HomeMy WebLinkAboutIowa Homeland Security-Grant Agreement-08.03.2009 g- 3-v S
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PROJECT GRANT AGREEMENT
between
Iowa Homeland Security and Emergency Management Division
and
City of Waterloo
PROJECT TITLE: 2008 City of Waterloo Property Acquisition Project
GRANT AGREEMENT NO: HMGP-DR-1763-0046 01
PROJECT NO: DR-1763-07-01
FEDERAL TAX ID#: 426005327
SCOPE OF WORK
This Grant Assistance Agreement (AGREEMENT) is to provide the City of Waterloo
(SUBGRANTEE) with federal assistance from the Hazard Mitigation Grant Program. The total
grant award is $5,715,669.00. The federal share shall not exceed $4,286,751.00 or(75%) of
actual allowable project costs, whichever is less. The state share shall be $571,566.00 or(10%)
and the SUBGRANTEE shall provide at least$857,352.00 or (15%) through local non-federal
(cash and/or in-kind) sources for actual allowable project costs. These funds are to assist the
SUBGRANTEE with the acquisition of properties for open space use in accordance with the
grant application that was submitted to and approved by Iowa Homeland Security and
Emergency Management Division (HSEMD) and the Federal Emergency Management Agency
(FEMA). All acquired properties must be returned to open space and carry the federally imposed
deed restriction language.
Any changes to the approved scope and/or budget must be submitted to, and approved by
HSEMD prior to executing the changes. This includes all Change Orders. The SUBGRANTEE
is required to obtain all necessary permits before any construction begins.
AGREEMENTS
HSEMD will provide financial oversight and management in the role of GRANTEE based on the
grant guidance, the grant financial guide and other State and federal guidelines. The GRANTEE
will provide technical assistance and direction to the SUBGRANTEE on programmatic and
financial requirements. The GRANTEE will provide all appropriate documents and forms and
make payments to the SUBGRANTEE to complete the approved scope of work.
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The Grantee is responsible for monitoring SUBGRANTEE activities to provide reasonable
assurance that the SUBGRANTEE administers federal awards in compliance with federal and
GRANTEE requirements. Responsibilities include the accounting of receipts and expenditures,
cash management, the maintaining of adequate financial records, and the refunding of
expenditures that are not eligible and allowable.
The SUBGRANTEE will be monitored periodically by the GRANTEE to ensure that the program
goals, objectives,timelines, budgets, and other related program criteria are being met. Monitoring
will be accomplished through a combination of office-based and on-site monitoring visits.
Monitoring will involve the review and analysis of the financial, programmatic, and
administrative issues relative to each program, and will identify areas where technical assistance
and other support may be needed.
The SUBGRANTEE will pass appropriate resolutions to assure HSEMD that it is participating,
and will continue to participate, in the National Flood Insurance Program, if mapped.
The SUBGRANTEE agrees to limit grant awards to eligible property owner applicants to the
pre-disaster market value of the land and structure based upon a signed purchase agreement
between the SUBGRANTEE and the property owner whose property has been approved by
FEMA for acquisition. The SUBGRANTEE will provide certification that the property owner is
a National of the United States or qualified alien. If the property owner purchased the property
after the relevant flood event, or is not a National of the United States or qualified alien, the post
flood value of the property will be the offer price of the land and structure.
The SUBGRANTEE will require and assist property owner applicants in providing evidence of
ownership by title, purchase contract, and/or certificate of title insurance as well as disclosure of
any liens or loans secured by the property.
Prior to closing on a property, the SUBGRANTEE will initiate a request through HSEMD to
FEMA Region VII with a list of property owner applicants for final Duplication of Benefits
(DOB)verification. Closing cannot commence until a final DOB is done if offering pre-disaster
market value.
The SUBGRANTEE agrees to submit source documents on a timely basis to HSEMD as
verification of how the funds for allowable project costs are expended. Source documents
include, but are not limited to, Purchase Offers, HUD Settlement Statements, copies of tax
assessment records, copies of appraisals if used as the basis for pre-flood fair market value,
invoices, and copies of all payments. A source document checklist has been provided and must
be adhered to for documentation that must be on file at the HSEMD.
The SUBGRANTEE agrees to acquire and demolish only those properties that have been
approved by FEMA Region VII and cleared by the State Historical Society of Iowa (SHSI). It is
permissible for the SUBGRANTEE to acquire properties prior to full compliance with Section
106 of the National Historic Preservation Act of 1966; however, demolition cannot occur until
the SHSI has made the determination of no historic effect. Documentation must be on file at
HSEMD.
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The SUBGRANTEE agrees to verify and certify that participating property owner applicants will
relocate outside the NFIP Special Flood Hazard Zone boundaries if offered replacement housing
benefit funds.
The SUBGRANTEE and the SUBGRANTEE's AUTHORIZED REPRESENTATIVE agree to
provide all supervision, inspection, accounting, and other services necessary to complete the
scope of work from inception to closeout with the requirements set forth below.
I. PERFORMANCE PERIOD
The approved performance period for this grant is from 7/15/2009 through 7/15/2012. All work
must be completed prior to the performance period ending. The SUBGRANTEE shall not incur
costs or obligate funds for any purpose pertaining to the operation of the project, program, or
activities beyond the expiration date of the period of performance.
If a time extension is needed, it must be requested at least 90 days prior to the performance
period end date. All requests must be supported by adequate justification submitted to HSEMD
in order to be processed. This justification is a written explanation of the reason or reasons for
the delay; an outline of remaining funds available to support the extended performance period;
milestones that are unmet; and a description of performance measures necessary to complete the
project. The Hazard Mitigation Extension Request Form will be made available to you. Without
the justification, extension requests will not be processed.
An exception to the local planning requirement for the SUBGRANTEE was granted by FEMA.
This exception allowed the SUBGRANTEE to pursue HMGP funds for eligible mitigation
projects. A stipulation of this planning exception is the completion of a FEMA approved local
mitigation plan within 12 months of the initial project grant award. With the approval of this
project award, the local mitigation plan must be adopted and FEMA approved by
7/15/2010 or the project grant will be terminated and all incurred costs after termination
will not be eligible for reimbursement.
II. AUTHORITIES AND REFERENCES.
The SUBGRANTEE shall comply with all applicable laws and regulations. A non-exclusive list
of laws and regulations commonly applicable to FEMA grants follows hereto for reference only.
• OMB Circular A-102—Uniform Administrative Requirements for Grants and
Cooperative Agreements with State and Local Governments
• OMB Circular A-87—Cost Principles for State and Local Governments—now codified at
2 CFR, Part 225
• OMB Circular A-133 —Audits of States, Local Governments, and Non-Profit
Organizations
• Section 404 of the Robert T. Stafford Disaster Assistance and Emergency Relief Act
(Stafford Act), 42 U.S.C. 5133, as amended by Section 102 of the Disaster Mitigation
Act of 2000 (DMA)
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• Title 44 of the Code of Federal Regulations (CFR)—especially Part 13, Administrative
Requirements and Part 80, Property Acquisition and Relocation for Open Space
• Title 31 CFR 205.6 Funding Techniques
• SUBGRANTEE's application that was received and approved by HSEMD and FEMA
III. GRANT MANAGEMENT SYSTEM
To ensure that federal funds are awarded and expended appropriately,the SUBGRANTEE will
establish and maintain a grant management system. The standards for SUBGRANTEE
organizations stem from the Office of Management and Budget's (OMB) uniform administrative
requirements and cost principles. State, local and tribal organizations must follow the uniform
administrative requirements standards in OMB Circular A-102, and cost principle standards in
OMB Circular A-87 (2 CFR, Part 225). These standards combined with the audit standards
provided within OMB Circular A-133, plus the requirements of the federal Cash Management
Improvement Act constitute the basis for all policies, processes and procedures set forth in this
grant management system for the SUBGRANTEE.
The SUBGRANTEE's grant management system must include:
• internal controls based on the American Institute for Certified Public Accountants
(AICPA) definitions and requirements in the government-wide administrative
requirements and cost principles
• a chart of accounts verifying that unique revenue and expenditure accounts or cost
centers or account codes have been established within the SUBGRANTEE's cash
management/accounting system for each separate grant program included in this
agreement
• be in compliance with the Cash Management Improvement Act(CMIA), and good
business processes
• procedures to minimize federal cash on hand
• the ability to track expenditures on a cash or accrual basis
• the ability to track expenditures in both financial and program budgets
• procedures to document all grant-related expenditures, broken down by budget line items
• procedures to ensure expenditures are eligible and allowable
• the ability to fulfill government-required financial reporting forms
IV. PROCUREMENT
This agreement requires that all procurement is executed by the SUBGRANTEE. Procurement
standards must be in accordance with the written adopted procedures of the SUBGRANTEE,
provided that the local procurement standards conform to applicable State and Federal law and
the standards identified in the 44 CFR, Section 13.36. The SUBGRANTEE will ensure that
every purchase order or other contract includes any clauses required by Federal statutes and
executive orders and their implementing regulations. The SUBGRANTEE must submit copies
of all bid documents and contract documents to HSEMD prior to awarding or executing
contracts. No contract will be accepted without HSEMD's prior review and approval.
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V. AUDIT
The SUBGRANTEE must comply with the requirements of the Single Audit Act Amendments
of 1996 and the Office of Management and Budget (OMB) Circular A-133. Reference: Catalog
of Federal Domestic Assistance (CFDA)Number: 97.039
VI. PAYMENT REQUEST PROCESS
The SUBGRANTEE may submit a payment request up to 30 days prior to an anticipated
expenditure or disbursement. Grant revenue received by the SUBGRANTEE must be placed in a
unique, separate account for this grant award. A non-interest-bearing checking account is
preferred. If interest is earned, the SUBGRANTEE agrees to comply with the federal
requirements from the 44 CFR, Section 13.21 (I). The SUBGRANTEE may keep interest earned
on Federal grant funds up to $100 per fiscal year. This maximum limit is not per award; it is
inclusive of all interest earned as a result of all federal grant program funds received per year.
SUBGRANTEE is required to report all interest earned at least quarterly to the GRANTEE.
HSEMD will provide instructions to the SUBGRANTEE for the disposition of reported interest
earned.
Payments to SUBGRANTEE are based on eligible expenditures that are specifically related to
the approved grant budget and scope of work. The SUBGRANTEE has two options available to
them when requesting payments from HSEMD. SUBGRANTEE can request Reimbursement
for allowable expenditures already paid, or request an Advance for expenditures expected to be
paid within 30 days.
Payments shall be limited to the documented cash requirements submitted by the
SUBGRANTEE. The SUBGRANTEE must submit a completed Payment Request Form and
provide supporting documentation of eligible project costs to receive payment of funds.
• Reimbursement requests must include payment verification (i.e. paid invoices, receipts,
payroll records with personnel activity reports, cancelled checks, general ledger print
outs, etc.).
• Advance payment requests must include a detailed cost estimate (i.e. invoices, quotes, or
other document). Payment verification documents (same documents required for a
Reimbursement request) for the advance must be submitted to HSEMD within a timely
manner(i.e. 30 days) after the advance, and before future advances are made.
No more than thirty (30) days should elapse between the date of receipt of a warrant and pay out
of the funds by the SUBGRANTEE. All supporting documentation must be submitted to
HSEMD immediately following the SUBGRANTEE's pay out of the funds.
Required documents prior to Payments from HSEMD. Payment of funds will not be made to
a SUBGRANTEE until HSEMD has on file the following documents:
• Signed Grant Agreement
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• SUBGRANTEE's Administrative Plan
• Substitute W9/Vendor Update Form (if not already on file at HSEMD)
• Chart of Accounts verifying that unique revenue and expenditure accounts or cost centers
or account codes have been established within the SUBGRANTEE's cash
management/accounting system for each separate grant program included in this
agreement
• Floodplain development permit (if applicable)
• Procurement documents: method of procurement, bid specifications approved by
HSEMD, copy of approved and executed contracts between the SUBGRANTEE and
contractor
• Site plans approved by FEMA (if applicable)
VII. Match Verification
The maximum federal share to this mitigation project grant cannot exceed 75% of eligible
project expenditures. Therefore, the matching funds (cash and in-kind) must be at least 15% of
eligible project expenditures, and the state share shall be 10%. The SUBGRANTEE is
responsible for submitting proof of the local non-federal match that was used for their
mitigation grant to HSEMD. Expenditures must be in accordance with the approved scope of
work and budget and in accordance with the 44 Code of Federal Regulations (CFR), Section
13.24, "Matching or cost sharing"
Cash match can be money contributed to the SUBGRANTEE by the SUBGRANTEE, other
public agencies and institutions, private organizations, and individuals as long as it comes from a
non-federal source and is not used to match any other federal award. Cash spent must be for
allowable costs in accordance with the SUBGRANTEE's approved scope of work and budget
and must be applicable to the period to which the cost sharing or matching requirement applies.
Documentation can be copies of the SUBGRANTEE's checks to the third parties and a copy of
the SUBGRANTEE's general ledger for revenues and expenses clearly showing the federal and
non-federal cash sources.
In-kind match must comply with the requirements of the 44 CFR, Section 13.24 (matching or
cost sharing). The value of in-kind contributions is also applicable to the period to which the
cost sharing or matching requirement applies. The in-kind match provided must be documented
by the third party contributing the in-kind services. The in-kind match must be specifically
stated in the SUBGRANTEE's scope of work and budget before in-kind match will be allowed
to match any mitigation grant. Documentation can be a letter (on letterhead) from the third party
stating the scope of their work, what is being contributed as it relates to the scope of work, the
value, a statement to the effect that the value is normally charged, and a statement that the value
is being waived on behalf of the SUBGRANTEE to meet the matching requirements to the
SUBGRANTEE's mitigation grant.
If the local match is insufficient to satisfy the local match requirements for receiving all available
federal funds, the awarded federal funds will be reduced accordingly so as not to exceed the
maximum federal share allowed under this award.
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VIII. REPORTING REQUIREMENTS
The mitigation grant program requires quarterly financial reporting and progress reporting,
relative to the approved scope of work. SUBGRANTEES are required to complete the quarterly
progress report forms that are provided by HSEMD and submit them by the due dates stated to
HSEMD. Due dates are; Jan15,April 15,July 15, and Oct 15. The first report is due
following the end of the reporting period in which the grant was awarded by FEMA. The
reporting periods are; Jan-Mar, April-June,July-Sept, and Oct-Dec.
WAIVERS
No conditions or provisions of this AGREEMENT can be waived unless approved by HSEMD
and the SUBGRANTEE, in writing. Unless otherwise stated in writing, HSEMD's failure to
insist upon strict performance of any provision of this AGREEMENT, or to exercise any right
based upon a breach, shall not constitute a waiver of any right or obligation specified under this
AGREEMENT.
AMENDMENTS AND MODIFICATIONS
This AGREEMENT may be amended or modified in reference to the grant funds provided,
administrative procedures, or any other necessary matter, but not to take effect until approved, in
writing, by HSEMD and the SUBGRANTEE.
COMPLIANCE, TERMINATION AND OTHER REMEDIES
Unless otherwise stated in writing, HSEMD requires strict compliance by the SUBGRANTEE
and its authorized representative(s) with the terms of this AGREEMENT, and the requirements
of any applicable local, state and federal statute, rules, regulations; particularly those included in
the Assurances in the Project Application which was submitted to FEMA by HSEMD.
HSEMD may suspend or terminate any obligation to provide funding or demand return of any
unused grant funds, following notice from HSEMD, if the SUBGRANTEE fails to meet any
obligations under this AGREEMENT or fails to make satisfactory progress toward
administration or completion of said project.
The SUBGRANTEE understands and agrees that HSEMD may enforce the terms of this
AGREEMENT by any combination or all remedies available to HSEMD under this
AGREEMENT, or under any other provision of law, common law, or equity.
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INDEMNIFICATION
1. It is understood and agreed by HSEMD and the SUBGRANTEE and its agents that
this AGREEMENT is solely for the benefit of the parties to this grant and gives no
right to any other party. No joint venture or partnership is formed as a result of this
AGREEMENT.
2. The SUBGRANTEE, on behalf of itself and its successors and assigns, agrees to
protect, save, and hold harmless HSEMD and the State of Iowa, and their authorized
agents and employees, from all claims, actions, costs, damages, or expenses of any
nature whatsoever by reason of the negligent acts, errors, or omissions of the
SUBGRANTEE or its authorized representative, its contractors, subcontractors,
assigns, agents, licensees, arising out of or in connection with any acts or activities
authorized by this AGREEMENT. The SUBGRANTEE's obligation to protect, save,
and hold harmless as herein provided shall not extend to claims or causes of action
for costs, damages, or expenses caused by or resulting from the negligent acts, errors,
or omissions of HSEMD, the State of Iowa, or any of their authorized agents or
employees.
3. The SUBGRANTEE further agrees to defend HSEMD, the State of Iowa, and their
authorized agents and employees against any claim or cause of action, or to pay
reasonable attorney's fees incurred in the defense of any such claim or cause of
action, as to which the SUBGRANTEE is required to protect, save, or hold harmless
said parties pursuant to paragraph 2 of this part. The SUBGRANTEE's obligation to
defend, or to pay attorney's fees for the defense of such claims or causes of action as
herein provided, shall not extend to claims or causes of action for costs, damages, or
expenses caused by or resulting from the negligent acts, errors, or omissions of
HSEMD, the State of Iowa, or any of their authorized agents or employees.
ACKNOWLEDGMENTS
The SUBGRANTEE shall include, in any public or private release of information regarding the
project, language that acknowledges the funding contribution by HSEMD and FEMA.
INDEPENDENT CONTRACTOR STATUS OF APPLICANT
The SUBGRANTEE, its officers, employees, agents and council members shall all perform their
obligations under this AGREEMENT as an independent contractor and not in any manner as
officers, employees or agents of HSEMD or the State of Iowa. All references herein to the
SUBGRANTEE shall include its officers, employees, city council/board members, and agents.
HSEMD shall not withhold on behalf of any such officer, employee, city council/board member,
or agent, or pay on behalf of any such person, any payroll taxes, insurance, or deductions of any
kind from the funds paid to the SUBGRANTEE for administrative purposes.
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GOVERNING LAW,VENUE AND SEVERABILITY
The laws of Iowa shall govern this AGREEMENT and venue for any legal action hereunder shall
be in the Polk County District Court of Iowa. If any provision under this AGREEMENT or its
application to any person or circumstances is held invalid by any court of rightful jurisdiction,
said invalidity does not affect other provisions of this AGREEMENT which can be given effect
without the invalid provision.
NOTICES
The SUBGRANTEE shall comply with all public notices or notices to individuals as required by
applicable state and federal laws, rules, and regulations and shall maintain a record of such
compliance.
RESPONSIBILITY FOR PROJECT
While HSEMD undertakes to provide technical assistance to the SUBGRANTEE and its
authorized representative in the administration of the project, said project remains the sole
responsibility of the SUBGRANTEE in accomplishing grant objectives and goals. HSEMD
undertakes no responsibility to the SUBGRANTEE, or any third party, other than what is
expressly set out in this AGREEMENT.
NOTICES AND COMMUNICATIONS BETWEEN HSEMD AND APPLICANT
All written notices and communications to the SUBGRANTEE by HSEMD shall be to:
Aric Schroeder, City Planner
City of Waterloo
715 Mulberry Street
Waterloo IA 50703
Or the Alternate Point of Contact,
Mark Boesen, Rehabilitation
City of Waterloo
620 Mulberry Street
Waterloo IA 50703
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All written communications to HSEMD by the SUBGRANTEE and its authorized representative
shall be to:
Patrick Hall
Attention: Mitigation Section
Iowa Homeland Security & Emergency Management Division
7105 NW 70`h Avenue
Camp Dodge Bldg, W4
Johnston, Iowa 50131
ENTIRE GRANT AGREEMENT
This AGREEMENT sets forth the entire AGREEMENT between HSEMD and the
SUBGRANTEE with respect to subject matter hereof. Commitments, warranties,
representations and understandings or agreements not contained, or referred to, herein or
amended thereto shall not be binding on either HSEMD or the SUBGRANTEE. Except as may
be expressly provided herein, no alteration of any of the terms or conditions of this
AGREEMENT will be effective without written consent of both parties.
IN WITNESS WHEREOF, HSEMD and the SUBGRANTEE have executed this AGREEMENT
by the signatures of authorized persons of both entities and on the dates indicated below:
Iowa Homeland Security and Emergency City of Waterloo:
Management Division:
Patrick Hall Tim Hurley,
Alternate GAR Mayor
S- 3 —CI 9
Date Date
Signature of Authorized Representative (optional)
Date
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