HomeMy WebLinkAbout5446 RESOLUTION NO. 5446
A RESOLUTION OF THE CITY COUNCIL OF THE
CITY OF AUBURN, WASHINGTON, AUTHORIZING
THE MAYOR TO ACCEPT AND EXPEND FEDERAL
GRANT FUNDS ADMINISTERED BY THE
WASHINGTON STATE MILITARY DEPARTMENT
FOR THE RESERVOIR 1 SEISMIC CONTROL
VALVE PROJECT
WHEREAS, the City was previously awarded a Washington State Military
Department Hazard Mitigation Grant (Grant No. D16-010) for the Reservoir 1
Seismic Control Valve Project (Project), which the City accepted through
Resolution 5285; and
WHEREAS, the City applied for and received approval from the
Washington State Military Department for additional grant funding, which the City
accepted through Resolution 5382; and
WHEREAS, the Project was completed in early July of 2019, however,
due to extraordinary circumstances identified by the Washington Military
Department Emergency Management Division the distribution of grant funds was
not completed by the time the original contract expired on June 30, 2019; and
WHEREAS, it is in the best interest of the City to enter into a new Hazard
Mitigation Grant Agreement with the State to receive reimbursement for the
project construction.
NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF AUBURN,
WASHINGTON, HEREBY RESOLVES as follows:
Section 1. The Mayor is authorized to execute a Project grant
agreement between the City and the State of Washington for the receipt and
Resolution No. 5446
Date
Page 1 of 2
utilization of hazard mitigation grant funds for the Project in substantial conformity
with the grant agreement attached, marked as Exhibit A. In addition, the Mayor
is authorized to negotiate, finalize, and execute any further necessary
supplemental agreements related to the Project as may be needed, expending
up to the total amount of the grant.
Section 2. The Mayor is authorized to implement such administrative
procedures as may be necessary to carry out the directives of this legislation.
Section 3. This Resolution shall take effect and be in full force upon
passage and signatures.
•Dated and Signed this5 day of ._-s \ , 2019.
CITY OF AUBURN
• vP at)evA4
ANCY BA : , MAYOR
ATTEST:
\
Shawn Campbell, MMC, City Clerk
APPROVED AS TO FORM:
f` ' Ik
404,
Steve Gross, ity Attorney
Resolution No. 5446
Date
Page 2 of 2
Washington State Military Department
HAZARD MITIGATION GRANT AGREEMENT FACE SHEET
1. Sub-Grantee Name and Address: 2. Total Grant Amount: 3. Grant Number:
City of Auburn $380,216.74 D20-003
25 W.Main Street
Auburn,WA 98001 $285,162.56 F,$47,527.09 S,$47,527.09 L
4. Sub-Grantee Contact,phone/email: 5. Grant Start Date: 6. Grant End Date:
Susan Fenhaus(253)804-5061 July 2,2019 January 1,2020
sfenhausaauburnwa.dov
7. Department Program Manager, phone/email: 8. Data Universal Numbering System (DUNS): 9. UBI#(state revenue):
Tim Cook,(253)512-7072 032942575 171-000-010
Tim.cook@mil.wa.gov
10. Funding Authority:Washington State Military Department(the"Department"),and Federal Emergency Management Agency(FEMA)
11. Funding Source Agreement#: 12. Program Index# 13. Catalog of Federal Domestic Asst. 14. TIN or SSN:
FEMA-4168-DR-WA-6-R 744F2/742L3 (CFDA)#&Title: 97.039(HMGP) 91-6001228
15. Service Districts: 16. Service Area by County(ies): 17. Women/Minority-Owned,State
(BY LEGISLATIVE DISTRICT):30th,31st
&47King and Pierce County Certified?: X N/A 0 NO
(BY CONGRESSIONAL DISTRICT):8th&9th ❑ YES, OMWBE#
18. Contract Classification: 19. Contract Type(check all that apply):
❑ Personal Services 0 Client Services X Public/Local Gov't 0 Contract X Grant X Agreement
❑ Collaborative Research 0 NE 0 Other 0 Intergovernmental (RCW 39.34) 0 Interagency
20. Contractor Selection Process: 21. Contractor Type(check all that apply)
X "To all who apply&qualify" 0 Competitive Bidding 0 Private Organization/Individual 0 For-Profit
❑ Sole Source 0 NE RCW 0 N/A X Public Organization/Jurisdiction X Non-Profit
❑ Filed w/OFM? 0 Advertised? 0 YES ONO 0 VENDOR X SUBRECIPIENT X OTHER
22. BRIEF DESCRIPTION:
The purpose of this contract is a continuation of Contract D16-010; including Amendments A and B. FEMA's Hazard Mitigation Grant
Program provides grants for mitigation planning and cost-effective mitigation actions after a Presidential disaster declaration to reduce the
risk of loss of life and property damage in future disasters. Title: Project 4168-6-R—Reservoir 1 Seismic Control Valve-Provide funds
to City of Auburn to install seismic control valve at the City's largest reservoir, preventing water from escaping from the reservoir in case
of an earthquake. Project details are noted in the Certification and Assurances, Statement of Work and/or Description of the Project,
Project Development Schedule, Project Budget, and the FEMA approved project application, each of which are incorporated herein by
this reference.
IN WITNESS WHEREOF,the Department and Sub-Grantee acknowledge and accept the terms of this Grant Agreement,exhibits,references and
attachments hereto and have executed this Grant Agreement as of the date and year written below. This Grant Agreement Face Sheet; Special
Terms &Conditions (Attachment 1); General Terms and Conditions (Attachment 2); Certification and Assurances (Attachment 3); Statement of
Work and/or Description of Project(Attachment 4); Project Development Schedule (Attachment 5); Project Budget(Attachment 6); and all other
documents, exhibits and attachments expressly referenced and incorporated herein contain all the terms and conditions agreed upon by the
parties and govern the rights and obligations of the parties to this Grant Agreement. No other understandings, oral or otherwise, regarding the
subject matter of this Grant Agreement shall be deemed to exist or to bind any of the parties hereto.
In the event of an inconsistency in this Grant Agreement, unless otherwise provided herein, the inconsistency shall be resolved by giving
precedence in the following order:
1. Applicable Federal and State Statutes and Regulations
2. Statement of Work and/or Project Description as outlined in FEMA approved Project Application
3. Special Terms and Conditions
4. General Terms and Conditions,and,
5. Other provisions of the contract incorporated by reference.
WHEREAS, the parties hereto have executed this Grant Agreement on the day and year last specified below.
FOR THE DEPARTMENT: F3HE S :-GRANTEE:
2.1
Signature Date ?ignatur' ate
Regan Anne Hesse, Chief Financial Officer Nancy Bs, Mayor
Washington State Military Department City of Au• n
BOILERPLATE APPROVED AS TO FORM: _ AP D AS TO FVM:
Brian E. Buchholz(signature on file) 1/28/2014 t_As+ u1 - qi it f2-0 if
Assistant Attorney General Date
Form 1/28/2014 mll
HMGP Page 1 of 37 City of Auburn, D20-003
Attachment 1
Washington State Military Department
SPECIAL TERMS AND CONDITIONS
ARTICLE I - KEY PERSONNEL:
1. The individuals listed below shall be considered key personnel and point of contact. Any
substitution by either party must be submitted in writing.
SUB-GRANTEE MILITARY DEPARTMENT
Name Susan Fenhaus Name Tim Cook
Title Water Utility Engineer Title State Hazard Mitigation Officer
E-Mail sfenhaus(a�auburnwa.gov E-Mail Tim.cook@mil.wa.gov
Phone 253-804-5061 Phone 253-512-7072
Name Lisa Tobin Name Ryan Chandler
Title Utilities Engineering Manager Title Hazard Mitigation Grant Program
Coordinator
E-Mail Itobin(a�auburnwa.gov E-Mail Ryan.chandler@mil.wa.gov
Phone 253-804-5062 Phone 253-512-7460
Name Consuelo Rogal Name
Title Financial Analyst Title
E-Mail crogel(a�auburnwa.gov E-Mail
Phone 253-804-5023 Phone
ARTICLE II—ADMINISTRATIVE AND/OR FINANCIAL MANAGEMENT AND ACCOUNTING:
The SUB-GRANTEE shall comply with all applicable state and federal laws, regulations, and
program guidance. A non-exclusive list of laws, regulations and guidance commonly
applicable to FEMA grants are listed here for reference only, and include but are not limited
to, the following:
1. Applicable FEMA CFR and Program Guidance provisions:
• Title 44 Code of Federal Regulations (CFR) Part 206, Subpart N (206.430- .440),
Hazard Mitigation Grant Program.
• Title 44 CFR Part 79, Flood Mitigation Grants.
• Title 44 CFR Part 80, Property Acquisition and Relocation for Open Space.
• Title 44 CFR Part 7, Nondiscrimination in Federally Assisted Programs.
• Title 44 CFR Part 9, Floodplain Management and Protection of Wetlands.
• Title 44 CFR Part 10, Environmental Considerations.
• Title 44 CFR Part 16, Enforcement of Nondiscrimination on the Basis of Handicap.
• Title 44 CFR Part 17, Government wide Requirements for Drug-Free Workplace.
• Title 44 CFR Part 18, New Restrictions on Lobbying.
• Hazard Mitigation Assistance Unified Guidance, FEMA, July 12, 2013.
2. Cost Principles:
• 2 CFR Part 220 — OMB Circular A-21, as revised, Cost Principles for Educational
Institutions.
• 2 CFR Part 225 as revised, Cost Principles for State, Local and Indian Tribal
Governments.
• 2 CFR Part 230 as revised, Cost Principles for Non-Profit Organizations.
3. Administrative Requirements:
HMGP Page 2 of 37 City of Auburn, D20-003
• 44 CFR Part 13, Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments.
• OMB Circular A-102, as revised, Grants and Cooperative Agreements with State and
Local Governments.
• 2 CFR Part 215— OMB Circular A-110, as revised, Uniform Administrative Requirements
for Grants and Cooperative Agreements with Institutions of Higher Education, Hospitals,
and Other Non-Profit Organizations.
4. Audit Requirements:
• OMB Circular A-133, as revised, Audits of States, Local Governments, and Non-Profit
Organizations.
5. The Sub-Grantee shall comply with the Federal Funding Accountability and Transparency
Act (FFATA) and related OMB Guidance consistent with Public Law 109-282 as amended
by section 6202(a) of Public Law 110-252 (see 31 U.S.C. 6101 note), and complete and
return to the Department Attachment 7 attached to and made a part of this Agreement.
ARTICLE III—COMPENSATION SCHEDULE:
1. PROJECT FUNDING
The Department will administer the Hazard Mitigation Grant Program and will pass through
the federal match and commit the required state match. The Sub-Grantee will commit the
required local match.
a. The total cost of the project (total project cost) for the purposes of this Grant Agreement
is $380,216.74 dollars; PROVIDED that, if the total cost of the project when completed,
or when this Grant Agreement is terminated, is actually less than above, the actual cost
shall be substituted herein.
b. The value of the contributions by the Sub-Grantee to the project shall be $47,527.09
dollars, or 12.5 percent, at minimum, of the total project cost. The Sub-Grantee's
contributions may be cash or in-kind, must be from a non-federal source, must be
reasonable, allowable and allocable, and must comply with all Federal requirements and
regulations.
c. When the Department enters into an agreement with the Federal Emergency
Management Agency (FEMA) to contribute federal funds to this project, that federal
contribution will be $285,162.56 dollars, or 75 percent of the total project cost, whichever
is less.
d. The value of the contributions by the Department to the project shall be $47,527.09
dollars, or 12.5 percent, at minimum, of the total project cost. The Department's
contributions must be from a non-federal source and must comply with all Federal
requirements and regulations.
e. The Department shall not be obligated to pay any amount beyond that set out in
Subsections c and d above, unless that additional amount has been approved in
advance by both the Department and Sub-Grantee and is incorporated by written
amendment into this Grant Agreement.
f. Except as provided in Article III, 1. g. of this Agreement, some flexibility to shift funds
between budget categories is allowed as follows: Transfer of funds between total direct
cost categories in the approved budget will not be reimbursed without the prior written
authorization of the Department and FEMA when such cumulative transfers among
those approved cost categories exceed 10 percent of the total budget. Approved budget
categories are as specified or defined in the Project Budget, Attachment#6.
g. Transfer of funds between construction and non-construction budget categories is
allowed only upon prior written approval and authorization of the Department. Approved
budget categories are as specified or defined in the Project Budget, Attachment#6.
HMGP Page 3 of 37 City of Auburn, D20-003
2. GRANT AGREEMENT PERIOD
Activities payable under this Grant Agreement and to be performed by the Sub-Grantee
under this Grant Agreement shall only be those after the obligation of federal funds on
September 15, 2016 and shall terminate on April 2, 2016. This period shall be referred to
herein as the Grant Agreement Period and/or Period of Performance, unless expressly
stated otherwise. Costs incurred during the Grant Agreement Period shall include pre-award
costs authorized in writing by FEMA as well as eligible costs incurred after the effective date
of the Grant Agreement Period and before termination.
a. The Sub-Grantee shall complete the project as described in the FEMA approved project
application 4168-6-R, incorporated in and made a part of this Agreement by reference,
and as described in Attachments #4, #5 and #6. In the event of extenuating
circumstances, the Sub-Grantee may request, in writing, that the Department extend the
deadline for Grant Agreement completion. The Department may, in its sole discretion,
extend the deadline only by written amendment to this Agreement.
b. No expenditure made, or obligation incurred, before or after the Grant Agreement Period
shall be eligible, in whole or in part, for grant funds with the exception of pre-award costs
authorized in writing by FEMA. In addition to any remedy the Department may have
under this Grant Agreement, the amounts set out in Article III, section 1. Project
Funding, above, may be reduced to exclude any such expenditure from participation.
c. Failure to complete the project in a timely manner, as outlined in Attachment #5, is a
material breach of this Grant Agreement for which the Department is entitled to
termination or suspension under Attachment 2, section A.32.
3. PROJECT PAYMENT(s)
The Department, using disaster funds from PL 93-288, the Robert T. Stafford Disaster Relief
and Emergency Assistance Act, as amended, and the State of Washington, for the Hazard
Mitigation Grant Program, shall issue payments to the Sub-Grantee as follows:
a. Payment for eligible, reimbursable work completed and billed on an A-19, Voucher
Distribution, upon receipt of acceptable documentation, to include, but not limited to,
copies of receipts for all goods and services purchased, copies of invoices from
contractors and subcontractors for work completed, and copies of timesheets for staff
involved with the project, sign-in/sign-out sheets for donated personnel and/or volunteer
time spent on the project, and documentation to support other in-kind contributions.
b. The Department reserves the right to withhold disbursement of up to 10 percent of the
total project cost, as specified in Article III, section 1, Project Funding, to the Sub-
Grantee until the project has been completed and given final approval by the
Department.
c. Final Payment: Final payment of any remaining, or withheld, funds will be made within
60 days after submission by the Sub-Grantee of the final report, final A-19, Voucher
Distribution, and completion of all final inspections by the Department.
Final payment by the Department also may be conditioned upon a financial review, if
determined necessary by the Department. Adjustments to the final payment may be
made following any audits conducted by the Department, Washington State Auditor's
Office, the United States Inspector General, or their authorized representatives.
ARTICLE IV— DOCUMENTATION
The Sub-Grantee is required to retain all documentation which adequately identifies the source
and application of all mitigation grant funds for six years following the closure of this grant. For
all funds received, source documentation includes adequate accounting of actual costs and
recoveries incurred.
HMGP Page 4 of 37 City of Auburn, D20-003
ARTICLE V— REPORTS:
1. In addition to the reports as may be required elsewhere in this Grant Agreement, the Sub-
Grantee shall promptly prepare and submit the following reports to the Department's Key
Personnel:
a. Quarterly progress reports, no later than the 15th day following the end of the fiscal
quarter, indicating the status of the project, to include a brief narrative on progress
during the quarter. The report shall identify the costs incurred to date, the percentage of
work completed, the anticipated completion date of the project, and whether cost under
runs or over runs are expected. In addition, the Sub-Grantee should note any
challenges or issues associated with the project. Failure to submit a complete quarterly
report within 15 days following the end of the quarter will result in suspension of all
payments to the Sub-Grantee until a complete quarterly report is received by the
Department.
b. A final report when the project is completed, prematurely terminated, or project
assistance is terminated. The report shall include a final accounting of all expenditures
and a description of work accomplished. If the project is not completed, the report shall
contain an estimate of the percentage of completion and shall indicate the degree of
usefulness of the completed project. The report shall account for all expenditures not
previously reported and shall include a summary for the entire project.
ARTICLE VI—TIME EXTENSIONS
A time extension request for Grant Agreement completion must be submitted by the Sub-
Grantee to the Department no later than 60 days before the end of the Period of Performance.
A time extension request must be in writing and identify the project, the reason the project has
not been completed within the approved Period of Performance, a current status of the
completion of the work, a detailed timeline for completion of the remaining elements, and an
anticipated completion date for the completion of the remaining work. Failure to timely submit a
complete time extension request may result in denial of the time extension and loss of funding
for the project.
ARTICLE VII— SUBRECIPIENT MONITORING:
1. The Department may monitor the use of project funding, costs, and activities by the Sub-
Grantee under this Grant Agreement during the Period of Performance and for the life of
any equipment purchased under this Grant Agreement for compliance with federal and
state laws and regulations, audit requirements, federal grant guidance, and applicable
federal and state financial regulations, as well as OMB Circular A-133, Audits of States,
Local Governments and Non-Profit Organizations. As a subrecipient of federal financial
assistance under Circular A-133, the Sub-grantee shall complete and return to the
Department Attachment 8 "OMB Circular A-133 Audit Certification Form" with the signed
Grant Agreement and each fiscal year thereafter until the Grant Agreement is closed, which
form is incorporated in and made a part of this Agreement.
2. Monitoring activities may include, but are not limited to:
a. Review of quarterly project performance reports;
b. Review of all documentation related to Sub-Grantee completion of Grant Agreement
deliverables and compliance with the Grant Agreement;
c. Review of reimbursement requests to ensure allowability and consistency with Grant
Agreement budget;
d. On-site visits with the Sub-Grantee and of the project to review work in progress,
equipment records and inventories, verify source documentation for reimbursement
requests and performance reports, verify other supporting documentation, and verify
completion of the project funded under this Grant Agreement.
HMGP Page 5 of 37 City of Auburn, D20-003
3. As a subrecipient of federal funds, the Sub-Grantee is required to meet or exceed the
monitoring activities, as outlined above, for all contractors, consultants, and subrecipients
who receive pass-through funding from this Grant Agreement.
ARTICLE VIII—CLOSE-OUT
To initiate close-out, the Sub-Grantee is required to certify in writing the date completed and
total amount expended on the project on FINAL PROJECT REPORT form to the Department.
After receipt of the FINAL PROJECT REPORT form, the Department will conduct a site
inspection and review supporting documentation for compliance with the requirements of the
Grant Agreement.
Prior to project close-out, the Sub-Grantee shall provide the Department with acceptable
documentation supporting compliance with the Grant Agreement. General documentation
supporting compliance with the Grant Agreement typically includes, but is not limited to, the
following:
• Photographs of the structures or properties involved in the project prior to project
implementation and after project implementation.
• Digital geospacial coordinates (latitude and longitude) for each structure with an
accuracy of± 20 meters(64)feet.
• Certificate of occupancy or equivalent documentation from the appropriate regulatory
authority for each structure to certify it is code compliant.
• Certification that the Sub-Grantee has met the environmental and historic preservation
conditions of the grant award as described in this Grant Agreement.
• Copies of all compliance and consultation documentation required by the grant award as
described in the Grant Agreement (e.g., coastal zone management consistency
determination from Department of Ecology).
• Copies of all documentation related to inspection for and removal and disposal of
asbestos and other hazardous materials from each property.
Specific additional documentation requirements for projects to acquire properties for open space
include, but are not limited to, the following:
• Signed Statement of Voluntary Participation from owner of each acquired property.
• Documentation of dates of acquisition and structure demolition or removal from property
for each property.
• Copy of recorded open space deed restrictions for each acquired property.
• Copy of AW-501 form filed with National Flood Insurance Program for each acquired
repetitive loss property.
• Documentation of consultation with Army Corps of Engineers and State Department of
Transportation regarding future use of each property.
Specific additional documentation requirements for projects to elevate structures above the
base flood elevation include, but are not limited to, the following:
• Photographs of the structures prior to elevation, and front, rear and side photos post-
elevation.
• Copies of the pre-project elevation certificate for each structure, or documentation of
methodology used to calculate the first-floor elevations.
• Copies of the post-project elevation certificate for each structure.
• Copies of certificate of occupancy for each elevated structure to certify that it is code
compliant.
• Certification by an engineer, floodplain manager or other senior official of the Sub-
Grantee that each completed structural elevation is in compliance with local ordinances
and National Flood Insurance Program regulations and technical bulletins.
HMGP Page 6 of 37 City of Auburn, D20-003
• Copy of AW-501 form filed with National Flood Insurance Program for each elevated
repetitive loss property.
• Copies of proof of flood insurance for each elevated structure.
• Copies of the recorded deed restriction related to maintenance of flood insurance for
each property within the Special Flood Hazard Area.
The Department will consult with the Sub-Grantee regarding other documentation requirements
of the Grant Agreement throughout the Period of Performance.
ARTICLE IX—ADDITIONAL SPECIAL CONDITIONS
1. CONSTRUCTION DOCUMENTS, CONTRACTS, CHANGE ORDERS
a. Construction Document Approval: The Sub-Grantee agrees to submit one copy of all
construction plans and specifications to the Department for review and approval prior to
solicitation of bids for construction. Review by the Department will be for compliance
with the terms of this Grant Agreement.
b. Construction Contracts: Construction contracts shall be awarded through a process of
competitive bidding, if required by federal, state and local law and in compliance with
applicable procurement requirements of 44 CFR Part 13, section 13.36. Copies of all
bids and contracts awarded shall be submitted to the Department upon request. Where
all bids are substantially in excess of project estimates, the Department may, by notice in
writing, suspend the project for determination of appropriate action, which may include
termination of the Grant Agreement.
c. Construction Change Order: All change orders must be in writing and shall be submitted
to the Department. The Sub-Grantee shall pay any increase in the cost of the project as
the result of a change order, unless the Department has agreed to the change with a
written amendment to this Grant Agreement.
2. PROCUREMENT
The Sub-Grantee shall comply with the requirements of 44 CFR Part 13, section 13.36,
Procurement, when procuring services, supplies, and property funded by this grant
agreement. The Sub-Grantee must use its own procurement procedures which are
consistent with applicable State and local laws and regulations, provided that the
procurements conform to applicable Federal law and the standards identified in 44 CFR Part
13, section 13.36. Depending upon the scale of the procurement and the type of services or
property to be procured under this Grant Agreement, the Sub-Grantee must use one of the
following for its procurement:
a. Small purchases. The Sub-Grantee shall obtain price or rate quotations from an
adequate number of qualified sources for securing services, supplies, or other property
that do not cost more than the federal simplified acquisition threshold, currently set at
$100,000.
b. Sealed bids (formal advertising). The Sub-Grantee shall publicly solicit and award a firm-
fixed-price contract (lump sum or unit price) to the responsible bidder whose bid,
conforming with all the material terms and conditions of the invitation for bids, is the
lowest in price.
c. Competitive proposals. The Sub-Grantee, when conditions are not appropriate for the
use of sealed bids, shall solicit competitive proposals when more than one source is
submitting an offer, and either a fixed-price or cost-reimbursement type contract is
awarded.
d. Non-competitive proposals. The Sub-Grantee may procure services or property through
solicitation of a proposal from only one source, or after solicitation of a number of
sources if competition is determined inadequate. Procurement by noncompetitive
proposals may be used only when the award of a contract is infeasible under small
purchase procedures, sealed bids or competitive proposals, and one of the following
circumstances applies: the item is available only from a single source; the public
HMGP Page 7 of 37 City of Auburn, D20-003
exigency or emergency for the requirement will not permit a delay resulting from
competitive solicitation; the Department authorizes noncompetitive proposals; or
competition is determined inadequate after solicitation of a number of sources.
The Sub-Grantee must maintain a contract administration system which ensures that
contractors perform in accordance with the terms, conditions, and specifications of their
contracts or purchase orders.
The Sub-Grantee will make awards only to responsible contractors possessing the ability to
perform successfully under the terms and conditions of a proposed procurement.
Consideration will be given to such matters as contractor integrity, compliance with public
policy, record of past performance, and financial and technical resources.
The Sub-Grantee will maintain records sufficient to detail the significant history of the
procurement. These records will include but are not limited to the following: rationale for the
method of procurement, selection of contract type, contractor selection or rejection, and the
basis for the contract price.
The Sub-Grantee will conduct all procurement transactions in a manner providing full and
open competition consistent with the standards of 44 CFR Part 13, section 13.36.
3. ACQUISITION AND MANAGEMENT OF EQUIPMENT
The Sub-Grantee agrees that all equipment purchased under this Grant Agreement will be
recorded and maintained in the Sub-Grantee's equipment inventory system, in compliance
with 44 CFR 13.32, Equipment.
a. Upon successful completion of the terms of this Grant Agreement, all equipment
purchased through this Grant Agreement will be owned by the Sub-Grantee.
b. The Sub-Grantee shall be responsible for any and all operation and maintenance
expenses and for the safe operation of their equipment including all questions of liability.
c. The Sub-Grantee shall maintain equipment records that include: a description of the
property; the manufacturer's serial number, model number, or other identification
number; the source of the equipment, including the Catalog of Federal Domestic
Assistance (CFDA) number; who holds title; the acquisition date; the cost of the
equipment and the percentage of Federal participation in the cost; the location, use and
condition of the equipment at the date the information was reported; and disposition data
including the date of disposal and sale price of the property.
d. Records for equipment shall be retained by the Sub-Grantee for a period of six years
from the date of the disposition, replacement or transfer. If any litigation, claim, or audit
is started before the expiration of the six-year period, the records shall be retained by the
Sub-Grantee until all litigation, claims, or audit findings involving the records have been
resolved.
e. The Sub-Grantee shall take a physical inventory of the equipment and reconcile the
results with the property records at least once every two years. Any differences between
quantities determined by the physical inspection and those shown in the records shall be
investigated by the Sub-Grantee to determine the cause of the difference. The Sub-
Grantee shall, in connection with the inventory, verify the existence, current utilization,
and continued need for the equipment.
f. The Sub-Grantee shall develop a control system to ensure adequate safeguards to
prevent loss, damage, and theft of the property. Any loss, damage or theft shall be
investigated, and a report generated.
g. The Sub-Grantee will develop adequate maintenance procedures to keep the property in
good condition.
h. If the Sub-Grantee is authorized or required to sell the property, proper sales procedures
must be established to ensure the highest possible return.
HMGP Page 8 of 37 City of Auburn, D20-003
i. When original or replacement equipment is no longer needed for the original project or
program or for other activities currently or previously supported by a Federal agency,
disposition of the equipment will be made as follows:
i. Items of equipment with a current per-unit fair market value of less than $5,000
may be retained, sold or otherwise disposed of by the Sub-Grantee with no
further obligation to the awarding agency.
ii. Items of equipment with a current per-unit fair market value of more than $5,000
may be retained or sold and the Sub-Grantee shall compensate the Federal-
sponsoring agency for its share.
j. As a subrecipient of federal funds, the Sub-Grantee must pass on equipment
management requirements that meet or exceed the requirements outlined above for all
contractors, consultants, and subrecipients who receive pass-through funding from this
grant agreement.
4. As a recipient of federal financial assistance under this Agreement, the Sub-grantee
shall comply with all applicable state and federal statutes, regulations, executive
orders, and guidelines, including but not limited to the following:
a. All applicable state and federal statutes, regulations and executive orders relating
to nondiscrimination, including but not limited to the following: (a) Title VI of the
Civil Rights Act of 1964, as amended (42 U.S.C. 2000d et seq.) which prohibits
discrimination on the basis of race, color or national origin; (b)the Civil Rights Act
of 1968 (42 U.S.C. 3601), which prohibits recipients from discriminating in the
sale, rental, financing, and advertising of dwellings, or in the provision of services
in connection therewith, on the basis of race, color, national origin, religion,
disability, familial status, and sex; (c) Title IX of the Education Amendments of
1972, as amended (20 U.S.0 §§1681 et seq.), which prohibits discrimination on
the basis of sex; (d) Section 504 of the Rehabilitation Act of 1973, as amended
(29 U.S.0 §794), which prohibits discrimination on the basis of disability; (e) the
Age Discrimination Act of 1975, as amended (42 U.S.0 §§6101 et seq.), which
prohibits discrimination on the basis of age; (j) Clean Air Act of 1970, (k) Clean
Water Act of 1977, (n) Coastal Wetlands Planning, (o) Protection, and
Restoration Act of 1990, (f) the Fair Housing Amendments Act of 1988, as
amended (42 U.S.C. §§3601 et seq.), as amended, relating to nondiscrimination
in the sale, rental or financing of housing; (g) the Americans with Disabilities Act,
as amended (42 U.S.C. §§ 12101-12213) which prohibits discrimination on the
basis of disability; and (h) Executive Order 13166 Improving Access to Services
for Persons with Limited English Proficiency.
b. All applicable state and federal statutes, regulations, executive orders and
guidelines relating to environmental and historical preservation, including but not
limited to the following: (a) the Coastal Wetlands Planning, Protection and
Restoration Act of 1990, as amended (16 U.S.C. 3951 et seq.), Executive Order
11990 and 44 CFR Part 9; (b) the Clean Air Act of 1970, as amended (42 U.S.C.
§7401) and the Clean Water Act of 1977, as amended (38 U.S.C. §§ 1251-1387)
and Executive Order 11738; (c) floodplains management pursuant to EO 11988,
as amended; (e) the Coastal Zone Management Act of 1972, as amended (P.L.
92-583, 16 U.S.C. §§1451 et seq.); (d) the National Environmental Policy Act, as
amended (42 U.S.C. §4321); (e) the Safe Drinking Water Act of 1974, as
amended (PL 93-523); (f) the Endangered Species Act of 1973, as amended (PL
93-205); and (g) the National Historic Preservation Act, as amended (PL 89-665,
16 U.S.C. §470 et seq.) and 36 CFR Part 800.
c. The Drug-Free Workplace Act of 1988, as amended (41 U.S.C. §701 et seq., 2
CFR 3001, 44 CFR Part 17).
d. Section 106(g) of the Trafficking Victims Protection Act of 2000, as amended (22
U.S.C. §7104) and 2 CFR §175.
HMGP Page 9 of 37 City of Auburn, D20-003
e. The requirements of 45 CFR Part 46 Protection of Human Subjects for purposes
of research, and the requirements in DHS Directive 026-04.
f. The requirements of the Animal Welfare Act of 1966, as amended (7 U.S.C.
§2131 et. seq.).
g. The Flood Disaster Protection Act of 1973 the National Flood Insurance Act of
1968, as amended (42 U.S.C. §4001 et seq.).
h. The USA Patriot Act of 2001, as amended (18 U.S.C. §§175-175c).
i. The Fly America Act of 1974, as amended (49 U.S.C. §40118) and the
interpretive guidelines issued by the Comptroller General of the United States
March 31, 1981, amendment to Comptroller General Decision B138942.
j. The False Claims Act (FCA) (31 U.S.C. § 3729).
k. Section 6 of the Hotel and Motel Safety Act of 1990 (15 U.S.C. §2225(a),
ensuring 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 Control Act of 1974, 15 U.S.C. §2225.
5. The Sub-grantee must comply with any Federal requirements to acknowledge Federal
funding when issuing statements, press releases, requests for proposals, bid invitations, and
other documents describing projects or programs funded in whole or in part with Federal
funds.
6. The Sub-grantee must obtain FEMA and Department of Homeland Security (DHS) approval
prior to using the FEMA or DHS seal(s), logos, crests or reproductions of flags or likenesses
of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or
reproductions of flags or likenesses of Coast Guard officials.
7. The Sub-grantee must ensure that any 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.
8. If, during the past three years, the recipient has been accused of discrimination on the
grounds of race, color, national origin (including limited English proficiency), sex, age,
disability, religion, or familial status, the Sub-grantee must provide a list of all such
proceedings, pending or completed, including outcome and copies of settlement
agreements to the Department for forwarding to the DHS awarding office and the DHS
Office of Civil Rights and Civil Liberties. In the event any court or administrative agency
makes a finding of discrimination on grounds of race, color, national origin (including limited
English proficiency), sex, age, disability, religion, or familial status against the Sub-grantee,
or the recipient settles a case or matter alleging such discrimination, recipients must forward
a copy of the complaint and findings to the DHS Component and/or awarding office. The
United States has the right to seek judicial enforcement of these obligations.
9. If the Sub-grantee collects personally identifiable information (P11), the Sub-grantee must
have a publically-available policy that describes what P11 is collected, how the P11 is used,
whether the PII is shared with third parties, and how individuals may have their P11 corrected
as necessary.
10. The Sub-grantee and any of its sub-recipients are required to be non-delinquent in
repayment of any Federal debt.
HMGP Page 10 of 37 City of Auburn, D20-003
Attachment 2
Washington State Military Department
GENERAL TERMS AND CONDITIONS
Mitigation Grants
A.1 DEFINITIONS
As used throughout this Grant Agreement, the following terms will have the meaning set
forth below:
a. "Department" means the Washington State Military Department, as a state agency,
any division, section, office, unit or other entity of the Department, or any of the
officers or other officials lawfully representing that Department.
a. "Sub-grantee" means the government or other eligible legal entity to which a sub-
grant is awarded and which is accountable to the Grantee for the use of the funds
provided under this Grant Agreement, and includes all employees of the Sub-grantee
and any sub-contractor retained by the Sub-grantee as permitted under the terms of
this Grant Agreement. The term "Sub-grantee" and "Contractor" may be used
interchangeably in this Agreement.
b. "Sub-grantee Agent" means the official representative and alternate designated or
appointed by the Sub-grantee in writing and authorized to make decisions on behalf
of the Sub-grantee.
c. "Grantee" means the government to which a grant is awarded, and which is
accountable for the use of the funds provided. The Grantee is an entire legal entity
even if only a particular component of the entity is designated in the grant award
document. For the purpose of this Grant Agreement, the state of Washington is the
Grantee. The Grantee and the Department are one and the same.
d. "Monitoring Activities" means all administrative, financial, or other review activities
that are conducted to ensure compliance with all state and federal laws, rules,
authorities, and policies.
e. "Project" shall mean those activities as described in the FEMA approved project
application 4168-6-R, which are incorporated in and made a part of this Agreement
by reference, and as described in Attachments #4, #5 and #6.
g. "PL"— is defined and used herein to mean the Public Law.
h. "CFR"—is defined and used herein to mean the Code of Federal Regulations.
i. "OMB"— is defined and used herein to mean the Office of Management and Budget.
j. "WAC"— is defined and used herein to mean the Washington Administrative Code.
k. "RCW"— is defined and used herein to mean the Revised Code of Washington.
A.2 SINGLE AUDIT ACT REQUIREMENTS (including all AMENDMENTS)
Non-federal entities, as subrecipients of a federal award, that expend $500,000 or more
in one fiscal year of federal funds from all sources, direct and indirect, are required to
have a single or a program-specific audit conducted in accordance with the Office of
Management and Budget (OMB) Circular A-133-Audits of States, Local Governments,
and Non-Profit Organizations (amended June 27, 2003, effective for fiscal years ending
after December 31, 2003, and further amended June 26, 2007). Non-federal entities
that spend less than $500,000 a year in federal awards are exempt from federal audit
requirements for that year, except as noted in Circular No. A-133. As defined in Circular
A-133, the term "non-federal entity" means a State, local government, or non-profit
organization, and the term "State" includes Indian tribes. Circular A-133 is available on
the OMB Home Page at http://www.omb.gov.
Sub-grantees that qualify as subrecipients required to have an audit must ensure the
audit is performed in accordance with Generally Accepted Government Auditing
Standards (GAGAS) as found in the Government Auditing Standards (the Revised
Yellow Book) developed by the Comptroller General and the OMB Compliance
Supplement. The Sub-grantee has the responsibility of notifying its auditor and
requesting an audit in compliance with Circular A-133, to include the Washington State
Auditor's Office, a federal auditor, or a public accountant performing work using GAGAS,
HMGP Page 11 of 37 City of Auburn, D20-003
as appropriate. Costs of the audit may be an allowable grant expenditure as authorized
by Circular A-133.
The Sub-grantee shall maintain auditable records and accounts so as to facilitate the
audit requirement and shall ensure that any sub-contractors also maintain auditable
records.
The Sub-grantee is responsible for any audit exceptions incurred by its own organization
or that of its sub-contractors. Responses to any unresolved management findings and
disallowed or questioned costs shall be included with the audit report. The Sub-grantee
must respond to Department requests for information or corrective action concerning
audit issues or findings within 30 days of the date of request. The Department reserves
the right to recover from the Sub-grantee all disallowed costs resulting from the audit.
Once the single audit has been completed, the Sub-grantee must send a full copy of the
audit to the Department and a letter stating there were no findings, or if there were
findings, the letter should provide a list of the findings. The Sub-grantee must send the
audit and the letter no later than nine (9) months after the end of the Sub-grantee's fiscal
year(s) to:
Contracts Office
Washington Military Department
Finance Division, Building #1 TA-20
Camp Murray, WA 98430-5032
In addition to sending a copy of the audit, the Sub-grantee must include a corrective
action plan for any audit findings and a copy of the management letter if one was
received.
If Sub-grantee claims it is exempt from the audit requirements of Circular A-133, Sub-
grantee must send a letter identifying this Grant Agreement and explaining the criteria
for exemption no later than nine (9) months after the end of the Sub-grantee fiscal
year(s)to:
Contracts Office
Washington Military Department
Finance Division, Building #1 TA-20
Camp Murray, WA 98430-5032
The Department retains the sole discretion to determine whether a valid claim for an
exemption from the audit requirements of this provision has been established.
The Sub-grantee shall include the above audit requirements in any sub-contracts.
Conducting a single or program-specific audit in compliance with Circular A-133 is a
material requirement of this Grant Agreement. In the absence of a valid claim of
exemption from the audit requirements of Circular A-133, the Sub-grantees failure to
comply with said audit requirements may result in one or more of the following actions in
the Department's sole discretion: a percentage of federal awards being withheld until the
audit is completed in accordance with Circular A-133; the withholding or disallowing of
overhead costs; the suspension of federal awards until the audit is conducted and
submitted; or termination of the federal award.
A.3 ADVANCE PAYMENTS PROHIBITED
The Department shall make no payments in advance or in anticipation of goods or
services to be provided under this Agreement. Sub-grantee shall not invoice the
Department in advance of delivery and invoicing of such goods or services.
A.4 AMENDMENTS AND MODIFICATIONS
The Sub-grantee or the Department may request, in writing, an amendment or
modification of this Grant Agreement. However, such amendment or modification shall
not be binding, take effect or be incorporated herein until made in writing and signed by
HMGP Page 12 of 37 City of Auburn, D20-003
the authorized representatives of the Department and the Sub-grantee. No other
understandings or agreements, written or oral, shall be binding on the parties.
A.5 AMERICANS WITH DISABILITIES ACT (ADA) OF 1990, PUBLIC LAW 101-336, 42
U.S.C. 12101 ET SEQ. AND ITS IMPLEMENTING REGULATIONS ALSO REFERRED
TO AS THE "ADA" 28 CFR Part 35.
The Sub-grantee must comply with the ADA, which provides comprehensive civil rights
protection to individuals with disabilities in the areas of employment, public
accommodations, state and local government services, and telecommunication.
A.6 APPLICATION REPRESENTATION-MISREPRESENTATION, INACCURACY AND
BREACH
The Department relies upon the Sub-Grantee's application in making its determinations
as to eligibility for, selection for, and scope of funding grants. Any misrepresentation,
error or inaccuracy in any part of the application may be deemed a breach of this Grant
Agreement.
A.6 ASSURANCES
Department and Sub-grantee agree that all activity pursuant to this Grant Agreement will
be in accordance with all the applicable current federal, state and local laws, rules and
regulations.
A.7 CERTIFICATION REGARDING DEBARMENT, SUSPENSION, OR INELIGIBILITY
As federal funds are a basis for this Grant Agreement, the Sub-grantee certifies that the
Sub-grantee is not presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participating in this Grant Agreement by any
federal department or agency.
If requested by the Department, the Sub-grantee shall complete and sign a Certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion form. Any
such form completed by the Sub-grantee for this Grant Agreement shall be incorporated
into this Grant Agreement by reference.
Further, the Sub-grantee agrees to comply with all applicable federal regulations
concerning the federal debarment and suspension system, including 2 CFR Part 180.
The Sub-grantee certifies that it will ensure that potential sub-contractors or sub-
recipients or any of their principals are not debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from participation in "covered
transactions" by any federal department or agency. "Covered transactions" include
procurement contracts for goods or services awarded under a non-procurement
transaction (e.g. grant or cooperative agreement) that are expected to equal or exceed
$25,000, and sub-awards to sub-recipients for any amount. With respect to covered
transactions, the Sub-grantee may comply with this provision by obtaining a certification
statement from the potential sub-contractor or sub-recipient or by checking the System
for Award Management (http://www.sam.00v) maintained by the federal government. The Sub-
grantee also agrees not to enter into any arrangements or contracts with any party on the
Washington State Department of Labor and Industries' "Debarred Contractor List"
(http://www.Ini.wa.gov/TradesLicensino/PrevWaoe/Award ingAgencies/DebarredContractors/).
A.8 CERTIFICATION REGARDING RESTRICTIONS ON LOBBYING
As required by 44 CFR Part 18, the Sub-grantee hereby certifies that to the best of its
knowledge and belief: (1) no federally appropriated funds have been paid or will be paid
by or on behalf of the Sub-grantee to any person for influencing or attempting to
influence an officer or employee of an agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in connection with the
awarding of any federal contract, the making of any federal grant, the making of any
federal loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any federal contract, grant, loan, or
cooperative agreement; (2) that if any funds other than federal appropriated funds have
HMGP Page 13 of 37 City of Auburn, D20-003
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 Grant
Agreement, grant, loan, or cooperative agreement, the Sub-grantee will complete and
submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its
instructions; (3) and that, as applicable, the Sub-grantee will require that the language of
this certification be included in the award documents for all subawards at all tiers
(including sub-contracts, sub-grants, and contracts under grants, loans, and cooperative
agreements) and that all sub-recipients shall certify and disclose accordingly. This
certification is a material representation of fact upon which reliance was placed when
this transaction was made or entered into and is a prerequisite for making or entering
into this transaction imposed by section 1352, title 31, U.S. Code.
A.9 CONFLICT OF INTEREST
No officer or employee of the Department; no member, officer, or employee of the Sub-
grantee or its designees or agents; no member of the governing body of the jurisdiction
in which the project is undertaken or located; and no other official of such the Sub-
grantee who exercises any functions or responsibilities with respect to the project during
his or her tenure, shall have any personal or pecuniary gain or interest, direct or indirect,
in any contract, subcontract, or the proceeds thereof, for work to be performed in
connection with the project assisted under this Grant Agreement. The Sub-grantee shall
incorporate, or cause to incorporate, in all such contracts or subcontracts, a provision
prohibiting such interest pursuant to this provision.
A.10 COMPLIANCE WITH APPLICABLE STATUTES, RULES AND DEPARTMENT
POLICIES
The Sub-grantee and all its contractors shall comply with, and the Department is not
responsible for determining compliance with, any and all applicable federal, state, and
local laws, regulations, executive orders, OMB Circulars, and/or policies. This obligation
includes, but is not limited to: nondiscrimination laws and/or policies, Energy Policy and
Conservation Act (PL 94-163, as amended), the Americans with Disabilities Act (ADA),
the Robert T. Stafford Disaster Relief and Emergency Assistance Act, (PL 93-288, as
amended), Ethics in Public Service (RCW 42.52), Covenant Against Contingent Fees
(48 CFR Section 52.203-5), Public Records Act (RCW 42.56), Prevailing Wages on
Public Works (RCW 39.12), State Environmental Policy Act (RCW 43.21C), Shoreline
Management Act of 1971 (RCW 90.58), State Building Code (RCW 19.27), Energy
Related Building Standards (RCW 19.27A), Provisions in Buildings for Aged and
Handicapped Persons (RCW 70.92), and safety and health regulations.
In the event of the Sub-grantee's or its contractor's noncompliance or refusal to comply
with any applicable law, regulation, executive order, OMB Circular or policy, the
Department may rescind, cancel, or terminate the Grant Agreement in whole or in part in
its sole discretion. The Sub-grantee is responsible for all costs or liability arising from its
failure to comply with applicable law, regulation, executive order, OMB Circular or policy.
A.11 DISCLOSURE
The use or disclosure by any party of any information concerning the Department for any
purpose not directly connected with the administration of the Department's or the Sub-
grantee's responsibilities with respect to services provided under this Grant Agreement
is prohibited except by prior written consent of the Department or as required to comply
with the state Public Records Act, other law or court order.
A.12 DISPUTES
Except as otherwise provided in this contract, when a bona fide dispute arises between
the parties and it cannot be resolved through discussion and negotiation, either party
may request a dispute resolution panel to resolve the dispute. A request for a dispute
resolution board shall be in writing, state the disputed issues, state the relative positions
of the parties, and be sent to all parties. The panel shall consist of a representative
HMGP Page 14 of 37 City of Auburn, D20-003
appointed by the Department, a representative appointed by the Contractor and a third
party mutually agreed upon by both parties. The panel shall, by majority vote, resolve
the dispute. Each party shall bear the cost for its panel member and its attorney fees
and costs and share equally the cost of the third panel member.
A.13 DUPLICATION OF BENEFITS
The Sub-Grantee agrees that the mitigation grant funds for which federal or state
assistance is requested does not, or will not, duplicate benefits or funds received for the
same purpose from any other source. The Sub-Grantee will pursue full payment of
eligible insurance benefits for properties covered in a project under this Grant
Agreement. The Sub-Grantee will repay any mitigation grant funds that are duplicated
by other benefits, funds, or insurance proceeds.
A.14 HAZARDOUS SUBSTANCES
The Sub-Grantee shall inspect and investigate the proposed
development/construction site for the presence of hazardous substances. The
Sub-Grantee shall fully disclose to the Department the results of its inspection
and investigation and all other knowledge the Sub-Grantee has as to the
presence of any hazardous substances at the proposed
development/construction project site. The Sub-Grantee will be responsible for
any associated clean-up costs. "Hazardous Substance" is defined in RCW
70.105D.020 (10).
A.15 LEGAL RELATIONS
It is understood and agreed that this Grant Agreement is solely for the benefit of the
parties to the Grant Agreement and gives no right to any other party. No joint venture or
partnership is formed as a result of this Grant Agreement.
To the extent allowed by law, the Sub-grantee, its successors or assigns, will protect,
save and hold harmless the Department, the State of Washington, and the United States
Government and their authorized agents and employees, from all claims, actions, costs,
damages or expenses of any nature whatsoever by reason of the acts or omissions of
the Sub-grantee, its sub-contractors, assigns, agents, contractors, consultants,
licensees, invitees, employees or any person whomsoever arising out of or in connection
with any acts or activities authorized by this Grant Agreement.
To the extent allowed by law, the Sub-grantee further agrees to defend the Department
and the State of Washington and their authorized agents and employees in any litigation;
including payment of any costs or attorneys' fees for any claims or action commenced
thereon arising out of or in connection with acts or activities authorized by this Grant
Agreement.
This obligation shall not include such claims, costs, damages or expenses which may be
caused by the sole negligence of the Department; provided, that if the claims or
damages are caused by or result from the concurrent negligence of (1) the Department,
and (2) the Sub-grantee, its agents, or employees, this indemnity provision shall be valid
and enforceable only to the extent of the negligence of the Sub-grantee, or Sub-
grantee's agents or employees.
Insofar as the funding source, the Department of Homeland Security (DHS)/Federal
Emergency Management Agency (FEMA), is an agency of the federal government, the
following shall apply:
44 CFR 206.9 Non-liability. The federal government shall not be liable for any claim
based upon the exercise or performance of, or the failure to exercise or perform a
discretionary function or duty on the part of a federal agency or an employee of the
federal government in carrying out the provisions of the Stafford Act.
HMGP Page 15 of 37 City of Auburn, D20-003
A.16 LIMITATION OF AUTHORITY—Authorized Signature
The signatories to this Agreement represent that they have the authority to bind their
respective organizations to this Agreement. Only the Department's Authorized
Signature representative and the Authorized Signature representative of the Sub-
grantee or Alternate for the Sub-grantee, formally designated in writing, shall have the
express, implied, or apparent authority to alter, amend, modify, or waive any clause or
condition of this Grant Agreement. Any alteration, amendment, modification, or waiver
of any clause or condition of this Grant Agreement is not effective or binding unless
made in writing and signed by both parties Authorized Signature representatives.
Further, only the Authorized Signature representative or Alternate for the Sub-grantee
shall have signature authority to sign reimbursement requests, time extension requests,
amendment and modification requests, requests for changes to projects or work plans,
and other requests, certifications and documents authorized by or required under this
Agreement.
A.17 LOSS OR REDUCTION OF FUNDING
In the event funding from state, federal, or other sources is withdrawn, reduced, or
limited in any way after the effective date of this Agreement and prior to normal
completion or end date, the Department may unilaterally reduce the scope of work and
budget or unilaterally terminate all or part of the Agreement as a "Termination for Cause"
without providing the Sub-grantee an opportunity to cure. Alternatively, the parties may
renegotiate the terms of this Agreement under "Amendments and Modifications" to
comply with new funding limitations and conditions, although the Department has no
obligation to do so.
A.18 NONASSIGNABILITY
Neither this Grant Agreement, nor any claim arising under this Grant Agreement, shall
be transferred or assigned by the Sub-grantee.
A.19 NONDISCRIMINATION
The Sub-grantee shall comply with all applicable federal and state non-discrimination
laws, regulations, and policies. No person shall, on the grounds of age, race, creed,
color, sex, sexual orientation, religion, national origin, marital status, honorably
discharged veteran or military status, or disability (physical, mental, or sensory) be
denied the benefits of, or otherwise be subjected to discrimination under any project,
program, or activity, funded, in whole or in part, under this Grant Agreement.
A.20 NOTICES
The Sub-grantee shall comply with all public notices or notices to individuals required by
applicable local, state and federal laws and shall maintain a record of this compliance.
A.21 OCCUPATIONAL SAFETY/HEALTH ACT and WASHINGTON INDUSTRIAL SAFETY/
HEALTH ACT (OSHANVISHA)
The Sub-grantee represents and warrants that its workplace does now or will meet all
applicable federal and state safety and health regulations that are in effect during the
Sub-grantee's performance under this Grant Agreement. To the extent allowed by law,
the Sub-grantee further agrees to indemnify and hold harmless the Department and its
employees and agents from all liability, damages and costs of any nature, including but
not limited to, costs of suits and attorneys' fees assessed against the Department, as a
result of the failure of the Sub-grantee to so comply.
A.22 OWNERSHIP OF PROJECT/CAPITAL FACILITIES
The Department makes no claim to any capital facilities or real property improved or
constructed with funds under this Grant Agreement, and by this grant of funds does not
and will not acquire any ownership interest or title to such property of the Sub-grantee.
The Sub-grantee shall assume all liabilities arising from the ownership and operation of
the project and agrees to hold the Department and the state of Washington and the
United States government harmless from any and all causes of action arising from the
ownership and operation of the project.
HMGP Page 16 of 37 City of Auburn, D20-003
A.23 POLITICAL ACTIVITY
No portion of the funds provided herein shall be used for any partisan political activity or
to further the election or defeat of any candidate for public office or influence the
approval or defeat of any ballot issue.
A.24 PRIVACY
Personal information collected, used or acquired in connection with this agreement shall
be used solely for the purposes of this agreement. Sub-Grantee and its subcontractors
agree not to release, divulge, publish, transfer, sell or otherwise make known to
unauthorized persons personal information without the express written consent of the
Department or as provided by law or court order. Sub-Grantee agrees to implement
physical, electronic and managerial safeguards to prevent unauthorized access to
personal information.
The Department reserves the right to monitor, audit, or investigate the use of personal
information collected, used or acquired by the Sub-Grantee through this contract. The
monitoring, auditing or investigating may include but is not limited to "salting" by the
Department. Salting is the act of placing a record containing unique but false
information in a database that can be used later to identify inappropriate disclosure of
data contained in the database.
Any breach of this provision may result in termination of the contract and the demand for
return of all personal information. The Sub-Grantee agrees to indemnify and hold
harmless the Department for any damages related to the Sub-Grantee's unauthorized
use, loss or disclosure of personal information.
For purposes of this provision, personal information includes, but is not limited to,
information identifiable to an individual that relates to a natural person's health, finances,
education, business, use or receipt of governmental services, or other activities, names,
addresses, telephone numbers, social security numbers, driver license numbers,
financial profiles, credit card numbers, financial identifiers and other identifying numbers.
A.25 PROHIBITION AGAINST PAYMENT OF BONUS OR COMMISSION
The assistance provided under this Grant Agreement shall not be used in payment of
any bonus or commission for the purpose of obtaining approval of the application for
such assistance or any other approval or concurrence under this Grant Agreement
provided, however, that reasonable fees or bona fide technical consultant, managerial,
or other such services, other than actual solicitation, are not hereby prohibited if
otherwise eligible as project costs.
A.26 PUBLICITY
The Sub-grantee agrees to submit to the Department prior to issuance all advertising
and publicity matters relating to this Grant Agreement wherein the Department's name is
mentioned or language used from which the connection of the Department's name may,
in the Department's judgment, be inferred or implied. The Sub-grantee agrees not to
publish or use such advertising and publicity matters without the prior written consent of
the Department. The Sub-grantee may copyright original work it develops in the course
of or under this Grant Agreement; however, pursuant to 44 CFR 13.34, FEMA reserves
a royalty-free, nonexclusive, and irrevocable license to reproduce, publish or otherwise
use, and to authorize others to use the work for government purposes.
Publication resulting from work performed under this Grant Agreement shall include an
acknowledgement of FEMA's financial support, by CFDA number, and a statement that
the publication does not constitute an endorsement by FEMA or reflect FEMA's views.
A.27 RECAPTURE PROVISION
In the event the Sub-grantee fails to expend funds under this Agreement in accordance
with applicable federal, state, and local laws and/or the provisions of the Grant
Agreement, the Department reserves the right to recapture funds in an amount
equivalent to the extent of noncompliance. Such right of recapture shall exist for the life
HMGP Page 17 of 37 City of Auburn, D20-003
of the project following Grant Agreement termination. Repayment by the Sub-grantee of
funds under this recapture provision shall occur within 30 days of demand.
In the event the Department is required to institute legal proceedings to enforce the
recapture provision, the Department shall be entitled to its costs thereof, including
attorney fees.
A.28 RECORDS
a. The Sub-grantee agrees to maintain all books, records, documents, receipts,
invoices and all other electronic or written records necessary to sufficiently and
properly reflect the Sub-grantee's contracts, grant administration, and payments,
including all direct and indirect charges, and expenditures in the performance of this
Grant Agreement (the "records").
b. The Sub-grantee's records related to this Grant Agreement and the projects funded
may be inspected and audited by the Department or its designee, by the Office of the
State Auditor, DHS, FEMA or their designees, by the Comptroller General of the
United States or its designees, or by other state or federal officials authorized by law,
for the purposes of determining compliance by the Sub-grantee with the terms of this
Grant Agreement and to determine the appropriate level of funding to be paid under
the Grant Agreement.
c. The records shall be made available by the Sub-grantee for such inspection and
audit, together with suitable space for such purpose, at any and all times during the
Sub-grantee's normal working day.
d. The Sub-grantee shall retain and allow access to all records related to this Grant
Agreement and the funded project(s) for a period of at least six (6) years following
final payment and closure of the grant under this Grant Agreement.
A.29 RESPONSIBILITY FOR PROJECT/STATEMENT OF WORK/WORK PLAN
While the Department undertakes to assist the Sub-grantee with the project/statement of
work/work plan (project) by providing grant funds pursuant to this Grant Agreement, the
project itself remains the sole responsibility of the Sub-grantee. The Department
undertakes no responsibility to the Sub-grantee, or to any third party, other than as is
expressly set out in this Grant Agreement.
The responsibility for the design, development, construction, implementation, operation
and maintenance of the project, as these phrases are applicable to this project, is solely
that of the Sub-grantee, as is responsibility for any claim or suit of any nature by any
third party related in any way to the project.
Prior to the start of any construction activity, the Sub-grantee shall ensure that all
applicable Federal, State, and local permits and clearances are obtained, including but
not limited to FEMA compliance with the National Environmental Policy Act, the National
Historic Preservation Act, the Endangered Species Act, and all other environmental laws
and executive orders.
The Sub-grantee shall defend, at its own cost, any and all claims or suits at law or in
equity, which may be brought against the Sub-grantee in connection with the project.
The Sub-grantee shall not look to the Department, or to any state or federal agency, or
to any of their employees or agents, for any performance, assistance, or any payment or
indemnity, including but not limited to cost of defense and/or attorneys' fees, in
connection with any claim or lawsuit brought by any third party related to any design,
development, construction, implementation, operation and/or maintenance of a project.
A.30 SEVERABILITY
If any court of rightful jurisdiction holds any provision or condition under this Grant
Agreement or its application to any person or circumstances invalid, this invalidity does
not affect other provisions, terms or conditions of the Grant Agreement, which can be
given effect without the invalid provision. To this end, the terms and conditions of this
Grant Agreement are declared severable.
HMGP Page 18 of 37 City of Auburn, D20-003
A.31 SUB-CONTRACTING
The Sub-grantee shall use a competitive procurement process in the award of any
contracts with contractors or sub-contractors that are entered into under the original
contract award. The procurement process followed shall be in accordance with 44 CFR
Part 13, Uniform Administrative Requirements for Grants and Cooperative Agreements
to State and Local Governments, or with OMB Circular A-110, Uniform Administrative
Requirements for Grants and Other Agreements with Institutions of Higher Education,
Hospitals, and Other Nonprofit Organizations, as applicable to the Sub-grantee.
As required by Section 694 of the "Post-Katrina Emergency Management Reform Act"
(P.L. 109-295), which amended section 307 of the Stafford Act, 42 U.S.C. 5150,
contracts or agreements with private organizations, firms or individuals for debris
clearance, distribution of supplies, reconstruction, and other major disaster assistance
activities, shall be awarded to those organizations, firms and individuals residing or
doing business primarily in the geographical area affected by the disaster, to the extent
feasible and practicable. Such contracts or agreements with private organizations, firms,
or individuals, not residing or doing business primarily in the geographical area affected
by the declared disaster shall be justified in writing in the Sub-Grantee's contract file,
with documentation provided to the Department. Contracts in place prior to a declaration
should be transitioned to such local organizations, firms or individuals unless the head of
the Sub-Grantee organization determines that it is not feasible or practicable. This
determination must be documented in the Sub-Grantee's grant agreement file, with
documentation provided to the Department. The transition requirement should not be
construed to require a Sub-Grantee to breach an existing contract.
Sub-Grantees must comply with the following provisions regarding procurement, and all
Sub-Grantee contracts with sub-contractors must contain the following provisions
regarding procurement, per 44 CFR Part 13.36(i):
1) Administrative, contractual, or legal remedies in instances where contractors violate
or breach contract terms and provide for such sanctions and penalties as may be
appropriate. (All contracts more than the simplified acquisition threshold).
2) Termination for cause and for convenience by the grantee or sub-grantee including
the manner by which it will be affected and the basis for settlement. (All contracts in
excess of$10,000).
3) Compliance with Executive Order 11246 of September 24, 1965, entitled "Equal
Employment Opportunity," as amended by Executive Order 11375 of October 13,
1967, and as supplemented in Department of Labor regulations (41 CFR chapter
60). (All construction contracts awarded in excess of $10,000 by grantees and their
contractors or sub-grantees).
4) Compliance with the Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented
in Department of Labor regulations (29 CFR Part 3). (All contracts and sub-grants for
construction or repair).
5) Compliance with the Davis-Bacon Act (40 U.S.C. 276a to 276a-7) as supplemented
by Department of Labor regulations (29 CFR part 5). (Construction contracts in
excess of $2,000 awarded by grantees and sub-grantees when required by Federal
grant program legislation).
6) Compliance with Sections 103 and 107 of the Contract Work Hours and Safety
Standards Act (40 U.S.C. 327-330) as supplemented by Department of Labor
regulations (29 CFR Part 5). (Construction contracts awarded by grantees and sub-
grantees in excess of $2,000, and in excess of $2,500 for other contracts which
involve the employment of mechanics or laborers).
7) Notice of awarding agency requirements and regulations pertaining to reporting.
HMGP Page 19 of 37 City of Auburn, D20-003
8) Notice of awarding agency requirements and regulations pertaining to patent rights
with respect to any discovery or invention which arises or is developed in the course
of or under such contract.
9) Awarding agency requirements and regulations pertaining to copyrights and rights in
data.
10)Access by the grantee, the sub-grantee, the Federal grantor agency, the Comptroller
General of the United States, or any of their duly authorized representatives to any
books, documents, papers, and records of the contractor which are directly pertinent
to that specific contract for the purpose of making audit, examination, excerpts, and
transcriptions.
11)Retention of all required records for three years after grantees or sub-grantees make
final payments and all other pending matters are closed.
12)Compliance with all applicable standards, orders, or requirements issued under
section 306 of the Clean Air Act (42 U.S.C. 1857(h)), section 508 of the Clean Water
Act (33 U.S.C. 1368), Executive Order 11738, and Environmental Protection Agency
regulations (40 CFR part 15). (All contracts, sub-contracts, and sub-grants of
amounts in excess of$100,000).
13)Mandatory standards and policies relating to energy efficiency which are contained in
the state energy conservation plan issued in compliance with the Energy Policy and
Conservation Act (Pub. L. 94-163, 89 Stat. 871).
The Department reserves the right to review the Sub-Grantee procurement plans and
documents and require the Sub-Grantee to make changes to bring its plans and
documents into compliance with the requirements of 44 CFR Part 13.36. The Sub-
Grantee must ensure that its procurement process requires contractors and
subcontractors to provide adequate documentation with sufficient detail to support the
costs of the project and to allow both the Sub-Grantee and Department to make a
determination on eligibility of project costs.
All sub-contracting agreements entered into pursuant to this Grant Agreement shall
incorporate this Grant Agreement by reference.
A.32 SUB-GRANTEE NOT EMPLOYEE
The parties intend that an independent contractor relationship will be created by this
Grant Agreement. The Sub-grantee, and/or employees or agents performing under this
Grant Agreement are not employees or agents of the Department in any manner
whatsoever. The Sub-grantee will not be presented as nor claim to be an officer or
employee of the Department or of the State of Washington by reason of this Grant
Agreement, nor will the Sub-grantee make any claim, demand, or application to or for
any right or privilege applicable to an officer or employee of the Department or of the
State of Washington by reason of this Grant Agreement, including, but not limited to,
Workmen's Compensation coverage, unemployment insurance benefits, social security
benefits, retirement membership or credit, or privilege or benefit which would accrue to a
civil service employee under Chapter 41.06 RCW.
It is understood that if the Sub-grantee is another state department, state agency, state
university, state college, state community college, state board, or state commission, that
the officers and employees are employed by the state of Washington in their own right
and not by reason of this Grant Agreement.
A.33 TAXES, FEES AND LICENSES
Unless otherwise provided in this Grant Agreement, the Sub-grantee shall be
responsible for, pay and maintain in current status all taxes, unemployment
contributions, fees, licenses, assessments, permit charges and expenses of any other
kind for the Sub-grantee or its staff required by statute or regulation that are applicable
to Grant Agreement performance.
HMGP Page 20 of 37 City of Auburn, D20-003
A.34 TERMINATION FOR CONVENIENCE
Notwithstanding any provisions of this Grant Agreement, the Sub-grantee may terminate
this Grant Agreement by providing written notice of such termination to the Department's
Key Personnel identified in the Grant Agreement, specifying the effective date thereof, at
least thirty (30) days prior to such date.
Except as otherwise provided in this Grant Agreement, the Department, in its sole
discretion and in the best interests of the State of Washington, may terminate this Grant
Agreement in whole or in part by providing ten (10) calendar days written notice,
beginning on the second day after mailing to the Sub-grantee. Upon notice of
termination for convenience, the Department reserves the right to suspend all or part of
the Grant Agreement, withhold further payments, or prohibit the Sub-grantee from
incurring additional obligations of funds. In the event of termination, the Sub-grantee
shall be liable for all damages as authorized by law. The rights and remedies of the
Department provided for in this section shall not be exclusive and are in addition to any
other rights and remedies provided by law.
A.35 TERMINATION OR SUSPENSION FOR CAUSE
In the event the Department, in its sole discretion, determines the Sub-grantee has failed
to fulfill in a timely and proper manner its obligations under this Grant Agreement, is in
an unsound financial condition so as to endanger performance hereunder, is in violation
of any laws or regulations that render the Sub-grantee unable to perform any aspect of
the Grant Agreement, or has violated any of the covenants, agreements or stipulations
of this Grant Agreement, the Department has the right to immediately suspend or
terminate this Grant Agreement in whole or in part.
The Department may notify the Sub-grantee in writing of the need to take corrective
action and provide a period of time in which to cure. The Department is not required to
allow the Sub-grantee an opportunity to cure if it is not feasible as determined solely
within the Department's discretion. Any time allowed for cure shall not diminish or
eliminate the Sub-grantee liability for damages or otherwise affect any other remedies
available to the Department. If the Department allows the Sub-grantee an opportunity to
cure, the Department shall notify the Sub-grantee in writing of the need to take corrective
action. If the corrective action is not taken within ten (10) calendar days or as otherwise
specified by the Department, or if such corrective action is deemed by the Department to
be insufficient, the Grant Agreement may be terminated in whole or in part.
The Department reserves the right to suspend all or part of the Grant Agreement,
withhold further payments, or prohibit the Sub-grantee from incurring additional
obligations of funds during investigation of the alleged compliance breach, pending
corrective action by the Sub-grantee, if allowed, or pending a decision by the
Department to terminate the Grant Agreement in whole or in part.
In the event of termination, the Sub-grantee shall be liable for all damages as authorized
by law, including but not limited to, any cost difference between the original Grant
Agreement and the replacement or cover Grant Agreement and all administrative costs
directly related to the replacement Grant Agreement, e.g., cost of administering the
competitive solicitation process, mailing, advertising and other associated staff time.
The rights and remedies of the Department provided for in this section shall not be
exclusive and are in addition to any other rights and remedies provided by law.
If it is determined that the Sub-grantee: (1) was not in default or material breach, or (2)
failure to perform was outside of the Sub-grantee's control, fault or negligence, the
termination shall be deemed to be a "Termination for Convenience".
A.36 TERMINATION PROCEDURES
In addition to the procedures set forth below, if the Department terminates this Grant
Agreement, the Sub-grantee shall follow any procedures specified in the termination
notice. Upon termination of this Grant Agreement and in addition to any other rights
HMGP Page 21 of 37 City of Auburn, D20-003
provided in this Grant Agreement, the Department may require the Sub-grantee to
deliver to the Department any property specifically produced or acquired for the
performance of such part of this Grant Agreement as has been terminated.
If the termination is for convenience, the Department shall pay to the Sub-grantee
agreed upon price, if separately stated, for properly authorized and completed work and
services rendered or goods delivered to and accepted by the Department prior to the
effective date of Grant Agreement termination, and the amount agreed upon by the Sub-
grantee and the Department for (i) completed work and services and/or equipment or
supplies provided for which no separate price is stated, (ii) partially completed work and
services and/or equipment or supplies provided which are accepted by the Department,
(iii) other work, services and/or equipment or supplies which are accepted by the
Department, and (iv) the protection and preservation of property.
Failure to agree with such amounts shall be a dispute within the meaning of the
"Disputes" clause of this Grant Agreement. If the termination is for cause, the
Department shall determine the extent of the liability of the Department. The
Department shall have no other obligation to the Sub-grantee for termination. The
Department may withhold from any amounts due the Sub-grantee such sum as the
Department determines to be necessary to protect the Department against potential loss
or liability.
The rights and remedies of the Department provided in this Grant Agreement shall not
be exclusive and are in addition to any other rights and remedies provided by law.
After receipt of a notice of termination, and except as otherwise directed by the
Department in writing, the Sub-grantee shall:
a. Stop work under the Grant Agreement on the date, and to the extent specified, in
the notice;
b. Place no further orders or sub-contracts for materials, services, supplies,
equipment and/or facilities in relation to this Grant Agreement except as may be
necessary for completion of such portion of the work under the Grant Agreement
as is not terminated;
c. Assign to the Department, in the manner, at the times, and to the extent directed
by the Department, all of the rights, title, and interest of the Sub-grantee under
the orders and sub-contracts so terminated, in which case the Department has
the right, at its discretion, to settle or pay any or all claims arising out of the
termination of such orders and sub-contracts;
d. Settle all outstanding liabilities and all claims arising out of such termination of
orders and sub-contracts, with the approval or ratification of the Department to
the extent the Department may require, which approval or ratification shall be
final for all the purposes of this clause;
e. Transfer title to the Department and deliver in the manner, at the times, and to
the extent directed by the Department any property which, if the Grant
Agreement had been completed, would have been required to be furnished to the
Department;
f. Complete performance of such part of the work as shall not have been
terminated by the Department in compliance with all contractual requirements;
and
g. Take such action as may be necessary, or as the Department may require, for
the protection and preservation of the property related to this Grant Agreement
which is in the possession of the Sub-grantee and in which the Department has
or may acquire an interest.
A.37 TRAVEL AND SUBSISTENCE REIMBURSEMENT
Unless the Grant Agreement specifically provides for different rates, any travel or
subsistence reimbursement allowed under the Agreement shall be paid in accordance
with rates set pursuant to RCW 43.03.050 and RCW 43.03.060 as now existing or
HMGP Page 22 of 37 City of Auburn, D20-003
amended. The Sub-grantee may be required to provide to the Department copies of
receipts for any travel related expenses other than meals and mileage (example:
parking)that are authorized under this Agreement.
A.38 UTILIZATION OF MINORITY AND WOMEN BUSINESS ENTERPRISES (MWBE)
The Sub-grantee is encouraged to utilize business firms that are certified as minority-
owned and/or women-owned in carrying out the purposes of this Grant Agreement. The
Sub-grantee may set utilization standards, based upon local conditions or may utilize the
state of Washington MWBE goals, as identified in WAC 326-30-041.
A.39 WAIVERS
No conditions or provisions of this Grant Agreement can be waived unless approved in
advance by the Department in writing. The Department's failure to insist upon strict
performance of any provision of the Grant Agreement or to exercise any right based
upon a breach thereof, or the acceptance of any performance during such breach, shall
not constitute a waiver of any right under this Grant Agreement.
A.40 VENUE
This Grant Agreement shall be construed and enforced in accordance with, and the
validity and performance shall be governed by, the laws of the state of Washington.
Venue of any suit between the parties arising out of this Grant Agreement shall be the
Superior Court of Thurston County, Washington. The Sub-grantee, by execution of this
Grant Agreement acknowledges the jurisdiction of the courts of the State of Washington.
HMGP Page 23 of 37 City of Auburn, D20-003
Attachment 3
CERTIFICATION AND ASSURANCES
,FEMA Form 20-16B: Assurances— Construction Programs
NOTE: Certain of these assurances may not be applicable to your project or program. If you
have questions, please contact the awarding agency. Further, certain Federal assistance
awarding agencies may require applicants to certify to additional assurances. If such is the
case, you will be notified.
As the duly authorized representative of the applicant, I certify that the applicant:
1. Has the legal authority to apply for Federal assistance, and the institutional, managerial
and financial capability (including funds sufficient to pay the nonfederal share of project
costs) to ensure proper planning, management and completion of the project described in
this application.
2. Will give the awarding agency, the Comptroller General of the United States, and, if
appropriate, the State, through any authorized representative, access to and the right to
examine all records, books, papers, or documents related to the assistance; and will
establish a proper accounting system in accordance with generally accepted accounting
standards or agency directives.
3. Will not dispose of, modify the use of, or change the terms of the real property title, or
other interest in the site and facilities without prior permission and instructions from the
awarding agency. Will record the Federal interest in the title of real property in accordance
with awarding agency directives and will include a covenant in the title of real property
acquired in whole or in part with Federal assistance funds to assure nondiscrimination
during the useful life of the project.
4. Will comply with the requirements of the assistance awarding agency with regard to the
drafting, review and approval of construction plans and specifications.
5. Will provide and maintain competent and adequate engineering supervision at the
construction site to ensure that the complete work conforms with the approved plans and
specifications and will furnish progress reports and such other information as may be
required by the assistance awarding agency or state.
6. Will initiate and complete the work within the applicable time frame after receipt of
approval of the awarding agency.
7. 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.
8. Will comply, as applicable, with the Intergovernmental Personnel Act of 1970 (42 USC
Sections 4701 et seq.) relating to prescribed standards for merit systems for programs
funded under one of the nineteen statues or regulations specified in Appendix A of OPM's
Standards for a Merit System of Personnel Administration (5 CFR 900, Subpart F).
9. Will comply, as applicable, with the Lead-Based Paint Poisoning Prevention Act (42 USC
chapter 63), as amended.
10. Will comply, as applicable, with all state and federal statutes, regulations and executive
orders relating to nondiscrimination. These include but are not limited to: (a) Title VI of the
Civil Rights Act of 1964 (PL 88-352, 42 USC Section 2000d) which prohibits discrimination
on the basis of race, color or national origin; (b) Title IX of the Education Amendments of
1972, as amended (20 USC Sections 1681 et seq.), which prohibits discrimination on the
basis of sex; (c) Section 504 of the Rehabilitation Act of 1973 (PL 93-112), as amended
(29 USC Section 794), which prohibits discrimination on the basis of disabilities; (d) the
HMGP Page 24 of 37 City of Auburn, D20-003
Age Discrimination Act of 1975, as amended (42 USC Sections 6101 et seq.), which
prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act
of 1972 (PL 92-255), as amended, relating to nondiscrimination on the basis of drug
abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970 (PL 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) 42 USC Section 290-dd-2, as amended, relating
to confidentiality of substance abuse patient records; (h) the Fair Housing Act (42 USC
Section 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or
financing of housing; (I) any other nondiscrimination provisions in the specific statute(s)
under which application for Federal assistance is being made; and, (j) the requirements of
any other nondiscrimination statute(s)which may apply to the application.
11. Will comply, or has already complied, as applicable, with the requirements of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of 1970 (PL 91-646), as
amended, which provide for fair and equitable treatment of persons displaced or whose
property is acquired as a result of Federal and Federally assisted programs. These
requirements apply to all interests in real property acquired for project purposes regardless
of Federal participation in purchases.
12. Will comply, as applicable, with the provisions of the Hatch Act (5 USC Sections 1501 et
seq.), as amended, which limit the political activities of certain employees whose principal
employment activities are funded in whole or in part with Federal funds.
13. Will comply, as applicable, with labor and wage provisions related to certain federally
assisted contracts (e.g., the wage rate requirements in the Davis-Bacon Act, 40 USC
Sections 3141 et seq., as amended, the Copeland Anti-Kickback provisions in 40 USC
Section 3145 and 18 USC Section 874, as amended, and the Contract Work Hours and
Safety Standards in 40 USC Sections 3701 et seq.).
14. Will comply, as applicable, with flood insurance purchase requirements of Section 102(a)
of the Flood Disaster Protection Act of 1973 (PL 93-234), as amended.
15. Will comply, as applicable, with environmental standards which may be prescribed
pursuant to the following: (a) protection and enhancement of environmental quality
pursuant to the National Environmental Policy Act of 1969 (PL 91-190), as amended, and
Executive Order (EO) 11514, as amended; (b) administration of the Clean Air Act and the
Federal Water Pollution Control Act with respect to federal contracts, grants, or loans
pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990, as amended; (d)
floodplains management pursuant to EO 11988, as amended; (e) the Coastal Zone
Management Act of 1972 (PL 92-583), 16 USC Section 1451 et seq.; (f) Air Quality and
Emission Limitations pursuant to 42 USC Section 7401 et seq.; (g) the Safe Drinking
Water Act of 1974 (PL 93-523), as amended; and (h) the Endangered Species Act of 1973
(PL 93-205), as amended.
16. Will comply, as applicable, with the Wild and Scenic Rivers Act of 1968 (PL 90-542), 16
USC Section 1271 et seq., as amended.
17. Will assist the awarding agency in assuring compliance with Section 106 of the National
Historic Preservation Act of 1966 (PL 89-665), as amended, 16 USC Section 470, as
amended, EO 11593 (protection and enhancement of the cultural environment), and the
Archaeological and Historic Preservation Act, 16 USC Section 469 et seq., as amended.
18. Will cause to be performed the required financial and compliance audits in accordance
with the Single Audit Act of 1984, the Single Audit Act Amendments of 1996, and
applicable OMB Circulars.
19. Will comply with all applicable requirements of all other federal laws, Executive Orders,
regulations, Circulars, and policies governing or applicable to this program.
20. Will comply, as applicable, with the Federal Fair Labor Standards Act, 29 USC Section
201 et seq..
HMGP Page 25 of 37 City of Auburn, D20-003
21. Will obtain approval, if required, by the appropriate Federal agency of the final working
drawings and specifications before the project is advertised or placed on the market for
bidding; will construct the project, or cause it to be constructed, to final completion in
accordance with the approved plans and specifications; will submit to the appropriate
Federal agency for prior approval changes that alter the cost of the project, use of space,
or functional layout; and will not enter into a construction contract(s) for the project or
undertake other activities until the conditions of the construction grant program(s) have
been met.
22. Will operate and maintain the facility in accordance with the minimum standards as may
be required or prescribed by the applicable Federal, State, and local agencies for the
maintenance and operation of such facilities.
23. Will require the facility to be designed to comply with the "American Standard Specification
for Making Buildings and Facilities Accessible to, and Usable by, the Physically
Handicapped," Number A117.- 1961, as modified (41 CFR 101-17.703). The applicant will
be responsible for conducting inspections to ensure compliance with these specifications
by the contractor.
24. If any real property or structure thereon is provided or improved with the aid of Federal
financial assistance extended to the applicant, this assurance obligates the applicant, or in
the case of any transfer of such property, the transferee, for the period during which the
real property or structure is used for a purpose for which the Federal financial assistance
is extended or for another purpose involving the provision of similar services or benefits.
25. In making subgrants with nonprofit institutions under this Comprehensive Cooperative
Agreement, it agrees that such grants will be subject to OMB Circular A-122, "Cost
Principles for Nonprofit Organizations" included in Vol. 49, Federal Register, pages 18260
through 18277 (April 27, 1984).
Authorized Signature )SCCI'eAltiUt6
Authorized Applicant Agent: Q
Nancy Backus, Mayor
Date:
Alternate Authorized Signature
Authorized Alternate Applicant Agent:
Lisa Tobin, Utilities Engineering Manager
Date:
HMGP Page 26 of 37 City of Auburn, D20-003
Attachment 4
STATEMENT OF WORK AND/OR DESCRIPTION OF PROJECT
Sub-Grantee: City of Auburn
PROJECT TITLE: Reservoir 1 Seismic Control Valve
The purpose of this project is for City of Auburn to install seismic control valve at the City of
Auburn's Reservoir 1 preventing water from escaping from the reservoir in case of an
earthquake. Reservoir 1 is located at 2003 Auburn Way South, Auburn, WA 98002.
A specific and more detailed scope of work is found in the FEMA approved Project Application
4168-6-R, which is incorporated herein by reference.
City of Auburn Agrees To:
1. Comply with the terms of this Agreement and all Attachments, including but not limited to,
accomplish tasks and conditions outlined in the Statement of Work And/Or Description of
Project-Attachment 4, comply with the Project Development Schedule-Attachment 5, and
comply with the Project Budget-Attachment 6.
2. Submit quarterly reports that cover the previous three months no later than the 15th of the
following month (or the next workday) in January, April, July and October until all
requirements are fulfilled. Quarterly reports are required regardless of the level of work
completed during the reporting period. Quarterly reports must include sufficient narrative to
determine the degree to which the project has been implemented, the estimated time for
completion, and significant developments such as delays or adverse conditions that might
raise costs or delay completion, as well as favorable conditions allowing lower costs or
earlier completion. Failure of the Sub-Grantee to submit a complete quarterly report within
15 days following the end of the quarter will result in suspension of all payments until a
complete quarterly report is received by the Department.
3. Submit pen-and-ink signed, approved invoice vouchers (state form A-19) for eligible,
reimbursable work completed, no more frequently than monthly and no less frequently than
quarterly. Each billing must identify the task(s) completed and any other funding
identification pertinent to the task(s), including match. Supporting documentation is required
for all costs, to include tracking of staff time spent on the project through timesheets or other
documentation approved by the Department; dated invoices from all contractors and
subcontractors for work completed; dated invoices for goods and services purchased; and
documentation tracking in-kind contributions of personnel, equipment and supplies, if used
on the project. Project costs must be tracked and reported by approved budget cost
categories as found in Project Budget, Attachment 6. Documentation of expenditures by
approved budget cost categories should be made on a separate spreadsheet or table and
included with each A-19, along with documentation to substantiate all project costs.
4. Return by Department staff of invoices to the Sub-Grantee if the Sub-Grantee is unable to
provide sufficient documentation to staff within 15 calendar days of the staffs written request
for additional documentation to support the reimbursement request.
5. Submit a signed final project report before final reimbursement is made by the Department.
6. PROGRAMMATIC, ENVIRONMENTAL AND HISTORIC PRESERVATION CONDITIONS
In completing this project, the Sub-Grantee must adhere to the following programmatic,
environmental and historic preservation conditions:
a. Scope of Work Change: Requests for changes to the Scope of Work after grant award
are permissible as long as they do not change the nature or total project cost of the
activity, properties identified in the application, the feasibility and effectiveness of the
project, or reduce the Benefit Cost Ratio below 1.0. Requests must be supported by
adequate justification, including a description of the proposed change; a written
explanation of the reason or reasons for the change; an outline of remaining funds
available to support the change; and a full description of the work necessary to complete
the activity.
HMGP Page 27 of 37 City of Auburn, D20-003
A proposed change to the approved Scope of Work (as presented in the FEMA
approved project application) must be submitted to the Department and FEMA in
advance of implementation for re-evaluation for compliance with National Environmental
Policy Act (NEPA) and other Laws and Executive Orders. Prior approval for a change to
the approved Scope of Work must be obtained from the Department and FEMA before
the change is implemented. Failure to obtain prior approval for a revised Scope of Work
could result in ineligibility of resulting costs.
b. Comply with all applicable federal, state and local laws and regulations. Failure to obtain
all appropriate federal, state and local environmental permits and clearances may
jeopardize federal funding provided by this Grant Agreement.
c. Ensure that all completed work is in compliance with applicable state and local buildings
codes and flood damage prevention legislation.
d. Monitor site work during ground-disturbing activities for evidence of potential
archaeological resources that are uncovered. Sub-Grantee must halt the project in the
event historically or archaeologically significant materials or sites (or evidence thereof)
are discovered. By way of example, such evidence may include, but is not limited to,
artifacts such as arrowheads, bone fragments, pottery shards, and features such as fire
pits or structural elements. All reasonable measures must be taken to avoid or minimize
harm to such resources until such time as the Sub-Grantee notifies the Department, and
FEMA, in consultation with the State Historic Preservation Officer (SHPO) and
appropriate Native American tribes, determines appropriate measures have been taken
to ensure that the project is in compliance with the National Historic Preservation Act. In
addition, upon discovery of human skeletal remains, the Sub-Grantee is required by
state law to notify the county coroner and local law enforcement in the most expeditious
manner possible and to immediately stop any activity which may cause further ground
disturbance.
e. Determine the presence of hazardous materials and/or toxic waste, and identifying,
handling, managing, abating and disposing of such materials in accordance with the
requirements and to the satisfaction of the governing local, state and federal agencies,
including but not limited to the Washington Department of Ecology. Such materials may
include, but are not limited to, asbestos, lead-based paint, propane cylinders, sand
blasting residue, discarded paints and solvents, cleaning chemicals, containers of
pesticides, lead-acid batteries, items containing chlorofluorocarbons (CFCs), motor oil
and used oil filters, and unlabeled tanks or containers.
f. Conduct work during the non-flood season as determined by the local floodplain
administrator. However, should construction be required during the flood season, as
determined by the local floodplain administrator, all construction equipment shall be
staged in an area not susceptible to flood events or be readily transportable out of the
floodplain to minimize flood damage.
g. Dispose of all debris at an approved and permitted location. No debris shall be
temporarily staged or disposed of in a floodplain and/or a wetland.
h. Confirm with the State Department of Ecology whether this project will require a
consistency determination under the Coastal Zone Management Act. If required, the
Sub-Grantee shall obtain and comply with all requirements of the determination prior to
starting the project.
i. Select, implement, monitor, and maintain Best Management Practices (BMPs) to control
soil erosion and sedimentation, reduce spills and pollution, and provide habitat
protection. The acquisition site shall be stabilized from erosion and silt laden runoff by
implementing these BMPs and securing the site from transient vehicle access. Any
excavation and/or grading shall be done within and/or adjacent to the existing building
footprint area and not beyond undisturbed portions of the site.
j. Resubmit the project to the Department and FEMA prior to implementation if any in-
water work will occur or if any work will occur below the ordinary high water mark of any
HMGP Page 28 of 37 City of Auburn, D20-003
water resource in the area, so further coordination/consultation can take place with the
National Marine Fisheries Service (NMFS) to determine whether appropriate measures
have been taken to ensure the project is in compliance with the Endangered Species
Act.
k. Resubmit the project to the Department and FEMA for re-evaluation for compliance with
national environmental policies if the "Project Limits" (including clearing, excavation,
temporary staging, construction, and access areas) extend into: 1) an area not
previously identified for environmental and historic preservation review, or 2) previously
undisturbed ground. Additionally, all work on the project in these areas must stop until
this re-evaluation is completed.
I. National Historic Preservation Act Section 106 requirement: All proposed repair and
construction activities on buildings listed in or eligible for the National Register of Historic
Places (historic properties) should be done in-kind to match existing materials and form.
In-kind means that the result of the proposed activities will match all physical and visual
aspects of existing historic materials, including form, color and workmanship. In-kind
mortar also will match the strength and joint tooling of existing historic mortar.
m. (Additional requirements as noted by FEMA in grant award document).
n. Cost overruns in excess of the approval budget are fully the responsibility of the Sub-
Grantee, including those costs resulting from a change in the Scope of Work. The
project must remain cost effective (i.e., Benefit Cost Ratio of 1.0 or greater) in the event
of cost overrun.
For Hazard Mitigation Grant Program (HMGP) only: A request for additional funds to
cover a cost overrun may be granted by the Department and FEMA only if funds are
available within the HMGP ceiling for this disaster, FEMA-DR-4168-WA. A request for
additional funds must be fully documented and justified.
7. SPECIAL FLOOD HAZARD AREA REQUIREMENTS
Pursuant to the Flood Disaster Protection Act of 1973, those structures that remain in the
Special Flood Hazard Area (SFHA) after the implementation of the mitigation project, flood
insurance must be maintained for the life of the structure. The SFHA is defined as the land
in the floodplain within a community subject to a 1 percent or greater chance of flooding in
any given year.
The following National Flood Insurance Program Eligibility Requirements contained in the
2013 Hazard Mitigation Assistance Unified Guidance apply to any project involving the
alteration of existing structures, to include Mitigation Reconstruction projects that are sited
within an SFHA.
a. When the project is implemented, all structures that will not be demolished or relocated
out of the SFHA must be covered by a National Flood Insurance Program (NFIP) flood
insurance policy to an amount at least equal to the project cost or to the maximum limit
of coverage made available with respect to the particular property, whichever is less.
b. The Sub-Grantee (or property owner) must legally record with the county or appropriate
jurisdiction's land records agency a notice that includes the name of the current property
owner (including book/page reference to record of current title, if readily available), a
legal description of the property, and the following notice of flood insurance requirements
as identified on page 44 of the 2013 Hazard Mitigation Assistance Unified Guidance:
"This property has received Federal hazard mitigation assistance. Federal law
requires that flood insurance coverage on this property must be maintained during
the life of the property regardless of transfer of ownership of such property. Pursuant
to 42 U.S.C. § 5154a, failure to maintain flood insurance on this property may
prohibit the owner from receiving Federal disaster assistance with respect to this
property in the event of a flood disaster. The Property Owner is also required to
maintain this property in accordance with the floodplain management criteria of 44
CFR § 60.3 and City/County Ordinance."
HMGP Page 29 of 37 City of Auburn, D20-003
c. Copies of the recorded notices for each property will be provided to the Department at
project closeout.
8. PROVISIONS APPLYING ONLY TO ACQUISITION OF PROPERTIES FOR OPEN SPACE
a. The Sub-Grantee must ensure that prospective participants are informed in writing that
property owner participation in this acquisition program is voluntary and that the Sub-
Grantee will not use its eminent domain authority to acquire the property for the project
purposes should negotiations fail.
Copies of the Statement of Voluntary Participation / Notice of Voluntary Interest signed
by each participating property owner will be provided to the Department by project close-
out.
b. The Sub-Grantee agrees that land acquired for open space purposes under this grant
will be restricted in perpetuity to open space uses and will be unavailable for the
construction of flood damage reduction levees, transportation facilities, and other
incompatible purposes.
c. The Sub-Grantee agrees to prepare, execute and record Deed Restrictions for each
affected property utilizing the current Model Deed Restriction provided on the FEMA
website or available from the Department.
Copies of the recorded deed and attached deed restrictions for each property will be
provided to the Department by project close-out.
d. The Sub-Grantee accepts all of the requirements of the deed restriction governing the
use of the land.
e. The Sub-Grantee ensures that, prior to acquisition of the property, in consultation with
the U.S. Army Corps of Engineers, it has addressed and considered the potential future
use of these lands for the construction of flood damage reduction levees, has rejected
consideration of such measures in the future in the project area, and instead has chosen
to proceed with acquisition of permanent open space.
Documentation of this consultation and the Sub-Grantee's consideration of this issue will
be provided to the Department by project close-out.
f. The Sub-Grantee must, prior to acquisition of the property, consult with the Washington
State Department of Transportation to ensure that no future planned improvements or
enhancements are under consideration that will affect the proposed project area.
Documentation of this consultation will be provided to the Department by project close-
out.
g. The Sub-Grantee will remove existing buildings from acquired properties within 90 days
of settlement. The Sub-Grantee will provide confirmation to the Department as to the
date of demolition of each structure included in the project in its quarterly reports, as well
as confirmation that the property has been returned to "natural" or park/open space
condition.
The Sub-Grantee will provide digital latitude and longitude coordinates and digital
photographs of each property site after project implementation to the Department by
project close-out.
h. The Sub-Grantee agrees to complete FEMA Form AW-501, NFIP Repetitive Loss
Update Worksheet for each property identified on FEMA's Repetitive Loss list to
document completion of mitigation on the property. The form is available on FEMA's
Web site or available from the Department.
The Sub-Grantee will provide a copy of the completed form to the Department by project
close-out.
i. The Sub-Grantee agrees to comply with the requirements of 44 CFR § 80.19 Land Use
and Oversight, which are incorporated into these conditions by reference. These
requirements include, but are not limited to, the following (which are described further in
the 2013 Hazard Mitigation Assistance Unified Guidance and the Addendum to the 2013
HMGP Page 30 of 37 City of Auburn, D20-003
Hazard Mitigation Assistance Unified Guidance which are incorporated herein by
reference):
1. Restriction on future disaster assistance for damages to the property.
2. Lists of allowable open space uses as well as uses generally not allowed on
acquired open space land.
3. Provision for salvage of pre-existing structures and paved areas.
4. Requirements pertaining to future transfer of property interest.
5. Requirement for Sub-Grantee monitoring and inspection of the acquired property
at least every 3 years. The Sub-Grantee will provide the Department with a
report on the result of the inspection within 90 days of the inspection.
6. Provisions for enforcement of violation of open space requirements.
The Military Department Agrees To:
1. Provide staff coordination and input regarding grant administration for funding and technical
assistance for project and reviews for mitigation construction projects, as necessary.
2. Reimburse City of Auburn within 30 days of receipt and approval of signed, dated invoice
voucher(s) (state form A-19) with sufficient documentation of costs to include completion of
tasks to date and dated invoices for goods and services purchased. Costs must be
categorized according to the budget item and cost classification shown in the Project
Budget, Attachment 6. The Department will return invoices to the Sub-Grantee if the Sub-
Grantee is unable to provide sufficient documentation within 15 calendar days of the
Department's written request for additional documentation to support the reimbursement
request.
3. Coordinate with the staff of City of Auburn to schedule any sub-recipient monitoring, site
visits or final inspections by Department staff.
HMGP Page 31 of 37 City of Auburn, D20-003
Attachment 5
PROJECT DEVELOPMENT SCHEDULE
Sub-Grantee: City of Auburn
PROJECT TITLE: Reservoir 1 Seismic Control Valve
DESCRIPTION OF ACTIVITY/TASK SCHEDULED COMPLETION DATE
Consultant selection 12/31/2016 Completed under D16-010
Contract negotiation/execution 3/31/2017 Complete under D16-010
Preliminary design 5/31/2017 Complete under D16-010
Detailed design 8/31/2017 Complete under D16-010
Permitting 10/31/2017 Complete under D16-010
Project bid 12/31/2017 Complete D16-010
Project construction 3/31/2018 Complete D16-010
Time of project under D16-010 30 Months
Final project completion and close-out 12/28/2019
Total of project under D20-003 6 Months
Total Time Required to Complete This Project: 36 months
Quarterly Reports Due on Project Progress, October 15, 2019;
Final Project Report and all documentation, January 15, 2020
site visits and inspections.
HMGP Page 32 of 37 City of Auburn, D20-003
Attachment 6
PROJECT BUDGET
Sub-Grantee: City of Auburn
PROJECT TITLE: Reservoir 1 Seismic Control Valve
APPROVED BUDGET CATEGORY ESTIMATED COST
Administrative and legal expenses, etc. $5,000 Expended under D16-010
Architectural, engineering, geotechnical,
etc. $96,000 Expended under D16-010
Construction $27,800.26 Expended under D16-10
Total Expended Under D16-010 $128,800.26
Remaining Construction $380,216.74
Total approved to be expended under $380,216.74
D20-003
TOTAL $509,017
Tracking and Reporting Project Costs: Project expenses for which reimbursement is
sought must be tracked and reported by approved budget cost categories, above.
Documentation of expenditures by approved budget cost categories should be made on
a separate spreadsheet or table and included with each A-19. Supporting documentation
of all costs shall include, but not be limited to: tracking of staff time spent on the project
through timesheets or other similar documentation; dated invoices from contractors and
subcontractors for work completed; dated invoices for goods and services purchased;
and documentation of in-kind contributions of personnel, equipment and supplies.
Final Payment: Final payment of any remaining, or withheld, funds will be made upon
submission by the Sub-Grantee within 60 days of completion of the project of the final
report and an A-19, Voucher Distribution, and completion of all final inspections by the
Department. Final payment also may be conditioned upon a financial review, if
determined necessary by the Department. Adjustments to the final payment may be
made following any audits conducted by the Department, Washington State Auditor's
Office, the United States Inspector General, or their authorized representatives.
Per HMGP program guidance, no cost overruns will be funded. If costs exceed the
maximum amount of FEMA funding approved, the Applicant shall pay the costs in excess
of the approved budget. Project must remain cost effective (i.e., Benefit Cost Ratio of
1.0 or greater) in the event of cost overrun.
For Hazard Mitigation Grant Program only: A request for additional funds to cover a cost
overrun may be granted by the Department and FEMA only if funds are available within
the HMGP ceiling for this disaster, FEMA-DR-4168-WA. A request for additional funds
must be fully documented and justified.
HMGP Page 33 of 37 City of Auburn, D20-003
Attachment 7
ADDITIONAL AGREEMENT PROVISIONS AND WORKSHEET
For Compliance With The
Federal Funding Accountability and Transparency Act of 2006 (P.L. 109-282) (FFATA)
The Federal Funding Accountability and Transparency Act (FFATA) was signed on September
26, 2006. The FFATA legislation requires information on federal awards (federal financial
assistance and expenditures) be made available to the public via a single, searchable website.
Federal awards include grants, subgrants, loans, awards, cooperative agreements and other forms
of financial assistance as well as contracts, subcontracts, purchase orders, task orders, and
delivery orders. The legislation does not require inclusion of individual transactions below
$25,000 or credit card transactions before October 1, 2008. However, if an award is initially
below this amount yet later increased, the act is triggered. Due to this variability in compliance
Subrecipients are required by the Military Department to be familiar with the FFATA
requirements and complete this Worksheet for each contract for the State's submission in to the
FFATA portal.
ADDITIONAL PROVISIONS
A. This contract (subaward) is supported by federal funds, requiring compliance with the
Federal Funding Accountability and Transparency Act(FFATA or the Transparency Act)
and Office of Management and Budget Guidance (OMB). Public Law 109-282 as
amended by section 6202(a) of Public Law 110-252 (see 31 U.S.C. 6101 note). By
entering into this contract, contractor agrees to provide all applicable reporting
information to the Washington Military Department (WMD) required by FFATA and
OMB Guidance.
B. The FFATA requires the OMB to establish a publicly available online database
(USASpending.gov) containing information about entities that are awarded Federal
grants, loans, and contracts. As required by FFATA and OMB Guidance, certain
information on the first-tier subawards related to Federal contracts and grants, and the
executive compensation of awardees, must be made publicly available.
C. For new Federal grants beginning October 1, 2010, if the initial subaward is equal to or
greater than $25,000, reporting of the subaward and executive compensation information
is required. If the initial subaward is below $25,000 but subsequent grant modifications
result in a total subaward equal to or over $25,000, the subaward will be subject to the
reporting requirements as of the date the subaward exceeds $25,000. If the initial
subaward equals or exceeds $25,000 but funding is subsequently de-obligated such that
the total award amount falls below $25,000, the subaward continues to be subject to the
reporting requirements of the Transparency Act and OMB Guidance.
D. As a Federal grant subawardee under this contract, your organization is required by
FFATA, OMB Guidance and this contract to provide the WMD, as the prime grant
awardee, all information required for FFATA compliant reporting by WMD. This
includes all applicable subawardee entity information required by FFATA and OMB
Guidance, subawardee DUNS number, and relevant executive compensation data, as
applicable.
1. Data about your organization will be provided to USASpending.gov by the WMD.
System for Award Management (SAM) is a government wide registration system for
organizations that do business with the Federal Government. SAM stores information
HMGP Page 34 of 37 City of Auburn, D20-003
about awardees including financial account information for payment purposes and a
link to D&B for maintaining current DUNS information, www.sam.gov. WMD
requires SAM registration and annual renewal by your organization to minimize
unnecessary data entry and re-entry required by both WMD and your organization. It
will also reduce the potential of inconsistent or inaccurate data entry.
2. Your organization must have a Data Universal Numbering System (DUNS) number
obtained from the firm Dun and Bradstreet (D&B) (www.dnb.com). A DUNS
number provides a method to verify data about your organization. D&B is
responsible for maintaining unique identifiers and organizational linkages on behalf
of the Federal Government for organizations receiving Federal assistance.
E. The WMD, as the prime awardee, is required by FFATA to report names and total
compensation of the five (5) most highly compensated officers of your organization (as
the subawardee) if:
1. Your organization (the subawardee), in the preceding fiscal year, received 80 percent
or more of its annual gross revenues from Federal awards and $25,000,000 or more in
annual gross revenues from Federal awards; and
2. The public does not have access to this information about the compensation of the
senior executives of your organization through periodic reports filed under section
13(a) or 15(d) of the Securities and Exchange Act of 1934 (15 U.S.C. §§ 78m(a),
78o(d) or section 6104 of the Internal Revenue Code of 1986.
"Total compensation" for purposes of this requirement generally means the cash and non-
cash value earned by the executive during the past fiscal year and includes salary and
bonus; awards of stock, stock options and stock appreciation rights; and other
compensation such as severance and termination payments, and value of life insurance
paid on behalf of the employee, and as otherwise provided by FFATA and applicable
OMB guidance.
F. If (1) in the preceding fiscal year your organization received 80 percent or more of its
annual gross revenues from Federal awards and $25,000,000 or more in annual gross
revenues from Federal awards, and (2) the public does not have access to this information
about the compensation of the senior executives of your organization through periodic
reports filed under section 13(a) or 15(d) of the Securities and Exchange Act of 1934 (15
U.S.C. §§ 78m(a), 78o(d) or section 6104 of the Internal Revenue Code of 1986, insert
the names and total compensation for the five most highly compensated officers of your
organization in the table below.
HMGP Page 35 of 37 City of Auburn, D20-003
WORKSHEET
Subrecipient Agency: City of Auburn
Grant and Year: HMGP Hazard Mitigation Grant 2016 Agreement Number: FEMA-4168-DR-WA-6-R
Completed by: Susan Fenhaus Water Utility Engineer 253-804-5061
Name Title Telephone
Date Completed: S. bkr d '!q
� " STEP 1
YES STOP, no further NO
Is your grant agreement less than $25,000? f--t analysis needed, GO to F I GO to Step 2
Step 6
STEP 2
STOP, no
In your preceding fiscal year, did your YES NO further
organization receive 80% or more of its annual --t GO to STEP 3 F I analysis
gross revenues from federal funding? , , needed, GO to
Step 6
STEP 3
In your preceding fiscal year, did your YES NO STOP, no
organization receive$25,000,000 or more in i( GO to STEP 4
r- I further
federal funding? , , analysis
STEP 4
Does the public have access to information about YES STOP, no further NO
the total compensation*of senior executives in - ( analysis needed, GO to f-- I GO to STEP 5
your organization? , step 6 ,
STEP 5
Name:
Executive#1
Total Compensation amount: $
Executive#2 Name:
Total Compensation amount: $
Name:
Executive#3 Total Compensation amount: $
Name:
Executive#4 Total Compensation amount: $
Name:
Executive#5 Total Compensation amount: $
STEP 6
If your organization does not meet these criteria, specifically identify below each criteria that is not met for your
organization: For Example: "Our organization received less than $25,000."
Dc o r�a�l rd+� reserved lis p B�o '1J t�dvi-. Peder'a-( P "
Signature: 61,-(Vg-"---- ' Date: -ei
*Total compensation refers to:
• Salary and bonuses
• Awards of stock, stock options, and stock appreciation rights
• Other compensation including, but not limited to, severance and termination payments
• Life insurance value paid on behalf of the employee
Additional Resources:
http://www.whitehouse.gov/omb/open
http://www.hrsa.00v/orants/ffata.html
http://www.gpo.gov/fdsys/pkg/FR-2010-09-14/pdf/2010-22705.pdf
http://www.orants.00v/
HMGP Page 36 of 37 City of Auburn, D20-003
Attachment 8
OMB Circular A-133 Audit Certification Form
Audits of States, Local Governments, and Non-Profit Organizations
Contact Information
Subrecipient(Sub-Grantee) Name(Agency,Local Government,or Organization):City of Auburn
Authorized Chief Financial Officer(Central Accounting Office):Jamie Thomas
Address:25 W. Main Street Auburn, WA 98001
Email:jthomas@auburnwa.gov Phone#: 253-804-5019
Purpose: As a pass-through agency of federal grant funds,the Washington Military Department/Emergency Management Division
(WMD/EMD)is required by Office of Management and Budget(OMB)Circular A-133 to monitor activities of subrecipients to ensure
federal awards are used for authorized purposes and ensure that subrecipients expending $500,000 or more in federal awards
during their fiscal year have met the OMB Circular A-133 Audit Requirements. Your entity is a subrecipient subject to such
monitoring by MIL/EMD because it is a non-federal entity that expends federal grant funds received from MIL/EMD as a pass-
through entity to carry out a federal program. OMB Circular A-133 can be found at
http://www.whitehouse.gov/sites/default/files/omb/assets/a133/a133 revised 2007.pdf, and it should be consulted when
completing this form.
Directions: As required by OMB Circular A-133, non-federal entities that expend $500,000 in federal awards in a fiscal year shall
have a single or program-specific audit conducted for that year. If your entity is not subject to A-133 requirements, you must
complete Section A of this Form. If your entity is required to complete an A-133 Audit, you must complete Section B of this form.
When completed,you must sign, date, and return this form with your grant agreement contract and every fiscal year thereafter until
the grant agreement contract is closed. Failure to return this completed Audit Certification Form may result in delay of grant
agreement processing,withholding of federal awards or disallowance of costs,and suspension or termination of federal awards.
SECTION A: Entities NOT subject to the audit requirements of OMB Circular A-133
Our entity is not subject to the requirements of OMB Circular A-133 because(check all that apply):
❑ We did not expend$500,000 or more of total federal awards during the fiscal year.
❑ We are a for-profit agency.
❑ We are exempt for other reasons(describe):
However, by signing below, I agree that we are still subject to the audit requirements, laws and regulations governing the program(s)in
which we participate,that we are required to maintain records of federal funding and to provide access to such records by federal and
state agencies and their designees, and that WMD/EMD may request and be provided access to additional information and/or
documentation to ensure proper stewardship of federal funds.
SECTION B: Entities that ARE subject to the requirements of OMB Circular A-133
(Complete the information below and check the appropriate box)
® We completed our last A-133 Audit on[enter dateL7/26/2018_for Fiscal Year ending[enter date]_12/31/17_. There were no
findings related to federal awards from WMD/EMD. No follow-up action is required by WMD/EMD as the pass-through entity.
A complete copy of the audit report,which includes exceptions,corrective action plan and management
response,is either provided electronically to contracts.office(a�mil.wa.gov or provide the state auditor report
number: /v4 j zj"/3 .
❑ We completed our last A-133 Audit on [enter date] for Fiscal Year ending [enter date] . There were findings
related to federal awards.
A complete copy of the audit report,which includes exceptions,corrective action plan and management response, is
either provided electronically to contracts.office(amil.wa.gov or provide the state auditor report
number: .
O Our completed A-133 Audit will be available on [enter date] for Fiscal Year ending [enter date] . We
will forward a copy of the audit report to you at that time unless it will be available online at:
http://www. .
I hereby certify that I am an individual authorized by the above identified entity to complete this form. Further, I certify that
the above information is true and correct and all relevant material findings contained in audit report/statement have been
disclosed.Additionally, I understand this Form is to be submitted every fiscal year for which this entity is a subrecipient of
federal grant funds from MILJEMD until the grant agreement contra is closed.
Signature of Authorized Chief Financial Officer: ��� /� i)4A)
�471a( Date: !1/i t'
Print Name &Title: Jamie Thomas, Director of Finance I 71 L- AA'- I
WMD Form 1009-13,8/19/2013
Mitigation Project Grant Agreement Page 37 of 37 City of Auburn, D20-003
SIGNATURE AUTHORIZATION FORM
WASHINGTON STATE MILITARY DEPARTMENT
Camp Murray, Washington 98430-5122
Please read instructions on reverse side before completing this form.
NAME OF ORGANIZATION DATE SUBMITTED
City of Auburn September 10, 2019
PROJECT DESCRIPTION CONTRACT NUMBER
Reservoir 1 Seismic control Valve D20-003
1. AUTHORIZING AUTHORITY
SIGNATURE PRINT OR TYPE NAME TITLE/TERM OF OFFICE
Nancy Backus Mayor
2. AUTHORIZED TO SIGN CONTRACTS/CONTRACT AMENDMENTS
SIGNATURE PRINT OR TYPE NAME TITLE
YIC°1‘tie4141444.6 Nancy Backus Mayor
Lisa Tobin Utilities Engineering Manager
Susan Fenhaus Water Utility Engineer
3. AUTHORIZED TO SIGN REQUESTS FOR REIMBURSEMENT
SIG ;JURE PRINT OR TYPE NAME TITLE
Consuelo Rogel Financial Analyst
If
Susan Fenhaus Water Utility Engineer
\\NAC-1\VOL1\HOME\KARENB\....\WP\SIGNAUTH Revised 3/03