Sub-grant Award Terms and Conditions
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GENERAL AWARD REQUIREMENTS FOR SUB-GRANTEES
1. To comply with all applicable laws, regulations and the applicable FEMA Grant’s Program Guidance (as more fully described below).
Recipients of Oklahoma Office of Homeland Security (“OKOHS”)/Department of Homeland Security (“DHS”)-Federal Emergency Management Administration (“FEMA”) grant funds (“Sub-grantee(s)”) are urged to carefully review and understand all terms and conditions of the award prior to award acceptance. Failure to comply with these terms and conditions may result in disallowance of costs and recovery of funds and/or suspension or termination of funds and/or award.
SUBGRANT TERMS AND CONDITIONS As a condition of receipt of this grant, the Sub-grantee understands and agrees:
All allocations and uses of funds under this grant will be in accordance with the Homeland Security Grant Program Guidelines and Application Kit (or where applicable the Funding Opportunity Announcement), collectively referred to as the (“Program Guidance”). Sub-grantees must familiarize themselves with the requirements and restrictions in the appropriate Program Guidance and Application Kit. All Sub-grantees are assumed to have read, understood, and accepted the Program Guidance. The following link will provide access to the respective Grant Year’s Program Guidance and Application Kits:
A nonexclusive list of regulations commonly applicable to DHS/FEMA grants are listed below, including the guidance:
A. Administrative Requirements:
1. 44 CFR Part 13, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments
2. 2 CFR Part 215, Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations (OMB Circular A-110)
3. 44 CFR, part 10, Environmental Considerations
B. Cost Principles:
1. 2 CFR Part 225, State Local and Indian Tribal Governments (OMB Circular A-87)
2. 2 CFR Part 220, Educational Institutions (OMB Circular A-21)
3. 2 CFR Part 230, Non-Profit Organizations (OMB Circular A-122)
4. Federal Acquisition Regulation Sub-part 31.2, Contracts with Commercial Organizations
C. Audit Requirements:
1. OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations
The Sub-grantee and any further sub-grantee must comply with the most recent updates to the Administrative Requirements, Cost Principles and Audit requirements.
2. That it will not use any federal funds, either directly or indirectly, in support of the enactment, repeal, modification or adoption of any law, regulation or policy, at any level of government, without the express prior written approval of the Oklahoma Office of Homeland Security (“OKOHS”) and the Department of Homeland Security (“DHS”)/ the Federal Emergency Management Administration (“FEMA”).
3. That Sub-grantee shall not undertake any project (which will be funded in full or in part with federal money) having the potential to impact Environment and Historical Preservation (EHP) resources without the prior approval of FEMA’s EHP Division. EHP impact includes, but is not limited to, ground disturbance, construction, modification of existing structures, and the purchase and use of sonar equipment. Sub-grantee must comply with all conditions placed on the project as a result of the EHP review. FURTHER, the Sub-grantee shall comply with all applicable Federal, State, and local environment and historic preservation (EHP) requirements and shall provide any information requested by FEMA to ensure compliance with applicable laws including: National Environmental Policy Act, National Historic Preservation Act, Endangered Species Act, and Executive Orders on Floodplains (11988), Wetlands (11990) and Environmental justice (12898). Failure of the Sub-grantee to meet Federal, State, and local EHP requirements and obtain applicable permits may jeopardize Federal funding. Sub-grantee shall not undertake any project having the potential to impact EHP resources without the prior approval of FEMA, including but not limited to communications towers, physical security enhancements, new construction, and modifications to buildings that are 45 years old or greater. Sub-grantee must comply with all conditions placed on the project as the result of the EHP review. Any change to the approved project scope of work will require re-evaluation for compliance with these EHP requirements. If ground disturbance activities occur during project implementation, the Sub-grantee must ensure monitoring of ground disturbance and if any potential archeological resources are discovered, the Sub-grantee will immediately cease construction in that area and notify FEMA and the appropriate State Historic Preservation Office. Any construction activities that have been initiated prior to the full environmental and historic preservation review could result in non-compliance finding. For your convenience, here is the screening form link: (The Screening From is available at: (www.fema.gov/doc/government/grant/bulletins/info329_final_screening_memo.doc). For these types of projects, sub-grantees must complete the FEMA EHP Screening Form (OMB Number 1660-0115/FEMA Form 024-0-01) and submit it to OKOHS, with all supporting documentation. After OKOHS review, OKOHS will submit all documents to the GPD EHP team at GPDEHPinfo@fema.dhs.gov for review and approval. Sub-grantees should submit the FEMA EHP Screening Form for each project as soon as possible following receipt of their grant award.
4. That when implementing OKOHS/DHS/FEMA funded activities, the Sub-grantee will comply with all federal civil rights laws, to include Title VI of the Civil Rights Act, as amended. The Sub-grantee is required to take reasonable steps to ensure Limited English Proficient (“LEP”) persons have meaningful access to language assistance services regarding the development of proposals and budgets and conducting OKOHS/DHS/FEMA funded activities.
5. That OKOHS/DHS/FEMA reserves a royalty-free, non-exclusive, and irrevocable license to reproduce, publish, or otherwise use, and authorize others to use, for Federal government purposes: (a) the copyright in any work developed under an award or sub-award; and (b) any rights of copyright to which a Sub-grantee purchases ownership with Federal support. The Sub-grantee agrees to consult with OKOHS/DHS/FEMA regarding the allocation of any intellectual property rights that arise from, or are purchased with, this funding.
6. That all publications created with funding under this grant shall prominently contain the following statement: “This Document was prepared under a grant from the Federal Emergency Management Administration (FEMA) Grant Programs Directorate (GPD), U.S. Department of Homeland Security (DHS). Points of view or opinions expressed in this document are those of the authors and do not necessarily represent the official position or policies of FEMA/GPD or DHS.”
7. That, when practicable, any equipment purchased with grant funding shall be prominently marked as follows: “Purchased with funding from the Oklahoma Office of Homeland Security with funds provided by the U.S. Department of Homeland Security.” Please contact OKOHS when equipment is received to request appropriate labels.
8. To cooperate with any assessments, national evaluation efforts, or information or data collection requests related to any activities within this project.
9. That federal funds expended in connection with this award will be used to supplement, but not supplant, state or local funds.
10. That the use of all funds under this grant must support the goals and objectives included in the State Homeland Security Strategy and/or the Urban Area Homeland Security Strategy. Allocations and use of grant funds must also support the Investments identified in an Investment Justification, which may have been submitted as part of OKOHS’s application for federal funding.
11. That any funds utilized to establish or enhance state and local fusion centers must support the development of a statewide fusion process that corresponds with the Global Justice/Homeland Security Advisory Council (HSAC) Fusion Center Guidelines and achievement of a baseline level of capability as defined by the Fusion Capability Planning Tool.
12. That Homeland Security Information Network (HSIN) must serve as the primary vehicle by which information /intelligence is shared with DHS/FEMA as part of the fusion process across the Federal, State, local, regional, tribal and private sectors. All statewide information sharing and analysis centers utilizing HSGP funds must establish connectivity with the DHS/FEMA Homeland Security Operations Center (HSOC) via the HSIN to comply with FEMA policy legislation as outlined in the Program Guidance.
13. To utilize grant funds for the furthering of the OKOHS State Strategy, the National Preparedness Guidelines and the DHS/FEMA defined National Priorities.
14. To leverage all available funding and resources when possible in order to support and sustain efforts and to maximize the effectiveness of the OKOHS/FEMA funding.
15. To comply with any National Incident Management (NIMS) Compliance requirements as set forth by OKOHS or the NIMS Integration Center, including but not limited to ongoing NIMS compliance by the subgrantee jurisdiction during the term of the grant.
16. That this project will be administered by the local or state governmental entity having authority and responsibility for its completion and that such entity will ensure institutional, managerial and financial capability for proper planning, management and completion of approved projects.
17. To comply with all laws, regulations, statutes, assurances and certifications contained or referred to in this grant award/application and other relevant federal and /or state directives. All project activities should be consistent with federal, state, and local policies, regulations, procedures and laws.
18. That the projects funded with this grant should demonstrate multi-disciplinary coordination of response efforts, including but not limited to: emergency medical services, emergency management, fire service, law enforcement, hazardous materials, public works, public health, health care facilities, military, government administration, private sector, citizens and communications.
19. That interoperability of equipment and establishment of multi-regional mutual aid is strongly encouraged and in some cases may be mandated by OKOHS.
20. That personnel must be properly trained to use the equipment purchased under this grant program in accordance with all applicable federal, state and local laws including, but not limited to regulations established by EPA, OSHA, and NFPA By signing and submitting sub-grant application and acceptance documents, the authorized official certifies employees have received or will receive required training prior to utilizing equipment purchased with OKOHS/FEMA funding.
21. To maintain a state of readiness for equipment and personnel to respond to a terrorist incident.
22. That any CERT training funded with OKOHS/FEMA grant funds will be conducted by OKOHS approved trainers.
23. That any exercise conducted with OKOHS grant funds must have the prior written approval of OKOHS.
24. That any exercise conducted with OKOHS grant funds must comply with HSEEP and NIMS requirements. These requirements can be found at http://hseep.dhs.gov.
Exercise documentation, including but not limited to: objectives, after-action reports, and participants, must be coordinated with and submitted to the OKOHS Training and Exercise Coordinator.
25. That the expenditure of $500,000 or more in Federal funds (from all sources) in a fiscal year requires an organization-wide financial and compliance audit report. The audit must be performed in accordance with the Government Accountability Office Government Auditing Standards, located at http://www.gao.gov/govaud/ybk0.htm and OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations. Sub-grantees are required to submit to OKOHS (within 90 days of completion) a copy of any audit report received by Sub-grantee in connection with any audit performed by or as a requirement of any regulatory body (federal, state or local) that is conducted with respect to activity taking place during the term of the OKOHS/DHS/FEMA Award. OKOHS will review the audit and determine if any findings exist which may impact the ability of the Sub-grantee to continue to receive funds pursuant to this grant or future funding opportunities.
26. To comply with monitoring requirements of OKOHS including but not limited to, a willingness to provide reasonable access to relevant records and equipment and maintenance of an up to date equipment inventory.
27. That any records relevant to the grant must be retained for at least three years following the termination date (which may be extended beyond the scheduled termination date) of the OKOHS/DHS/FEMA grant (OKOHS will provide the notice on the OKOHS web site under the grants section regarding the start date of this three year period). In accordance with the requirements set forth in the OMB administrative requirements circulars, all financial records, supporting documents, statistical records, and all other records pertinent to the award shall be retained by each organization for at least three years from the date of submission of the final expenditure report. In cases where litigation, a claim, or an audit is initiated prior to expiration of the three year period, records must be retained until completion of the action and resolution of issues or the end of the three year period, whichever is later. Retention is required for purposes of Federal examination and audit. Records may be retained in an electronic format.
28. That Sub-grantee is prohibited from commingling funds on either a program-by-program or a project-by-project basis without prior written approval of OKOHS and DHS/FEMA. The accounting systems of all Sub-grantees must ensure that agency funds are not commingled with funds from other awards or Federal agencies. Each award must be accounted for separately by the awarding agency.
29. To take every precaution to avoid the appearance of a conflict of interest. Violations of the conflict of interest standards may result in criminal, civil, or administrative penalties. In the use of agency project funds, officials or employees of State or local units of government shall avoid any action that might result in, or create the appearance of:
• Using his or her official position for private gain;
• Giving preferential treatment to any person;
• Losing complete independence or impartiality;
• Making an official decision outside official channels; or
• Affecting adversely the confidence of the public in the integrity of the government or the program. For example, where a Sub-grantee of federal funds makes sub-awards under any competitive process and an actual conflict or an appearance of a conflict of interest exists, the person for whom the actual or apparent conflict of interest exists should recuse himself or herself not only from reviewing the application for which the conflict exists, but also from the evaluation of all competing applications.
30. That all grant funds must be obligated and expended within the project period set forth on the Sub-grantee award document (Schedule B) unless OKOHS provides a written exception or extension to the Sub-grantee. Any funds not properly obligated and expended by the Sub-grantee during the project period will lapse and revert to OKOHS for potential reallocation to other allowable uses in accordance with DHS/FEMA guidelines.
31. To notify OKOHS in writing of any events or changes requiring adjustment in the grant award. Examples include but are not limited to: changes of address, project manager, project site, budget categories or scope.
32. To follow the Procurement Standards outlined in the DHS/FEMA Financial Management Guide. These standards require that Sub-grantees use their own procurement procedures and regulations, provided that the procurement conforms to applicable Federal law and standards.
33. That all procurement transactions, whether negotiated or competitively bid and without regard to dollar value, shall be conducted in a manner that will provide maximum open and free competition.
34. That all sole-source procurements (including contracts properly bid for which only one entity submits a qualified bid) in excess of $100,000 must receive prior written approval of OKOHS. Written justification must be provided for sole source procurement and should include a description of the program and what service or product is being contracted, an explanation of why it is necessary to contract non-competitively, time constraints and any other pertinent information.
35. That all circumstances requiring disposition or change to intended use of equipment purchased with OKOHS funds should be reported on an Equipment Disposition Form (available on the OKOHS website) and filed with OKOHS within 30 days following such change or disposition. Any ownership transfer (from one jurisdiction to another) of tangible or intangible items purchased with OKOHS funding requires pre-approval from OKOHS and acceptance of OKOHS standard terms and conditions by the acquiring entity. OKOHS consent will not be unreasonably withheld.
36. That during the term of this grant and for three years following termination of the OKOHS/DHS/FEMA grant (which may be extended beyond the date set in the attached Sub-Grantee Award document) the Sub-grantee is responsible for proper reporting, for maintenance of an inventory tracking system and for assuring the location of all equipment purchased through this grant. A physical inventory of the property must be taken and the results reconciled with the property records at least once every two years. Inventory records must be maintained which include:
1. Description of the property;
2. Serial number or other identification number;
3. Source of the property;
4. Identification of title holder;
5. Acquisition date;
6. Cost of the property;
7. Percentage of Federal participation in the cost of the property;
8. Location of the property;
9. Use and condition of the property; and
10. Disposition data, including the date of disposal and sale price.
37. That only equipment that is approved in writing by OKOHS will be permitted to be purchased with DHS/FEMA funds. As a general rule, equipment purchased with OKOHS funding must be allowable (for the respective grant program funds to be used) in accordance with DHS’s “Authorized Equipment List”.
38. That only food and beverages approved in writing by OKOHS in advance will be permitted to be purchased with DHS/FEMA funds. As a general rule, FEMA and OKOHS discourage the use of federal funding for food and beverages. While there may be limited exceptions made to this rule that apply solely to working lunches, a strict reasonableness standard must be maintained.
39. That use of DHS/FEMA funding to pay for speaker fees must be approved in writing by OKOHS in advance any time the speaker is paid in excess of $100 per hour for services.
40. To be responsible for replacing or repairing equipment that is lost, stolen, damaged, or destroyed as a result of Sub-grantee’s willful or negligent action. Property with a cost in excess of $10,000 that is purchased using OKOHS/DHS/FEMA funding must be insured for casualty loss unless a written exception to this requirement is permitted by OKOHS. Property losses should be reported to OKOHS immediately.
41. That requested or relevant training records of Sub-grantees must be submitted to the OKOHS Training and Exercise Coordinator.
42. To comply with grant closeout procedures established by OKOHS.
43. To provide quarterly status reports (as required by OKOHS), information and other documentation as may be required by OKOHS.
44. To provide DHS/FEMA and OKOHS reasonable assistance with assessments conducted to (a) determine the existing level of preparedness within the sub-recipient’s jurisdiction; (b) determine the homeland security related needs of the jurisdiction, and (b) measure progress in achieving state and federal preparedness goals.
45. That Costs charged to this project are subject to advance written approval by OKOHS.
46. That consistent with Section 163 of the Continuing Appropriations Resolution, 2010, Division B of Pub. L. No 111-68 (“CR”) no federal funding will be made available directly or indirectly to the Association of Community Organizations for Reform Now (ACORN). Any questions in this regard should be directed to OKOHS.
47. That Protected Critical Infrastructure Information (PCII) will be treated in a manner consistent with the Critical Infrastructure Information Act of 2002 (Public Law 107-296) (CII Act), which created a new framework, that enables State and local jurisdictions and members of the private sector to voluntarily submit sensitive information regarding critical infrastructure to DHS/FEMA. The Act also provides statutory protection for voluntarily shared CII from public disclosure and civil litigation. If validated as PCII, these documents can only be shared with authorized users who agree to safeguard the information. PCII accreditation is a formal recognition that the covered government entity has the capacity and capability to receive and store PCII. DHS encourages all SAAs to pursue PCII accreditation to cover their State government and attending local government agencies. Accreditation activities include signing a memorandum of agreement (MOA) with DHS, appointing a PCII Officer, and implementing a self inspection program.
48. That where practicable, individuals with disabilities will be integrated into the Sub-grantee’s emergency preparedness planning activity consistent with Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits discrimination against people with disabilities in all aspects of emergency mitigation, planning, response, and recovery by entities receiving funds from DHS/FEMA. In addition, and consistent with Executive Order 13347, Individuals with Disabilities in Emergency Preparedness signed in July 2004, the Sub-grantee will encourage consideration of the needs of individuals with disabilities served by State, local, and tribal governments in emergency preparedness planning.
49. That there will not be a duplication of any federal assistance, per Circular A-87, Basic Guidelines Section C.3 (c), which states: Any cost allocable to a particular Federal award or cost objective under the principles provided for in this Circular may not be charged to other Federal awards to overcome fund deficiencies, to avoid restrictions imposed by law or terms of the Federal awards, or for other reasons. However, this prohibition would not preclude governmental units from shifting costs that are allowable under two or more awards in accordance with existing program agreements.
50. That the Sub-grantee will not participate in or knowingly ignore, aid or abet illegal Trafficking in Persons [as more fully described in the Trafficking Victims Protection Act of 2000 (“TVPA”), as amended (22 U.S.C. 7104(g)] in any way whether directly or indirectly (through the illegal activity of an employee, subcontractor or vendor of the Sub-grantee). The Sub-grantee must inform OKOHS immediately upon receipt of any information received from any source alleging a violation of the prohibitions associated with human trafficking. FEMA and OKOHS reserve the right to terminate unilaterally any grant awarded to an entity in violation of the TVPA, as amended from time to time.
51. That the Sub-grantee will obtain a Data Universal Numbering System (“DUNS”) Number (a nine digit number established and assigned by Dun and Bradstreet, Inc. (“D&B”) to uniquely identify business entities) for its organization and provide that number to OKOHS as a precondition of funding reimbursement under the grant. A DUNS number may be obtained from D&B by telephone (currently 866.705.5711) or via the Internet at http://fedgov.dnb.com/webform.
OKOHS Contact Information
Oklahoma Office of Homeland Security
PO Box 11415
Oklahoma City, OK 73136-0415
(405) 425-7296 telephone (405) 425-7295 fax
Applicable Laws, Regulations, and Guidance Documents
Sub-grantee should review and comply with all local, state, federal statutes, regulations, policies, guidelines and requirements including, but not limited to:
• Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000 et seq.
• Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794
• Title IX of the Education Amendments of 1972, as amended, 20 U.S.C 1681 et seq.
• The Age Discrimination Act of 1975, as amended, 20 U.S.C. 6101 et seq.
• The Department of Homeland Security Appropriations Act of 2007
• Homeland Security Act of 2002
• 28 CFR Part 67, Government-wide Debarment and Suspension (Non-procurement), http://www.gpoaccess.gov/cfr/index.html
• 6 CFR Part 9, New Restrictions of Lobbying, http://www.gpoaccess.gov/cfr/index.html
• 28 CFR Part 83, Government-wide Requirements for Drug-free Workplace (Grants), http://www.gpoaccess.gov/cfr/index.html
• DHS/FEMA Financial Guide at http://www.dhs.gov/xlibrary/assets/Grants_FinancialManagementGuide.pdf
• Code of Federal Regulations, Title 48 Federal Regulations systems, Part 31, Contract Cost Principles and Procedures – also 48 CFR parts 30 and 31
• OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations, at http://www.whitehouse.gov/omb/circulars/index.html
• OMB Circular A-102, Grants and Cooperation Agreements with State and Local Governments, at http://www.whitehouse.gov/omb/circulars/index.html
• OMB Circular A-87, Cost Principals for State, Local, and Indian Tribal Governments, at http://www.whitehouse.gov/omb/circulars/index.html
• OMB Circular A-110, Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations, at http://www.whitehouse.gov/omb/circulars/index.html
• OMB Circular A-21, Cost Principles for Educational Institutions, at http://www.whitehouse.gov/omb/circulars/index.html
• OMB Circular A-122, Cost Principles for Non-Profit Organizations, at http://www.whitehouse.gov/omb/circulars/index.html
• OSHA and NFPA Training Requirements http://www.osha.gov/ and http://www.nfpa.org/Codes/
• 44 CFR Part 13, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments
• In accordance with the Consolidated Security, Disaster Assistance, and Continuing Appropriations Act, 2009 (Public Law 110-329), grant funds must comply with the following two requirements: None of the funds made available shall be used in contravention of the Federal buildings performance and reporting requirements of Executive Order 13123, part 3 of title V of the National Energy Conservation Policy Act (42 USC 8251 et. Seq.), or subtitle A of title I of the Energy Policy Act of 2005 (including the amendments made thereby).
• None of the funds made available shall be used in contravention of section 303 of the Energy Policy Act of 1992 (42 USC13212).
1. Sub-grantee should select items for purchase that are within the scope of the Project Justification Plan (if applicable) and that are included on the Authorized Equipment List (“AEL”), which can be found at the Responder Knowledge Base website (www.rkb.us).
2. Sub-grantee should then submit to OKOHS a Budget Detail Worksheet (“BDW”), which can be found under the forms page of the Grants section of the OKOHS website (www.homelandsecurity.ok.gov). The BDW is the Sub-grantee’s list of requested items for which OKOHS’s written approval is requested. If a portion of the costs will be paid with local funds, indicate total cost charged to grant. If technical assistance is needed from OKOHS, please so note on the BDW. While the amount of the grant is fixed and cannot be increased, Sub-grantees are encouraged to submit a comprehensive list of items that may be purchased (EVEN IF THE ESTIMATED COST EXCEEDS THE AMOUNT OF THE GRANT). The amount of OKOHS approvals may well exceed the amount of the grant, which will permit greater flexibility in the Sub-grantee’s selection process and lessen the likelihood of multiple BDW submissions.
3. PLEASE NOTE that grant funds may be used only for items that are pre-approved by OKOHS by written notice addressed to the Sub-grantee. With some limited exceptions, items of equipment must be identified in the AEL as an allowable purchase using the designated grant program’s funding.
4. Upon receipt of OKOHS’s written approval, the Sub-grantee may initiate procurement of approved items.
5. Upon receipt of the approved item, the Sub-grantee must submit a copy of the invoice supporting the acquisition together with a Reimbursement Request Form (this form is also available on the OKOHS website) that has been signed by an authorized official. For each item, include date of purchase, quantity, total cost, Sub-grantee entity, and discipline. The authorized official’s signature represents certification that the item has been received and that payment has been (or will be) made to the vendor in accordance with the terms of the invoice.
6. OKOHS reimbursement of the Sub-grantee’s expenditure will generally take approximately 30 days. If this 30 day time period will cause hardship, the reimbursement process can usually be expedited at the request of the Sub-grantee.
7. Purchases must be completed within the applicable project period.
If a Sub-grantee materially fails to comply with the terms and conditions of an award, OKOHS or DHS/FEMA may 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-grantee.
2. Disallow (that is, deny both use of funds and any applicable matching credit for) all or part of the cost of the activity or action not in compliance.
3. Wholly or partly suspend or terminate the current award.
4. Withhold future awards for the project or program.
5. Pursue any other legal remedy that may be available.
6. Require reassignment any tangible or intangible items purchased with OKOHS grant funding to another local jurisdiction.
Prior to taking action, OKOHS will provide the Sub-grantee reasonable notice of intent to impose measures and will make efforts to resolve the problem informally.
Examples of unauthorized expenditures include but are not limited to:
• Hiring of Public Safety Personnel
• Construction and Renovation
• General use equipment including but not limited to items jurisdictions would normally be expected to have.
• Items not pre-approved by OKOHS
• Exercise related costs for non expendable equipment items (e.g., electronic messaging signs) and/or vehicle/emergency response apparatus costs (other than the cost of fuel/gasoline, which is allowable)
Mayor, City Manager, County Commissioner, Board or Trust Director
Authorized Official Date
U.S. DEPARTMENT OF JUSTICE
OFFICE OF JUSTICE PROGRAMS
OFFICE OF THE COMPTROLLER
DOJ Certifications Schedule 2 Page 1 of 1 Pages
CERTIFICATIONS REGARDING LOBBYING; DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS; AND DRUG-FREE WORKPLACE REQUIREMENTS
Applicants should refer to the regulations cited below to determine the certification to which they are required to attest. Applicants should also review the instructions for certification included in the regulations before completing this form. Signature of this form provides for compliance with certification requirements under 28 CFR Part 69, "New Restrictions on Lobbying" and 28 CFR Part 67, "Government-wide Debarment and Suspension (Non-procurement) and Government-wide Requirements for Drug- Free Workplace (Grants)." The certifications shall be treated as a material representation of fact upon which reliance will be placed when the Department of Justice determines to award the covered transaction, grant, or cooperative agreement.
1. LOBBYING As required by Section 1352, Title 31 of the U.S. Code, and implemented at 28 CFR Part 69, for persons entering into a grant or cooperative agreement over $100,000, as defined at 28 CFR Part 69, the applicant certifies that: (a) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the making of any Federal grant, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal grant or cooperative agreement; (b) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal grant or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure of Lobbying Activities," in accordance with its instructions; (c) The undersigned shall require that the language of this certification be included in the award documents for all sub-awards at all tiers (including sub-grants, contracts under grants and cooperative agreements, and subcontracts) and that all sub-recipients shall certify and disclose accordingly.
2. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS (DIRECT RECIPIENT) As required by Executive Order 12549, Debarment and Suspension, and implemented at 28 CFR Part 67, for prospective participants in primary covered transactions, as defined at 28 CFR Part 67, Section 67.510 A. The applicant certifies that it and its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and (d) Have not within a three-year period preceding this application had one or more public transactions (Federal, State, or local) terminated for cause or default; and B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application.
3. DRUG-FREE WORKPLACE (GRANTEES OTHER THAN INDIVIDUALS) As required by the Drug-Free Workplace Act of 1988, and implemented at 28 CFR Part 67, Subpart F, for grantees, as defined at 28 CFR Part 67 Sections 67.615 and 67.620 A. The applicant certifies that it will or will continue to provide a drug-free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing an on-going drug-free awareness program to inform employees about: (1) The dangers of drug abuse in the workplace; (2) The grantee's policy of maintaining a drug-free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance programs; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will (1) Abide by the terms of the statement; and (2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction; (e) Notifying the agency, in writing, within 10 calendar days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to: Department of Justice, Office of Justice Programs, ATTN: Control Desk, 633 Indiana Avenue, N.W., Washington, D.C. 20531. Notice shall include the identification number(s) of each affected grant; (f) Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted (1) Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a), (b), (c), (d), (e), and (f).
Authorized Official Date
DEPARTMENT OF JUSTICE STANDARD ASSURANCES
The Sub-grantee hereby assures and certifies compliance with all applicable Federal statutes, regulations, policies, guidelines, and requirements, including OMB Circulars A-21, A-87, A-102, A-110, A-122, A-133; Ex. Order 12372 (intergovernmental review of federal programs); and 28 C.F.R. pts. 66 or 70 (administrative requirements for grants and cooperative agreements). The applicant also specifically assures and certifies that:
1. It has the legal authority to apply for federal assistance and the institutional, managerial, and financial capability (including funds sufficient to pay any required non-federal share of project cost) to ensure proper planning, management, and completion of the project described in this application.
2. It will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain.
3. It will give the awarding agency or the General Accounting Office, through any authorized representative, access to and the right to examine all paper or electronic records related to the financial assistance.
4. It will comply with all lawful requirements imposed by the awarding agency, specifically including any applicable regulations, such as 28 C.F.R. pts. 18, 22, 23, 30, 35, 38, 42, 61, and 63.
5. It will assist the awarding agency (if necessary) in assuring compliance with section 106 of the National Historic Preservation Act of 1966 (16 U.S.C. § 470), Ex. Order 11593 (identification and protection of historic properties), the Archeological and Historical Preservation Act of 1974 (16 U.S.C. § 469 a-1 et seq.), and the National Environmental Policy Act of 1969 (42 U.S.C. § 4321).
6. It will comply (and will require any subgrantees or contractors to comply) with any applicable statutorily-imposed nondiscrimination requirements, which may include the Omnibus Crime Control and Safe Streets Act of 1968 (42 U.S.C. § 3789d); the Victims of Crime Act (42 U.S.C. § 10604(e)); The Juvenile Justice and Delinquency Prevention Act of 2002 (42 U.S.C. § 5672(b)); the Civil Rights Act of 1964 (42 U.S.C. § 2000d); the Rehabilitation Act of 1973 (29 U.S.C. § 7 94); the Americans with Disabilities Act of 1990 (42 U.S.C. § 12131-34); the Education Amendments of 1972 (20 U.S.C. §§1681, 1683, 1685-86); and the Age Discrimination Act of 1975 (42 U.S.C. §§ 6101-07); see Ex. Order 13279 (equal protection of the laws for faith-based and community organizations).
7. If a governmental entity:
a. it will comply with the requirements of the Uniform Relocation Assistance and Real Property Acquisitions Act of 1970 (42 U.S.C. § 4601 et seq.), which govern the treatment of persons displaced as a result of federal and federally-assisted programs; and
b. it will comply with requirements of 5 U.S.C. §§ 1501-08 and §§ 7324-28, which limit certain political activities of State or local government employees whose principal employment is in connection with an activity financed in whole or in part by federal assistance.
Authorized Official Date
|CERTIFICATION OF EQUAL EMPLOYMENT OPPORTUNITY PLAN
For additional information, please visit the OJP Office of Civil Rights online resources at: http://www.ojp.usdoj.gov/ocr/qa.htm
PLEASE COMPLETE THE APPROPRIATE SECTION AS INDICATED BELOW:
|Is the Subgrantee
||If YES, Complete
|An educational, medical, non-profit, or Indian Tribe entity?
||ONLY Section 1
|A State/Local Government that receives less than $25,000 total in federal funds?
||ONLY Section 1
|A State/Local Government with less than 50 Full-Time and Part-Time Employees?
||ONLY Section 2
|A State/Local Government with 50 or more Full-Time and Part-Time employees and receives between $25,000 and $499,000 in federal funds?
||ONLY Section 3
|A State/Local Government with 50 or more Full-Time and Part-Time employees and receives an individual grant award of $500,000 or more OR receives an aggregate of grant awards equal to $1,000,000 or more within an 18-month period?
||ONLY Section 4
Section 1: Assurance Statement
I, _____________________________________________________, (authorizing official) assure that the funded entity will comply with the provisions of Title VI of the Civil Rights Act of 1964 and Section 504 of the Rehabilitation Act of 1973 as required. These statutes prohibit discrimination on the basis of race, color, national origin, age, or disability.
Authorized Official Date
Section 2: Assurance and Certification Statement
I, _____________________________________________________, (authorizing official) assure that the funded entity will comply with the provisions of Title VI of the Civil Rights Act of 1964 and Section 504 of the Rehabilitation Act of 1973 as required. These statutes prohibit discrimination on the basis of race, color, national origin, age, or disability. Further, I certify that the funded entity has less than 50 full-time and part-time employees.
Authorized Official Date
Section 3: Assurance and Certification Statement of EEOP on File
I, _____________________________________________________, (authorizing official) assure that the funded entity will comply with the provisions of Title VI of the Civil Rights Act of 1964 and Section 504 of the Rehabilitation Act of 1973 as required. These statutes prohibit discrimination on the basis of race, color, national origin, age, or disability. Further, I certify that the funded entity has formulated an Equal Employment Opportunity Plan (EEOP) in accordance with 28 CFR 42.301 et.seq., subpart E, that it has been signed into effect by the proper authority and disseminated to all employees, and that it is on file in our office located at the subgrantee agency address for review or audit by state or federal officials as require by relevant laws and regulations.
Authorized Official Date
Section 4: Assurance and Submission of EEOP
I, _____________________________________________________, (authorizing official) assure that the funded entity will comply with the provisions of Title VI of the Civil Rights Act of 1964 and Section 504 of the Rehabilitation Act of 1973 as required. These statutes prohibit discrimination on the basis of race, color, national origin, age, or disability. I certify that the funded entity has formulated an Equal Employment Opportunity Plan (EEOP) in accordance with 28 CFR 42.301 et.seq., subpart E, that it has been signed into effect by the proper authority and disseminated to all employees. Further, I assure that the EEOP will be submitted to OKOHS for submission to the Office of Civil Rights within 30 days of receiving this award document.
Authorized Official Date
PROJECT CONTACT/SECONDARY AUTHORIZED OFFICIAL INFORMATION
Primary Contact Signature Date
Authorized to sign subgrant documents? Yes No (If “yes,” please sign below)
Title / Agency
Secondary Contact Signature Date Secondary Contact
AGENCY/JURISDICTION CHIEF EXECUTIVE OFFICER – PRIMARY AUTHORIZED OFFICIAL INFORMATION
City or County Official (Mayor, City Manager, County Commissioner)
I hereby authorize the individual(s) identified above to act on my behalf in coordination with the Oklahoma Office of Homeland Security (OKOHS) and to sign all documentation related to this subgrant.
PRINT Chief Executive Officer Name
OKOHS Award #
|Jurisdiction (City, County, etc.)
|State / Zip
Chief Executive Officer Signature Date
Form Revised as of: September 10, 2007 If any of the above information changes please submit a new SIGNATURE AUTHORIZATION FORM to OKOHS immediately.
Oklahoma Office of Homeland Security List of Required Documents
The Authorized Official must sign the required documents and return the originals to our office. Please keep a copy of ALL documents for your records.
1. OKOHS Memorandum, Schedule “A”. (SIGNATURE REQUIRED)
2. Sub-Grantee Award Document, Schedule “B”. (SIGNATURE REQUIRED)
3. Sub-grant Terms and Conditions, Schedule “1”. (SIGNATURE REQUIRED, RETURN ONLY PAGE 9)
4. U.S. Department of Justice Certifications regarding Lobbying; Debarment, Suspension and other Responsibility Matters; and Drug-Free Workplace Requirements, Schedule “2”. (SIGNATURE REQUIRED)
5. U.S. Department of Justice General Assurances Certificate, Schedule “3”. (SIGNATURE REQUIRED)
6. Equal Employment Opportunity Plan (“EEOP”) Certification, Schedule “4”. (SIGNATURE REQUIRED)
7. Authorization to Sign OKOHS Program Documents, Schedule “5”. (SIGNATURES REQUIRED)
8. Quarterly Status Report (due 15 days following each calendar quarter), Schedule “6”. (NO SIGNATURE REQUIRED)
Updated September 2012