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GRANT PROGRAM

Sub-grant Award Terms and Conditions

(CLICK HERE) For a printable copy of the Terms and Conditions.

(CLICK HERE) For a printable Quarterly Status Report.

(CLICK HERE) For a printable Signature Authorization Form.

Instructions:
The Authorized Official must sign the following required documents and return 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 10)

4. Lobbying; Debarment, Suspension and other Responsibility Matters; and Drug-Free Workplace Requirements, Schedule “2”.  (SIGNATURE REQUIRED))

5. Authorization to Sign OKOHS Program Documents, Schedule “3”. (SIGNATURES REQUIRED)

6. Quarterly Status Report, Schedule “4”.  (SIGNATURE NOT REQUIRED AT THIS TIME. This form is included for your convenience only.  Report due 15 days following each calendar quarter.)

Grant Terms and Conditions and Homeland Security Grant Program Agreement Articles (referenced in parenthesis)

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.

As a condition of receipt of this grant, the Sub-grantee understands and agrees:

1. Acknowledgement of Federal Funding from DHS (Agreement Article 19): All recipients must acknowledge their use of federal funding when issuing statements, press releases, request for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part with Federal funds.     

2. Activities Conducted Abroad (Agreement Article 18): All recipients must ensure that project activities carried on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses, permits, or approvals are obtained.     

3. Allowable Costs:

(Agreement Article 2): The recipient agrees that all allocations and use of funds under this grant will be in accordance with the Funding Opportunity Announcement.

OKOHS requires that Costs charged to this project are subject to advance written approval by OKOHS.

OKOHS requires 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.  

OKOHS requires 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.  

4. Americans with Disabilities Act of 1990 (ADA):  The Sub-grantee must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable.

5. 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/ 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).

6. Audit Requirements:  The Sub-grantee agrees to comply with the requirements of OMB Circular A-133.

Entities that expend $500,000 or more in Federal funds (from all sources) in a fiscal year require 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.

7. Best Practices for Collection and Use of Personally Identifiable Information (PII) (Agreement Article 17):  All award recipients who collect PII are required to have a publically-available privacy policy that describes what PII they collect, how they use the PII, whether they share PII with third parties, and how individuals may have their PII corrected where appropriate.  
Award recipients may also find as a useful resource the DHS Privacy Impact Assessments:  http://www.dhs.gov/xlibrary/assets/privacy/privacy_pia_guidance_june2010.pdf and http://www.dhs.gov/xlibrary/assets/privacy/privacy_pia_template.pdf, respectively.

8. Civil Rights Compliance and Notifications of Findings (Agreement Article 3, 5-6): The Sub-grantee will comply with the nondiscrimination requirements of Title VI of the Civil Rights Act of 1964, as amended: Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title II of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; Age Discrimination Act of 1975; Department of Homeland Security’s Non-Discrimination Regulations, 28CFR Part 35 and 39.  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.  In the event of Federal or State Court, Federal or State administrative agency, or the Sub-grantee or Contractor makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of fund, the Sub-grantee or Contractor will forward a copy of the findings to OKOHS who will, in turn, submit the findings to the Department of Homeland Security and the Office of Justice Programs’ Office of Civil Rights.

9. Community Emergency Response Team (CERT) Training: That any CERT training funded with OKOHS/FEMA grant funds will be conducted by OKOHS approved trainers.

10. Compliance Agreement: The Sub-grantee agrees to abide by all Terms and Conditions including "Special Conditions" placed upon the grant award by OKOHS.  Failure to comply could result in a "Stop Payment" being placed on the grant.

11. Commingling of Funds: The 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.

12. Confidential Information: Any reports, information, data, etc., given to, prepared or assembled by the Sub-grantee under this grant (which OKOHS requests to be kept confidential) shall not be made available to any individual or organization by the Sub-grantee without prior written approval of OKOHS.  

13. Conflict Of Interest: 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.  

14. Copyright (Agreement Article 16): All recipients must affix the applicable copyright notices of 17 U.S.C. § 401 or 402 and an acknowledgement of Government sponsorship (including award number) to any work first produced under Federal financial assistance awards, unless the work includes any information that is otherwise controlled by the Government (e.g., classified information or other information subject to national security or export control laws or regulations).

15. Data Universal Numbering System (DUNS) Numbers: 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

16. Debarment Certification (Agreement Article 15):  All recipients must comply with Executive Orders 12549 and 12689, which provide protection against waste, fraud and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the Federal government.  See Schedule 2

17. DHS Seals, Logo, and Flags (Agreement Article 4):  All recipients must obtain DHS’s approval prior to using the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seal, logo crests or reproduction of flags or likenesses of Coast Guard officials.    

18.  Drug-Free Workplace Certification (Agreement Article 14):  All recipients must comply with the Drug-Free Workplace   Act of 1988 (412 U.S.C. § 701 et seq.), which requires that all organizations receiving grants from any Federal agency  agree  to maintain a drug-free workplace. The regulations are codified at 2 CFR 3001.  See Schedule 2

19. Duplication of Benefits (Agreement Article 13): State, Local and Tribal Recipients must comply with 2 CFR Part §225, Appendix A paragraph (C)(3)(c), which provides that any cost allocable to a particular Federal award or cost objective under the principles provided for in this authority may not be charged to other Federal awards to overcome fund deficiencies.  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.  

20. Environmental and Historic Preservation (EHP): 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). Sub-grantee shall not undertake any project having the potential to impact EHP resources without the prior approval of FEMA’s EHP division, including but not limited to communications towers, physical security enhancements, new construction, modifications to buildings, ground distrubance, and the purchase and use of sonar equipment. Sub-grantees should submit the FEMA EHP Screening Form for each project as soon as possible following receipt of their grant award. Any construction activities that have been initiated prior to the full environmental and historic preservation review could result in a non-compliance finding. Failure of the Sub-grantee to meet Federal, State, and local EHP requirements and obtain applicable permits may jeopardize Federal funding.

21. Equal Employment Opportunity:  No person shall on the grounds of race, creed, color or national origin, be excluded from participation in, be refused the benefits of, or be otherwise subjected to discrimination under sub grants awarded pursuant to the Act governing these funds or any project, program, activity or sub-grant supported by such requirements of Title VI of the Civil Rights Act of 1964, and all applicable requirements pursuant to the regulations of the Department of Commerce (Title 15, code of Federal Regulations, Part 8, which have been adopted by the Federal Funding Agency); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Labor Regulation 41 CFR Part 60; and the Department of Justice Non-discrimination Regulations 28 CFR Part 42,  Subparts C, D, E and G.  The Sub-grantee must therefore ensure it has a current Equal Employment Opportunity Program (EEOP) which meets the requirements of 28 CFR 42.301.  The Sub-grantee further agrees to post in a conspicuous place, available to all employees and applicants for employment, notices setting forth the provisions of the EEOP, as supplemented in Department of Labor Regulations 41 CFR Part 60. The Sub-grantee assures that in the event a federal or state court or federal or state administrative agency makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin or sex against a recipient of funds, the recipient will immediately forward a copy of the findings to OKOHS

22. Equipment: 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”.

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.

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 grant acceptance documents, the authorized official certifies employees have received or will receive required training prior to utilizing equipment purchased with OKOHS/FEMA funding.

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.  

To maintain a state of readiness for equipment and personnel to respond to a terrorist incident.

23. Exercises: 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.

24. False Claims Act and Program Fraud Civil Remedies (Agreement Article 12): All recipients must comply with the requirements of 31 U.S.C. § 3729 which set forth that no recipients of federal payments shall submit a false claim for payment.  See also 38 U.S.C. § 3801-3812 which details the administrative remedies for false claims and statements made.

25. Federal Debt Status (Agreement Article 11):  All recipients are required to be non-delinquent in their repayment of any Federal debt.  Examples of relevant debt include delinquent payroll and other taxes, audit disallowances, and benefit overpayments.  See OMB Circular A-129 and form SF-424, item number 17 for additional information and guidance.  

26. Financial Guidelines (Agreement Article 20):  The Sub-grantee shall comply with the most recent version of the Administrative Requirements, Cost Principles, and Audit Requirements.  A non-exclusive list of regulation commonly applicable to FEMA greats are listed below:
 
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
http://www.whitehouse.gov/omb/circulars/index.html

27. Fly America Act of 1974 (Agreement Article 10): All recipients must comply with Preference for U.S. Flag Air Carriers: Travel supported by U.S. Government funds requirement, which states preference for the use of U.S. flag air carriers (air carriers holding certificates under 49 U.S.C. §41102) for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. §40118) and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision B138942.   

28. Fusion Center: The Sub-grantee agrees 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.

The Sub-grantee agrees 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.

29. Hotel and Motel Fire Safety Act of 1990 (Agreement Article 9): In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, 15 U.S.C. §2225(a), all recipients must ensure that all conference, meeting, convention, or training space funded in whole or in part with Federal funds complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974 15 U.S.C. §2225.   

30. Interest and Other Program Income: The applicant agrees to be accountable for all interest or other income earned by the Sub-grantee with respect to sub-grant funds or as a result of conduct of the project (sale of publications, registration fees, service charges, etc.)  All program income generated by this grant during the project must be reported to OKOHS quarterly and must be put back into the project or be used to reduce the Grantor participation in the program.  The use or planned use of all program income must have prior written approval from OKOHS.

31. Interoperable Equipment: That interoperability of equipment and establishment of multi-regional mutual aid is strongly encouraged and in some cases may be mandated by OKOHS.

*Interoperable Communications (IOC) equipment must comply with OKOHS state minimum standards (see http://www.ok.gov/homeland/Interoperable_Communications/Minimum_Standards_for_Communication_Equipment_Purchases/index.html)

32. Inventory: 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, the results reconciled with the property records at least once every two years, and submitted to OKOHS. Inventory records must be maintained which include:

• Description of the property;
• Serial number or other identification number;
• Source of the property;
• Identification of title holder;
• Acquisition date;
• Cost of the property;
• Percentage of Federal participation in the cost of the property;
• Location of the property;
• Use and condition of the property; and
• Disposition data, including the date of disposal and sale price.

33. Leverage of Funding: 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.  

34. Lobbying (Article 8): All recipients must comply with 31 U.S.C. §1352, which provides that none of the funds provided under an award may be expended by the recipient to pay any person to influence, or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any Federal action concerning the award or renewal. See Schedule 2

35. Monitoring: The Sub-grantee agrees to comply with monitoring requirements of OKOHS including, but not limited to, a willingness to provide reasonable access to relevant records, equipment and maintenance of an up to date equipment inventory.

36. National Incident Management System (NIMS) Implementation: To comply with any National Incident Management Systems (NIMS) compliance requirements as set forth by OKOHS or the NIMS Integration Center including, but not limited to, ongoing NIMS compliance by the Sub-grantee jurisdiction during the term of the grant.

37. Non-Supplanting Agreement (Agreement Article 7):  The Sub-grantee shall not use Grantor funds to supplant state or local funds or other resources that would otherwise have been made available for this program. That federal funds expended in connection with this award will be used to supplement, but not supplant, state or local funds.

38. Obligation of Grant Funds: 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.

39. Political Activity: 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).

40. Procurement: The recipient agrees 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.

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.

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.
41. Program Guidance: To comply with all applicable laws, regulations and the applicable FEMA Grant’s Program Guidance. 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).  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:  
http://www.fema.gov/government/grant/index.shtm

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.

To utilize grant funds for the furthering of the OKOHS State Strategy, the National Preparedness Guidelines and the DHS/FEMA defined National Priorities.

To comply with grant closeout procedures established by OKOHS.

42. Project Implementation:  The Sub-grantee agrees to implement and complete this project within the project period of the grant or be subject to forfeiture of grant funds.

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.

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.

43. Property Control/Disposition:  Effective control and accountability must be maintained for all personal property.  Sub-grantees must adequately safeguard all such property and must assure that it is used solely for authorized purposes. Sub-grantees should exercise caution in the use, maintenance, protection and preservation of such property.

Title:  Subject to the obligations and conditions set forth in 44 CFR Part 13.32 (formerly OMB Circular A-102), title to non-expendable property acquired in whole or in part with grant funds shall be vested in the Sub-grantee. Non-expendable property is defined as any item having a useful life of more than one year and an acquisition cost of $5,000 or more per unit.

Use and Disposition:  Equipment shall be used by the Sub-grantee in the program or project for which it was acquired as long as needed, whether or not the program or project continues to be supported by federal funds. 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.

44. Protected Critical Infrastructure Information (PCII): 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 State Administering Agencies (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.

45. Publications: 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.”

46. Records (Agreement Article 3, 1-4):  All recipients of financial assistance must acknowledge and agree—and require any Sub-grantee, contractors, successors, transferees, and assignees acknowledge and agree—to comply with applicable provisions governing DHS access to records, accounts, documents, information, facilities, and staff.

Recipients must cooperate with any compliance review or complaint investigation conducted by DHS.

Recipients must give DHS access to and the right to examine and copy records, accounts, and other documents and sources of information related to the grant and permit access to facilities, personnel, and other individuals and information as may be necessary, as required by DHS regulations and other applicable laws or programs guidance.

Recipients must submit timely, complete, and accurate reports to the appropriate DHS officials and maintain appropriate backup documentation to support the reports.

That requested or relevant training records of Sub-grantees must be submitted to the OKOHS Training and Exercise Coordinator.

47. Recording and Documentation of Receipts and Expenditures:  Sub-grantee’s accounting procedures must provide for accurate and timely recording of receipt of funds by source of expenditures made from such funds and unexpended balances.  These records must contain information pertaining to grant awards, obligations, unobligated balances, assets, liabilities, expenditures and program income.  Controls must be established which are adequate to ensure that expenditures charged to the sub-grant activities are for allowable purposes.  Additionally, effective control and accountability must be maintained for all grant cash, real and personal property and other assets.  Accounting records must be supported by such source documentation as cancelled checks, paid bills, payrolls, time and attendance records, contract documents, grant award documents, etc.

48. Rehabilitation Act of 1973: 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. Reports: To provide quarterly status reports (as required by OKOHS), information and other documentation as may be required by OKOHS.

To cooperate with any assessments, national evaluation efforts, or information or data collection requests related to any activities within this project.

To provide DHS/FEMA and OKOHS reasonable assistance with assessments conducted to (a) determine the existing level of preparedness within the Sub-grantee’s jurisdiction; (b) determine the homeland security related needs of the jurisdiction, and (c) measure progress in achieving state and federal preparedness goals.   

50. Retention of Records: 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.

51. Sanctions: 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:

• Temporarily withhold cash payments pending correction of the deficiency by the Sub-grantee.
• 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.
• Wholly or partly suspend or terminate the current award.
• Withhold future awards for the project or program.
• Pursue any other legal remedy that may be available.
• Require reassignment of 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.

52. Trafficking Victims Protection Act of 2000 (TVPA) (Agreement Article 6): The Sub-grantee agrees that they will not participate in or knowingly ignore, aid or abet illegal Trafficking in Persons [as more fully described in Section 106(g) of the Trafficking Victims Protection Act of 2000 (“TVPA”), as amended (22 U.S.C. 7104(g), located at 2 CFR Part 175] 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.    

53. Unauthorized Expenditures: 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)

54. USA Patriot Act of 2001(Agreement Article 5): All recipients must comply with the requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175-175c. Among other things, the USA PATRIOT Act prescribes criminal penalties for possession of any biological agent, toxin, or delivery system of a type or in a quantity that is not reasonably justified by a prophylactic, protective, bona fide research, or other peaceful purpose.   

55. Utilization of Minority Businesses: Sub-grantees are encouraged to utilize qualified minority firms where cost and performance of major contract work will not conflict with funding or time schedules.

56. Written Approval of Changes: Sub-grantee must 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.

Authorized Official:

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Name Please type or print

___________________________________________________________________________
Signature

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Date

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).

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Authorized Official Date

 

Updated December 2013