -Recipient
shall hold the Division harmless against all claims of whatever nature by third parties arising from the
work performance under this Agreement. For purposes of this Agreement, Sub -Recipient agrees that it is
not an employee or agent of the Division, but is an independent contractor.
b, As required by section 768.28(19), Florida Statutes, any Sub -Recipient which is a
state agency or subdivision, as defined in section 768.28(2), Florida Statutes, agrees to be fully
responsible for its negligent or tortious acts or omissions which result in claims or suits against the
Division, and agrees to be liable for any damages proximately caused by the acts or omissions to the
extent set forth in Section 768.28, Florida Statutes. Nothing herein is intended to serve as a waiver of
sovereign immunity by any Sub -Recipient to which sovereign immunity applies. Nothing herein shall be
construed as consent by a state agency or subdivision of the State of Florida to be sued by third parties in
any matter arising out of any contract.
(15)DEFAULT
If any of the following events occur ("Events of Default"), all obligations on the part of the
Division to make further payment of funds shall terminate and the Division has the option to exercise any
of its remedies set forth in Paragraph (16); however, the Division may make payments or partial payments
after any Events of Default without waiving the right to exercise such remedies, and without becoming
liable to make any further payment if:
a. Any warranty or representation made by the Sub -Recipient in this Agreement or any
previous agreement with the Division is or becomes false or misleading in any respect, or if the Sub -
Recipient fails to keep or perform any of the obligations, terms or covenants in this Agreement or any
previous agreement with the Division and has not cured them in timely fashion, or is unable or unwilling to
meet its obligations under this Agreement;
b. Material adverse changes occur in the financial condition of the Sub -Recipient at any
time during the term of this Agreement, and the Sub -Recipient fails to cure this adverse change within
thirty days from the date written notice is sent by the Division;
c. Any reports required by this Agreement have not been submitted to the Division or
have been submitted with incorrect, incomplete or insufficient information; or,
d. The Sub -Recipient has failed to perform and complete on time any of its obligations
under this Agreement.
(16)REMEDIES
If an Event of Default occurs, then the Division shall, after thirty calendar days written
notice to the Sub -Recipient and upon the Sub -Recipient's failure to cure within those thirty days, exercise
any one or more of the following remedies, either concurrently or consecutively:
11
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a. Terminate this Agreement, provided that the Sub -Recipient is given at least thirty
days prior written notice of the termination. The notice shall be effective when placed in the United
States, first class mail, postage prepaid, by registered or certified mail -return receipt requested, to the
address in paragraph (3) herein;
Agreement;
b. Begin an appropriate legal or equitable action to enforce performance of this
c. Withhold or suspend payment of all or any part of a request for payment;
d, Require that the Sub -Recipient refund to the Division any monies used for ineligible
purposes under the laws, rules and regulations governing the use of these funds.
e. Exercise any corrective or remedial actions, to include but not be limited to:
Request additional information from the Sub -Recipient to determine the
reasons for or the extent of non-compliance or lack of performance,
Issue a written warning to advise that more serious measures may be taken
if the situation is not corrected,
iii. Advise the Sub -Recipient to suspend, discontinue or refrain from incurring
costs for any activities in question or
iv. Require the Sub -Recipient to reimburse the Division for the amount of costs
incurred for any items determined to be ineligible;
f. Exercise any other rights or remedies which may be available under law.
Pursuing any of the above remedies will not stop the Division from pursuing any other
remedies in this Agreement or provided at law or in equity. If the Division waives any right or remedy in
this Agreement or fails to insist on strict performance by the Sub -Recipient, it will not affect, extend or
waive any other right or remedy of the Division, or affect the later exercise of the same right or remedy by
the Division for any other default by the Sub -Recipient.
(17)TERMINATION
a. The Division may terminate this Agreement for cause after thirty days written notice.
Cause can include misuse of funds, fraud, lack of compliance with applicable rules, laws and regulations,
failure to perform on time, and refusal by the Sub -Recipient to permit public access to any document,
paper, letter, or other material subject to disclosure under Chapter 119, Florida Statutes, as amended.
b. The Division may terminate this Agreement for convenience or when it determines, in
its sole discretion that continuing the Agreement would not produce beneficial results in line with the
further expenditure of funds, by providing the Sub -Recipient with thirty calendar day's prior written notice.
c. The parties may agree to terminate this Agreement for their mutual convenience
through a written amendment of this Agreement. The amendment will state the effective date of the
termination and the procedures for proper closeout of the Agreement.
d. In the event that this Agreement is terminated, the Sub -Recipient will not incur new
obligations for the terminated portion of the Agreement after the Sub -Recipient has received the
12 -�
C
notification of termination. The Sub -Recipient will cancel as many outstanding obligations as possible.
Costs incurred after receipt of the termination notice will be disallowed. The Sub -Recipient shall not be
relieved of liability to the Division because of any breach of Agreement by the Sub -Recipient. The
Division may, to the extent authorized by law, withhold payments to the Sub -Recipient for the purpose of
set-off until the exact amount of damages due the Division from the Sub -Recipient is determined.
(18)PROCUREMENT
a. The Sub -Recipient shall ensure that any procurement involving funds authorized by
the Agreement complies with all applicable federal and state laws and regulations, to include 2 C.F.R.
§§200,318 through 200.326 as well as Appendix II to 2 C.F.R. Part 200 (entitled "Contract Provisions for
Non -Federal Entity Contracts Under Federal Awards").
b. As required by 2 C.F.R. §200.318(i), the Sub -Recipient shall "maintain records
sufficient to detail the history of procurement. These records will include, but are not necessarily limited
to the following: rationale for the method of procurement, selection of contract type, contractor selection
or rejection, and the basis for the contract price."
c. As required by 2 C.F.R. §200.318(b), the Sub -Recipient shall "maintain oversight to
ensure that contractors perform in accordance with the terms, conditions, and specifications of their
contracts or purchase orders." In order to demonstrate compliance with this requirement, the Sub -
Recipient shall document, in its quarterly report to the Division, the progress of any and all subcontractors
performing work under this Agreement,
d. Except for procurements by micro -purchases pursuant to 2 C.F.R. §200.320(a) or
procurements by small purchase procedures pursuant to 2 C.F.R. §200.320(b), if the Sub -Recipient
chooses to subcontract any of the work required under this Agreement, then the Sub -Recipient shall
forward to the Division a copy of any solicitation (whether competitive or non-competitive) at least fifteen
(15) days prior to the publication or communication of the solicitation. The Division shall review the
solicitation and provide comments, if any, to the Sub -Recipient within three (3) business days. Consistent
with 2 C.F.R. §200.324, the Division will review the solicitation for compliance with the procurement
standards outlined in 2 C.F.R. §§200.318 through 200.326 as well as Appendix II to 2 C.F.R. Part 200.
Consistent with 2 C.F.R. §200,318(k), the Division will not substitute its judgment for that of the Sub -
Recipient. While the Sub -Recipient does not need the approval of the Division in order to publish a
competitive solicitation, this review may allow the Division to identify deficiencies in the vendor
requirements or in the commodity or service specifications. The Division's review and comments shall not
constitute an approval of the solicitation. Regardless of the Division's review, the Sub -Recipient remains
bound by all applicable laws, regulations, and agreement terms. If during its review the Division identifies
any deficiencies, then the Division shall communicate those deficiencies to the Sub -Recipient as quickly
as possible within the three (3) business day window outlined above. If the Sub -Recipient publishes a
competitive solicitation after receiving comments from the Division that the solicitation is deficient, then
the Division may:
13 Of
paragraph (17) above; and,
solicitation.
Terminate this Agreement in accordance with the provisions outlined in
ii. Refuse to reimburse the Sub -Recipient for any costs associated with that
e. Except for procurements by micro -purchases pursuant to 2 C.F.R. §200.320(a) or
procurements by small purchase procedures pursuant to 2 C.F.R. §200.320(b), if the Sub -Recipient
chooses to subcontract any of the work required under this Agreement, then the Sub -Recipient shall
forward to the Division a copy of any contemplated contract prior to contract execution. The Division shall
review the unexecuted contract and provide comments, if any, to the Sub -Recipient within three (3)
business days. Consistent with 2 C.F.R, §200.324, the Division will review the unexecuted contract for
compliance with the procurement standards outlined in 2 C.F.R. §§200.318 through 200.326 as well as
Appendix II to 2 C.F.R. Part 200. Consistent with 2 C.F.R. §200,318(k), the Division will not substitute its
judgment for that of the Sub -Recipient. While the Sub -Recipient does not need the approval of the
Division in order to execute a subcontract, this review may allow the Division to identify deficiencies in the
terms and conditions of the subcontract as well as deficiencies in the procurement process that led to the
subcontract, The Division's review and comments shall not constitute an approval of the subcontract.
Regardless of the Division's review, the Sub -Recipient remains bound by all applicable laws, regulations,
and agreement terms. If during its review the Division identifies any deficiencies, then the Division shall
communicate those deficiencies to the Sub -Recipient as quickly as possible within the three (3) business
day window outlined above. If the Sub -Recipient executes a subcontract after receiving a communication
from the Division that the subcontract is non-compliant, then the Division may:
paragraph (17) above; and,
subcontract.
Terminate this Agreement in accordance with the provisions outlined in
Refuse to reimburse the Sub -Recipient for any costs associated with that
f. The Sub -Recipient agrees to include in the subcontract that (i) the subcontractor is
bound by the terms of this Agreement, (ii) the subcontractor is bound by all applicable state and federal
laws and regulations, and (iii) the subcontractor shall hold the Division and Sub -Recipient harmless
against all claims of whatever nature arising out of the subcontractor's performance of work under this
Agreement, to the extent allowed and required by law.
g. As required by 2 C.F.R. §200,318(c)(1), the Sub -Recipient shall "maintain written
standards of conduct covering conflicts of interest and governing the actions of its employees engaged in
the selection, award and administration of contracts,"
h. As required by 2 C.F.R. §200.319(a), the Sub -Recipient shall conduct any
procurement under this agreement "in a manner providing full and open competition," Accordingly, the
Sub -Recipient shall not:
14
business;
companies;
contracts;
equivalent;
i. Place unreasonable requirements on firms in order for them to qualify to do
ii. Require unnecessary experience or excessive bonding;
iii, Use noncompetitive pricing practices between firms or between affiliated
iv, Execute noncompetitive contracts to consultants that are on retainer
V. Authorize, condone, or ignore organizational conflicts of interest;
vi. Specify only a brand name product without allowing vendors to offer an
vii. Specify a brand name product instead of describing the performance,
specifications, or other relevant requirements that pertain to the commodity or service solicited by the
procurement;
viii. Engage in any arbitrary action during the procurement process; or,
ix. Allow a vendor to bid on a contract if that bidder was involved with
developing or drafting the specifications, requirements, statement of work, invitation to bid, or request for
proposals.
I. "[E]xcept in those cases where applicable Federal statutes expressly mandate or
encourage" otherwise, the Sub -Recipient, as required by 2 C.F,R. §200.319(b), shall not use a
geographic preference when procuring commodities or services under this Agreement.
j. The Sub -Recipient shall conduct any procurement involving invitations to bid (Le,
sealed bids) in accordance with 2 C.F.R. §200.320(c) as well as section 287.057(1)(a), Florida Statutes.
k. The Sub -Recipient shall conduct any procurement involving requests for proposals
(i.e. competitive proposals) in accordance with 2 C.F.R. §200.320(d) as well as section 287,057(1)(b),
Florida Statutes.
I. For each subcontract, the Sub -Recipient shall provide a written statement to the
Division as to whether that subcontractor is a minority business enterprise, as defined in Section 288.703,
Florida Statutes. Additionally, the Sub -Recipient shall comply with the requirements of 2 C.F.R. §200.321
("Contracting with small and minority businesses, women's business enterprises, and labor surplus area
firms"),
(19)ATTACHMENTS
a. All attachments to this Agreement are incorporated as if set out fully.
b. In the event of any inconsistencies or conflict between the language of this
Agreement and the attachments, the language of the attachments shall control, but only to the extent of
the conflict or inconsistency.
15
c. This Agreement has the following attachments;
i. Exhibit 1 - Funding Sources
ii. Attachment A — Budget and Scope of Work
iii. Attachment B — Program Statutes and Regulations
iv. Attachment C — Statement of Assurances
V. Attachment D — Request for Advance or Reimbursement
vi. Attachment E — Justification of Advance Payment
vii. Attachment F — Quarterly Report Form
viii. Attachment G —Warranties and Representations
ix. Attachment H — Certification Regarding Debarment
X. Attachment 1— Federal Funding Accountability and Transparency Act
A. Attachment J — Mandatory Contract Provisions
(20)PAYMENTS
a. Any advance payment under this Agreement is subject to 2 C.F.R. §200.305 and, as
applicable, section 216.181(16), Florida Statutes. All advances are required to be held in an interest-
bearing account. If an advance payment is requested, the budget data on which the request is based and
a justification statement shall be included in this Agreement as Attachment E. Attachment E will specify
the amount of advance payment needed and provide an explanation of the necessity for and proposed
use of these funds. No advance shall be accepted for processing if a reimbursement has been paid prior
to the submittal of a request for advanced payment. After the initial advance, if any, payment shall be
made on a reimbursement basis as needed.
b. Invoices shall be submitted at least quarterly and shall include the supporting
documentation for all costs of the project or services. The final invoice shall be submitted within sixty (60)
days after the expiration date of the agreement. An explanation of any circumstances prohibiting the
submittal of quarterly invoices shall be submitted to the Division grant manager as part of the Sub -
Recipient's quarterly reporting as referenced in Paragraph (12) of this Agreement.
c. If the necessary funds are not available to fund this Agreement as a result of action
by the United States Congress, the federal Office of Management and Budgeting, the State Chief
Financial Officer or under subparagraph (9)b, of this Agreement, all obligations on the part of the Division
to make any further payment of funds shall terminate, and the Sub -Recipient shall submit its closeout
report within thirty days of receiving notice from the Division.
16
(21)REPAYMENTS
a. All refunds or repayments due to the Division under this Agreement are to be made
payable to the order of "Division of Emergency Management", and mailed directly to the following
address:
Division of Emergency Management
Cashier
2555 Shumard Oak Boulevard
Tallahassee FL 32399-2100
b. In accordance with Section 215.34(2), Florida Statutes, if a check or other draft is
returned to the Division for collection, Sub -Recipient shall pay the Division a service fee of $15.00 or 5%
of the face amount of the returned check or draft, whichever is greater.
(22)MANDATED CONDITIONS
a. The validity of this Agreement is subject to the truth and accuracy of all the
information, representations, and materials submitted or provided by the Sub -Recipient in this Agreement,
in any later submission or response to a Division request, or in any submission or response to fulfill the
requirements of this Agreement. All of said information, representations, and materials are incorporated
by reference, The inaccuracy of the submissions or any material changes shall, at the option of the
Division and with thirty days written notice to the Sub -Recipient, cause the termination of this Agreement
and the release of the Division from all its obligations to the Sub -Recipient.
b. This Agreement shall be construed under the laws of the State of Florida, and venue
for any actions arising out of this Agreement shall be in the Circuit Court of Leon County. If any provision
of this Agreement is in conflict with any applicable statute or rule, or is unenforceable, then the provision
shall be null and void to the extent of the conflict, and shall be severable, but shall not invalidate any other
provision of this Agreement.
c, Any power of approval or disapproval granted to the Division under the terms of this
Agreement shall survive the term of this Agreement.
d. The Sub -Recipient agrees to comply with the Americans With Disabilities Act (Public
Law 101-336, 42 U.S.C. Section 12101 et seg.), which prohibits discrimination by public and private
entities on the basis of disability in employment, public accommodations, transportation, State and local
government services, and telecommunications.
e. Those who have been placed on the convicted vendor list following a conviction for a
public entity crime or on the discriminatory vendor list may not submit a bid on a contract to provide any
goods or services to a public entity, may not submit a bid on a contract with a public entity for the
construction or repair of a public building or public work, may not submit bids on leases of real property to
a public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or
consultant under a contract with a public entity, and may not transact business with any public entity in
17
excess of $25,000.00 for a period of 36 months from the date of being placed on the convicted vendor list
or on the discriminatory vendor list.
f. Any Sub -Recipient which is not a local government or state agency, and which
receives funds under this Agreement from the federal government, certifies, to the best of its knowledge
and belief, that it and its principals:
Are not presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from covered transactions by a federal department or agency;
Have not, within a five-year period preceding this proposal been convicted of
or had a civil judgment rendered against them for fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (federal, state or local) transaction or contract under public
transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery,
bribery, falsification or destruction of records, making false statements, or receiving stolen property;
iii. Are not presently indicted or otherwise criminally or civilly charged by a
governmental entity (federal, state or local) with commission of any offenses enumerated in paragraph
(22) f. ii, of this certification; and,
iv. Have not within a five-year period preceding this Agreement had one or more
public transactions (federal, state or local) terminated for cause or default.
g. If the Sub -Recipient is unable to certify to any of the statements in this certification,
then the Sub -Recipient shall attach an explanation to this Agreement.
h. In addition, the Sub -Recipient shall send to the Division (by email or by
facsimile transmission) the completed "Certification Regarding Debarment, Suspension,
Ineligibility And Voluntary Exclusion" (Attachment H) for each intended subcontractor which Sub -
Recipient plans to fund under this Agreement. The form must be received by the Division before
the Sub -Recipient enters into a contract with any subcontractor.
I. The Division reserves the right to unilaterally cancel this Agreement if the Sub -
Recipient refuses to allow public access to all documents, papers, letters or other material subject to the
provisions of Chapter 119, Florida Statutes, which the Sub -Recipient created or received under this
Agreement.
j. If the Sub -Recipient is allowed to temporarily invest any advances of funds under this
Agreement, any interest income shall either be returned to the Division or be applied against the
Division's obligation to pay the contract amount.
k. The State of Florida will not intentionally award publicly -funded contracts to any
contractor who knowingly employs unauthorized alien workers, constituting a violation of the employment
provisions contained in 8 U.S.C. Section 1324a(e) [Section 274A(e) of the Immigration and Nationality Act
("INA")]. The Division shall consider the employment by any contractor of unauthorized aliens a violation
of Section 274A(e) of the INA. Such violation by the Sub -Recipient of the employment provisions
18
contained in Section 274A(e) of the INA shall be grounds for unilateral cancellation of this Agreement by
the Division,
I. All unmanufactured and manufactured articles, materials and supplies which are
acquired for public use under this Agreement must have been produced in the United States as required
under 41 U.S.C. 10a, unless it would not be in the public interest or unreasonable in cost.
(23)LOBBYING PROHIBITION
activities.
a. 2 C.F.R. §200,450 prohibits reimbursement for costs associated with certain lobbying
b. Section 216.347, Florida Statutes, prohibits "any disbursement of grants and aids
appropriations pursuant to a contract or grant to any person or organization unless the terms of the grant
or contract prohibit the expenditure of funds for the purpose of lobbying the Legislature, the judicial
branch, or a state agency."
c. No funds or other resources received from the Division under this Agreement maybe
used directly or indirectly to influence legislation or any other official action by the Florida Legislature or
any state agency.
d. The Sub -Recipient certifies, by its signature to this Agreement, that to the best of his
or her knowledge and belief:
No Federal appropriated funds have been paid or will be paid, by or on
behalf of the Sub -Recipient, to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of
a Member of Congress in connection with the awarding of any Federal contract, the making of any
Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan or
cooperative agreement,
ii. If any funds other than Federal appropriated funds have been paid or will be
paid to any person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan or cooperative agreement, the Sub -Recipient shall
complete and submit Standard Form -LLL, "Disclosure of Lobbying Activities."
iii. The Sub -Recipient shall require that this certification be included in the
award documents for all subawards (including subcontracts, subgrants, and contracts under grants,
loans, and cooperative agreements) and that all Sub -Recipients shall certify and disclose.
iv. This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this certification is a prerequisite
for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person
who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
19
(24)COPYRIGHT PATENT AND TRADEMARK
EXCEPT AS PROVIDED BELOW, ANY AND ALL PATENT RIGHTS ACCRUING
UNDER OR IN CONNECTION WITH THE PERFORMANCE OF THIS AGREEMENT ARE HEREBY
RESERVED TO THE STATE OF FLORIDA; AND, ANY AND ALL COPYRIGHTS ACCRUING UNDER
OR IN CONNECTION WITH THE PERFORMANCE OF THIS AGREEMENT ARE HEREBY
TRANSFERRED BY THE SUB -RECIPIENT TO THE STATE OF FLORIDA.
a. If the Sub -Recipient has a pre-existing patent or copyright, the Sub -Recipient shall
retain all rights and entitlements to that pre-existing patent or copyright unless the Agreement provides
otherwise.
b, If any discovery or invention is developed in the course of or as a result of work or
services performed under this Agreement, or in any way connected with it, the Sub -Recipient shall refer
the discovery or invention to the Division for a determination whether the State of Florida will seek patent
protection in its name. Any patent rights accruing under or in connection with the performance of this
Agreement are reserved to the State of Florida. If any books, manuals, films, or other copyrightable
material are produced, the Sub -Recipient shall notify the Division. Any copyrights accruing under or in
connection with the performance under this Agreement are transferred by the Sub -Recipient to the State
of Florida.
c. Within thirty days of execution of this Agreement, the Sub -Recipient shall disclose all
intellectual properties relating to the performance of this Agreement which he or she knows or should
know could give rise to a patent or copyright. The Sub -Recipient shall retain all rights and entitlements to
any pre-existing intellectual property which is disclosed. Failure to disclose will indicate that no such
property exists. The Division shall then, under Paragraph (24) b., have the right to all patents and
copyrights which accrue during performance of the Agreement.
d. If the Sub -Recipient qualifies as a state university under Florida law, then, pursuant
to section 1004.23, Florida Statutes, any invention conceived exclusively by the employees of the Sub -
Recipient shall become the sole property of the Sub -Recipient. In the case of joint inventions, that is
inventions made jointly by one or more employees of both parties hereto, each party shall have an equal,
undivided interest in and to such joint inventions. The Division shall retain a perpetual, irrevocable, fully -
paid, nonexclusive license, for its use and the use of its contractors of any resulting patented, copyrighted
or trademarked work products, developed solely by the Sub -Recipient, under this Agreement, for Florida
government purposes.
(25)LEGAL AUTHORIZATION
The Sub -Recipient certifies that it has the legal authority to receive the funds under this
Agreement and that its governing body has authorized the execution and acceptance of this Agreement.
The Sub -Recipient also certifies that the undersigned person has the authority to legally execute and bind
Sub -Recipient to the terms of this Agreement.
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I
(26)EQUAL OPPORTUNITY EMPLOYMENT
a. In accordance with 41 C.F.R. §60-1.4(b), the Sub -Recipient hereby agrees that it will
incorporate or cause to be incorporated into any contract for construction work, or modification thereof, as
defined in the regulations of the Secretary of Labor at 41 CFR Chapter 60, which is paid for in whole or in
part with funds obtained from the Federal Government or borrowed on the credit of the Federal
Government pursuant to a grant, contract, loan insurance, or guarantee, or undertaken pursuant to any
Federal program involving such grant, contract, loan, insurance, or guarantee, the following equal
opportunity clause:
During the performance of this contract, the contractor agrees as follows:
i. The contractor will not discriminate against any employee or
applicant for employment because of race, color, religion, sex, or
national origin. The contractor will take affirmative action to ensure that
applicants are employed, and that employees are treated during
employment without regard to their race, color, religion, sex, or national
origin. Such action shall include, but not be limited to the following:
employment, upgrading, demotion, or transfer; recruitment or recruitment
advertising; layoff or termination; rates of pay or other forms of
compensation; and selection for training, including apprenticeship. The
contractor agrees to post in conspicuous places, available to employees
and applicants for employment, notices to be provided setting forth the
provisions of this nondiscrimination clause.
ii. The contractor will, in all solicitations or advertisements for
employees placed by or on behalf of the contractor, state that all
qualified applicants will receive considerations for employment without
regard to race, color, religion, sex, or national origin.
iii. The contractor will send to each labor union or representative of
workers with which he has a collective bargaining agreement or other
contract or understanding, a notice to be provided advising the said labor
union or workers' representatives of the contractor's commitments under
this section, and shall post copies of the notice in conspicuous places
available to employees and applicants for employment.
iv. The contractor will comply with all provisions of Executive Order
11246 of September 24, 1965, and of the rules, regulations, and relevant
orders of the Secretary of Labor.
V. The contractor will furnish all information and reports required by
Executive Order 11246 of September 24, 1965, and by rules,
regulations, and orders of the Secretary of Labor, or pursuant thereto,
and will permit access to his books, records, and accounts by the
administering agency and the Secretary of Labor for purposes of
investigation to ascertain compliance with such rules, regulations, and
orders.
vi. In the event of the contractor's noncompliance with the
nondiscrimination clauses of this contract or with any of the said rules,
regulations, or orders, this contract may be canceled, terminated, or
suspended in whole or in part and the contractor may be declared
21
ineligible for further Government contracts or federally assisted
construction contracts in accordance with procedures authorized in
Executive Order 11246 of September 24, 1965, and such other sanctions
may be imposed and remedies invoked as provided in Executive Order
11246 of September 24, 1965, or by rule, regulation, or order of the
Secretary of Labor, or as otherwise provided by law,
vii. The contractor will include the portion of the sentence
immediately preceding paragraph (1) and the provisions of paragraphs
(1) through (7) in every subcontract or purchase order unless exempted
by rules, regulations, or orders of the Secretary of Labor issued pursuant
to section 204 of Executive Order 11246 of September 24, 1965, so that
such provisions will be binding upon each subcontractor or vendor. The
contractor will take such action with respect to any subcontract or
purchase order as the administering agency may direct as a means of
enforcing such provisions, including sanctions for noncompliance:
provided, however, that in the event a contractor becomes involved in, or
is threatened with, litigation with a subcontractor or vendor as a result of
such direction by the administering agency the contractor may request
the United States to enter into such litigation to protect the interests of
the United States.
b. The Sub -Recipient further agrees that it will be bound by the above equal opportunity
clause with respect to its own employment practices when it participates in federally assisted construction
work: provided, that if the applicant so participating is a State or local government, the above equal
opportunity clause is not applicable to any agency, instrumentality or subdivision of such government
which does not participate in work on or under the contract.
c. The Sub -Recipient agrees that it will assist and cooperate actively with the
administering agency and the Secretary of Labor in obtaining the compliance of contractors and
subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the
Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such
information as they may require for the supervision of such compliance, and that it will otherwise assist
the administering agency in the discharge of the agency's primary responsibility for securing compliance.
d. The Sub -Recipient further agrees that it will refrain from entering into any contract or
contract modification subject to Executive Order 11246 of September 24, 1965, with a contractor
debarred from, or who has not demonstrated eligibility for, Government contracts and federally assisted
construction contracts pursuant to the Executive order and will carry out such sanctions and penalties for
violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the
administering agency or the Secretary of Labor pursuant to Part Il, Subpart D of the Executive order. In
addition, the Sub -Recipient agrees that if it fails or refuses to comply with these undertakings, the
administering agency may take any or all of the following actions: cancel, terminate, or suspend in whole
or in part this grant (contract, loan, insurance, guarantee); refrain from extending any further assistance to
the Sub -Recipient under the program with respect to which the failure or refund occurred until satisfactory
22
E°w
assurance of future compliance has been received from such Sub -Recipient; and refer the case to the
Department of Justice for appropriate legal proceedings.
(27)COPELAND ANTI -KICKBACK ACT
The Sub -Recipient hereby agrees that, unless exempt under Federal law, it will
incorporate or cause to be incorporated into any contract for construction work, or modification thereof,
the following clause:
i. Contractor. The contractor shall comply with 18 U.S.C. § 874,
40 U.S.C. § 3145, and the requirements of 29 C.F.R. pt. 3 as may be
applicable, which are incorporated by reference into this contract.
ii. Subcontracts. The contractor or subcontractor shall insert in any
subcontracts the clause above and such other clauses as the FEMA may
by appropriate instructions require, and also a clause requiring the
subcontractors to include these clauses in any lower tier subcontracts.
The prime contractor shall be responsible for the compliance by any
subcontractor or lower tier subcontractor with all of these contract
clauses.
iii. Breach. A breach of the contract clauses above may be grounds
for termination of the contract, and for debarment as a contractor and
subcontractor as provided in 29 C.F.R. § 5.12,
(28)CONTRACT WORK HOURS AND SAFETY STANDARDS
If the Sub -Recipient, with the funds authorized by this Agreement, enters into a contract
that exceeds $100,000 and involves the employment of mechanics or laborers, then any such contract
must include a provision for compliance with 40 U.S.C. 3702 and 3704, as supplemented by Department
of Labor regulations (29 CFR Part 5). Under 40 U.S.C. 3702 of the Act, each contractor must be required
to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours.
Work in excess of the standard work week is permissible provided that the worker is compensated at a
rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours
in the work week. The requirements of 40 U.S.C. 3704 are applicable to construction work and provide
that no laborer or mechanic must be required to work in surroundings or under working conditions which
are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies
or materials or articles ordinarily available on the open market, or contracts for transportation.
(29)CLEAN AIR ACT AND THE FEDERAL WATER POLLUTION CONTROL ACT
If the Sub -Recipient, with the funds authorized by this Agreement, enters into a contract
that exceeds $150,000, then any such contract must include the following provision:
Contractor agrees to comply with all applicable standards, orders or
regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401-7671 q)
and the Federal Water Pollution Control Act as amended (33 U.S.C.
1251-1387), and will report violations to FEMA and the Regional Office of
the Environmental Protection Agency (EPA).
23
(30)SUSPENSION AND DEBARMENT
If the Sub -Recipient, with the funds authorized by this Agreement, enters into a contract,
then any such contract must include the following provisions:
i. This contract is a covered transaction for purposes of 2 C.F.R.
pt. 180 and 2 C.F.R. pt. 3000. As such the contractor is required to
verify that none of the contractor, its principals (defined at 2 C.F.R. §
180.995), or its affiliates (defined at 2 C.F.R. § 180.905) are excluded
(defined at 2 C.F.R. § 180.940) or disqualified (defined at 2 C.F.R. §
180.935).
ii. The contractor must comply with 2 C.F.R. pt. 180, subpart C and
2 C.F.R. pt, 3000, subpart C and must include a requirement to comply
with these regulations in any lower tier covered transaction it enters into.
iii. This certification is a material representation of fact relied upon
by the Division. If it is later determined that the contractor did not comply
with 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C, in
addition to remedies available to the Division, the Federal Government
may pursue available remedies, including but not limited to suspension
and/or debarment,
iv. The bidder or proposer agrees to comply with the requirements
of 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt, 3000, subpart C while this
offer is valid and throughout the period of any contract that may arise
from this offer. The bidder or proposer further agrees to include a
provision requiring such compliance in its lower tier covered transactions.
(31)BYRD ANTI -LOBBYING AMENDMENT
If the Sub -Recipient, with the funds authorized by this Agreement, enters into a contract,
then any such contract must include the following clause:
Byrd Anti -Lobbying Amendment, 31 U.S.C. § 1352 (as amended).
Contractors who apply or bid for an award of $100,000 or more shall file
the required certification. Each tier certifies to the tier above that it will
not and has not used Federal appropriated funds to pay any person or
organization for influencing or attempting to influence an officer or
employee of any agency, a member of Congress, officer or employee of
Congress, or an employee of a member of Congress in connection with
obtaining any Federal contract, grant, or any other award covered by 31
U.S.C. § 1352. Each tier shall also disclose any lobbying with non -
Federal funds that takes place in connection with obtaining any Federal
award, Such disclosures are forwarded from tier to tier up to the
recipient.
(32)CONTRACTING WITH SMALL AND MINORITY BUSINESSES WOMEN'S BUSINESS
ENTERPRISES AND LABOR SURPLUS AREA FIRMS
a. If the Sub -Recipient, with the funds authorized by this Agreement, seeks to procure
goods or services, then, in accordance with 2 C.F.R. §200.321, the Sub -Recipient shall take the following
24
affirmative steps to assure that minority businesses, women's business enterprises, and labor surplus
area firms are used whenever possible:
Placing qualified small and minority businesses and women's business
enterprises on solicitation lists;
Assuring that small and minority businesses, and women's business
enterprises are solicited whenever they are potential sources;
iii. Dividing total requirements, when economically feasible, into smaller tasks or
quantities to permit maximum participation by small and minority businesses, and women's business
enterprises;
iv. Establishing delivery schedules, where the requirement permits, which
encourage participation by small and minority businesses, and women's business enterprises;
Using the services and assistance, as appropriate, of such organizations as
the Small Business Administration and the Minority Business Development Agency of the Department of
Commerce; and
vi. Requiring the prime contractor, if subcontracts are to be let, to take the
affirmative steps listed in paragraphs i. through v. of this subparagraph.
b. The requirement outlined in subparagraph a. above, sometimes referred to as
"socioeconomic contracting," does not impose an obligation to set aside either the solicitation or award of
a contract to these types of firms. Rather, the requirement only imposes an obligation to carry out and
document the six affirmative steps identified above.
c. The "socioeconomic contracting" requirement outlines the affirmative steps that the
Sub -Recipient must take; the requirements do not preclude the Sub -Recipient from undertaking additional
steps to involve small and minority businesses and women's business enterprises.
d. The requirement to divide total requirements, when economically feasible, into
smaller tasks or quantities to permit maximum participation by small and minority businesses, and
women's business enterprises, does not authorize the Sub -Recipient to break a single project down into
smaller components in order to circumvent the micro -purchase or small purchase thresholds so as to
utilize streamlined acquisition procedures (e.g. "project splitting").
(33)ASSURANCES
Attachment C.
The Sub -Recipient shall comply with any Statement of Assurances incorporated as
25
d
IN WITNESS WHEREOF, the parties hereto have executed this Agreement.
SUB -RECIPIENT: Collier County BOCC
By:
Name and Title: William L. McDaniel, Jr. Chairman
Date:
STATE OF FLORIDA
DIVISION OF EMERGENCY MANAGEMENT
By:
Name and Title: Jared Moskowitz, Director
Date:
ATTEST Approved as to form and legality
CRYSTAL K. IQNZEL, CLERK
Assistant County Attorney
o°
99
EXHIBIT —1
THE FOLLOWING FEDERAL RESOURCES ARE AWARDED TO THE SUB -RECIPIENT UNDER THIS
AGREEMENT:
Federal Program
Federal agency: Federal Emergency Management Agency: Hazard Mitigation Grant
Catalog of Federal Domestic Assistance title and number: 97.039
Award amount: $187,500.00
THE FOLLOWING COMPLIANCE REQUIREMENTS APPLY TO THE FEDERAL RESOURCES
AWARDED UNDER THIS AGREEMENT:
• 2 CFR Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements
for Federal Awards
• The Robert T. Stafford Disaster Relief and Emergency Assistance Act, Public Law 93-288, as
amended, 42 U.S.C. 5121 et seq., and Related Authorities
• Sections 1361(A) of the National Flood Insurance Act of 1968, 42 U.S.C, 4104c, as amended by
the National Flood Insurance Reform Act of 1994, Public Law 103-325 and the Bunning-Bereuter-
Blumenauer Flood Insurance Reform Act of 2004, Public Law 108-264
• 31 CFR Part 205 Rules and Procedures for Funds Transfers
Federal Program:
Sub -Recipient is to use funding to perform the following eligible activities:
• Localized Minor Drainage Improvement
Sub -Recipient is subject to all administrative and financial requirements as set forth in this
Agreement, or will be in violation of the terms of the Agreement.
27
Attachment A
Budget and Scope of Work
STATEMENT OF PURPOSE:
The purpose of this Scope of Work is to improve drainage within the Gordon River Basin in Naples,
Collier County, Florida, funded through the Hazard Mitigation Grant Program (HMGP) DR -4337-305-R,
as approved by the Florida Division of Emergency Management (Division) and the Federal Emergency
Management Agency (FEMA).
The Sub -Recipient, Collier County BOCC, shall conduct Phase I of this project, which includes the
preliminary engineering designs and calculations, surveys, permitting, and notices. No construction
activities are approved at this time. The Sub -Recipient shall complete the Phase I work in accordance
with all applicable federal, state and local laws, regulations and codes.
PROJECT OVERVIEW:
As a Hazard Mitigation Grant Program project, the Sub -Recipient, Collier County BOCC, proposes to
improve the drainage within the Gordon River Basin located in Naples, Florida, 34105. Coordinates
(26.173296, -81.784554).
The scope is for Phase I only; which includes but is not limited to surveying, engineering, design, plans
preparation, permitting and bidding for the proposed project, for Phase 11 approval. No construction
activities for this project have been approved.
When completed, the Sub -Recipient shall provide deliverables for Phase II review of the following
proposed activities.
The Phase II proposed project shall replace the smaller existing AMIL gated water control structure
with a larger adaptive water control structure that will allow operational flexibility to adjust the flow of
water affecting the entire Basin. This is necessary to help mitigate the flooding of neighborhood
communities and protect the residents from suffering further loss through flood damages like those
they have experienced in the past.
The project shall be designed to provide protection against a 50 -year storm event. Activities shall be
completed in strict compliance with Federal, State and Local applicable Rules and Regulations.
TASKS & DELIVERABLES:
A) Tasks:
1) The Sub -Recipient shall procure the services of a qualified and licensed Florida contractor and
execute a contract with the selected bidder to complete the Phase I scope of work as approved by
the Division and FEMA. The Sub -Recipient shall select the qualified, licensed Florida contractor in
accordance with the Sub -Recipient's procurement policy as well as all federal and state laws and
regulations.
All procurement activities shall contain sufficient source documentation and be in accordance with
all applicable regulations.
The Sub -Recipient and contractor shall be responsible for maintaining a safe and secure worksite
for the duration of the work. The contractor shall maintain all areas in a neat and presentable
condition,
The Sub -Recipient shall ensure that no contractors or subcontractors are debarred or suspended
from participating in federally funded projects.
28
The selected contractor shall have a current and valid occupational license/business tax receipt
issued for the type of services being performed. The Sub -Recipient shall provide documentation
demonstrating the results of the procurement process. This shall include a rationale for the method
of procurement and selection of contract type, contractor selection and/or rejection and bid tabulation
and listing, and the basis of contract price.
The Sub -Recipient shall provide an executed "Debarment, Suspension, Ineligibility, Voluntary
Exclusion Form" for each contractor and/or subcontractor performing services under this agreement,
Executed contracts with contractors and/or subcontractors shall be provided to the Division by the
Sub -Recipient.
The Sub -Recipient shall provide copies of professional licenses for contractors selected to perform
services. The Sub -Recipient shall provide a copy of a current and valid occupational license or
business tax receipt issued for the type of services to be performed by the selected contractor.
2) The Sub -Recipient shall monitor and manage the Phase I portion of this project in accordance with
the Hazard Mitigation Grant Program application and supporting documentation as submitted to the
Division and subsequently approved by the Division and FEMA. The Division and FEMA shall render
a Phase II determination upon completion of the review of Phase I deliverables. No construction
activities are approved at this time. The Sub -Recipient shall ensure that all applicable state, local
and federal laws and regulations are followed and documented, as appropriate.
Phase I consists of fees; for conducting survey, drainage study, engineering, design, public notices,
and/or permitting associated with the modification(s) needed to upgrade the drainage. Verification
of upstream and downstream impacts shall be necessary for determining project eligibility.
All Phase I work shall be completed in accordance with all applicable state, local and federal laws
and regulations and documented, as appropriate.
Upon completion of Task 2, the Sub -Recipient shall submit the following documents with sufficient
supporting documentation, and provide a summary of all scope of work changes, if any.
a) Two sets of engineering Signed/Sealed final design and analysis, surveying, and Hydrologic and
Hydraulic (H&H) Studies.
b) Construction Plans and bid documents.
c) Revised cost estimate for Phase II — construction (include Phase I costs), to implement the
design project.
d) Design documents shall provide a detailed description which includes specifics on project
scope of work, depth and extent of ground disturbance at all construction locations of the
project.
e) Color maps including topographical, aerial, and ground disturbance.
f) Color photographs of the project area and areas of ground disturbance.
g) Copy of all environmental permits or applications; any obtained from the Florida Department of
Environmental Protection (FDEP), and/or local Water Management District (WMD) shall be
required. Any conditions for compliance shall be included in the final design plans, narrative
and project implementation actions.
h) Copy of the United States Army Corps of Engineers (USACE) permit or No Permit Required
notification.
i) Any other documentation requested by the Division, not limited to Project Conditions and
Requirements herein,
3) During the course of this agreement the Sub -Recipient shall submit requests for reimbursement.
Adequate and complete source documentation shall be submitted to support all costs (federal share
and local share) related to the project. In some cases, all project activities may not be fully complete
29
prior to requesting reimbursement of costs incurred in completion of this scope of work; however, a
partial reimbursement may be requested,
The Sub -Recipient shall submit an Affidavit signed by the Sub -Recipient's project personnel with
each reimbursement request attesting to the completion of the work, that disbursements or payments
were made in accordance with all agreement and regulatory conditions, and that reimbursement is
due and has not been previously requested.
The Sub -Recipient shall maintain accurate time records. The Sub -Recipient shall ensure invoices
are accurate and any contracted services were rendered within the terms and timelines of this
agreement. All supporting documentation shall agree with the requested billing period, All costs
submitted for reimbursement shall contain adequate source documentation which may include but
not be limited to: cancelled checks, bank statements, Electronic Funds Transfer, paid bills and
invoices, payrolls, time and attendance records, contract and subcontract award documents.
Direct Expenses: The Sub -Recipient shall pre -audit bills, invoices, and/or charges submitted by the
contractors and subcontractors and pay the contractors and subcontractors for approved bills,
invoices, and/or charges. Sub -Recipient shall ensure that all contractor/subcontractor bills, invoices,
and/or charges are legitimate and clearly identify the activities being performed and associated costs.
Project Management Expenses: The Sub -Recipient shall pre -audit source documentation such as
payroll records, project time sheets, attendance logs, etc. Documentation shall be detailed
information describing tasks performed, hours devoted to each task, and the hourly rate charged for
each hour including enough information to calculate the hourly rates based on payroll records.
Employee benefits shall be clearly shown.
The Division shall review all submitted requests for reimbursement for basic accuracy of information.
Further, the Division shall ensure that no unauthorized work was completed prior to the approved
project start date by verifying vendor and contractor invoices. The Division shall verify that reported
costs were incurred in the performance of eligible work, that the approved work was completed, and
that the mitigation measures are in compliance with the approved scope of work prior to processing
any requests for reimbursement.
Review and approval of any third party in-kind services, if applicable, shall be conducted by the
Division in coordination with the Sub -Recipient.
Quarterly reports shall be submitted by the Sub -Recipient and received by the Division at the times
provided in this agreement prior to the processing of any reimbursement.
The Sub -Recipient shall submit to the Division requests for reimbursement of actual Phase I costs
related to the project as identified in the project application and this scope of work. The Requests
for Reimbursement (RFR) shall include:
a) Contractor, subcontractor, and/or vendor invoices which clearly display dates of services
performed, description of services performed, location of services performed, cost of services
performed, name of service provider and any other pertinent information;
b) Proof of payment from the Sub -Recipient to the contractor, subcontractor, and/or vendor for
invoiced services;
c) Clear identification of amount of costs being requested for reimbursement as well as costs being
applied against the local match amount.
The Sub -Recipient's Request for Reimbursement shall include the final Phase I project cost.
Supporting documentation shall show that all contractors and subcontractors have been paid.
30
v��
B) Deliverables:
Mitigation Activities consist of Phase I activities, which include engineering, designing, plans
preparation, permitting and bidding for the proposed project, for Phase 11 approval, and to implement
measures to improve the drainage within the Gordon River Basin located in Naples, Florida, 34105.
The designed project shall provide protection against a 50 -year storm event.
Provided the Sub -Recipient performs in accordance with the Scope of Work outlined in this
Agreement, the Division shall reimburse the Sub -Recipient based on the percentage of overall
project completion.
PROJECT CONDITIONS AND REQUIREMENTS:
C) Engineering:
1) The Sub -Recipient shall submit signed and sealed Engineering plans that clearly show the engineer's
estimate of the pre and post -mitigation effects of the proposed project and the relationship of the
damages to be mitigated (commensurate with the level of funding requested). The H&H study shall
contain at least 3 scenarios, where one represents the level of protection; under each scenario, the
Sub -Recipient must identify the losses before and after mitigation (structural, content, displacement,
road closure duration, or any other needed to show the improvements after the mitigation project is
implemented). This includes, but is not limited to, the existing and proposed hydrology and hydraulics
for the level of event being mitigated.
2) Demonstrate mitigation effectiveness, in part, by showing the physical location(s) and elevation(s) of
the infrastructure/structures that are being damaged and FEMA Special Flood Hazard Areas on the
same plan.
3) Submit a refined cost estimate, to include final Phase I Fees and Phase 11 Construction Materials
and Labor.
D) Environmental:
1) Any change to the approved scope of work shall require re-evaluation for compliance with NEPA and
other Laws and Executive Orders.
2) Acceptance of federal funding requires the Sub -Recipient to comply with all federal, state, and local
laws. Failure to obtain all appropriate federal, state, and local environmental permits and clearances
may jeopardize federal funding.
3) Meet all required Environmental laws and policies, and all necessary Environmental compliance
documents shall be obtained as applicable.
a) United States Army Corps of Engineers (USACE): Consultation with the USACE is required. A
permit or No Permit Required shall be submitted.
b) Copy of all environmental permits or applications; any obtained from the Florida Department of
Environmental Protection (FDEP), and/or local Water Management District (WMD) shall be
submitted. Any conditions for compliance shall be included in the final design plans, narrative,
and project implementation actions.
4) Historical Preservation compliance documents shall be obtained. Review documentation required:
a) Color maps including topographical and aerial with the project location clearly marked.
b) Color photographs of any area with ground disturbance (electronic).
c) Indicate if project site is located within a designated historic district or historic neighborhood.
5) Tribal Consultation shall be required for proposed ground disturbing activities. The following
documents shall be required and submitted as part of deliverables:
31
a) Color ground disturbance maps showing the full extent of the project footprint and depth of
ground disturbance. Geographic latitude/longitude (decimal degree format) of the proposed
construction areas and staging areas.
b) Previous and current use of proposed project area.
c) Any known site work or historic uses for the proposed location.
d) Any available studies that may have taken place on the property.
6) Phase I of this project is approved with the condition that the above list of deliverables shall be
submitted for review and approval by the Division and FEMA before Phase II is considered.
7) No construction work may begin until Phase 11 is approved by the Division and FEMA.
E) Programmatic:
1) A change in the scope of work must be approved by the Division and FEMA in advance regardless
of the budget implications.
2) The Sub -Recipient must notify the Division as soon as significant developments become known,
such as delays or adverse conditions that might raise costs or delay completion, or favorable
conditions allowing lower costs or earlier completion.
3) The Sub -Recipient must "obtain prior written approval for any budget revision which would result in
a need for additional funds" [44 CFR 13(c)], from the Division and FEMA.
4) Phase I — Design of this project is approved with the condition that the enclosed list of deliverables
shall be submitted, 30 days prior to the Period of Performance date, for review and approval by the
Division, for submittal to FEMA before Phase II — Construction is considered.
5) A Public Notice shall be published to notify interested parties of the proposed activity. Notices shall
be published in a manner that anyone that may be affected or interested in this project has access
to the posting, using the Division template, as applicable.
6) Any extension of the Period of Performance shall be submitted to FEMA 60 days prior to the
expiration date. Therefore, any request for a Period of Performance Extension shall be in writing
and submitted, along with substantiation of new expiration date and a new schedule of work, to the
Division a minimum of seventy (70) days prior to the expiration date, for Division processing to FEMA.
7) A copy of the executed subcontract agreement must be forwarded to the Division within 10 days of
execution.
8) When Phase I is completed, the Sub -Recipient must provide 100% completed designs, calculations,
a full set of signed and sealed plans and, permits for a Phase II review. A final BCA using developed
technical data and study results will take place. The data inputs to the final BCA for Phase II
approval, must be based on the inputs and outputs of a hazard related study such as erosion,
Hydraulic & Hydrologic study, damage calculations, road closures, etc. No assumptions or historical
damage will be acceptable for final BCA of Phase II approval. No construction activities for this
project have been approved.
9) The Sub -Recipient must avoid duplication of benefits between the HMGP and any other form of
assistance, as required by Section 312 of the Stafford Act, and further clarification in 44 CFR
206.191.
This is FEMA project number 4337-305-R. It is funded under HMGP, FEMA -Irma -DR -FL and must
adhere to all program guidelines established for the HMGP in accordance with the PAS Operational
Agreement for Disaster 4337.
FEMA awarded this project on September 27, 2019; this Agreement shall begin upon execution by both
parties, and the Period of Performance for this project shall end on November 30, 2020.
32
:x
F) FINANCIAL CONSEQUENCES:
If the Sub -Recipient fails to comply with any term of the award, the Division shall take one or more of the
following actions, as appropriate in the circumstances:
1) Temporarily withhold cash payments pending correction of the deficiency by the Sub -Recipient;
2) Disallow all or part of the cost of the activity or action not in compliance;
3) Wholly or partly suspend or terminate the current award for the Sub -Recipient's program;
4) Withhold further awards for the program; or
5) Take other remedies that may be legally available.
Schedule of Work
Phase I —
State & Local Contracting:
2
Months
H & H Study:
3
Months
Engineering Design Specifications:
4
Months
Permitting / Survey:
2
Months
Deliverables Submitted for Phase II Review:
1
Month
Total Period of Performance:
12
Months
BUDGET
Line Item Budget*
Project Cost Federal Share Non -Federal Share
Materials: $0.00 $0.00 $0.00
Labor: $0.00 $0.00 $0.00
Fees: $250,000.00 $187,500.00 $62,500.00
Initial Agreement Amount: $250,000.00 $187,500.00 $62,500.00
***Contingency Funds: $0.00 $0.00 $0.00
Project Total: $250,000.00 $187,500.00 $62,500.00
*Any line item amount in this Budget may be increased or decreased 10% or less, with the Division's
approval, without an amendment to this Agreement being required, so long as the overall amount of the
funds obligated under this Agreement is not increased.
*** This project has an estimated $0.00 in contingency funds. Per FEMA Hazard Mitigation
Assistance Guidance Part Vl, D. 3.4 — Contingency funds are not automatically available for use. Prior
to their release, contingency funds must be re -budgeted to another direct cost category and identified.
Post -award changes to the budget require prior written approval from the Division (FDEM). The written
request should demonstrate what unforeseen condition related to the project arose that required the use
of contingency funds.
Project Management costs are included for this project in the amount of $0.00
33
Funding Summary
Federal Share:
Non -Federal Share:
$187,500.00 (75%)
$62,500.00 (25%)
Total Project Cost: $250,000.00 (100.00°/x)
34
Attachment B
Program Statutes and Regulations
The parties to this Agreement and the Hazard Mitigation Grant Program (HMGP) are generally
governed by the following statutes and regulations:
(1) The Robert T. Stafford Disaster Relief and Emergency Assistance Act;
(2) 44 CFR Parts 7, 9, 10, 13, 14, 17, 18, 25, 206, 220, and 221, and any other applicable
FEMA policy memoranda and guidance documents;
(3) State of Florida Administrative Plan for the Hazard Mitigation Grant Program;
(4) Hazard Mitigation Assistance Guidance- February 27, 2015 Update; and
(5) All applicable laws and regulations delineated in Attachment C of this Agreement.
In addition to the above statutes and regulations, the Sub -recipient must comply with the
following:
The Sub -recipient shall fully perform the approved hazard mitigation project, as described in the
Application and Attachment A (Budget and Scope of Work) attached to this Agreement, in accordance
with approved scope of work indicated therein, the estimate of costs indicated therein, the allocation of
funds indicated therein, and the terms and conditions of this Agreement. The Sub -recipient shall not
deviate from the approved project and the terms and conditions of this Agreement. The Sub -recipient
shall comply with any and all applicable codes and standards in performing work funded under this
Agreement, and shall provide any appropriate maintenance and security for the project.
Any development permit issued by, or development activity undertaken by, the Sub -recipient and
any land use permitted by or engaged in by the Sub -recipient, shall be consistent with the local
comprehensive plan and land development regulations prepared and adopted pursuant to Chapter 163,
Part II, Florida Statutes. Funds shall be expended for, and development activities and land uses
authorized for, only those uses which are permitted under the comprehensive plan and land development
regulations. The Sub -recipient shall be responsible for ensuring that any development permit issued and
any development activity or land use undertaken is, where applicable, also authorized by the Water
Management District, the Florida Department of Environmental Protection, the Florida Department of
Health, the Florida Game and Fish Commission, and any Federal, State, or local environmental or land
use permitting authority, where required. The Sub -recipient agrees that any repair or construction shall
be in accordance with applicable standards of safety, decency, and sanitation, and in conformity with
applicable codes, specifications and standards.
The Sub -recipient will provide and maintain competent and adequate engineering supervision at
the construction site to ensure that the completed work conforms with the approved plans and
specifications and will furnish progress reports and such other information to HMGP as may be required.
If the hazard mitigation project described in Attachment A includes an acquisition or relocation
project, then the Sub -recipient shall ensure that, as a condition of funding under this Agreement, the
owner of the affected real property shall record in the public records of the county where it is located the
following covenants and restrictions, which shall run with and apply to any property acquired, accepted, or
from which a structure will be removed pursuant to the project.
(1) The property will be dedicated and maintained in perpetuity for a use that is compatible
with open space, recreational, or wetlands management practices;
35
(2) No new structure will be erected on property other than:
a. a public facility that is open on all sides and functionally related to a designed open
space;
b. a restroom; or
(3) A structure that the Director of the Federal Emergency Management Agency approves in
writing before the commencement of the construction of the structure;
(4) After the date of the acquisition or relocation no application for disaster assistance for any
purpose will be made to any Federal entity and no disaster assistance will be provided for
the property by any Federal source; and
(5) If any of these covenants and restrictions is violated by the owner or by some third party
with the knowledge of the owner, fee simple title to the Property described herein shall be
conveyed to the Board of Trustees of the Internal Improvement Trust Fund of the State of
Florida without further notice to the owner, its successors and assigns, and the owner, its
successors and assigns shall forfeit all right, title and interest in and to the property.
HMGP Contract Manager will evaluate requests for cost overruns and submit to the regional
Director written determination of cost overrun eligibility. Cost overruns shall meet Federal regulations set
forth in 44 CFR 206.438(b),
The National Environmental Policy Act (NEPA) stipulates that additions or amendments to a
HMGP Sub -Recipient Scope of Work (SOW) shall be reviewed by all State and Federal agencies
participating in the NEPA process.
As a reminder, the Sub -recipient must obtain prior approval from the State, before implementing
changes to the approved project Scope of Work (SOW). Per the Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments:
(1) For Construction projects, the grantee must "obtain prior written approval for any budget
revision which result in a need for additional funds" (44 CFR 13(c));
(2) A change in the Scope of Work must be approved by FEMA in advance regardless of the
budget implications; and
(3) The Sub -recipient must notify the State as soon as significant developments become
known, such as delays or adverse conditions that might raise costs or delay completion,
or favorable conditions allowing lower cost or earlier completion. Any extensions of the
period of performance must be submitted to FEMA sixty days prior to the project
expiration date.
The Sub -recipient assures that it will comply with the following statutes and regulations to the
extent applicable:
(1) 53 Federal Register 8034
(2) Federal Acquisition Regulations 31.2
(3) Section 1352, Title 31, US Code
(4) Chapter 473, Florida Statutes
(5) Chapter 215, Florida Statutes
(6) Section 768.28, Florida Statutes
(7) Chapter 119, Florida Statutes
(8) Section 216.181(6), Florida Statutes
(9) Cash Management Improvement Act of 1990
(10) American with Disabilities Act
(11) Section 112.061, Florida Statutes
(12) Immigration and Nationality Act
(13) Section 286.011, Florida Statutes
CR
(14) 2 CFR, Part 200 — Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards
(15) Uniform Relocation Assistance and Real Property Acquisitions Act of 1970
(16) Title I of the Omnibus Crime Control and Safe Streets Act of 1968
(17) Juvenile Justice and Delinquency Prevention Act, or the Victims of Crime Act
(18) Omnibus Crime Control and Safe Streets Act of 1968, as amended
(19) Victims of Crime Act (as appropriate)
(20) Section 504 of the Rehabilitation Act of 1973, as amended
(21) Subtitle A, Title II of the Americans with Disabilities Act (ADA) (1990)
(22) Department of Justice regulations on disability discrimination, 28 CFR, Part 35 and
Part 39
(23) 42 U.S,C.5154a
37
fr..
Attachment C
Statement of Assurances
To the extent the following provisions apply to this Agreement, the Sub -recipient certifies that:
(a) It possesses legal authority to enter into this Agreement and to carry out the proposed program;
(b) Its governing body has duly adopted or passed as an official act of resolution, motion or similar
action authorizing the execution of the hazard mitigation agreement with the Division of
Emergency Management (DEM), including all understandings and assurances contained in it,
and directing and authorizing the Sub -recipient's chief administrative officer or designee to act in
connection with the application and to provide such additional information as may be required;
(c) No member of or delegate to the Congress of the United States, and no Resident Commissioner,
shall receive any share or part of this Agreement or any benefit. No member, officer, or
employee of the Sub -recipient or its designees or agents, no member of the governing body of
the locality in which this program is situated, and no other public official of the locality or localities
who exercises any functions or responsibilities with respect to the program during his tenure or
for one year after, shall have any interest, direct or indirect, in any contract or subcontract, or the
proceeds, for work be performed in connection with the program assisted under this Agreement.
The Sub -recipient shall incorporate, in all contracts or subcontracts a provision prohibiting any
interest pursuant to the purpose stated above;
(d) All Sub -recipient contracts for which the State Legislature is in any part a funding source, shall
contain language to provide for termination with reasonable costs to be paid by the Sub -recipient
for eligible contract work completed prior to the date the notice of suspension of funding was
received by the Sub -recipient. Any cost incurred after a notice of suspension or termination is
received by the Sub -recipient may not be funded with funds provided under this Agreement
unless previously approved in writing by the Division. All Sub -recipient contracts shall contain
provisions for termination for cause or convenience and shall provide for the method of payment
in such event;
(e) It will comply with:
(1) Contract Work Hours and Safety Standards Act of 1962, 40 U.S.C. 327 et seq., requiring
that mechanics and laborers (including watchmen and guards) employed on federally
assisted contracts be paid wages of not less than one and one-half times their basic
wage rates for all hours worked in excess of forty hours in a work week; and
(2) Federal Fair Labor Standards Act, 29 U.S.C. Section 201 et seq,, requiring that covered
employees be paid at least minimum prescribed wage, and also that they be paid one
and one-half times their basic wage rates for all hours worked in excess of the prescribed
work -week.
(f) It will comply with
(1) Title VI of the Civil Rights Act of 1964 (P.L. 88-352), and the regulations issued pursuant
thereto, which provides that no person in the United States shall on the grounds of race,
color, or national origin, be excluded from participation in, be denied the benefits of, or be
otherwise subjected to discrimination under any program or activity for which the Sub -
recipient received Federal financial assistance and will immediately take any measures
necessary to effectuate this assurance. If any real property or structure thereon is
provided or improved with the aid of Federal financial assistance extended to the Sub -
recipient, this assurance shall obligate the Sub -recipient, or in the case of any transfer of
such property, any transferee, for the period during which the real property or structure is
38
used for a purpose for which the Federal financial assistance is extended, or for another
purpose involving the provision of similar services or benefits;
(2) Any prohibition against discrimination on the basis of age under the Age Discrimination
Act of 1975, as amended (42 U.S.C. 6101-6107) which prohibits discrimination on the
basis of age or with respect to otherwise qualifies handicapped individuals as provided in
Section 504 of the Rehabilitation Act of 1973;
(3) Executive Order 11246, as amended by Executive Orders 11375 and 12086, and the
regulations issued pursuant thereto, which provide that no person shall be discriminated
against on the basis of race, color, religion, sex or national origin in all phases of
employment during the performance of federal or federally assisted construction
contracts; affirmative action to insure fair treatment in employment, upgrading, demotion,
or transfer; recruitment or recruitment advertising; layoff/termination, rates of pay or other
forms of compensation; and election for training and apprenticeship;
(g) It will establish safeguards to prohibit employees from using positions for a purpose that is or
gives the appearance of being motivated by a desire for private gain for themselves or others,
particularly those with whom they have family, business, or other ties pursuant to Section 112.313
and Section 112.3135, Florida Statutes;
(h) It will comply with the Anti -Kickback Act of 1986, 41 U,S.C. Section 51 which outlaws and
prescribes penalties for "kickbacks" of wages in federally financed or assisted construction
activities;
(i) It will comply with the provisions of 18 U.S.C. 594, 598, 600-605 (further known as the Hatch Act)
which limits the political activities of employees;
(j) It will comply with the flood insurance purchase and other requirements of the Flood Disaster
Protection Act of 1973, as amended, 42 U.S.C. 4002-4107, including requirements regarding the
purchase of flood insurance in communities where such insurance is available as a condition for
the receipt of any Federal financial assistance for construction or acquisition purposes for use in
any area having special flood hazards. The phrase "Federal financial assistance" includes any
form of loan, grant, guaranty, insurance payment, rebate, subsidy, disaster assistance loan or
grant, or any other form of direct or indirect Federal assistance;
For sites located within Special Flood Hazard Areas (SFHA), the Sub -recipient must include a
FEMA Model Acknowledgement of Conditions of Mitigation of Property in a Special Flood Hazard
Area with FEMA Grant Funds executed by the title holder with the closeout request verifying that
certain SFHA requirements were satisfied on each of the properties. The Model
Acknowledgement can be found at www.fema.gov/governmenta/grant/sfha_conditions.shtm
(k) It will require every building or facility (other than a privately owned residential structure)
designed, constructed, or altered with funds provided under this Agreement to comply with the
"Uniform Federal Accessibility Standards," (AS) which is Appendix A to 41 CFR Section 101-19.6
for general type buildings and Appendix A to 24 CFR, Part 40 for residential structures. The Sub -
recipient will be responsible for conducting inspections to ensure compliance with these
specifications by the contractor;
(1) It will, in connection with its performance of environmental assessments under the National
Environmental Policy Act of 1969, comply with Section 106 of the National Historic Preservation
Act of 1966 (U.S.C. 470), Executive Order 11593, 24 CFR, Part 800, and the Preservation of
Archaeological and Historical Data Act of 1966 (16 U.S.C. 469a-1, et seq.) by:
(1) Consulting with the State Historic Preservation Office to identify properties listed in or
eligible for inclusion in the National Register of Historic Places that are subject to adverse
effects (see 36 CFR, Section 800.8) by the proposed activity; and
39
(2) Complying with all requirements established by the State to avoid or mitigate adverse
effects upon such properties.
(3) Abiding by the terms and conditions of the "Programmatic Agreement Among the
Federal Emergency Management Agency, the Florida State Historic Preservation
Office, the Florida Division of Emergency Management and the Advisory Council
on Historic Preservation, (PA)" which addresses roles and responsibilities of Federal
and State entities in implementing Section 106 of the National Historic Preservation Act
(NHPA), 16 U.S.C. 470(f), and implementing regulations in 36 CFR, Part 800.
(4) When any of the Sub -recipient's projects funded under this Agreement may affect a
historic property, as defined in 36 CFR, Part 800 (2)(e), the Federal Emergency
Management Agency (FEMA) may require the Sub -recipient to review the eligible scope
of work in consultation with the State Historic Preservation Office (SHPO) and suggest
methods of repair or construction that will conform with the recommended approaches
set out in the Secretary of Interior's Standards for Rehabilitation and Guidelines for
Rehabilitating Historic Buildings 1992 (Standards), the Secretary of the Interior's
Guidelines for Archeological Documentation (Guidelines) (48 Federal Register
44734-37), or any other applicable Secretary of Interior standards. If FEMA determines
that the eligible scope of work will not conform with the Standards, the Sub -recipient
agrees to participate in consultations to develop, and after execution by all parties, to
abide by, a written agreement that establishes mitigation and recondition measures,
including but not limited to, impacts to archeological sites, and the salvage, storage, and
reuse of any significant architectural features that may otherwise be demolished.
(5) The Sub -recipient agrees to notify FEMA and the Division if any project funded under this
Agreement will involve ground disturbing activities, including, but not limited to:
subsurface disturbance; removal of trees; excavation of footings and foundations, and
installation of utilities (such as water, sewer, storm drains, electrical, gas, leach lines and
septic tanks) except where these activities are restricted solely to areas previously
disturbed by the installation, replacement or maintenance of such utilities. FEMA will
request the SHPO's opinion on the potential that archeological properties may be present
and be affected by such activities. The SHPO will advise the Sub -recipient on any
feasible steps to be accomplished to avoid any National Register eligible archeological
property or will make recommendations for the development of a treatment plan for the
recovery or archeological data from the property.
If the Sub -recipient is unable to avoid the archeological property, develop, in consultation
with SHPO, a treatment plan consistent with the Guidelines and take into account the
Advisory Council on Historic Preservation (Council) publication "Treatment of
Archeological Properties". The Sub -recipient shall forward information regarding the
treatment plan to FEMA, the SHPO and the Council for review. If the SHPO and the
Council do not object within 15 calendar days of receipt of the treatment plan, FEMA may
direct the Sub -recipient to implement the treatment plan. If either the Council or the
SHPO object, Sub -recipient shall not proceed with the project until the objection is
resolved,
(6) The Sub -recipient shall notify the Division and FEMA as soon as practicable: (a) of any
changes in the approved scope of work for a National Register eligible or listed property;
(b) of all changes to a project that may result in a supplemental DSR or modify a HMGP
project for a National Register eligible or listed property; (c) if it appears that a project
funded under this Agreement will affect a previously unidentified property that may be
eligible for inclusion in the National Register or affect a known historic property in an
unanticipated manner. The Sub -recipient acknowledges that FEMA may require the Sub -
recipient to stop construction in the vicinity of the discovery of a previously unidentified
property that may eligible for inclusion in the National Register or upon learning that
construction may affect a known historic property in an unanticipated manner. The Sub -
recipient further acknowledges that FEMA may require the Sub -recipient to take all
40
reasonable measures to avoid or minimize harm to such property until FEMA concludes
consultation with the SHPO. The Sub -recipient also acknowledges that FEMA will
require, and the Sub -recipient shall comply with, modifications to the project scope of
work necessary to implement recommendations to address the project and the property.
(7) The Sub -recipient acknowledges that, unless FEMA specifically stipulates otherwise, it
shall not receive funding for projects when, with intent to avoid the requirements of the
PA or the NHPA, the Sub -recipient intentionally and significantly adversely affects a
historic property, or having the legal power to prevent it, allowed such significant adverse
effect to occur.
(m) It will comply with 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;
(n) It will comply with the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970, (42 U.S.C. 4521-45-94) relating to nondiscrimination on the basis of
alcohol abuse or alcoholism;
(o) It will comply with 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;
(p) It will comply with Lead -Based Paint Poison Prevention Act (42 U.S.C. 4821 et seq.) which
prohibits the use of lead based paint in construction of rehabilitation or residential structures;
(q) It will comply with the Energy Policy and Conservation Act (P.L. 94-163; 42 U.S.C. 6201-6422),
and the provisions of the State Energy Conservation Plan adopted pursuant thereto;
(r) It will comply with the Laboratory Animal Welfare Act of 1966, (7 U.S.C. 2131-2159), pertaining to
the care, handling, and treatment of warm blooded animals held for research, teaching, or other
activities supported by an award of assistance under this Agreement;
(s) It will comply with Title VIII of the Civil Rights Act of 1968, (42 U,S.0 2000c and 42 U.S.C. 3601-
3619), as amended, relating to non-discrimination in the sale, rental, or financing of housing, and
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;
(t) It will comply with the Clean Air Act of 1955, as amended, 42 U.S.C. 7401-7642;
(u) It will comply with the Clean Water Act of 1977, as amended, 42 U.S.C. 7419-7626
(v) It will comply with the endangered Species Act of 1973, 16 U.S.C. 1531-1544;
(w) It will comply with the Intergovernmental Personnel Act of 1970, 42 U.S.C. 4728-4763;
(x) It will assist the awarding agency in assuring compliance with the National Historic Preservation
Act of 1966, as amended, 16 U.S.C. 270;
(y) It will comply with environmental standards which may be prescribed pursuant to the National
Environmental Policy Act of 1969, 42 U.S.C. 4321-4347;
(z) It will assist the awarding agency in assuring compliance with the Preservation of Archeological
and Historical Preservation Act of 1966, 16 U.S.C. 469a, et seq.;
(aa) It will comply with the Rehabilitation Act of 1973, Section 504, 29 U.S.C. 794, regarding non-
discrimination;
41
(bb) It will comply with the environmental standards which may be prescribed pursuant to the Safe
Drinking Water Act of 1974, 42 U.S.C. 300f -300j, regarding the protection of underground water
sources;
(cc) It will comply with the requirements of Titles II and III of the Uniform Relocation Assistance and
Property Acquisition Policies Act of 1970, 42 U.S.C. 4621-4638, which provide for fair and
equitable treatment of persons displaced or whose property is acquired as a result of Federal or
Federally assisted programs;
(dd) It will comply with the Wild and Scenic Rivers Act of 1968, 16 U.S.C. 1271-1287, related to
protecting components or potential components of the national wild and scenic rivers system;
(ee) It will comply with the following Executive Orders: EO 11514 (NEPA); EO 11738 (violating
facilities); EO 11988 (Floodplain Management); EO 11990 (Wetlands); and EO 12898
(Environmental Justice);
(ff) It will comply with the Coastal Barrier Resources Act of 1977, 16 U.S.C. 3510;
(gg) It will assure project consistency with the approved State program developed under the Coastal
Zone Management Act of 1972, 16 U.S.C. 1451-1464; and
(hh) It will comply with the Fish and Wildlife Coordination Act of 1958, 16 U.S.C. 661-666.
(ii) With respect to demolition activities, it will:
(1) Create and make available documentation sufficient to demonstrate that the Sub -
recipient and its demolition contractor have sufficient manpower and equipment to
comply with the obligations as outlined in this Agreement.
(2) Return the property to its natural state as though no improvements had ever been
contained thereon.
(3) Furnish documentation of all qualified personnel, licenses and all equipment necessary to
inspect buildings located in the Sub -recipient's jurisdiction to detect the presence of
asbestos and lead in accordance with requirements of the U.S. Environmental Protection
Agency, the Florida Department of Environmental Protection and the County Health
Department.
(4) Provide documentation of the inspection results for each structure to indicate:
a. Safety Hazard Present
b. Health Hazards Present
c. Hazardous Materials Present
(5) Provide supervision over contractors or employees employed by the Sub -recipient to
remove asbestos and lead from demolished or otherwise applicable structures.
(6) Leave the demolished site clean, level and free of debris.
(7) Notify the Division promptly of any unusual existing condition which hampers the
contractor's work.
(8) Obtain all required permits.
(9) Provide addresses and marked maps for each site where water wells and septic tanks
are to be closed along with the number of wells and septic tanks located on each site,
Provide documentation of closures.
(10) Comply with mandatory standards and policies relating to energy efficiency which are
contained in the State Energy Conservation Plan issued in compliance with the Energy
Policy and Conservation Act (Public Law 94-163).
42
(11) Comply with all applicable standards, orders, or requirements issued under Section 112
and 306 of the Clean Air Act (42 U.S.C. 1857h), Section 508 of the Clean Water Act (33
U.S.C. 1368), Executive Order 11738, and the U.S. Environmental Protection Agency
regulations (40 CFR, Part 15 and 61). This clause shall be added to any subcontracts.
(12) Provide documentation of public notices for demolition activities.
43
SUB -RECIPIENT:
REMIT ADDRESS:
Attachment D
DIVISION OF EMERGENCY MANAGEMENT
REQUEST FOR ADVANCE OR REIMBURSEMENT OF
HAZARD MITIGATION ASSISTANCE PROGRAM FUNDS
Collier Countv BOCC
CITY: Naples STATE: FL
PROJECT TYPE: Localized Minor Drainage PROJECT #:
Improvement
PROGRAM: Hazard Mitigation Grant Program CONTRACT #:
APPROVED BUDGET: FEDERAL SHARE:
ADVANCED RECEIVED: N/A AMOUNT:
Invoice Period: To
ZIP CODE: 34112
4337-305-R
H0379
MATCH:
SETTLED?
Payment #:
Eligible Amount
100%
(Current Request)
Obligated Federal
Amount
75 %
Obligated Non-
Federal
25.%
Division Use Only
Approved
Comments
TOTAL CURRENT REQUEST: $
By signing this report, I certify to the best of my knowledge and belief that the report is true, complete, and accurate,
and the expenditures, disbursements and cash receipts are for the purposes and objectives set forth in the terms and
conditions of the Federal award. I am aware that any false, fictitious, or fraudulent information, or the omission of any
material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or
otherwise, (U.S. Code Title 18, Section 1001 and Title 31, Sections 3729-3730 and 3801-3812.
SUB -RECIPIENT SIGNATURE:
NAME / TITLE:
APPROVED PROJECT TOTAL
ADMINISTRATIVE COST
APPROVED FOR PAYMENT $
DATE:
TO BE COMPLETED BY THE DIVISION
TE
44
f
SUMMARY OF DOCUMENTATION IN SUPPORT OF AMOUNT
CLAIMED FOR ELIGIBLE DISASTER WORK UNDER THE
HAZARD MTIGATION ASSISTANCE PROGRAM
SUB -RECIPIENT: Collier County BOCC PAYMENT #:
PROJECT TYPE: Localized Minor Drainage Improvement PROJECT #: 4337-305-R
PROGRAM: Hazard Mitigation Grant Program CONTRACT #: H0379
Recipient's internal reference number (e,g., Invoice, Receipt, Warrant, Voucher, Claim Check, or Schedule #)
s Date of delivery of articles, completion of work or performance services. (per document)
A List Documentation (Recipient's payroll, material out of recipient's stock, recipient owned equipment and
name of vendor or contractor) by category (Materials, Labor, Fees) and line item in the approved project line
item budget. Provide a brief description of the articles or services. List service dates per each invoice.
45
REF NO Z
DATE
DOCUMENTATION a
(Check)
AMOUNT
ELIGIBLE
COSTS
100%
1
2
3
4
5
6
7
8
9
This payment represents % completion of the project. TOTAL
Recipient's internal reference number (e,g., Invoice, Receipt, Warrant, Voucher, Claim Check, or Schedule #)
s Date of delivery of articles, completion of work or performance services. (per document)
A List Documentation (Recipient's payroll, material out of recipient's stock, recipient owned equipment and
name of vendor or contractor) by category (Materials, Labor, Fees) and line item in the approved project line
item budget. Provide a brief description of the articles or services. List service dates per each invoice.
45
Attachment E
JUSTIFICATION OF ADVANCE PAYMENT
SUB -RECIPIENT: Collier County BOCC
If you are requesting an advance, indicate same by checking the box below.
[ ] ADVANCE REQUESTED
Advance payment of $ is requested. Balance of payments
will be made on a reimbursement basis. These funds are needed to pay
staff, award benefits to clients, duplicate forms and purchase start-up
supplies and equipment. We would not be able to operate the program
without this advance.
If you are requesting an advance, complete the following chart and line item justification below.
PLEASE NOTE: Calculate your estimated expenses at 100% of your expected needs for 90 days.
Submit Attachment D with the cost share breakdown along with Attachment E and all supporting
documentation.
ESTIMATED EXPENSES
BUDGET CATEGORY/LINE ITEMS
20_-20_ Anticipated Expenditures for First Three
(list applicable line items)
Months of Contract
For example
ADMINISTRATIVE COSTS
(Include Secondary Administration.)
For example
PROGRAM EXPENSES
TOTAL EXPENSES
LINE ITEM JUSTIFICATION (For each line item, provide a detailed justification explaining the
need for the cash advance. The justification must include supporting documentation that clearly
shows the advance will be expended within the first ninety (90) days of the contract term. Support
documentation should include quotes for purchases, delivery timelines, salary and expense
projections, etc. to provide the Division reasonable and necessary support that the advance will
be expended within the first ninety (90) days of the contract term. Any advance funds not
expended within the first ninety (90) days of the contract term as evidenced by copies of invoices
and cancelled checks as required by the Budget and Scope of work showing 100% of
expenditures for the 90 day period shall be returned to the Division Cashier, 2555 Shumard Oak
Boulevard, Tallahassee, Florida 32399, within thirty (30) days of receipt, along with any interest
earned on the advance.
46
Attachment F
DIVISION OF EMERGENCY MANAGEMENT
HAZARD MITIGATION GRANT PROGRAM
QUARTERLY REPORT FORM
Instructions: Complete and submit this form to the appropriate Project Manager within 15 days of each
quarter's end date.
SUB -RECIPIENT: Collier County BOCC
Localized Minor Drainage
PROJECT TYPE: Improvement
PROGRAM: Hazard Mitigation Grant Program
PROJECT #: 4337-305-R
CONTRACT #: H0379
QUARTER ENDING:
Advance Payment Information:
Advance Received ❑ N/A ❑ Amount: $ Advance Settled? Yes ❑ No ❑
Provide reimbursement Projections for this project (projections may change):
Jul -Sep 20_ $ Oct -Dec 20_ $ Jan -Mar 20_ $ Apr -Jun 20_ $
Target Dates:
Contract Initiation Date: Contract Expiration Date:
Estimated Project Completion Date:
Project Proceeding on Schedule? ❑ Yes ❑ No (If No, please describe under issues below)
Percentage of Work Completed (may be confirmed by state inspectors): %
Describe Milestones achieved during this quarter:
Provide a Schedule for the remainder of work to project completion: (Milestones from Contract with estimated dates)
Milestone Date
Describe Issues or circumstances affecting completion date, milestones, scope of work, and/or cost:
Cost Status: ❑ Cost Unchanged ❑ Under Budget ❑ Over Budget
Additional Comments/Elaboration:
NOTE. Division of Emergency Management (DEM) staff may perform interim inspections and/or audits at any time.
Events may occur between quarterly reports, which have significant impact upon your project(s), such as anticipated
overruns, changes in scope of work, etc. Please contact the Division as soon as these conditions become known,
otherwise you may be found non-compliant with your sub grant award.
Person Completing Form: Phone:
To be completed by Division staff
Date Reviewed: Reviewer:
Actions:
47
Attachment G
Warranties and Representations
Financial Management
The Sub -Recipient's financial management system must comply with 2 C.F.R. §200.302.
Procurements
Any procurement undertaken with funds authorized by this Agreement must comply with the
requirements of 2 C.F.R. §200, Part D—Post Federal Award Requirements—Procurement Standards (2
C.F.R. §§200.317 through 200,326).
Business Hours
The Sub -Recipient shall have its offices open for business, with the entrance door open to the
public, and at least one employee on site, from: 8:00 AM - 5:00 PM, Monday Thru Friday, as
applicable.
Licensing and Permitting
All subcontractors or employees hired by the Sub -Recipient shall have all current licenses and
permits required for all of the particular work for which they are hired by the Sub -Recipient.
48
Attachment H
Certification Regarding
Debarment, Suspension, Ineligibility
And Voluntary Exclusion
Subcontractor Covered Transactions
(1) The prospective subcontractor, ,
of the Sub -Recipient certifies, by submission of this document, that neither it nor its principals is
presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded
from participation in this transaction by any Federal department or agency.
(2) Where the Sub -Recipient's subcontractor is unable to certify to the above statement, the prospective
subcontractor shall attach an explanation to this form.
SUBCONTRACTOR
By:
Signature
Name and Title
Collier County BOCC
Sub -Recipient's Name
H0379
DEM Contract Number
4337-305-R
Street Address FEMA Project Number
City, State, Zip
Date
49
Attachment I
Federal Funding Accountability and Transparency Act
Instructions and Worksheet
PURPOSE: The Federal Funding Accountability and Transparency Act (FFATA) was signed on
September 26, 2006. The intent of this legislation is to empower every American with the ability to hold
the government accountable for each spending decision. The FFATA legislation requires information on
federal awards (federal assistance and expenditures) be made available to the public via a single,
searchable website, which is http://www.usaspending.gov/.
The FFATA Sub -award Reporting System (FSRS) is the reporting tool the Florida Division of Emergency
Management ("FDEM" or "Division") must use to capture and report sub -award and executive
compensation data regarding first-tier sub -awards that obligate $25,000 or more in Federal funds
(excluding Recovery funds as defined in section 1512(a) (2) of the American Recovery and Reinvestment
Act of 2009, Pub. L. 111-5).
Note: This "Instructions and Worksheet" is meant to explain the requirements of the FFATA and give
clarity to the FFATA Form distributed to sub-awardees for completion. All pertinent information below
should be filled out, signed, and returned to the project manager.
ORGANIZATION AND PROJECT INFORMATION
The following information must be provided to the FDEM prior to the FDEM's issuance of a sub -
award (Agreement) that obligates $25,000 or more in federal funds as described above. Please
provide the following information and return the signed form to the Division as requested.
PROJECT #: 437-305-R
FUNDING AGENCY: Federal Emergency Management Agency
AWARD AMOUNT: $187,500.00
OBLIGATION/ACTION DATE:
SUBAWARD DATE (if applicable):
DUNS#: 076997790
DUNS# +4:
September 27, 2019
50
*If your company or organization does not have a DUNS number, you will need to obtain one from Dun &
Bradstreet at 866-705-5711 or use the web form (http://fedgov,dnb.com/webform). The process to
request a DUNS number takes about ten minutes and is free of charge.
BUSINESS NAME:
DBA NAME (IF APPLICABLE):
PRINCIPAL PLACE OF BUSINESS ADDRESS:
ADDRESS LINE 1:
ADDRESS LINE 2:
ADDRESS LINE 3:
CITY
PARENT COMPANY DUNS# (if applicable):
STATE ZIP CODE+4**
CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA#):
DESCRIPTION OF PROJECT (Up to 4000 Characters)
As a Hazard Mitigation Grant Program project, the Sub -Recipient, Collier County BOCC, proposes to
improve the drainage within the Gordon River Basin located in Naples, Florida, 34105. Coordinates
(26.173296, -81.784554).
The scope is for Phase I only; which includes but is not limited to surveying, engineering, design, plans
preparation, permitting and bidding for the proposed project, for Phase If approval. No construction
activities for this project have been approved.
When completed, the Sub -Recipient shall provide deliverables for Phase II review of the following
proposed activities.
The Phase 11 proposed project shall replace the smaller existing AMIL gated water control structure with
a larger adaptive water control structure that will allow operational flexibility to adjust the flow of water
affecting the entire Basin. This is necessary to help mitigate the flooding of neighborhood communities
and protect the residents from suffering further loss through flood damages like those they have
experienced in the past.
The project shall be designed to provide protection against a 50 -year storm event. Activities shall be
completed in strict compliance with Federal, State and Local applicable Rules and Regulations,
PRINCIPAL PLACE OF PROJECT PERFORMANCE (IF DIFFERENT THAN PRINCIPAL PLACE OF
BUSINESS):
ADDRESS LINE 1:
ADDRESS LINE 2:
ADDRESS LINE 3:
CITY
STATE ZIP CODE+4**
CONGRESSIONAL DISTRICT FOR PRINCIPAL PLACE OF PROJECT PERFORMANCE:
**Providing the Zip+4 ensures that the correct Congressional District is reported.
51
EXECUTIVE COMPENSATION INFORMATION:
In your business or organization's previous fiscal year, did your business or organization (including
parent organization, all branches, and all affiliates worldwide) receive (a) 80 percent or more of your
annual gross revenues from Federal procurement contracts (and subcontracts) and Federal
financial assistance (e.g. loans, grants, subgrants, and/or cooperative agreements, etc.) subject to
the Transparency Act, as defined at 2 CFR 170.320; , (b) $25,000,000 or more in annual gross
revenues from U.S. Federal procurement contracts (and subcontracts) and Federal financial
assistance (e.g. loans, grants, subgrants, and/or cooperative agreements, etc.) subject to the
Transparency Act?
Yes ❑ No ❑
If the answer to Question 1 is "Yes," continue to Question 2. If the answer to Question 1 is "No",
move to the signature block below to complete the certification and submittal process.
2. Does the public have access to information about the compensation of the executives in your
business or organization (including parent organization, all branches, and all affiliates worldwide)
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)) Section 6104 of the Internal Revenue Code of 1986?
Yes ❑ No ❑
If the answer to Question 2 is "Yes," move to the signature block below to complete the
certification and submittal process. [Note: Securities Exchange Commission information should
be accessible at http//www.sec.gov/answers/execomp.htm. Requests for Internal Revenue Service
(IRS) information should be directed to the local IRS for further assistance.]
If the answer to Question 2 is "No" FFATA reporting is required. Provide the information required
in the "TOTAL COMPENSATION CHART FOR MOST RECENTLY COMPLETED FISCAL YEAR"
appearing below to report the "Total Compensation" for the five (5) most highly compensated
"Executives", in rank order, in your organization. For purposes of this request, the following terms
apply as defined in 2 CFR Ch. 1 Part 170 Appendix A:
"Executive" is defined as "officers, managing partners, or other employees in management positions".
"Total Compensation" is defined as the cash and noncash dollar value earned by the executive during the
most recently completed fiscal year and includes the following:
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.
52
TOTAL COMPENSATION CHART FOR MOST RECENTLY COMPLETED FISCAL YEAR
(Date of Fiscal Year Completion
Rank
(Highest to
Lowest)
Name
(Last, First, MI
Title
Total Compensation
for Most Recently
Completed Fiscal Year
1
2
3
4
5
THE UNDERSIGNED CERTIFIES THAT ON THE DATE WRITTEN BELOW, THE INFORMATION
PROVIDED HEREIN IS ACCURATE.
SIGNATURE:
NAME AND TITLE:
F: -
53
Attachment J
Mandatory Contract Provisions
Provisions;
Any contract or subcontract funded by this Agreement must contain the applicable provisions outlined in
Appendix II to 2 C,F.R, Part 200. It is the responsibility of the sub -recipient to include the required
provisions. The Division provides the following list of sample provisions that may be required;
54
OMB Guidance
ID) Davis-Ilaeon ''<M as antonded (40 U,S,C,
311E -0U0). When requlrodl by Podorrs.l projrnraru
lob„ islaAloll. all primo .on:traolojl conir,autt
III oxco s of S2,@M awar•dud by n mPodirml
can&tide;; mus, include a provision for eoanlrlt-
aance with the Daft,,-Pauon Art NO UAv
314AM, and .SI"1GAM) as supplornwated by
Departm ,nt. of Labor re5ulat"ton 129 (TIR
Part ,5, '`tabor Standard= Provtstuns AppH-
s:abio to Contracts Covovllu„ Pedvrally PY
navked and AsAstod Construction"i. In <,c-
,.,ordaneo with tho statute, Qoutrao-Lots, nlu€t,
Ire mqulrod to pay wages to lahomrs and nae -
Omni, at a rats not less, Man tae provallwo
waves s[xcrfred tit a wage dotormination
m ado by thea Sor,>ro uy of Laber. In addrilon.
QortraiA,oif. must be roquirod to 1. tv wagon
not less than once a week. The non Pear mul
-UN must place a mpy of the current prs-
varlintr rogo dctormmatdon is:ated by the Dae_
1t11tmlont of Labor in each sWlwtatdon, The
dodulon to award a contrera or suboontmcl.
must to condtmnod upon Go acct mma of
the waua dotF nuMation. The nen-Podloi.ai am
tlty rnutrb report all swpccttod or ropaar0d
violations to the P'oaoral awarding, .avoncy.
Tho contracts must ,tLto Indudo a provision
for compltanvo wits], the Copeland "Antt-
Fire,kWa" :AA 00 U.S.C, 31A,?I, as supplo-
monted by Department of Label, regulations
(:) 011I1 Part 3, "Contra(tors and Sub-
eontraotors on Public Hulidna: or Publr
Work Ruani:od to t1 tote or rn Part by Loans
or Grants f orn MeUntied Stet d ), The Act
provides that oach contra"_tor or sub-
r1olpiont" niusc be prohibtto,:l from rnducrna.
by any ninaan any person amphved in the
,onstruction, completion, or repair of public
work• to ,nivel up any part, of the cornronsa-
Von to wlikb ho or she is otherwise ontAtlod-
The non-Podoml ount;Y nwst roport all sus-
1woWd or rcportd vtolatdons ba the Fodoral
awarding agmacy,
JI) Contra::[ work Hours and Safe, y
Shndards Ad NO UAR 1701-9'f OOL Wboio
apphnWo, alI conar r tt; ,awarded by the non-
P'oderat entity in rxcot,u of 8104.004 that in-
voWo tho on,Lrlw nwnt of nimhmiles or tabor -
ova must- Include a i7rovlsion for compliance
with "iii U,S,C. 8702 an, -,l 3701, as supplemented
by, Department- of Labor rogue Wms U CI P
Pard; 51 trunci AO M&C, NO of the Aur,. vuh
cantra.ator mush be ra"Hal to computo the
wages of ever, mo tartic and ltabomr° on that
b,aslt; of it standar"i work week of 40 hours,
Work in oxces,5 of the standard woo week is
l:.mnis ri:do provided that the worker 1s corn-
pionsatod ai r, rato of not Ims than one and a
MU Umn Me hme mato of ;my Rw all hermit
worked in excess of 40 hours in the wok
wook. ilio requirontenta of N t1,5.C. RN are
;appli,:".+bio to cowWuYlon work and provr,ao
that lit) laborer or mechanic nnu be io-
quirod to work in surroundirun; or under
worktn_r uond[itaons which aro un.sanItary,
hazardous or dran orous, 'l ha s retlutrernont,
do not apply to the purchases of supplies; or
55
P1. 200, App, 11
matovlah; or arttvlos ordinarily available on
0w opon market, ov contracts for tvancpor-
(,atdon or trantan1s.Ann of Intctlt,om" o.
tP) Rltahts to [avontions Made Linder a
ContrauA or Aarooniont.. If the Poderal ate"*ar'd
meoh trite dofutltlon of '&n ,z argreernnt"
auarltar 37 CPR 14MI 0) and the recloont or
subrreulplont 5 lAos to enter Mtn a contrast
with a ental] business firm ar nonproilt orga-
nlzatdon fa"ardinn th'i of par-
ties, st;Igninonb or performam!v, of oxport-
niontal, dovolopmonta), or re:;oarch work
under that, "fumllntd 1avrooment." the rocipl-
ont or sWavelpiont must comply with the re-
quirements of 37 CPR Part 40L "RIvIlto tar In-
ventlants Mudd by Nonprofit Orvanizatdons
and Small Au:;ines:; Firnis Undor Govern-
ment. U nM Contsaots and Co"mative
Mgrlornonti;," and any inapRrnontin,g ragula-
Umm issued by the awardlue aga�nvy,
K Calan our Aeb 02 IASX. 70140711, and
Act Federal Wator Pollution Control Act. 433
U,S.q. 12.51-12MT), a„ amended --Contracts and
subgrants of amount.; in excess of $IFO,t> O
must contain a prowswn that mart Um thin
nomPadoral award to a"vl'oo to comply with
all ap"phcaablo str,ndar&;. orators or rot,*ula-
tron s issued pursuant. to the Clean Air Act,
(42 U.S.C. 74f114GUq) and than Federal water
Pollution Control Act, :as amended +,33 U,S,C,
1'-51-1307). Violations must be reported to the
Pedovaal awarding agency and the Rol,rional
Offluo of the Fnvlronmeriml Pro€ stton
Agalwy APA ).
(11) Mandatory standards and pot, e,, ro-
1taLinn° to oner,„ia offwlona•v whh.b aro eon -
Wined in the .tat:o energy cons rv,adAon plan
Issuod tit c oniplianc, with the P;nra;y Policy
and Comorvatdon Act 02 UTX. 0)1)-
8) D'Alarnront and Suspension (Ex,t,:utive
Orders 12,519 and 12(1189t --A coria' act, award
(se:a'2 C1111 IIYDMO) must. not be made to par-
t,lo,s list,od on tho govcrmnontwUlp I.Ncludod
Par o!s Ltst S Ston? In ilia System for Award
hlallagantont (SAh4), in av" ordaltte with the
ONIR gnuvlellnos,tt 2 CPH 180 that Implement
Executive Orrl-rs t26t4 t3 U11 Part 1,46
Comp., p. 1041 and 12081) (3 CPR Peart 1499
Cornp., p. 2;15), "Debarnteni, and Suspension."
The Ex,_luded Partres List SysL,atn In SAM
cont,,tm, the, names of parties debarred, sus-
ponda or ow"Mo oxrduded by aryonclos, as
well .r., lreeilot, declared rnollvlblo un1or stat,-
ut try or regniatovy nut,hor'1ty oth�tt° than Hx-
o"uut•ivo Order 12510,
0) Byrd Anti-Lobbyintr Amendment (31
U,S,C, that apply or bred
for in award of $104,000 or mora, must file tho
vee mmd oor67F1,>trilon. Lath tier cor-t1AM to
thy_+ that above that It will am aitd It,; not,
and f1deral appmprlalod Mads to pray any
p man or organization for In:luoneing or at-
tompting to tnflueneo an officer or employee
of an igcnciy', a. member of Conrass, of kov
or omploy oo of Con rre.<s, ov ten oanployoo of ae
mambor of Cone r ias In connod,lon with ob-
taining, any Federal +aolttract, grant or any
195
Pt. 200, App, III
othor awar<t covered lav :11 U.S.C, 1352, Each
Liar must also dlrclo€e. any lobbying wide
non-P,_adortal Rinds that, t:ako, place in con-
ncc;tlon atilt oblalnlnt* any PiAnrat award,
Such dtss.,losarel; are forwarded front ilei' to
tits, up to the non-Poderal award.
(K;, Sea t,2Cr .322 Procurommit. of racovoraei
Inatcetals.
AivENDIN III TO PART 200—INDCI2E:CT
(F&A) COSTS IDENTIFICATION AND
AiisiGNMl'NT, AND R,ATLr, DE'mtMlNA-
TION FOR ImvvrivrioNs oP H1mum
b DUCATiON f IHhIs}
A. Crcucttm,
Phis appomlix lnonldo,-, ctit orla for ld ntl-
t3ing an.] computln!, Indirect (or indrreot
(P&A) rats at IlMs, tlnstitutions'}- Indirect
W&A) kosts ara those that; are, incurrodl for
cornmon or joint ob)Luttvo:t and ther_,foee
cannot bo Idontlfied readily and :;pvctftcallly
with a particular sponsored projeot, an in-
strueMonal activity, or any other 111,Wtn-
tronal activity. Sea subwotlon 73.1, Nftnt-
tton of Pacilittes and Adn11n1straBlon, I'or a
:11svwsston of tiro componontn of trrllmJ.
(P&A) eelst;s,
1. Alajor rufielfen:*o,fun hWiautton
120fers to instruction, orimnM2d researcdn,
other spomsorod rwtivitios and other lnsUtu-
Omit aottvltles as deftned in tbv,, section:
a.. Aasfruc fon nmaw; the toachim, and
tnalntm ak_tiviLkw of an Institution- RNeept
for rosearr,h trainRtsi as provided tit sub-
stii;t,ton b, t-lw'term tnuludooall loathing;,inil
Wainin;, aetivit-les, whether they are offetad
for erod1w toward a dogrep or C11-tificat" or
on a non-erodit basis, and whotbor the ,v are
offered through regular academic depart-
ments or separato dlvI-Mons, smell as a sutn-
mer °.iaooi division or ill oxtmslon division.
Also comlderod part or this major function
;are rlc,partnrontal restmich, and. whyro
agfE?ed to, tintwrt;It;y rc,.warch.
t1,, Spey asimd mstrucffoll and fromfrY7 nnumm;
pe clfk in traotion Ll or training aUblldty e; -
t iFllahud by rt_Tant, contra,-, or cuop,rativo
ai�roements. Por purposes of till cost prtn-
c;tplos, this mAtvity may be conractorod a
major function oven though an In:Otut.lon's
aecouritmv troatvnent. may ineludo It Iii the
liisl.ruiGalon function.
2'I llapilrlre rctat re.sourch naean., rosomch,
4ovolopment and wholarly artiv16tt15 that
are not organized research and, con-
:;!xluontiy, are not separately hudtiotad and
&_,counted for. Departmental rosearch, for
purposes of (,)r1> document, i:r not conzsldv a l
;t,,, a major function, but aa: a part of tho In-
1,,t,ructton Rlnctlon of the Instdtntacun.
b, Orpttiwad resin arch moanrs all ro^search
:and devolo,pment aUt1v1 tw,, of all tnstitution
drat aro separatAy bt17ge(ed :a,nd accounted
for, It tnatu+tor::
-M
2 CFR Ch, II (1-1—i4 Edition)
it) Sponsored rasararcic means all rosearch
and dov*ilopmont aativitte, that are, ,pan -
in I,i 1`ednral snit non-Pe-lacn.l +smells
and olvanIzations. °Phis Wrin Include": aativi-
tbt�s inv(>fndn;t the training of individuals in
rc, oarah boohniraues (commonly vallod re -
so
a,rch training) whero such acrimhos utllizo
Ow s ame fau1110os as othor roscvalwh and do-
velopinom activities and whore vuclh aUlvf-
t,ws tiro Ilot Included lin tine Iwti'uclaon RInu-
t,ieil.
t`_>) Unfrersitll rvvurch means all rasoarob
and ,.Nivelopment. activltles that are, swpua-
rawly bud!,otm:;1 slid a<.�count.ed for by tho in-
:;titut.ion under an ln(,a•nal application of in-
'41tutional Rinds'. Univorolty resoarehn for
purpoi;t' of thli; document. nim;t lie 'om-
bined with sponsoroil r, parch under t.hv.
function of or(;anized rosearch.
C. 01116r sporra0TPd uvltrfffi� means prr?prams
and project, Mianced by Podoral and non-
Podoral agenemg aawLl organlzat.lnna whtch in-
volv,atho porformanco of Norte other than in-
,truction and or(arllzi:l rosearah. hxantples
of such pr« vraiii and projoets are health
5ahalca pro,joets tn:l wriumunity service pro-
I;rrans, llowlwor, whon any of thoso aotivtties
are undor'4al:on by tho Institution wtthout.
outslde support, they may bo clas_atfied as,
other 1n^stit:utlonal aetivitdas.
d, 01her insmulfonal e1ttrffles my alns all ar.-
tivitios of an Institution except for Instruc-
Oon. dupari;nnasntal researc=h, organized ve-
soaarch. and other t;ponsorcil ictivitioL, aw de-
finail in this soatton: Indirect (P&A) cost ac--
tivitlos identtfud in tlnl, Appendix psra-
,raph 11. Idontifivation and a :;t timlent of in-
diroot ('P&A) costs: and 3plelaltzod services
facilitiets des(arlbod in §200.469 ,penalized
>ervn o facllttles of Ott", Part,
Pxamples of othor ills Wtntionai .activit.los
tnchldu operation of rnsldoneo halls, dlmm,
hills, ho piths and climes. shuland unions,
int,�rcollo Lite athletla-s, booltshoro , fr .ult.y
housing, studout apartments, tzuwsl ho« sos.
chal:�:�ts, tboait.vu, pulpit, nnu:;i:uins, and other
sin 11ar auxiliary entorprls,, This definition
a1 n Includes any other cal.e,;orm:, of ac tivi-
tic.,. co.,t> of %N11103 .tI o ^unalloroablo" to
PrOoral warkls. unloss utlluml;;o Inds att'O
in all award.
2. Ctrflerio for 1)fatr;hrriton
a. Bast, prc?rwd. A baso- litrlad for dls;Ul u-
t•bon of Indncct (P&A) costa it; tho period
during whit -.1i the msis are tncurrod, 'Plno
baso period nornnaily should coincide with
t.ho fiscal year o st:ablishod by tho institution,
but, in any ovont tho I,-aso poriod i;hould bu so
selsoted air t.o avola ineduittos in Ole dis-
tribution of costs.
b. ,heed for cesf trrouptraA,c. The overall ob-
iectivo of ilia Indire,;t (PRA) %ost, allocation
proaocc Is to dls;Uibutr, Cho intlimm (PRAT
eosts deseribed to Soution 11, Itlentitfication
and mss
tgnmont of Indtra-;,t tPRA,) costs. Loo
196