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Bee Branch Stormwater Pumping Station — Phase IV of the Bee Branch Watershed Flood Mitigatin Project FEMA PDM Grant AgreementCity of Dubuque City Council CONSENT ITEMS # 7. Copyrighted October 21, 2024 ITEM TITLE: Bee Branch Stormwater Pumping Station — Phase IV of the Bee Branch Watershed Flood Mitigation Project (Project #5586500007) FEMA PDM Grant Agreement LPDM-PJ-07-IA-2024-001 SUMMARY: City Manager recommending City Council approval to enter into a Subaward Agreement approved by the Iowa Department of Homeland Security and Emergency Management (HSEMD) and the Federal Emergency Management Agency (FEMA) in the amount of $8,690,000 in grant funding for the Bee Branch Stormwater Pumping Station (Phase IV of the Bee Branch Watershed Flood Mitigation Project). RESOLUTION Approving Subaward Agreement (Agreement No. LPDM-PJ-07-IA-2024-001) With The Iowa Department Of Homeland Security And Emergency Management And The Federal Emergency Management Agency To Assist With Bee Branch Stormwater Pumping Station — Phase IV Of The Bee Branch Watershed Flood Mitigation Project SUGGUESTED Receive and File; Adopt Resolution(s) DISPOSITION: ATTACHMENTS: 1. MVM Memo 2. Bee Branch Subaward Agreement FEMA 3. Bee Branch Subaward Agreement FEMA - Council Resolution 4. LPDM-PJ-07-IA-2024-0001 - City of Dubuque Subaward Agreement Notification Letter (Signed DW) 5. LPDM-PJ-07-IA-2024-0001 City of Dubuque Subaward Agreement Page 160 of 1713 Dubuque THE C D!Uj-!B AII-America Ciq 11111.1 II Masterpiece on the Mississippi YP PP zoo�•*o 13 2017202019 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: Bee Branch Stormwater Pumping Station — Phase IV of the Bee Branch Watershed Flood Mitigation Project (Project #5586500007) FEMA PDM Grant Agreement LPDM-PJ-07-IA-2024-001 DATE: October 16, 2024 City Engineer Gus Psihoyos is recommending City Council approval to enter into a Subaward Agreement approved by the Iowa Department of Homeland Security and Emergency Management (HSEMD) and the Federal Emergency Management Agency (FEMA) in the amount of $8,690,000 in grant funding for the Bee Branch Stormwater Pumping Station (Phase IV of the Bee Branch Watershed Flood Mitigation Project). The City was notified by the Iowa Department of Homeland Security and Emergency Management that the City was awarded $8,690,000 in grant funding for the Bee Branch Stormwater Pumping Station (Phase IV of the Bee Branch Watershed Flood Mitigation Project). The legislation establishing the funding allows the state to utilize a portion of the federal allocation for the state to administer the grant on behalf of FEMA. This reduces the federal share to $ 7,900,000. But as part of the FEMA PDM Grant program, the state does provide additional funding that is 10% of the federal share. As a result, the cost -share breakdown is as follows: ALLOCATION Federal (FEMA) $ 7,900,000 28.93% State $ 790,000 2.89% Local Match $18,609,820 68.18% TOTAL $27,309,820 The local match includes the $7,700,000 in EDA Grant funding, leaving the City responsible for $10,919,820 in local funding. I concur with the recommendation and respectfully request Mayor and City Council approval. k�4 Micha I C. Van Milligen Page 161 of 1713 MCVM:sv Attachment cc: Crenna Brumwell, City Attorney Cori Burbach, Assistant City Manager Gus Psihoyos, City Engineer Jenny Larson, Chief Financial Officer Arielle Swift, Public Works Director Teri Goodmann, Director of Strategic Partnerships 2 Page 162 of 1713 THE CITY OF Dubuque DUB E All-Ameriea City Masterpiece pp iece on the Mississippi zoo�-zoi 2-2013 2oi7*2019oi9 TO: Michael C. Van Milligen, City Manager FROM: Gus Psihoyos, City Engineer SUBJECT: Bee Branch Stormwater Pumping Station — Phase IV of the Bee Branch Watershed Flood Mitigation Project (Project #5586500007) FEMA PDM Grant Agreement LPDM-PJ-07-IA-2024-001 DATE: INTRODUCTION October 16, 2024 The purpose of this memorandum is to request approval to enter into a Subaward Agreement approved by the Iowa Department of Homeland Security and Emergency Management (HSEMD) and the Federal Emergency Management Agency (FEMA) in the amount of $8,690,000 for the Bee Branch Stormwater Pumping Station (Phase IV of the Bee Branch Watershed Flood Mitigation Project). BACKGROUND In November of 2013, the City Council passed Resolution 335-13 adopting the 2013 Drainage Basin Master Plan Amendment that outlined several improvements throughout the Bee Branch watershed to mitigate the effects of future flooding and disasters. Collectively, the improvements form the basis of the multi -phase Bee Branch Watershed Flood Mitigation Project outlined below. Table 1. Twelve phases of the Bee Branch Watershed Flood Mitigation Project Phase Description Status 1 Carter Road Detention Basin Complete 2 West 32nd Street Detention Basin Complete 3 Historic Millwork District Complete 4 Lower Bee Branch Creek Restoration Complete 5 Flood Mitigation Gate Replacement Designed 6 Impervious Surface Reduction (Green Alleys) Initiated 7 Upper Bee Branch Creek Restoration Complete 8 22nd Street Storm Sewer Improvements Complete to N. Main St. 9 Flood Mitigation Maintenance Facility Cleanup Initiated 10 North End Storm Sewer Improvements 11 Water Plant Flood Protection 12 17th Street Storm Sewer Improvements Complete to Heeb St. Page 163 of 1713 On December 4, 2013, the Iowa Flood Mitigation Board voted to award the City $98,494,178 for the Bee Branch Watershed Flood Mitigation Project. On February 3, 2014 the City Council adopted Resolution 31-14 authorizing the execution of an agreement with the State of Iowa Flood Mitigation Board and authorizing the City's use of sales tax increment funding for the Bee Branch Watershed Flood Mitigation Project. The City has used a combination of stormwater utility revenue; local, state, and federal grant funding; and debt in order to construct the improvements associated with the flood mitigation plan. The state grant funding and the subsequent debt issuances allowed for much of the protection to be provided sooner than otherwise possible. With a total estimated cost of $250 million, the Bee Branch Watershed Flood Mitigation Project will prevent an estimated $582 million in damages over the 100-year design life of the project. With more than $163 million in funding assistance, for every dollar invested by Dubuque citizens it will prevent almost seven dollars in flood damage. In September of 2023, the City Council adopted Resolution 298-23 approving the City's application for $7.7 million in EDA Disaster Relief Opportunity grant funding and pledged providing the required local matching funds in the amount of $19,012,000.00 with$2,600,000 from a State Revolving Fund loan and $16,412,000.00 from General Obligation Bonds. On March 23, 2024, H.R. 2882, the "Further Consolidated Appropriations Act, 2024," was signed into law, providing funding for projects and activities of departments and agencies of the Federal Government. This included $8 million in Federal Emergency Management Agency's Pre -Disaster Mitigation (PDM) grant program funding for the City's Flood Mitigation Gates and Pumps Project (aka Bee Branch Stormwater Pumping Station Project) as requested as Community Project Funding by U.S. Representative Ashley Hinson. On May 22, 2024, the federal Notice of Funds Availability (NOFA) was issued for the Fiscal Year 2024 Pre -Disaster Mitigation Grant Program. Iowa Homeland Security and Emergency Management (IHSEM), who administers the grant on behalf of FEMA, invited the City to submit an application for the grant funding on May 28, 2024. The application required a resolution documenting the City' s commitment to provide the requisite grant matching funds. In terms of the FEMA grant, the project cost is made up of construction, construction contingency, and engineering/ project management/ oversight costs as follows: Construction: $25,448,450 Construction Contingency (2%) 508,820 Construction Engineering/ Management/Oversight 1,360,000 Total Estimated Project Cost $27,309,820 DISCUSSION The City was notified by the Iowa Department of Homeland Security and Emergency Management that the City was awarded $8,690,000 in grant funding for the Bee Branch Stormwater Pumping Station (Phase IV of the Bee Branch Watershed Flood Mitigation Page 164 of 1713 Project). The legislation establishing the funding allows the state to utilize a portion of the federal allocation for the state to administer the grant on behalf of FEMA. This reduces the federal share to $ 7,900,000. But as part of the FEMA PDM Grant program, the state does provide additional funding that is 10% of the federal share. As a result, the cost -share breakdown is as follows: ALLOCATION Federal (FEMA) $ 7,900,000 28.93% State $ 790,000 2.89% Local Match $18,609,820 68.18% TOTAL $27,309,820 The local match includes the $7,700,000 in EDA Grant funding, leaving the City responsible for $10,919,820 in local funding. The City's current Fiscal Year 2024 Capital Improvement Program (CIP) Budget and the Fiscal Year 25-29 5-year CIP Budget adopted by the City of Dubuque City Council on April 15, 2024, established funding for the local matching funds for the Dubuque Gate and Pump Project (aka Bee Branch Gate & Pump Project). :7xd01LTA I►h140117_111Is] ►1 I recommend that the City enter into a Subaward Agreement approved by the Iowa Department of Homeland Security and Emergency Management (HSEMD) and the Federal Emergency Management Agency (FEMA) in order to receive $8,690,000.00 in grant funding for the Bee Branch Stormwater Pumping Station (Phase IV of the Bee Branch Watershed Flood Mitigation Project). BUDGETIMPACT The City's current Fiscal Year 2024 Capital Improvement Program (CIP) Budget and the Fiscal Year 25-29 5-year CIP Budget adopted by the City of Dubuque City Council on April 15, 2024, established funding for the local matching funds for the Dubuque Gate and Pump Project (aka Bee Branch Gate & Pump Project). ACTION TO BE TAKEN I respectfully request adoption of the attached resolution approving the Subaward Agreement approved by the Iowa Department of Homeland Security and Emergency Management (HSEMD) and the Federal Emergency Management Agency (FEMA) in order to receive $8,690,000.00 in grant funding for the Bee Branch Stormwater Pumping Station (Phase IV of the Bee Branch Watershed Flood Mitigation Project). cc: Crenna Brumwell, City Attorney Jenny Larson, Director of Finance & Budget Arielle Swift, Public Works Director Teri Goodmann, Director of Strategic Partnerships Page 165 of 1713 Prepared by Kerry Bradley City of Dubuque Engineering 50 W. 131h St. Dubuque IA 52001 (563) 589-4270 Return to Adrienne N. Breitfelder City Clerk City of Dubuque, 50 W. 131h St. Dubuque, IA 52001 (563) 589-4100 RESOLUTION NO. 327 - 24 RESOLUTION APPROVING SUBAWARD AGREEMENT (AGREEMENT NO. LPDM- PJ-07-IA-2024-001) WITH THE IOWA DEPARTMENT OF HOMELAND SECURITY AND EMERGENCY MANAGEMENT AND THE FEDERAL EMERGENCY MANAGEMENT AGENCY TO ASSIST WITH BEE BRANCH STORMWATER PUMPING STATION — PHASE IV OF THE BEE BRANCH WATERSHED FLOOD MITIGATION PROJECT WHEREAS, on July 1, 2024, per Resolution 210-24, the City Council authorized staff to submit an application to the Iowa Department of Homeland Security and Emergency Management (HSEMD) and the Federal Emergency Management Agency (FEMA) pre -disaster mitigation grant program for the construction of a new stormwater pumping station at the 16th Street Detention Basin, and WHEREAS, on October 9, 2024, the Iowa Department of Homeland Security and Emergency Management and the Federal Emergency Management Agency approved the award of federal assistance with a Subaward Agreement with the City of Dubuque in the amount of $8,690,000.00; and WHEREAS, the City will be responsible for the lead agency role for administering the federal assistance Subaward Agreement. NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF DUBUQE, IOWA, THAT: SECTION 1. That said Subaward Agreement (Agreement No. LPDM-PJ-07-IA-2024-001) with the Iowa Department of Homeland Security and Emergency Management and the Federal Emergency Management Agency to assist with funding for the Bee Branch Stormwater Pumping Station — Phase IV of The Bee Branch Watershed Flood Mitigation Project is hereby approved. SECTION 2. That the Mayor be authorized and directed to execute the Subaward Agreement (Agreement No. LPDM-PJ-07-IA-2024-001) with the Iowa Department of Homeland Security and Emergency Management and the Federal Emergency Management Agency, Passed, approved and adopted this 21 St Atte t:, �^ Adrienne N. Breitfeld'er, City Clerk day of October 2024. Brad M. agh, Mayor WAHomelandrM Security and Emergency Management JOHN R. BENSON, HOMELAND SECURITY ADVISOR AND EMERGENCY MANAGEMENT DIRECTOR October 9, 2024 Jennifer Larson Finance & Budget Director City of Dubuque 50 West 13th St Dubuque, IA, 52001 SUBJECT: LPDM-PJ-07-IA-2024-001, Dubuque Gate & Pump Station Flood Mitigation (16th St Detention Basin) Dear Jennifer Larson, The city of Dubuque has been awarded federal assistance under the 2024 Congressionally Directed Funding (LPDM), in accordance with the scope of work and budget that were included in the application package submitted to and approved by Iowa Department of Homeland Security and Emergency Management (HSEMD) and the Federal Emergency Management Agency (FEMA). I have included one original Subaward Agreement for review, approval and signature. Please scan and email the signed copy to your project officer (Carol Tomb, Carol. Tombgiowa.gov) and LPDM finance officer (Dakota Warner, Dakota.Warner(iDjowa.gov). Any modifications to the scope of work or budget must have prior approval by HSEMD and FEMA. Please notify me if there are any anticipated changes. If you have any questions or need assistance, please do not hesitate to call me at 515-314-0365, or e-mail me at Dakota.Warner(d),iowa.gov. Sincerely, Digitally signed by Dakota Warner Dakota Warner Date: 2024.10.09 14:01:11 -05-00' Dakota Warner LPDM Finance Officer Enclosure 7900 HICKMAN ROAD I SUITE 500 1 WINDSOR HEIGHTS, IOWA 50324 1 515-725-3231 homelandsecurity. iowa.gov Page 168 of 1713 SUBAWARD AGREEMENT Between Iowa Department of Homeland Security and Emergency Management And City of Dubuque AWARD DOCUMENT - Commitment to Award and Accept Funds Federal Assistance 2024 Congressionally Directed Listing Funding (LPDM) Subrecipient Grant Agreement Number LPDM-PJ-07-IA- 2024-001 Assistance Listing Number 97.047 Subaward Project GMD -Infrastructure -Drainage Subrecipient TLJMHPVMMUD3 Description UEI Number U.S. Department of Homeland Federal Awarding Security (DHS), Federal Subrecipient Prior $ - Agency Emergency Management Agency Award Amount (FEMA) Pass -Through Entity Iowa Department of Homeland and State Security & Emergency Amount Awarded $ 27,309,820.00 Administering Management (HSEMD) This Action + or (- ) Agency Federal Award Date 9/13/2024 Total Funds Obligated $ 27,309,820.00 Indirect Cost Rate Not Applicable Total Federal Award $ 7,900,000.00 Federal Award Identification EMK-2024-PD-0001 Total State Award $ 790,000.00 Number City of Dubuque Subrecipient Organization 50 West 13t' St Total Local Award $ 18,619,820.00 Dubuque, IA 52001 Research & Sub -Award Start Date: 9/13/2024 Development (R&D) Non -R&D Budget/Performance Period End Date: 9/12/2027 Sub -Award Project Title Dubuque Gate & Pump Station Flood Mitigation (16th St Detention Basin) Federal Project See Exhibit B Description Page 169 of 1713 I. SCOPE OF WORK: This Subaward Agreement (AGREEMENT) is to provide the City of Dubuque (SUBRECIPIENT) with federal assistance from the 2024 Congressionally Directed Funding (LPDM). The total subaward is $ 27,309,820.00. Project Costs - The federal share shall not exceed $ 7,900,000.00 or 28.93% of actual allowable subaward costs, whichever is less. The state share shall not exceed $ 790,000.00 or 2.89% of the actual allowable subaward costs, whichever is less. The SUBRECIPIENT shall provide at least $ 18,619,820.00 or 68.18% through local non-federal (cash and/or in -kind) sources for actual allowable subaward costs. These funds are to assist the SUBRECIPIENT with completing the approved scope of work in accordance with the work schedule, milestones, and budget that were submitted to and approved by Iowa Department of Homeland Security and Emergency Management (HSEMD) and the Federal Emergency Management Agency (FEMA). See Exhibit A: FEMA Award Notification and Exhibit B: Approved Scope of Work and Budget. Any modifications to the approved scope and/or budget must be submitted to and approved by HSEMD prior to executing the changes. This includes all change orders. The SUBRECIPIENT is required to obtain all necessary permits before any construction begins. II. AGREEMENTS HSEMD will provide financial oversight and management in the role of recipient/pass-through entity based on the grant guidance in 2 CFR, Part 200, Subpart D, Section 200.332, the grant financial guide and other state and federal guidelines. HSEMD will provide technical assistance and direction to the SUBRECIPIENT on programmatic and financial requirements. HSEMD will provide all appropriate documents and forms and make payments to the SUBRECIPIENT to complete the approved scope of work. HSEMD is responsible for monitoring the SUBRECIPIENT's activities to provide reasonable assurance that the SUBRECIPIENT administers this subaward in compliance with federal and HSEMD requirements. Responsibilities include reviewing the SUBRECIPIENT's records that support receipts and expenditures, financial records are maintained and adequate for audit, proper cash management, and expenditures are eligible and allowable. A pre -award risk assessment is completed for each subrecipient to assist HSEMD in determining the minimum level of monitoring that will be needed throughout the life of this subaward in accordance with 2 CFR, Part 200. See Exhibit C: Pre -Award Risk Assessment. Additionally, the SUBRECIPIENT will be monitored periodically by HSEMD to ensure that the program goals, objectives, timelines, budgets, and other related program criteria are being met. Monitoring will be accomplished through a combination of office -based and on -site monitoring visits. Monitoring will involve the review and analysis of the financial, programmatic, and administrative records relative to each program, and will identify areas where technical assistance and other support may be needed. Page 2 of 34 Page 170 of 1713 The SUBRECIPIENT will allow HSEMD and auditors to access any necessary records and financial information as indicated in 2 CFR, Part 200, Subpart D, Section 200.334 through Section 200.338. The SUBRECIPIENT will pass appropriate resolutions to assure HSEMD that it is participating, and will continue to participate, in the National Flood Insurance Program, if mapped. The SUBRECIPIENT must disclose in writing any potential conflicts of interest to HSEMD in accordance with applicable FEMA policy and 2 CFR, Part 200, Subpart D, Section 200.112. The SUBRECIPIENT must disclose in writing to HSEMD all violations of Federal criminal law involving fraud, bribery, or gratuity violations potentially affecting the federal subaward in accordance with 2 CFR, Part 200, Section 200.113. Failure to make required disclosures can result in any of the remedies described in 2 CFR, Part 200, Subpart D, Section 200.339 through Section 200.343, Remedies for noncompliance. (See also 2 CFR, Part 180, Suspension and Debarment, and 31 U.S.C. 3321) The SUBRECIPIENT and the SUBRECIPIENT's authorized representative agree to provide all supervision, inspection, accounting, and other services necessary to complete the scope of work from inception to closeout with the requirements set forth below. III. PERIOD OF PERFORMANCE The approved Period of Performance for this subaward is from 09/13/2024 through 09/12/2027. All work must be completed prior to the end of the Period of Performance. HSEMD will not reimburse the SUBRECIPIENT for costs that are obligated or incurred outside of the Period of Performance. If a time extension is needed, one must be requested at least 90 days prior to the end of the Period of Performance. All requests must be supported by adequate justification submitted to HSEMD in order to be processed. This justification is a written explanation of the reason or reasons for the delay; an outline of remaining funds available to support the extended performance period; milestones that are unmet; and a description of performance measures necessary to complete the subaward. The SUBRECIPIENT shall request time extensions through EMGrantsPro, HSEMD's web -based grant management system, and include justification of the request. Without the justification, time extension requests will not be processed. IV. AUTHORITIES AND REFERENCES The SUBRECIPIENT shall comply with all applicable laws and regulations. A non-exclusive list of laws and regulations commonly applicable to FEMA grants follows hereto for reference only. Page 3 of 34 Page 171 of 1713 • Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards set forth at 2 CFR, Part 200 - 2 CFR Part 200 • Robert T. Stafford Disaster Relief and Emergency Assistance Act, Public Law 93-288, as amended, 42 U.S.C. 5121 et seq. • Title 44 of the Code of Federal Regulations (CFR) - Part 80 - Property Acquisition and Relocation for Open Space, if applicable • Title 44 of the Code of Federal Regulations (CFR) - Part 9 - Floodplain Management and Protection of Wetlands, if applicable • Title 44 of the Code of Federal Regulations (CFR) - Part 201 - Mitigation Planning • Title 44 of the Code of Federal Regulations (CFR) - Part 206 - Federal Disaster Assistance • Title 31 CFR 205.6 Funding Techniques • Hazard Mitigation Assistance Guidance, February 27, 2015 • SUBRECIPIENT's application that was received and approved by HSEMD and FEMA • Federal Agreement Articles (see Addendum 1) and Subaward-Specific Terms and Conditions specific to subrecipent (see Addendum 2) to this AGREEMENT • Any other applicable Federal Statutes including the Transparency and Recovery Act V. FINANCIAL MANAGEMENT SYSTEM To ensure federal funds are awarded and expended appropriately, the SUBRECIPIENT will establish and maintain a financial management system as outlined in 2 CFR, Part 200, Subpart D, Section 200.302, and internal controls in Section 200.303. The standards for SUBRECIPIENT organizations stem from the Office of Management and Budget's (OMB) uniform administrative requirements and the cost principles in 2 CFR, Part 200, Subpart E. State, local and tribal organizations must follow the uniform administrative requirements standards in 2 CFR Part 200. These standards combined with the audit standards provided within 2 CFR, Part 200, Subpart F, plus the requirements of the Generally Accepted Accounting Principles constitute the basis for all policies, processes and procedures set forth in this financial management system for the SUBRECIPIENT. The SUBRECIPIENT's financial management system must include: • internal controls based on the American Institute for Certified Public Accountants (AICPA) definitions and requirements in the government -wide administrative requirements and cost principles • a chart of accounts that includes a separate cost center, fund, or accounting codes for each federal grant, program, or funding source • procedures to minimize cash on hand in compliance with the Cash Management Improvement Act (CMIA) and good business processes • the ability to track expenditures on a cash or accrual basis • the ability to track expenditures in both financial and program budgets • procedures to document all grant -related expenditures, broken down by budget line items • procedures to ensure expenditures are eligible and allowable • the ability to fulfill government -required financial reporting forms Page 4 of 34 Page 172 of 1713 VI. PROCUREMENT This AGREEMENT requires that all procurement be executed by the SUBRECIPIENT within the guidelines of 2 CFR, Part 200 Subpart D, Section 200.318 through Section 200.327, including Appendix II. Procurement standards must be in accordance with the written adopted procedures of the SUBRECIPIENT, provided that the local procurement standards conform to applicable State and Federal law and the standards identified in 2 CFR, Part 200. The SUBRECIPIENT must maintain written standards of conduct covering conflicts of interest as outlined in 2 CFR, Part 200 Subpart D, Section 200.318. The SUBRECIPIENT will ensure that every purchase order or other contract includes clauses required by Federal statutes and executive orders and their implementing regulations. The SUBRECIPIENT must submit copies of its own written procurement guidelines, written conflict of interest guidelines, bid documents and contract documents to HSEMD prior to awarding or executing contracts. No contract will be accepted without HSEMD's prior review. In addition to the Guidelines of 2 CFR, Part 200, Section 200.318 through Section 200.327, the SUBRECIPIENT will need to adhere to 2 CFR, Part 200, Section 200.216, 200.471 and Appendix II as well as section D.13a of the NOFO regarding prohibitions on covered telecommunications equipment or services. On November 15, 2021, President Biden signed into law the Infrastructure Investment and Jobs Act ("IIJA"), Pub. L. No. 117-58, which includes the Build America, Buy America Act ("the Act"). Pub. L. No. 117-58, §§ 70901-52. The Act strengthens Made in America Laws and will bolster America's industrial base, protect national security, and support high -paying jobs. The Act requires that no later than May 14, 2022-180 days after the enactment of the IIJA—the head of each covered Federal agency shall ensure that "none of the funds made available for a Federal financial assistance program for infrastructure, including each deficient program, may be obligated for a project unless all of the iron, steel, manufactured products, and construction materials used in the project are produced in the United States. The requirement applies to the 2024 Congressionally Directed Funding (LPDM) and is enforced in this AGREEMENT. The Act requires the following Buy America preference: (1) All iron and steel used in the project are produced in the United States. This means all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States. (2) All manufactured products used in the project are produced in the United States. This means the manufactured product was manufactured in the United States, and the cost of the components of the manufactured product that are mined, produced, or manufactured in the United States is greater than 55 percent of the total cost of all components of the manufactured product, unless another standard for determining the minimum amount of domestic content of the manufactured product has been established under applicable law or regulation.(3) All construction materials are manufactured in the United States. This means that all manufacturing processes for the construction material occurred in the United States. VII. AUDIT Page 5 of 34 Page 173 of 1713 The SUBRECIPIENT must comply with the requirements of the Single Audit Act Amendments of 1996 and 2 CFR, Part 200, Subpart F. Reference: Assistance Listing (formerly known as the Catalog of Federal Domestic Assistance (CFDA)) 97.047, 2023 Congressionally Directed Funding (LPDM). VIIL PAYMENT REQUEST PROCESS The SUBRECIPIENT may submit a payment request up to 30 days prior to an anticipated expenditure or disbursement. The SUBRECIPIENT must be able to account for the receipt, obligation, and expenditure of funds. If interest is earned, the SUBRECIPIENT agrees to comply with the federal requirements from 2 CFR, Part 200, Subpart D, Section 200.305. The SUBRECIPIENT may keep interest earned on Federal grant funds up to $500 per fiscal year. This maximum limit is not per subaward; it is inclusive of all interest earned as a result of all federal grant program funds received per year. Subrecipients are required to report all interest earned at least quarterly to HSEMD. HSEMD will provide instructions to the SUBRECIPIENT for the disposition of reported interest earned. Payments to subrecipients are based on eligible expenditures that are specifically related to the approved subaward budget and scope of work. The SUBRECIPIENT has two options available to them when requesting payments from HSEMD. Subrecipients can request Reimbursement for allowable expenditures already paid, or request an Advance for expenditures to be paid within 30 days. Payments shall be limited to the documented cash requirements submitted by the SUBRECIPIENT. The SUBRECIPIENT must submit a completed Request for Reimbursement (RFR) through EMGrantsPro and provide supporting documentation of eligible subaward costs to receive payment of funds. • Reimbursement requests must include payment verification (i.e. paid invoices, receipts, payroll records with personnel activity reports, cancelled checks, general ledger print outs, etc.). HSEMD reserves the right to request that the SUBRECIPIENT submit additional expenditure documentation upon request. Additional documentation for Acquisitions: Purchase Offers, HUD Settlement Statements, and copies of tax assessment records, copies of appraisals if used as the basis for pre -flood fair market value, invoices, and copies of all payments. • Advance payment requests must include the detailed costs the SUBRECIPIENT is obligated to pay (i.e. invoices, accepted quotes, executed contracts, or other documents). Payment verification documents (same documents required for a Reimbursement request) for the advance must be submitted to HSEMD within 30 days after the advance, and before future advances are made. If the SUBRECIPIENT is unable to demonstrate the willingness to maintain written procedures that minimize the time elapsing between the transfer of funds and disbursement by HSEMD, a financial management system that meets the standards for fund control and accountability as established in 2 CFR, Part 200, or is considered a High Risk subrecipient, then reimbursement requests will be required. Page 6 of 34 Page 174 of 1713 No more than thirty (30) days shall elapse between the date of receipt of a warrant and pay out of the funds by the SUBRECIPIENT. All supporting documentation must be submitted to HSEMD immediately following the SUBRECIPIENT's pay out of the funds. If the SUBRECIPIENT has incurred the costs within the 30 days but is unable to pay out the funds on the 30th day, the SUBRECIPIENT shall provide written communication to HSEMD of when the proof of payment will be provided and receive approval from HSEMD before the 30 days expires. All other support documents are required to be submitted on time. If the SUBRECIPIENT requested funds in excess of the costs incurred from the advance payment, two options will be available to the SUBRECIPIENT: o HSEMD can apply the overpayment to the next request from the SUBRECIPIENT, as long as the request is received by HSEMD within the 30 days and the SUBRECIPIENT provides written notification to HSEMD to apply the overpayment to the new request, or o The SUBRECIPIENT shall promptly return overpayments to HSEMD within the 30 days. Required documents prior to payments from HSEMD. Payment of funds will not be made to the SUBRECIPIENT until HSEMD has on file the following documents: • FEMA Award Notification (attached to this AGREEMENT) • Pre -Award Risk Assessment (attached to this AGREEMENT) • Signed Subaward Agreement • Substitute W9Nendor Update Form (if not already on file at HSEMD) • Chart of Accounts verifying that unique revenue and expenditure accounts, cost centers or account codes have been established within the SUBRECIPIENT's cash management/accounting system for each program included in this AGREEMENT. • Procurement documents: written procurement and conflict of interest documents, method of procurement, bid specifications reviewed by HSEMD, copy of approved and executed contracts between the SUBRECIPIENT and contractor. • Signed certification from the SUBRECIPIENT's authorized representative for the payment request as outlined in 2 CFR, Part 200, Subpart D, Section 200.305. Expenditures must be in accordance with the approved scope of work and budget and in accordance with 2 CFR, Part 200, Subpart D. The SUBRECIPIENT's contributions must be verifiable from the SUBRECIPEENT' S records; not be included as contributions for any other Federal subaward; be necessary and reasonable, allowable, and allocable under the grant program and must comply with all Federal requirements and regulations. Cash match can be money contributed to the SUBRECIPIENT by the SUBRECIPIENT, other public agencies and institutions, private organizations and individuals as long as it comes from a non-federal source. Cash spent must be for allowable subaward costs in accordance with the SUBRECIPIENT's approved scope of work and budget and must be applicable to the period to which the cost sharing or matching requirement applies. Documentation can be copies of the Page 7 of 34 Page 175 of 1713 SUBRECIPIENT's checks to the third parties and a copy of the SUBRECIPIENT's general ledger for revenues and expenses clearly showing the federal and non-federal cash sources. In -kind match must comply with the requirements of 2 CFR, Part 200, Subpart D, Section 200.306, entitled "Cost sharing or matching". The value of in -kind contributions is also applicable to the period to which the cost sharing or matching requirement applies. The in -kind match provided must be documented by the third party contributing the in -kind services. The in - kind match must be specifically stated in the SUBRECIPIENT's scope of work and budget before in -kind match will be allowed to match this subaward. Documentation can be a letter (on letterhead) from the third party stating the scope of their work, what is being contributed as it relates to the scope of work, dates of service/donation, record of donor, the value (rates of staffing, equipment usage, supplies, etc.) a statement to the effect that the value is normally charged, deposit slips for cash contributions and a statement that the value is being waived on behalf of the SUBRECIPIENT to meet the matching requirements to the SUBRECIPIENT's subaward. Such documentation must be kept on file by the SUBRECIPIENT. If the local match is insufficient to satisfy the local match requirements for receiving all available federal funds, the awarded federal funds will be reduced accordingly so as not to exceed the maximum federal share allowed under this subaward. The SUBRECIPIENT must maintain records and documentation showing how the value placed on third -party in -kind contributions is derived. Regulations are in 2 CFR, Part 200, Subpart D Section 200.306, and Subpart E Section 200.434. IX. PROGRAM INCOME Program income, as defined in the 2 CFR, Part 200, Section 200.1, that is directly generated by this subaward, must comply with 2 CFR, Part 200, Subpart D, Section 200.305 and Section 200.307. Program income must be deducted from the subaward's total allowable costs. All program income must be reported in the quarterly financial progress reports in the quarter it is earned. X. REPORTING REQUIREMENTS Quarterly programmatic and financial reports are required on the progress relative to the approved scope of work as outlined in 2 CFR, Part 200, Subpart D, Section 200.328 through Section 200.330. Subrecipients are required to complete the quarterly progress report forms that are provided by HSEMD and submit them by the due dates stated by HSEMD. Due dates are January 15, April 15, July 15, and October 15. The first report is due following the end of the reporting period in which the subaward was awarded by FEMA. The reporting periods are January -March, April -June, July -September, and October -December. XI. CLOSE OUT The SUBRECIPIENT must prepare and submit by the end of the Period of Performance, and/or within 60 days of the completion of the approved scope of work, whichever comes first, all Page 8 of 34 Page 176 of 1713 required financial, performance and other reports as outlined in 2 CFR, Part 200 Subpart D, Section 200.344 and Section 200.345. The SUBRECIPIENT must liquidate all obligations incurred under the subaward by the end of the Period of Performance or upon completion of the scope of work, whichever comes first. The SUBRECIPIENT must dispose of property purchased with subaward funds and dispose of or return government -furnished property no longer being used for subaward-related activities. All accounts must be settled, including reimbursements for any remaining allowable costs and refunds to HSEMD of any unobligated cash that was advanced in accordance with 2 CFR, Part 200, Subpart D, Section 200.346. XII. RECORD RETENTION The SUBRECIPIENT must retain records pertinent to the Federal subaward for three (3) years from the date of HSEMD's closeout notification to the SUBRECIPIENT. If, however, there is any litigation, claim, negotiation, audit, request for information, or other action involving this subaward that starts after that date, the records must be retained until completion of the action and resolution of all issues which arise from it, or until the end of the 3-year period, whichever is later as outlined in 2 CFR Part 200, Subpart D, section 200.334. XIII. WAIVERS No conditions or provisions of this AGREEMENT can be waived unless approved by HSEMD and the SUBRECIPIENT, in writing. Unless otherwise stated in writing, HSEMD's failure to insist upon strict performance of any provision of this AGREEMENT, or to exercise any right based upon a breach, shall not constitute a waiver of any right or obligation specified under this AGREEMENT. XIV. AMENDMENTS AND MODIFICATIONS This AGREEMENT may be amended or modified in reference to the subaward funds provided, administrative procedures, or any other necessary matter, but not to take effect until approved, in writing, by HSEMD and the SUBRECIPIENT. XV. COMPLIANCE, TERMINATION AND OTHER REMEDIES Unless otherwise stated in writing, HSEMD requires strict compliance by the SUBRECIPIENT and its authorized representative(s) with the terms of this AGREEMENT, and the requirements of any applicable local, state and federal statute, rules, regulations; particularly those included in the Assurances in the Application which was submitted to FEMA by HSEMD. HSEMD may suspend or terminate any obligation to provide funding or demand return of any unused funds, following notice from HSEMD, if the SUBRECIPIENT fails to meet any obligations under this AGREEMENT or fails to make satisfactory progress toward administration or completion of said subaward. The SUBRECIPIENT is responsible for repayment of funds as a result of subsequent refunds, corrections, overpayments, or disallowed costs for ineligible expenditures. Page 9 of 34 Page 177 of 1713 The SUBRECIPIENT understands and agrees that HSEMD may enforce the terms of this AGREEMENT by any combination or all remedies available to HSEMD under this AGREEMENT, or under any other provision of law, common law, or equity. XVL INDEMNIFICATION It is understood and agreed by HSEMD and the SUBRECIPIENT and its agents that this AGREEMENT is solely for the benefit of the parties to this subaward and gives no right to any other party. No joint venture or partnership is formed as a result of this AGREEMENT. The SUBRECIPIENT, on behalf of itself and its successors and assigns, agrees to protect, save, and hold harmless HSEMD and the State of Iowa, and their authorized agents and employees, from all claims, actions, costs, damages, or expenses of any nature whatsoever by reason of the negligent acts, errors, or omissions of the SUBRECIPIENT or its authorized representative, its contractors, subcontractors, assigns, agents, licensees, arising out of or in connection with any acts or activities authorized by this AGREEMENT. The SUBRECIPIENT's obligation to protect, save, and hold harmless as herein provided shall not extend to claims or causes of action for costs, damages, or expenses caused by or resulting from the negligent acts, errors, or omissions of HSEMD, the State of Iowa, or any of their authorized agents or employees. The SUBRECIPIENT further agrees to defend HSEMD, the State of Iowa, and their authorized agents and employees against any claim or cause of action, or to pay reasonable attorney's fees incurred in the defense of any such claim or cause of action, as to which the SUBRECIPIENT is required to protect, save, or hold harmless said parties pursuant to paragraph 2 of this part. The SUBRECIPIENT's obligation to defend, or to pay attorney's fees for the defense of such claims or causes of action as herein provided, shall not extend to claims or causes of action for costs, damages, or expenses caused by or resulting from the negligent acts, errors, or omissions of HSEMD, the State of Iowa, or any of their authorized agents or employees. XVII. ACKNOWLEDGMENTS The SUBRECIPIENT shall include, in any public or private release of information regarding the activities supported by this subaward, language that acknowledges the funding contribution by HSEMD and FEMA. XVIII. INDEPENDENT CONTRACTOR STATUS OF APPLICANT The SUBRECIPIENT, its officers, employees, agents and council members shall all perform their obligations under this AGREEMENT as an independent contractor and not in any manner as officers, employees or agents of HSEMD or the State of Iowa. All references herein to the SUBRECIPIENT shall include its officers, employees, city council/board members, and agents. HSEMD shall not withhold on behalf of any such officer, employee, city council/board member, or agent, or pay on behalf of any such person, any payroll taxes, insurance, or deductions of any kind from the funds paid to the SUBRECIPIENT for administrative purposes. Page 10 of 34 Page 178 of 1713 XIX. GOVERNING LAW, VENUE AND SEVERABILITY The laws of Iowa shall govern this AGREEMENT and venue for any legal action hereunder shall be in the Polk County District Court of Iowa. If any provision under this AGREEMENT or its application to any person or circumstances is held invalid by any court of rightful jurisdiction, said invalidity does not affect other provisions of this AGREEMENT which can be given effect without the invalid provision. XX. NOTICES The SUBRECIPIENT shall comply with all public notices or notices to individuals as required by applicable state and federal laws, rules, and regulations and shall maintain a record of such compliance. XXI. RESPONSIBILITY FOR SUBAWARD While HSEMD undertakes to provide technical assistance to the SUBRECIPIENT and its authorized representative in the administration of the subaward, said subaward remains the sole responsibility of the SUBRECIPIENT in accomplishing subaward objectives and goals. HSEMD undertakes no responsibility to the SUBRECIPIENT, or any third party, other than what is expressly set out in this AGREEMENT. XXII. NOTICES AND COMMUNICATIONS BETWEEN HSEMD AND SUBRECIPIENT All written notices and communications to the SUBRECIPIENT by HSEMD shall be to: Jennifer Larson Finance & Budget Director City of Dubuque 50 West 13t" St Dubuque, IA 52001 All written communications to HSEMD by the SUBRECIPIENT and its authorized representative shall be to: Mathew Noble Mitigation Bureau Chief Iowa Department of Homeland Security and Emergency Management 7900 Hickman Road, Suite 500 Windsor Heights, IA 50324 Page 11 of 34 Page 179 of 1713 ENTIRE SUBAWARD AGREEMENT This AGREEMENT sets forth the entire AGREEMENT between HSEMD and the SUBRECIPIENT with respect to subject matter hereof. Commitments, warranties, representations and understandings or agreements not contained, or referred to, herein or amended thereto shall not be binding on either HSEMD or the SUBRECIPIENT. Except as may be expressly provided herein, no alteration of any of the terms or conditions of this AGREEMENT will be effective without written consent of both parties. IN WITNESS WHEREOF, HSEMD and the SUBRECIPIENT have executed this AGREEMENT by the signatures of authorized persons of both entities and on the dates indicated below: Iowa Department of Homeland Security City of Dubuque: and Emergency Management: Dennis Harper, Division Administrator Date ra Cavanagh, a or (3G�o1-)e.r Date Sib pature of Authorized Representative (optional) Date Attachments: Addendum 1: Federal Agreement Articles Addendum 2: Subaward-Specific Terms and Conditions Exhibit A: FEMA Award Notification Exhibit B: Approved Scope of Work and Budget Exhibit C: Pre -Award Risk Assessment Page 12 of 34 Addendum 1: Federal Agreement Articles GENERAL INFORMATION The Pre -Disaster Mitigation (PDM) grant program makes federal funds available to state, local, tribal, and territorial governments to plan for and implement sustainable cost-effective measures designed to reduce the risk to individuals and property from future natural hazards, while also reducing reliance on federal funding from future disasters. The following Articles I-VIII are FEMA's Grant Award Terms and Conditions. DHS Grant Award Standard Terms and Conditions follow those Articles. The recipient agrees to abide by all the Grant Award Terms and Conditions in this document, FEMA's Hazard Mitigation Assistance (HMA) Program and Policy Guide (2023), and the FY2024 PDM Notice of Funding Opportunity (NOFO). ARTICLE I. FEMA AUTHORITY FEMA agrees to grant to the state, local, tribal, or territorial government identified above, hereinafter referred to as "the recipient," through its designated agency named above, the funds in the amount specified in the obligating document, to support the PDM Grant Program, authorized under Section 203 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act), Public Law 93-288, as amended (42 U.S.C. § 5133). Funding for PDM grants for Fiscal Year (FY) 2024 was appropriated by the Department of Homeland Security Appropriations Act (Act), 2024, Public Law No. 118-47. The Act appropriated specific funding amounts for grants under Section 203 of the Stafford Act for 110 specified pre -disaster mitigation projects through the Act's Joint Explanatory Statement, in the table entitled Community Project Funding/Congressionally Directed Spending, which was incorporated into the Act by reference. ARTICLE II. PROJECT DESCRIPTION The subrecipient shall perform the work described in the application package and made part of these Grant Agreement Articles. ARTICLE III. PERIOD OF PERFORMANCE The Period of Performance shall be 36 months from the date of the award unless otherwise approved by FEMA. All awards must be made by September 30, 2024. ARTICLE IV. AMOUNT AWARDED This Grant Award is for the administration and completion of an approved PDM project. Funds approved under this Grant Agreement may not be used for other purposes. If the costs exceed the amount of FEMA funding approved, then the subrecipient shall pay the costs that exceed the approved budget. Page 13 of 34 Page 181 of 1713 The FY 2024 PDM Grant Program will provide $ 7,900,000.00 in funding for eligible costs associated with this subaward. All costs charged to awards covered in the FY 2024 PDM NOFO must comply with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated in the NOFO, or the terms and conditions of the award. This includes, among other requirements, that costs must be incurred, and products and services must be delivered, within the period of performance of the award. See 2 C.F.R. § 200.403(h) (referring to budget periods, which for FEMA awards is the same as the period of performance). ARTICLE V. COST SHARE The cost share requirement for projects under this award is 28.93% federal and 71.07% nonfederal. Recipient Management Costs are 100 percent federally funded. The cost share for PDM is governed by Section 203(h) of the Stafford Act (42 U.S.C. § 5133(h)): a. Small impoverished communities may receive a federal cost -share of up to 90% of the total cost to implement eligible PDM activities. b. The PDM program offers up to 75% federal cost share to all other applicants and subapplicants for mitigation activities.\ ARTICLE VI. ADDITIONAL PDM TERMS AND CONDITIONS The specific terms and conditions of this agreement are as follows: Performance Measures Based on the statutory requirements of Section 203 and the HMA Program and Policy Guide (2023) FEMA has specified minimum project criteria, including that applicants must demonstrate mitigation projects are cost-effective. Benefit -Cost Analysis (BCA) is the method by which the future benefits of a hazard mitigation project are determined and compared to its costs. The result is a Benefit -Cost Ratio (BCR), which is calculated by a project's total of discounted benefits divided by its total of discounted costs. The BCR is a numerical expression of the "cost-effectiveness" of a project. A project is considered cost effective when the BCR is 1.0 or greater, indicating the benefits of a prospective hazard mitigation project are sufficient to justify the costs. Any methods used to demonstrate cost-effectiveness must comply with all applicable requirements in the FY24 PDM NOFO. Projects that are not cost-effective will not be eligible. PDM aims to implement projects that reduce risks posed by natural hazards and reduce future losses, by funding priority projects and activities. Priorities include risk reduction of both acute events and chronic stressors, which are either observed or expected. To achieve these goals, for FY24 PDM, the 110 identified Congressional Community Projects prioritize the following types of activities: infrastructure projects, those that mitigate risk to lifelines, and projects proposed by applicants that reduce reliance on federal disaster funding. FEMA will measure the percent of dollars invested in these priorities, which will indicate that PDM projects expect to meet the goal of reducing both risks posed by natural hazards and future losses. Page 14 of 34 Page 182 of 1713 Closeout Reporting Period: Pursuant to 2 C.F.R. § 200.344(a), the recipient has 120 calendar days after the end of the period of performance to submit all final financial, performance, and other reports required by the terms and conditions of this award, including: (1) the final request for payment, if applicable; (2) the final Federal Financial Report (FFR) (SF-425); (3) the final Performance Progress Report (PPR); (4) a qualitative narrative summary of the impact of those accomplishments throughout the entire period of performance; and (5) other documents specified by program regulations. The closeout reporting deadline for this award is 1/10/2028. Liquidation Period: Pursuant to 2 C.F.R. § 200.344(b), the recipient has 120 calendar days after the end of the period of performance to liquidate all obligations incurred under this award. The liquidation deadline for this award is 1/10/2028. Construction Project Requirements: Acceptance of federal funding requires FEMA, the recipient, and any subrecipients to comply with all federal, state, and local laws and regulations prior to the start of any construction activity. Failure to obtain all appropriate federal, state, and local environmental permits and clearances may jeopardize federal funding. Also: a. Any change to the approved scope of work will require re-evaluation by FEMA for recipient and subrecipient compliance with the National Environmental Policy Act (NEPA) and other laws and executive orders. b. If ground -disturbing activities occur during construction, the recipient and any subrecipients must ensure monitoring of ground disturbance, and if any potential archaeological resources are discovered, the subrecipient will immediately cease construction in that area and notify the recipient and FEMA. c. In accordance with 42 U.S.C. § 4012a(a) and FEMA policy, when financial assistance is approved for acquisition or construction purposes within a Special Flood Hazard Area (SFHA), for structures in the SFHA at the time of project completion, flood insurance shall be maintained for the life of the property regardless of transfer of ownership for any properties. Copyright and Data Rights: The recipient is free to copyright any original work developed during or under this Grant Agreement. The recipient acknowledges that DHS/FEMA reserves a royalty -free, non-exclusive and irrevocable license to reproduce, publish, or otherwise use, and authority others to use, for federal government purposes: 1. The copyright in any work developed under an award or subaward; and 2. Any rights of copyright to which a recipient or subrecipient purchases ownership with federal support in a manner consistent with 2 C.F.R. § 200.315. Page 15 of 34 Page 183 of 1713 The recipient acknowledges that DHS/FEMA has the right to obtain, reproduce, publish, or otherwise use the data produced under a federal award and authorize others to so for federal government purposes in a manner consistent with 2 C.F.R. § 200.315. Enforcement: FEMA remedies for noncompliance will be processed as specified in 2 C.F.R. §§ 200.339- 200.343, and, for acquisitions under this award for open space, FEMA enforcement remedies shall be processed as specified in 44 C.F.R. § 80.19(e), when the Grant Award Terms and Conditions of this Grant Agreement are not met. Payment: Recipient shall be paid using the FEMA Payment and Reporting System (PARS), provided the recipient maintains and complies with procedures for minimizing the time between transfer of funds from the US Treasury and disbursement by the recipient and subrecipients. The recipient commits itself to: 1) initiating cash drawdowns only when actually needed for its disbursement; 2) timely financial reporting per FEMA requirements, using the SF-425; and 3) imposing the same standards of timing and amount upon any subrecipient. Subrecipients must comply with the same payment requirement as the recipient and must comply with the requirements specified in the recipient's subaward Agreement. HMA Duplication Of Benefits: HMA funds cannot duplicate or be duplicated by funds received by or available to applicants, subapplicants, or project or planning participants from other sources for the same cost or activity already paid for by another source of funding, such as benefits received from insurance claims, other assistance programs (including previous project or planning grants and subawards from HMA programs), legal awards, or other benefits associated with properties or damage that are or could be the subject of litigation. Because the availability of other sources of mitigation grant or loan assistance is subject to available information and the means of each individual applicant, HMA does not require proof that other assistance (not including insurance) has been sought. However, it is the responsibility of the property owner to report other benefits received, any applications for other assistance, the availability of insurance proceeds, or the potential for other compensation, such as from pending legal claims for damages, relating to the property. Where the property owner has an insurance policy covering any loss to the property which relates to the proposed HMA project, the means are available for receiving compensation for a loss or, in the case of increased cost of compliance (ICC), assistance toward certain mitigation projects. FEMA will generally require that the property owner file a claim prior to the receipt of HMA funds. Additional Non -Discrimination Requirements: Applicants and subapplicants will ensure that no discrimination occurs. Subrecipients must ensure fairness, equity and equal access when consulting and making offers of mitigation to property owners that benefit from mitigation activities. Page 16 of 34 Page 184 of 1713 Changes In Scope Of Work: Requests for changes to the scope of work (SOW) after award are permissible as long as they do not change the nature or total project cost of the activity, properties identified in the subapplication, the feasibility and effectiveness of the project, or the benefit cost ratio. Requests must be supported by adequate justification from the applicant in order to be processed. The justification includes 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. All approvals will be at FEMA's discretion, and there is no guarantee that SOW changes will be approved. All changes to the scope of work must be reviewed and approved by EHP prior to the work being completed. Recoupment Of Funds: FEMA will recoup mitigation planning grant funds for grants that do not meet the deliverable criteria of an adopted, FEMA-approved mitigation plan by the end of the performance period. Recovery Of Funds: The recipient will process the recovery of assistance paid to subrecipients processed through error, misrepresentation, or fraud or if funds are spent inappropriately. Recovered funds shall be submitted to FEMA as soon as the funds are collected, but no later than 90 days from the expiration date of the appropriate grant award agreement. Additionally, all costs charged to awards must comply with the grant program's applicable statutes, policies, and requirements, as well as with the terms and conditions of the award. If FEMA staff identify costs that are inconsistent with any of these requirements, these costs may be disallowed, and FEMA may recover funds as appropriate, consistent with applicable laws, regulations, and policies. Reporting of Fraud: All fraud identifications will be reported to the Department of Homeland Security Office of Inspector General (OIG). The recipient and subrecipient agree to cooperate with investigation conducted by the DHS OIG. Federal Financial Reports (SF-425): The recipient shall submit the FFR (SF-425) within 30 days of the end of the first federal quarter following execution of this Grant Agreement. The recipient shall submit quarterly FFRs thereafter until the grant ends. Reports are due on January 30, April 30, July 30, and October 30. A report must be submitted for every quarter of the period of performance, including partial calendar quarters, as well as for periods where no grant activity occurs. Future awards and fund drawdowns may be withheld if these reports are delinquent. ARTICLE VII. FEMA STANDARD TERMS AND CONDITIONS Environmental Planning and Historic Preservation (EHP) Review DHS/FEMA funded activities that could have an impact on the environment are subject to the FEMA EHP review process. This review does not address all federal, state, and local Page 17 of 34 Page 185 of 1713 requirements. Acceptance of federal funding requires the recipient to comply with all federal, state and local laws. DHS/FEMA is required to consider the potential impacts to natural and cultural resources of all projects funded by DHS/FEMA grant funds, through its EHP review process, as mandated by: the National Environmental Policy Act; Endangered Species Act; National Historic Preservation Act of 1966, as amended; National Flood Insurance Program regulations; and any other applicable laws, regulations and executive orders. General guidance for FEMA's EHP process is available on the DHS/FEMA Website. Specific applicant guidance on how to submit information for EHP review depends on the individual grant program. Applicants should contact their grant Program Officer to be put into contact with EHP staff responsible for assisting their specific grant program. The FEMA EHP review process must be completed before funds are released to carry out the proposed project; otherwise, DHS/FEMA may not be able to fund the project due to noncompliance with EHP laws, executive orders, regulations, and policies. If ground disturbing activities occur during construction, the applicant will monitor ground disturbance, and if any potential archaeological resources are discovered, the applicant will immediately cease work in that area and notify the pass -through entity, if applicable, and DHS/FEMA. Applicability of DHS Standard Terms and Conditions to Tribes The DHS Standard Terms and Conditions are a restatement of general requirements imposed upon recipients and flow down to sub -recipients as a matter of law, regulation, or executive order. If the requirement does not apply to Indian tribes or there is a federal law or regulation exempting its application to Indian tribes, then the acceptance by Tribes of, or acquiescence to, DHS Standard Terms and Conditions does not change or alter its inapplicability to an Indian tribe. The execution of grant documents is not intended to change, alter, amend, or impose additional liability or responsibility upon the Tribe where it does not already exist. Acceptance of Post Award Changes In the event FEMA determines that an error in the award package has been made, or if an administrative change must be made to the award package, recipients will be notified of the change in writing. Once the notification has been made, any subsequent requests for funds will indicate recipient acceptance of the changes to the award. Please call FEMA Grant Management Operations at (866) 927-5646 or via e-mail to: ASK-GMD@fema.dhs.gov if you have any questions. Disposition of Equipment Acquired Under the Federal Award For purposes of original or replacement equipment acquired under this award by a non -state recipient or non -state subrecipients, when that equipment is no longer needed for the original project or program or for other activities currently or previously supported by a federal awarding agency, you must request instructions from FEMA to make proper disposition of the equipment pursuant to 2 C.F.R. § 200.313. State recipients and state subrecipients must follow the disposition requirements in accordance with state laws and procedures. Page 18 of 34 Page 186 of 1713 Prior Approval for Modification of Approved Budget Before making any change to the FEMA approved budget for this award, you must request prior written approval from FEMA where required by 2 C.F.R. § 200.308. For purposes of non -construction projects, FEMA is utilizing its discretion to impose an additional restriction under 2 C.F.R. section 200.308(f) regarding the transfer of funds among direct cost categories, programs, functions, or activities. Therefore, for awards with an approved budget where the federal share is greater than the simplified acquisition threshold (currently $250,000), you may not transfer funds among direct cost categories, programs, functions, or activities without prior written approval from FEMA where the cumulative amount of such transfers exceeds or is expected to exceed ten percent (10%) of the total budget FEMA last approved. For purposes of awards that support both construction and non -construction work, FEMA is utilizing its discretion under 2 C.F.R. section 200.308(h)(5) to require the recipient to obtain prior written approval from FEMA before making any fund or budget transfers between the two types of work. You must report any deviations from your FEMA approved budget in the first Federal Financial Report (SF-425) you submit following any budget deviation, regardless of whether the budget deviation requires prior written approval. Indirect Cost Rate 2 C.F.R. § 200.211(b)(15) requires the terms of the award to include the indirect cost rate for the federal award. If applicable, the indirect cost rate for this award is stated in the budget documents or other materials approved by FEMA and included in the award file. Build America, Buy America Act (BABAA) Required Contract Provision & Self - Certification In addition to the DHS Standard Terms & Conditions regarding Required Use of American Iron, Steel, Manufactured Products, and Construction Materials, recipients and subrecipients of FEMA financial assistance for programs that are subject to the Build America, Buy America Act (BABAA) must include a Buy America preference contract provision as noted in 2 C.F.R. § 184.4 and a and self -certification as required by the FEMA Buy America Preference in FEMA Financial Assistance Programs for Infrastructure (FEMA Interim Policy # . This requirement applies to all subawards, contracts, and purchase orders for work performed or products supplied under the FEMA award subject to BABAA. ARTICLE VIII. GOVERNING PROVISIONS The recipient and any subrecipients shall comply with all applicable laws, regulations, and policies. A non-exclusive list of laws and regulations applicable to PDM grants is attached hereto for reference only. The recipient and any subrecipients shall also be bound by the 2023 HMA Program and Policy Guide and the FY 2024 PDM NOFO. Page 19 of 34 Page 187 of 1713 Applicable Statutes and Regulations Section 203 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act, Public Law 93-288, as amended, 42 U.S.C. § 5133 44 CFR Part 80-Property Acquisition and Relocation for Open Space 44 CFR Part 9-Floodplain Management and Protection of Wetlands (as amended, effective September 9, 2024). 2 CFR Part 200-Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards 44 CFR Part 201-Mitigation Planning 31 CFR Part 205-Rules and Procedures for Efficient Federal -State Funds Transfers 2 CFR Part 170-Reporting Subaward and Executive Compensation — Appendix A to Part 170 — Award Term Page 20 of 34 Page 188 of 1713 FY 2024 DHS STANDARD TERMS AND CONDITIONS The Fiscal Year (FY) 2024 Department of Homeland Security (DHS) Standard Terms and Conditions apply to all new federal awards of federal financial assistance (federal awards) for which the federal award date occurs in FY 2024 and flow down to subrecipients unless a term or condition specifically indicates otherwise. For federal awards that may involve continuation awards made in subsequent FYs, these FY 2024 DHS Standard Terms and Conditions will apply to the continuation award unless otherwise specified in the terms and conditions of the continuation award. The United States has the right to seek judicial enforcement of these terms and conditions. All legislation and digital resources are referenced with no digital links. These FY 2024 DHS Standard Terms and Conditions are maintained on the DHS website at https://www.dhs.gov/publication/fyl5-dhs- standard -terms -and -conditions. A. Assurances, Administrative Requirements, Cost Principles, Representations, and Certifications I. Recipients must complete either the Office of Management and Budget (OMB) Standard Form 424B Assurances — Non- Construction Programs, or OMB Standard Form 424D Assurances — Construction Programs, as applicable. Certain assurances in these documents may not be applicable to your program and the DHS financial assistance office (DHS FAO) may require applicants to certify additional assurances. Applicants are required to fill out the assurances as instructed by the federal awarding agency. B. General Acknowledgements and Assurances Recipients are required to follow the applicable provisions of the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards in effect as of the federal award date and located at 2 C.F.R. Part 200 and adopted by DHS at 2 C.F.R. 3002.10. All recipients and subrecipients must acknowledge and agree to provide DHS access to records, accounts, documents, information, facilities, and staff pursuant to 2 C.F.R. § 200.337. I. Recipients must cooperate with any DHS compliance reviews or compliance investigations. II. Recipients must give DHS access to examine and copy records, accounts, and other documents and sources of information related to the federal financial assistance award and permit access to facilities and personnel. Page 21 of 34 Page 189 of 1713 III. Recipients must submit timely, complete, and accurate reports to the appropriate DHS officials and maintain appropriate backup documentation to support the reports. IV. Recipients must comply with all other special reporting, data collection, and evaluation requirements required by law, federal regulation, Notice of Funding Opportunity, federal award specific terms and conditions, and/or federal awarding agency program guidance. V. Recipients must complete the DHS Civil Rights Evaluation Tool within thirty (30) days of receiving the Notice of Award for the first award under which this term applies. Recipients of multiple federal awards from DHS should only submit one completed tool for their organization, not per federal award. After the initial submission, recipients are required to complete the tool once every two (2) years if they have an active federal award, not every time a federal award is made. Recipients must submit the completed tool, including supporting materials, to CivilRightsEvaluation@hq.dhs.gov. This tool clarifies the civil rights obligations and related reporting requirements contained in these DHS Standard Terms and Conditions. Subrecipients are not required to complete and submit this tool to DHS. The evaluation tool can be found at https://www.dhs.gov/publication/dhscivil-rights-evaluation-tool. DHS Civil Rights Evaluation Tool I Homeland Security The DHS Office for Civil Rights and Civil Liberties will consider, in its discretion, granting an extension to the 30-day deadline if the recipient identifies steps and a timeline for completing the tool. Recipients must request extensions by emailing the request to CivilRightsEvaluation@hq.dhs.gov prior to expiration of the 30-day deadline. C. Standard Terms & Conditions I. Acknowledgement of Federal Funding from DHS Recipients must acknowledge their use of federal award funding when issuing statements, press releases, requests for proposal, bid invitations, and other documents describing projects or programs funded in whole or in part with federal award funds. II. Activities Conducted Abroad Recipients must coordinate with appropriate government authorities when performing project activities outside the United States obtain all appropriate licenses, permits, or approvals. Page 22 of 34 Page 190 of 1713 III. Age Discrimination Act of 1975 Recipients must comply with the requirements of the Age Discrimination Act of 1975, Pub. L. No. 94-135 (codified as amended at 42 U.S.C. § 6101 et seq.), which prohibits discrimination on the basis of age in any program or activity receiving federal financial assistance. IV. Americans with Disabilities Act of 1990 Recipients must comply with the requirements of Titles I, II, and III of the Americans with Disabilities Act, Pub. L. No. 101-336 (1990) (codified as amended at 42 U.S.C. §§ 12101— 12213), which prohibits recipients from discriminating on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing entities. V. Best Practices for Collection and Use of Personally Identifiable Information Recipients who collect personally identifiable information (PII) as part of carrying out the scope of work under a federal award are required to have a publicly available privacy policy that describes standards on the usage and maintenance of the PII they collect. DHS defines PII as any information that permits the identity of an individual to be directly or indirectly inferred, including any information that is linked or linkable to that individual. Recipients may also find the DHS Privacy Impact Assessments: Privacy Guidance and Privacy Template as useful resources respectively. VI. Civil Rights Act of 1964 — Title VI Recipients must comply with the requirements of Title VI of the Civil Rights Act of 1964, Pub. L. No. 88-352 (codified as amended at 42 U.S.C. § 2000d et seq.), which provides that no person in the United States will, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance. DHS implementing regulations for the Act are found at 6 C.F.R. Part 21. Recipients of an award from the Federal Emergency Management Agency (FEMA) must also comply with FEMA's implementing regulations at 44 C.F.R. Part 7. VII. Civil Rights Act of 1968 Recipients must comply with Title VIII of the Civil Rights Act of 1968, Pub. L. No. 90-284 (codified as amended at 42 U.S.C. § 3601 et seq.) 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 Page 23 of 34 Page 191 of 1713 of race, color, national origin, religion, disability, familial status, and sex, as implemented by the U.S. Department of Housing and Urban Development at 24 C.F.R. Part 100. The prohibition on disability discrimination includes the requirement that new multifamily housing with four or more dwelling units— i.e., the public and common use areas and individual apartment units (all units in buildings with elevators and ground -floor units in buildings without elevators) —be designed and constructed with certain accessible features. (See 24 C.F.R. Part 100, Subpart D.) VIII. Copyright Recipients must affix the applicable copyright notices of 17 U.S.C. §§ 401 or 402 to any work first produced under federal awards and also include an acknowledgement that the work was produced under a federal award (including the federal award number and federal awarding agency). As detailed in 2 C.F.R. § 200.315, a federal awarding agency reserves a royalty -free, nonexclusive, and irrevocable right to reproduce, publish, or otherwise use the work for federal purposes and to authorize others to do so. IX. Debarment and Suspension Recipients must comply with the non -procurement debarment and suspension regulations implementing Executive Orders (E.O.) 12549 and 12689 set forth at 2 C.F.R. Part 180 as implemented by DHS at 2 C.F.R. Part 3000. These regulations prohibit recipients from entering into covered transactions (such as subawards and contracts) with certain parties that are debarred, suspended, or otherwise excluded from or ineligible for participation in federal assistance programs or activities. X. Drug -Free Workplace Regulations Recipients must comply with drug -free workplace requirements in Subpart B (or Subpart C, if the recipient is an individual) of 2 C.F.R. Part 3001, which adopts the Governmentwide implementation (2 C.F.R. Part 182) of the Drug - Free Workplace Act of 1988 (41 U.S.C. §§ 8101-8106). XI. Duplicative Costs Recipients are prohibited from charging any cost to this federal award that will be included as a cost or used to meet cost sharing or matching requirements of any other federal award in either the current or a prior budget period. (See 2 C.F.R. § 200.403(f)). However, recipients may shift costs that are allowable under two or more federal awards where otherwise permitted by federal statutes, regulations, or the federal financial assistance award terms and conditions. Page 24 of 34 Page 192 of 1713 XII. Education Amendments of 1972 (Equal Opportunity in Education Act.) — Title IX Recipients must comply with the requirements of Title IX of the Education Amendments of 1972, Pub. L. No. 92-318 (codified as amended at 20 U.S.C. § 1681 et seq.), which provide that no person in the United States will, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any educational program or activity receiving federal financial assistance. DHS implementing regulations are codified at 6 C.F.R. Part 17. Recipients of an award from the Federal Emergency Management Agency (FEMA) must also comply with FEMA's implementing regulations at 44 C.F.R. Part 19. XIII. E.O. 14074 — Advancing Effective, Accountable Policing and Criminal Justice Practices to Enhance Public Trust and Public Safety Recipient State, Tribal, local, or territorial law enforcement agencies must comply with the requirements of section 12(c) of E.O. 14074. Recipient State, Tribal, local, or territorial law enforcement agencies are also encouraged to adopt and enforce policies consistent with E.O. 14074 to support safe and effective policing. XIV. Energy Policy and Conservation Act Recipients must comply with the requirements of the Energy Policy and Conservation Act, Pub. L. No. 94-163 (1975) (codified as amended at 42 U.S.C. § 6201 et seq.), which contain policies relating to energy efficiency that are defined in the state energy conservation plan issued in compliance with this Act. XV. False Claims Act and Program Fraud Civil Remedies Recipients must comply with the requirements of the False Claims Act, 31 U.S.C. §§ 3729-3733, which prohibit the submission of false or fraudulent claims for payment to the Federal Government. (See 31 U.S.C. §§ 3801-3812, which details the administrative remedies for false claims and statements made.) XVI. Federal Debt Status All recipients are required to be non -delinquent in their repayment of any federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit disallowances, and benefit overpayments. (See OMB Circular A- 129.) XVII. Federal Leadership on Reducing Text Messaging while Driving Page 25 of 34 Page 193 of 1713 Recipients are encouraged to adopt and enforce policies that ban text messaging while driving recipient -owned, recipient -rented, or privately -owned vehicles when on official government business or when performing any work for or on behalf of the Federal Government. Recipients are also encouraged to conduct the initiatives of the type described in Section 3(a) of E.O. 13513. XVIII. Flv America Act of 1974 Recipients must comply with Preference for U.S. Flag Air Carriers (a list of certified air carriers can be found at: Certificated Air Carriers List I US Department of Transportation, https://www.transportation.goy/policy/aviation- policy/certificated-air-carriers-list) for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974, 49 U.S.C. § 40118, and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision B-138942. XIX. Hotel and Motel Fire Safetv Act of 1990 Recipients must ensure that all conference, meeting, convention, or training space funded entirely or in part by federal award funds complies with the fire prevention and control guidelines of Section 6 of the Hotel and Motel Fire Safety Act of 1990, 15 U.S.C. § 2225a. XX. John S. McCain National Defense Authorization Act of Fiscal Year 2019 Recipients, subrecipients, and their contractors and subcontractors are subject to the prohibitions described in section 889 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019, Pub. L. No. 115-232 (2018) and 2 C.F.R. §§ 200.216, 200.327, 200.471, and Appendix II to 2 C.F.R. Part 200. The statute — as it applies to DHS recipients, subrecipients, and their contractors and subcontractors — prohibits obligating or expending federal award funds on certain telecommunications and video surveillance products and contracting with certain entities for national security reasons. XXI. Limited English Proficiency (Civil Rights Act of 1964, Title VI) Recipients must comply with Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq.) prohibition against discrimination on the basis of national origin, which requires that recipients of federal financial assistance take reasonable steps to provide meaningful access to persons with limited English proficiency (LEP) to their programs and services. For additional assistance and Page 26 of 34 Page 194 of 1713 information regarding language access obligations, please refer to the DHS Recipient Guidance: https://www.dhs.gov/guidance-published-helpdepartment- supported-organizations-provide-meaningful-access-people-limited and additional resources on http://www.lep.lzov. XXII. Lobbing Prohibitions Recipients must comply with 31 U.S.C. § 1352 and 6 C.F.R. Part 9, which provide that none of the funds provided under a federal award may be expended by the recipient to pay any person to influence, or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any federal action related to a federal award or contract, including any extension, continuation, renewal, amendment, or modification. Per 6 C.F.R. Part 9, recipients must file a lobbying certification form as described in Appendix A to 6 C.F.R. Part 9 or available on Grants.gov as the Grants.gov Lobbying Form and file a lobbying disclosure form as described in Appendix B to 6 C.F.R. Part 9 or available on Grants.gov as the Disclosure of Lobbying Activities (SF-LLL). XXIII. National Environmental Policy Act Recipients must comply with the requirements of the National Environmental Policy Act of 1969, Pub. L. No. 91-190 (1970) (codified as amended at 42 U.S.C. § 4321 et seq.) (NEPA) and the Council on Environmental Quality (CEQ) Regulations for Implementing the Procedural Provisions of NEPA, which require recipients to use all practicable means within their authority, and consistent with other essential considerations of national policy, to create and maintain conditions under which people and nature can exist in productive harmony and fulfill the social, economic, and other needs of present and future generations of Americans. XXIV. Nondiscrimination in Matters Pertaining to Faith -Based Organizations It is DHS policy to ensure the equal treatment of faith -based organizations in social service programs administered or supported by DHS or its component agencies, enabling those organizations to participate in providing important social services to beneficiaries. Recipients must comply with the equal treatment policies and requirements contained in 6 C.F.R. Part 19 and other applicable statues, regulations, and guidance governing the participations of faith- based organizations in individual DHS programs. XXV. Non -Supplanting Requirement Page 27 of 34 Page 195 of 1713 Recipients of federal awards under programs that prohibit supplanting by law must ensure that federal funds supplement but do not supplant non-federal funds that, in the absence of such federal funds, would otherwise have been made available for the same purpose. XXVL Notice of Funding Opportunity Requirements All the instructions, guidance, limitations, scope of work, and other conditions set forth in the Notice of Funding Opportunity (NOFO) for this federal award are incorporated by reference. All recipients must comply with any such requirements set forth in the NOFO. If a condition of the NOFO is inconsistent with these terms and conditions and any such terms of the Award, the condition in the NOFO shall be invalid to the extent of the inconsistency. The remainder of that condition and all other conditions set forth in the NOFO shall remain in effect. XXVII. Patents and Intellectual Property Rights Recipients are subject to the Bayh-Dole Act, 35 U.S.C. § 200 et seq. and applicable regulations governing inventions and patents, including the regulations issued by the Department of Commerce at 37 C.F.R. Part 401 (Rights to Inventions Made by Nonprofit Organizations and Small Business Firms under Government Awards, Contracts, and Cooperative Agreements) and the standard patent rights clause set forth at 37 C.F.R. § 401.14. XXVIII. Procurement of Recovered Materials States, political subdivisions of states, and their contractors must comply with Section 6002 of the Solid Waste Disposal Act, Pub. L. No. 89-272 (1965) (codified as amended by the Resource Conservation and Recovery Act at 42 U.S.C. § 6962) and 2 C.F.R. § 200.323. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 C.F.R. Part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition. XXIX. Rehabilitation Act of 1973 Recipients must comply with the requirements of Section 504 of the Rehabilitation Act of 1973, Pub. L. No. 93-112 (codified as amended at 29 U.S.C. § 794), which provides that no otherwise qualified handicapped individuals in the United States will, solely by reason of the handicap, be excluded from participation in, be denied the benefits of, or be subjected to Page 28 of 34 Page 196 of 1713 discrimination under any program or activity receiving federal financial assistance. XXX. Reporting of Matters Related to Recipient Integrity and Performance If the total value of any currently active grants, cooperative agreements, and procurement contracts from all federal awarding agencies exceeds $10,000,000 for any period of time during the period of performance of the federal award, then the recipient must comply with the requirements set forth in the government -wide Award Term and Condition for Recipient Integrity and Performance Matters located at 2 C.F.R. Part 200, Appendix XII, the full text of which is incorporated by reference. XXXI. Reporting Subawards and Executive Compensation For federal awards that equal or exceed $30,000, recipients are required to comply with the requirements set forth in the government -wide award term on Reporting Subawards and Executive Compensation set forth at 2 C.F.R. Part 170, Appendix A, the full text of which is incorporated by reference. XXXII. Required Use of American Iron, Steel, Manufactured Products, and Construction Materials Recipients of an award of Federal financial assistance from a program for infrastructure are hereby notified that none of the funds provided under this award may be used for a project for infrastructure unless: (1) all iron and steel used in the project are produced in the United States —this means all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States; (2) all manufactured products used in the project are produced in the United States —this means the manufactured product was manufactured in the United States; and the cost of the components of the manufactured product that are mined, produced, or manufactured in the United States is greater than 55 percent of the total cost of all components of the manufactured product, unless another standard for determining the minimum amount of domestic content of the manufactured product has been established under applicable law or regulation; and (3) all construction materials are manufactured in the United States —this means that all manufacturing processes for the construction material occurred in the United States. Page 29 of 34 Page 197 of 1713 The Buy America preference only applies to articles, materials, and supplies that are consumed in, incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools, equipment, and supplies, such as temporary scaffolding, brought to the construction site and removed at or before the completion of the infrastructure project. Nor does a Buy America preference apply to equipment and furnishings, such as movable chairs, desks, and portable computer equipment, that are used at or within the finished infrastructure project but are not an integral part of the structure or permanently affixed to the infrastructure project. Waivers When necessary, recipients may apply for, and the agency may grant, a waiver from these requirements. The agency should notify the recipient for information on the process for requesting a waiver from these requirements. (a) When the Federal agency has determined that one of the following exceptions applies, the awarding official may waive the application of the domestic content procurement preference in any case in which the agency determines that: (1) applying the domestic content procurement preference would be inconsistent with the public interest; (2) the types of iron, steel, manufactured products, or construction materials are not produced in the United States in sufficient and reasonably available quantities or of a satisfactory quality; or (3) the inclusion of iron, steel, manufactured products, or construction materials produced in the United States will increase the cost of the overall project by more than 25 percent. A request to waive the application of the domestic content procurement preference must be in writing. The agency will provide instructions on the format, contents, and supporting materials required for any waiver request. Waiver requests are subject to public comment periods of no less than 15 days and must be reviewed by the Made in America Office. There may be instances where an award qualifies, in whole or in part, for an existing waiver described at 'Buy America" Preference in FEMA Financial Assistance Programs for Infrastructure I FEMA.gov. Definitions Page 30 of 34 Page 198 of 1713 The definitions applicable to this term are set forth at 2 C.F.R. § 184.3, the full text of which is incorporated by reference. XXXIIL SAFECOM Recipients receiving federal financial assistance awards made under programs that provide emergency communication equipment and its related activities must comply with the SAFECOM Guidance for Emergency Communication Grants, including provisions on technical standards that ensure and enhance interoperable communications. The SAFECOM Guidance is updated annually and can be found at Funding and Sustainment I CISA. XXXIV. Terrorist Financing Recipients must comply with E.O. 13224 and applicable statutory prohibitions on transactions with, and the provisions of resources and support to, individuals and organizations associated with terrorism. Recipients are legally responsible for ensuring compliance with the E.O. and laws. XXXV. Trafficking Victims Protection Act of 2000 (TVPA) Recipients must comply with the requirements of the government -wide financial assistance award term which implements Trafficking Victims Protection Act of 2000, Pub. L. No. 106-386, § 106 (codified as amended at 22 U.S.C. § 7104). The award term is located at 2 C.F.R. § 175.15, the full text of which is incorporated by reference. XXXVI. Universal Identifier and System of Award Management Recipients are required to comply with the requirements set forth in the government -wide financial assistance award term regarding the System for Award Management and Universal Identifier Requirements located at 2 C.F.R. Part 25, Appendix A, the full text of which is incorporated reference. XXXVII. USA PATRIOT Act of 2001 Recipients must comply with requirements of Section 817 of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 (USA PATRIOT Act), which amends 18 U.S.C. §§ 175-175c. XXXVIII. Use of DHS Seal, Logo and Flags Recipients must obtain written permission from DHS prior to using the DHS seals, logos, crests, or reproductions of flags, or likenesses of DHS agency Page 31 of 34 Page 199 of 1713 officials. This includes use of DHS component (e.g., FEMA, CISA, etc.) seals, logos, crests, or reproductions of flags, or likenesses of component officials. XXXIX. Whistleblower Protection Act Recipients must comply with the statutory requirements for whistleblower protections at 10 U.S.0 § 470141 U.S.C. § 4712. Page 32 of 34 Page 200 of 1713 Addendum 2: Subaward-Specific Terms and Conditions NEPA Determination Condition FEMA is required to consider the potential effects on natural and cultural resources of all projects funded by FEMA grant funds. FEMA manages and implements EHP compliance requirements in accordance with FEMA Directive 108-1 and Instruction 108-1-1 (EHP Directive and Instruction) and through its EHP review process, as mandated by the National Environmental Policy Act (NEPA), the National Historic Preservation Act of 1966, as amended, the Endangered Species Act, and any other applicable laws and Executive Orders. FEMA's EHP review process must be completed and Recipient/Subrecipient must receive notification from FEMA of the environmental review outcome before funds may be released for implementation of the proposed project. No construction activities (including any site preparation, project staging, utility installation or ground disturbing activities) or equipment installations on existing structures may begin until the EHP compliance review is complete. Release of funding or initiation of project activities prior to completion of the EHP compliance review may result in FEMA's inability to fund the project due to noncompliance with EHP requirements. Page 33 of 34 Page 201 of 1713 Exhibit A: FEMA Award Notification Cost Estimate 402.4 - Community Flood Mitigation Project Item Name Cost Unit Unit of Classification Quantity Measure Construction and Construction Construction And Project 1.00 Unknown Management/Oversight Improvement Construction Contingency Contingencies 1.00 Unknown Total Project Cost Estimate: S 27,309,820.00 Activity Cost Estimate Federal Share Percentage Non -Federal Share Percentage Proposed Federal Share Proposed Non -Federal Share Source Agency Local Agency Funding State Agency Funding Cost Share $ 27,309,820.00 28.92732358% 71.07267642% Dollars $7,900,000-00 $19,409,820.00 Non -Federal Funds Name of Source Agency City of Dubuque State of Iowa Percentage 28-92732358% 71.07267642% Federal Share: $ 7,900,000.00 Cost Unit Cost (S) Estimate (S) $ 26,801,000.00 $ 26,801,000.00 $ 508,820.00 $ 508,820.00 Total Cost $ 27,309,820.00 Funding Type Amount (S) Action Cash $ 18.619.820 00 View Details Cash S 790,000 00 View Details Grand Total $19,409,820.00 Page 34 of 34 Page 202 of 1713 Exhibit B: Approved Scope of Work and Budget Scope of Work Description of the Problem: The City owns and operates a flood control structure and Stormwater Pump Station for the 16th Street Detention Basin. The flood control structure and SWPS (SWPS) act as the buffer between the Bee Branch Creek Watershed and the Mississippi River. The flood control structure and SWPS are used to modulate the water levels in the 16th Street Detention Basin to accommodate storage capacity from runoff in the Bee Branch Creek Watershed. The flood control structure and SWPS were constructed and added onto in the 1950s, 1960s and 1970s. The current geometry and layout of the flood control structure and capacity of the SWPS leave the City susceptible to flooding issues including commercial and industrial areas. The increasing intensity of storms in the past 25 years has changed the major focus from Mississippi River flooding to flash flooding on the inland side of the levee. This is forcing the City to take action to address their lack of resilience to these storms. Should any major component of the system fail, the result will be the flooding of over one square mile, which includes the Kerper Boulevard Industrial Park, the Historic Millwork District, the Community Health Center, major Mississippi River tourist attractions, plus the Municipal Water Plant and wells, several wastewater lift stations and other flood pumping stations and electric power sub- stations. The City understands it must install new flood gates and pumps to provide the needed resiliency to these storms. Scope of Work: Description of the Solution & Mitigation Proposed: The proposed flood gate project includes the construction of a new culvert inlet structure that will consist of two main flood gates, installation of two additional emergency flood gates, new stormwater pumps, and the installation of an additional back-up generator for the pumps. The project will provide the needed resiliency that is being demanded by these storms. The flood gates will be constructed on the basin side of the levee. This design eliminates most of the silt and debris issues that the existing system experiences. The design also eliminates the challenge of maintaining flood protection during construction and not disturbing the USACE flood protection levee. Description of the Proposed Project: Project involves the replacement of an existing, aging, under -sized stormwater pumping station with a new pumping station that will reduce flood losses. The new pumping station will be built on the protected side of the existing flood protection levee at the confluence of the Bee Branch Watershed with the Mississippi River. The overall structure will have approximate plan dimensions of 100' x 160. The structure will be constructed on the west end of the existing twin 12'x12 culverts. The structure is planned to include four 90,000 gpm stormwater pumps, two 12'x14 main gates for gravity flow from the 16th Street Basin (end of Bee Branch watershed), and two 12 x9' emergency gates. Additionally, it includes an electrical control building to control the pump and two standby generators to provide backup power to the proposed stormwater Page 203 of 1713 pumps. The project will also include the removal of the existing stormwater pumps and demolition of portions of the existing stormwater pump station. Page 204 of 1713 Budget Type Description Amount Construction Construction materials, labor, contingency, engineering & oversight $ 27,309,820.00 Total Project $ 279309,820.00 Management Costs 0.00 Total Award $ 27,309,820.00 Page 205 of 1713 Exhibit C: Pre -Award Risk Assessment Conducted by HSEMD Page 206 of 1713 Iowa Department of Homeland Security and Emergency Management 3� G4 s Recovery Division Subrecipient Pre -Award Risk Assessment R��hcw to THIS FORM IS REQUIRED TO BE COMPLETED BY HSEMD Applicant Information Applicant: City of Dubuque Applicant UEI (12 Character alphanumeric number): TLJMHPVMMUD3 Applicant Authorized Representative': Nathan Kelleher Applicant Authorized Representative Phone: _563-589-4141 Applicant Authorized Representative Email: _nkellehe@cityofdubuque HSEMD Recovery Division Assessment Completed by: Tammy Grittmann Assessment Date: 5-31-2024 Total Risk Assessment Score: 14 of 15. Risk Level*: low NOTE TO SUBRECIPIENT. If a written procurement policy is not in place at the time the pre -award risk assessment is conducted, the Subrecipient will be placed at a "High" risk level. If a written procurement policy is in place but does not meet the minimum federal standards, the Subrecipient should expect a "Medium" risk level or higher. Financial Stability points 4 (maximum of 4) Yes/No ❑ 0 Turnover in key staff in the past 12 months (i.e. city clerk, financial manager, superintendent, etc.) (Y=-1 point, N=1 point) Notes for HSEMD staff: None Yes/No ❑ 0 Special investigations performed by the Iowa State Auditor in the past five (5) years. (Y=-1 point, N=1 point) Notes for HSEMD staff: None 12 CFR §200.415 requires that fiscal reports (including subrecipient agreements, payment requests, etc.) be "signed by an official who is authorized to legally bind the non -Federal entity". Updated 12/15/21 Page 207 of 1713 HSEMD Recovery Division: Risk Assessment Page 2 of 7 Yes/No ❑X ❑ For each Federal subaward, the applicant's accounting system has the ability to track revenues and expenditures separately from other expenditure and revenue sources. (Including applicant matching funds) (Le. separate accounts/work orders for each approved project)2 Attach chart of accounts/work order listing with particular accounts/work orders noted. (Y=1 point, N=-1 point) https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I I/part-200#200.302 Notes for HSEMD staff: None Yes/No 0 ❑ For each Federal subaward, the applicant's accounting system has the ability to tie revenues and expenditures to approved subaward budget(s) and scope(s) of work. (Y=1 point, N=-1 point) Notes for HSEMD staff: None Yes/No 0 ❑ Establish and maintain effective internal control over the Federal subaward to provide assurance the entity is managing the award in compliance with Federal statutes, regulations and terms and conditions.' Attach associated procedures. (Y=1 point, N=-1 point) h ttps://www. ecfr. qo v/current/title-2/subtitle-A/chap ter-11/part-200/sub part-D/section-200.303 Notes for HSEMD staff: None 2 2 CFR §200.302(3) requires that records must adequately identify the source and application of federally -funded activities. 3 Required per 2 CFR §200.303(a); Internal Controls Updated 12/15/21 Page 208 of 1713 HSEMD Recovery Division: Risk Assessment Page 3 of 7 Quality Management Systems points 4 (maximum of 5) Procurement Policies. Attach procurement policies. Yes/No ❑X ❑ Includes documentation to ensure that contractor/vendor is not suspended or disbarred from federally - funded projects .4 (Y=1 point, N=-1 point) https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I I/part-200/subpart-C/section-200.214 Notes for HSEMD staff: None Yes/No 0 ❑ Includes procedure to document affirmative solicitation of small and minority businesses, and women's business enterprises.' (Y=1 point, N=-1 point) https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I I/part-200/subpart-D/s u b I ect-group-EC F R45 dd d4419ad436d/section-200.321 Notes for HSEMD staff: None Yes/No 0 ❑ Includes Contract Provisions for Non -Federal Entity Contracts under Federal Awards6 (Y=1 point, N=-1 point) https://www.ecfr.gov/current/title-2/subtitle-A/cha Ater-1I/part-200/appendix-Append ix %2011%20to %20Pa rt%20200 Notes for HSEMD staff: None 4 Must include documentation of check of contractor/vendor on Excluded Parties List System (EPLS) (https://www.sam.gov) (2 CFR 200.214) (2 CFR part 180) 5 2 CFR § 200.321; Listing available at https://www.sam.gov 6 2 CFR §200 Appendix II Updated 12/15/21 Page 209 of 1713 HSEMD Recovery Division: Risk Assessment Page 4 of 7 Yes/No 0 ElWritten standards of conduct covering conflicts of interest.' Attach associated standards. (Y=1 point, N= -1 point) https://www.ecfr.gov/current/title-2/subtitle-A/cha Ater -I I/part-200/su bpart-D/subject-group-ECFR45ddd4419ad436d/section-200.318 Notes for HSEMD staff: None Yes/No 0 ❑ Procedures for accounting for the entirety of employee time by individual Federal subaward and other non -Federally funded work (Personnel Activity Reports or similar). Attach employee time keeping procedures and examples of associated documentation. (Y=1 point, N=-1 point) Notes for HSEMD staff: None Yes/No ❑ 0 Follow the prohibition on certain telecommunications and video surveillance services or equipment outlined in 2 CFR 200.216. (Y=1 point, N=-1 point) https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I I/part-200/subpart-C/section-200.216 Notes for HSEMD staff: None ' 2 CFR 200.318 (c)(1)(2) Updated 12/15/21 Page 210 of 1713 HSEMD Recovery Division: Risk Assessment Page 5 of 7 Performance History points 4 (maximum of 4) Yes/No ❑ 0 New applicant (Y=-1 point, N=1 point) Notes for HSEMD staff: None Yes/No ❑ 0 Applicant has an outstanding balance (pending resolution or outstanding refund) with HSEMD (Y=-1 point, N=1 point) Notes for HSEMD staff: None Yes/No 0 ❑ Applicant is not suspended or disbarred from federal awards.4 (Y=1 point, N=-1 point) Notes for HSEMD staff: None Prior HSEMD SUbaWards (list only previous 4 programs) (1 point for each grant in which all projects are completed and closed on or under budget) Assistance Listing # # of Projects # of Quarterly # of issues (Sam.gov) # of Projects Total $ Obligated Total $ Expended Completed and Reports identified Closed Completed 21.019 3 $20,663.96 $20,663.96 3 0 0 97.036 3 $39,532.49 $39,532.49 3 2 0 97.039 1 $274,278.85 $274,278.85 1 7 0 97.039 26 $1,112,705.07 26 6 0 $1,113,969.99 Updated 12/15/21 Page 211 of 1713 HSEMD Recovery Division: Risk Assessment Page 6 of 7 Prior Subaward Monitoring Actions by HSEMD (list only s most recent) (-1 point for each identified issue) Desk Review or Site Visit (Select One) Date Assistance Listing # (Sam.gov) # of Projects Monitored # of Issues Identified NONE Prior Subaward Audit Findings Review two (2) most recent audits of Federal Awards, and document findings on Federal awards.' (-1 point for each audit finding on a Federal award) Fiscal Year Audited Assistance Listing # (Sam.gov) Auditor Opinion (Qualified, Unqualified, Disclaimer, or Adverse) (Select One) Finding Type(s) (Internal Control, Material Weakness, Significant Deficiency) # of Findings # of Findings Resolved NONE 8 Audit information is available at: https://facdissem.census.gov/ or https://www.auditor.iowa.Rov/reports/audit-reports/ Updated 12/15/21 Page 212 of 1713 HSEMD Recovery Division: Risk Assessment Page 7 of 7 Statutory and Regulatory Requirement Implementation points 2 (maximum of 2) Yes/No ❑X ❑ Procedures for reporting all violations of Federal criminal law involving fraud, bribery, or gratuity violations possibly affecting Federal awards.' Attach associated policies (Y=1 point, N=-1 point) https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I I/part-200/subpart-B/section-200.113 Notes for HSEMD staff: NONE Yes/No 0 ❑ Policies and procedures to safeguard personally identifiable information (i.e. Social Security numbers, dates of birth, medical information, etc.)10Attach associated policies (Y=1 point, N=-1 point) Notes for HSEMD staff: NONE *Risk Level: (Note: Attachments must be included in order for the points to be awarded) Points Level Actions <0-5 High Site Monitoring Visit or Desk Review, regular site visit and administrative reviews by HSEMD staff. Desk Review upon closeout of projects as needed; continued quarterly progress report monitoring and 6-10 Medium project closeout monitoring. 11-15 Low Continued quarterly progress report monitoring and project closeout monitoring. 9 2 CFR §200.113 requires that all non -Federal entities and applicants for a Federal award must disclose in a timely manner and in writing to the Federal awarding agency or pass -through entity any violations that may affect the Federal award. 10 2 CFR §200.303(e) Updated 12/15/21 Page 213 of 1713