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FY2008-06 2006 PreDisaster Mitigation Grant 1.. AgreemenfNo. 06PDM-GR34015 5.. ;Recipient Address {~ Ff~tJtJ?- tJ~ DEPT OF MILITARY AND VETERANS AFFAIRS DIVISION OF HOMELAND SECURITY AND EMERGENCY MANAGEMENT Obligating Award Document for 2006 PreDisaster Mitigation Competitive, Planning Activities Grant Pre-Disaster Mitigation Grant US DEPT OF HOMELAND SECURITY Federal Emergency Management Agency 2006 Federal Grant No. PDMC-10-AK-2005 CFDA No. 97.017 3..Awclrdrgj Amehdl'llenf[J 4. EmplbyerJax 10 # AmendmEmt# 92-0030845 2. Recipient Kodiak Island Borough 6.ISslJingoffice and Acfdl'ess Department of Military and Veterans Affairs Division of Homeland Security and Emergency Management P.O. Box 5750 Fort Richardson, Alaska 99505-5750 www.ak-reared.comlirants.htm 8. [)H~.&EM Project Phone: 907-428-7016 Manager: Fax: 907-428-7009 Ernail: Scott.Simmons@alaska.gov Kodiak Island Borough 710 Mill Bay Road Kodiak, AK 99615 7: Effective Oateof This Action June 1, 2007 9. Method' of Payment: Electronic 10. Grant Award and Terms and Conditions: (seeattachecJGrant Termsand.Cohditions) Total Awarded Amount: $1,251,510.00 Federal Share: $938,632.50 Local Match: $312,877.50 R. Scott Simmons Project Budget Details are funding allocations, and are not to be construed as expenditure authorizations or approvals. Grant program guidelines and Federal, State, and local contracting and procurement compliance requirements apply. Fbl'.State Use Onl CC #09296301 11. 'Grant Requirements, Assurances and Agreements: (see attached Grant Requirements, Assurances and Agreements) The acceptance of a grant from the United States creates a legal duty on the part of the grantee to use the funds or property made available in accordance with the conditions of the rant. GA 0 Accountin Princi les and Standards for Federal A encies, Cha ter 2, Section 16.8 c 12. Special conditions: Grant funds cannot be expended until these conditibnshave been met. Return Completed and Signed Contact Sheet ~ Printed Name: Walle Konin 15. Signature .of JuriSdiction Chief Financial .........'11~ ~br- Printed Name: Karleton Short 16. Si~_ture of Jurisdiction Signata Official L&(~~~ ~~~ G1 4-1)- Printed Name and Title: Rick Gift Mana e~ 'L)H"P7~.,~A -rltrt.... 17. OHS&EM Signatory Official (Name a ) John W. Madden, Director X:\Staff_Support\GRANTS SUPPORT\2006 Grants\16.14 Pre Disaster Mitigation. PDM\16.14c Jurisdiction Sub-Recipients\Kodiak Island Borough\Original 0621 07K1B.doc · Bar charges, alcoholic beverages . Tips · Finance, late fees, or interest charges · Lobbying, political contributions, legislative liaison activities · Organized fund-raising, including salaries of persons while engaged in these activities · Land acquisition · Expenditures not supported with appropriate documentation when submitted for reimbursement. Only properly documented expenditures will be processed for payment. Unsupported expenditures will be returned to the jurisdiction for resubmission. (E) ProDerty and EauiDment Manaaement: The Kodiak Island Borough shall maintain an effective property management system; safeguards to prevent loss, damage or theft; maintenance procedures to keep equipment in good condition; and disposition procedures. A Property Inventory Report (Appendix 0 ayailable at www.ak-oreoared.com/qrants.htm) shall be submitted to DHS&EM annually each January 20 with the Financial Progress Report during the performance period, and continued submission is required annually until final disposition of the equipment. The Kodiak Island Borough shall, when practical, prominently display the following on any equipment purchased with Award funds: Purchased with funds provided by the u.s. Department of Homeland Security. No equipment purchased with these grant funds may be assigned to other entities or organizations without the express approval in writing from DHS&EM, prior to the jurisdiction's encumbrance or expenditure for that equipment. (F) Procurement: Procurement shall comply with local procurement policies and procedures, and conform to applicable State and Federal law and the standards identified in the Procurement Standards Sections of 28 CFR Parts 66 & 70, and OMS Circular A-102 "Uniform Administrative Requirements for Grants and Cooperative Agreements with State and Local Governments". Contractors that develop or draft specifications, requirements, Statements of Work, and/or Requests for Proposals (RFPs) for a proposed procurement shall be excluded from bidding or submitting a proposal to compete for the award of such procurement. Local bidder's preference is not allowed for Federally funded procurements. Procurement transactions shall be conducted to provide maximum open and free competition. Each sole-source procurement and all purchases in excess of $100,000 require prior approval of DHS&EM. DHS&EM has provided a summary of documentation required for levels of procurement and attached it to the instructions on the quarterly Financial Progress Reports. Appendix E is attached and located electronically at www.ak-oreoared.com/qrants.htm. (G) Contracts: Any contract entered into during this grant period shall comply with local, State and Federal government contracting regulations. Contracts for professional and consultant services must include local, State and Federal government required contract language and a project budget, and require pre-approval by DHS&EM prior to implementation. Contract deliverables must meet the intent of the grant application and grant requirements. Justification is required for compensation for individual consultant services, which must be reasonable and consistent with the amount paid for similar services in the market place. Detailed invoices and Time and Effort reports are required for consultants. A summary of documentation required for levels of contracting is attached to the instructions on the quarterly Financial Progress Reports. Appendix E is attached and located electronically at www.ak-oreoared.com/qrants.htm. (H) Publications: Publications created with funding under this grant shall prominently contain the following statement: This Document was prepared under a grant from the US Dept. of Homeland Security, and the Alaska Division of Homeland Security and Emergency Management. Points of view or opinions expressed in this document are those of the authors and do not necessarily represent the official position or policies of the US Dept. of Homeland Security or the State of Alaska. (I) Audit Reauirements: As the Federal grant recipient, the State of Alaska requires a sub-recipient expending $500,000 or more in Federal funds in the organization's fiscal year to conduct an organization-wide audit in accordance with OMS Circular A-133. The Kodiak Island Borough will permit the State of Alaska Project and Program officials and auditors to have access to the sub-recipient's and third- party contractors' records and financial statements as necessary for the State of Alaska to comply with OMS Circular A-133. Copies of audit findings must be submitted to DHS&EM within 30 days after the Kodiak Island Borough receives its audit report, or within a 9- month period of the grant closeout date, whichever is earlier, in accordance with 2 MC 45.010. Include the Federal agency name, program, grant number, and year; the CFDA title and number; and the name of the pass-through agency. (J) Recordkeepina Reauirements: Grant financial and administrative records shall be maintained for a period of three (3) years following the date of the closure of the grant Award, or audit if required. Time and Effort, personnel and payroll records for all individuals reimbursed under the Award must be maintained. Property and Equipment records shall be maintained for a period of three (3) years following the final disposition, replacement or transfer of the Property and Equipment (K) Performance Measures: Quarterly Progress Reports shall demonstrate performance and progress relative to: 1. Acceptable performance on applicable critical tasks in Exercises using approved scenarios 2. Progress in achieving project timelines and milestones 3. Percent measurable progress toward completion of project 4. How funds have been expended during reporting period, and explains expenditures related to the project (L) Sub-recipient Monitorina Policy: DHS&EM reserves the right to periodically monitor, review and conduct analysis of the Kodiak Island Borough's financial, programmatic and administrative policies and procedures such as, accounting for receipts and expenditures, cash management, maintaining adequate financial records, means of allocating and tracking costs, contracting and procurement policies and records, payroll records and means of allocating staff costs, property/eqUipment management system(s), progress of project activities, etc. Periodic monitoring is required to ensure that program goals, objectives, timelines, budgets and other related program criteria are being met. This may include desk and field audits. Technical assistance is available from DHS&EM staff. Monitoring Policy attached and available at www.ak-oreoared/com/qrants.htm (M) Penalty for Non-ComDliance: For the reasons listed below, special conditions may be imposed, reimbursements may be partially or wholly withheld, the Award may be wholly or partly suspended or terminated, or future Awards, reimbursements and Award modifications may be withheld. DHS&EM may institute the following, but is not limited to, withholding authority to proceed to the next phase of a project, requiring additional or more detailed financial reports, additional project monitoring, and/or establish additional prior approvals. DHS&EM shall notify the Kodiak Island Borough of its decision in writing stating the nature and the reason for imposing the conditions/restrictions, the corrective action required and timeline to remove them, and the method of requesting reconsideration of the imposed conditions/restrictions. The Kodiak Island Borough must respond within 5 days of receipt of notification. X:\Staff Support\GRANTS SUPPORT\Grants Admin Docs\Grant TemolatesV\wards and Amendments\2006 PDM. Gnoinal_doc 4110'l<f ?flflfo P~OP' of.1 Grant Terms and Conditions (continued from Section 10 of Award) The total allocation of the 2006 PreDisaster Mitigation Competitive, Planning Activities Grant awarded to the Division of Homeland Security and Emergency Management (DHS&EM) is $1,350,319.45 under Federal Grant PDMC-10-AK-2005, CFDA# 97.017. The Kodiak Island Borough has been awarded $1,251,510.00, which shall be used to support activities essential to all hazards, community preparedness. The performance period of this grant Award is 6/1/2007 through September 30, 2008. Project conditions must be completed by this date. The Kodiak Island Borough cannot sub-grant all or any part of this Award to any other entity or organization. All awards require confirmation within the first reporting quarter that expenditures in the budget category toward projects will be made, or request for de-obligation of funds must be submitted. No transfers of funds between allocations will be authorized, only de-obligation of funds. (A) Chanaes to Award: All change requests must be submitted in writing, or electronically to the DHS&EM Project Manager, accompanied by a narrative justification and budget/spending plan, for review and approval. Changes must be consistent with the scope of the project and grant guidelines. Requests for changes will be considered only if the reporting requirements are current and terms and conditions have been met at the time the request for the change is made. Changes in the Scope of Work, changes in key persons specified on the grant Award, contractual services for activities central to the purposes of the Award, requests for additional funding, change in project site, change in the project manager/director, or release of special conditions will result in an Amendment to this Award. No transfers of funds between allocations will be authorized, only de-obligation of funds. (8) ReDortina Reauirements: The Kodiak Island Borough shall submit timely quarterly Narrative and Financial Progress Reports to the Project Manager at DHS&EM. Instructions and blank forms of Appendix Band C are attached and are located electronically at www.ak-prepared.com/qrants.htm. and may be reproduced. Use of outdated forms may delay timely reimbursements. Quarterly reports are due: The First Quarterly Report is due October 20 for the period beginning June 1, 2007 Q1 October 1 - December 31 Report due January 20 (Include annual Property inventory Report) Q2 January 1 - March 31 Report due April 20 Q3 April 1 - June 30 Report due July 20 Q4 July 1 - September 30 Report due October 20 (Final Report due November 15,2008) Narrative Progress Reports (AppendiX B) shall describe the status of the project, compare actual accomplishments to the objectives established for the reporting period in the project timeline, report reasons for deviation, and justification for timeline adjustment requests, and must support the Financial Progress Reports (Appendix C). Include any significant events or activities. Progress must be reported relative to the project activities and milestones stated in the jurisdiction's application. Financial Progress Reports shall describe the status of the funds, show encumbrances, and receipts of program income and cash or in-kind contributions to the project, whether or not a local match is required. The Final Progress Report is a summary report, evaluating project activities and measuring performance against project goals and objectives for the entire performance period, and is required in addition to the last quarterly report. After Action Reports are required within 30 days of the conduct of an Exercise. (C) Reimbursements: Submit on the Financial Progress Report form. Reimbursement shall be based upon authorized and allowable expenditures consistent with project narrative and grant guidelines, and submission of timely quarterly Narrative and Financial Progress Reports. Payments may be withheld pending correction of deficiencies. Reimbursement of expenditures may be requested at any time within the performance period. Expenditures must be supported with source documentation (e.g. copies of invoices, receipts, timesheets with name/wage/hours, cost allocation, warrants, etc.). . Personnel Costs: Payroll reports signed and certified by the Chief Financial Officer that capture the employee name, position, coded allocation to the project, amount paid, are acceptable. Staff may not self-certify their own time and wages. The Kodiak Island Borough shall retain all supporting payroll records, including time and attendance records signed by the employee and supervisor and copies of warrants as per the Recordkeeping requirements in Section 1.J. Limited to 15% for employees assigned to program management functions, not operational duties. The limit does not apply to contractors or hiring intelligence analysts, and is in addition to M&A. . Contracts: All Sole-Source and contracts over $100,000 require DHS&EM pre-approval prior to implementation. Per listed levels in Appendix C, copies of all contracts required for submission to DHS&EM with the request for reimbursement. . Manaqement and Administrative Costs (M&A) (If awarded): Indirect costs are not allowed. Management and Administrative costs are direct costs incurred to administer this Award, and must not exceed 3% of the Award amount. These costs must have documentation to be reimbursable. . Proqram Income and Local Match: Program income may be used to supplement project costs or reduce project costs or may be refunded to the Federal government, and must be used for allowable program costs and be expended prior to requests for reimbursement. Local matching funds must clearly support the source, the amount, and the timing of all matching contributions. (0) Non-reimbursable EXDenses: · Transfer of funds between any programs · Contracts and procurements> $100,000 not pre-approved by DHS&EM Sole source contracts and procurements not pre-approved by DHS&EM Reimbursable training and related travel costs not pre-approved by DHS&EM · Indirect costs · Supplanting any expense already budgeted Maintenance and/or wear and tear costs of general use vehicles and emergency response apparatus. Only fuel/gasoline and mileage is reimbursable. Entertainment and Sporting events Personal items such as laundry, personal hygiene items, magazines, in-room movies, personal travel · Travel insurance, visa and passport charges Lodging costs in excess of Federal or State per diem, as appropriate Lunch when travel is wholly within a single day Stand-alone working meals e. OMB Circular A-122 Cost Principles for Non-Profit Organizations at www.whitehouse.aov/omb/circulars/index.html f. OMB Circular A-133 Audits of States, Local Governments and Non-Profit Organizations at www.whitehouse.aov/omb/circulars/index.html g. CFR Title 48 Federal Acquisition Regulations Systems Chapter 1 Part 31 Contract Cost Principles and Procedures h. OMB Common Rule: Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments j. Incorporated into individual Federal agency's Code of Federal Regulations. i. OGO Financial Guide www.dhs.aov/dhspublic/interweb/assetlibrarv/Grants FinancialManaaementGuide.pdf j. Alaska State Procurement Code AS 36.30, AS36.30.005-.030. www.state.ak.us/local/akpaqes/ADMIN/das/docs/as3630.doc k. Alaska Administrative Code Title 2 Chapter 12, 2 AAC 12.74. http://www.leais.state.ak.us/cai-bin/folioisa.dll/aac I. Alaska Administrative Manual http://fin.admin.state.ak.us/dof/ak admin manual/aam toc.isp m. The Robert Stafford Disaster Relief and Emergency Assistance Act, as amended, 42 U.S.C. 99 5121-5206 (Stafford Act). n. Title 44 of the Code of Federal Regulations (CFR). o. 31 CFR 205.6 Funding techniques. (I) The Kodiak Island Borough shall ensure Federally funded preparedness assistance programs reflect and support National Incident Management System (NIMS) implementation, and shall certify full compliance with NIMS or provide a plan for full compliance by September 30, 2006, a condition of receiving FFY 2006 Federal preparedness funding assistance. Refer to NIMS Clarification Bulletin at www.ak-prepared.com/qrants.htm. We certify that we have read and understand the Grant Terms and Conditions, and the Grant Requirements, Assurances and Agreements, in accordance with this Award. ~ed Manage,', Signa,"", 1( ~ '-~ Chief Financial Officer's Signatu e -&~4. ~~~ rjim Jlt. 4(/. Signatory Official's Sig 07,h ,,~ X:\Staff SuPport\GRANTS SUPPORT\Grants Admin Docs\Grant Temolates\Awards and Amendments\2D06 POM 4 OriniMlrlnr: 111"0 ?{)n7 P'lIO'':' d .....f .t a. Unwillingness or inability to attain project goals b. Unwillingness or inability to adhere to Special Conditions listed in Block 12 c. Failure or inability to adhere to grant guidelines and Federal compliance requirements d. Improper procedures regarding contracts and procurements e. Inability to submit reliable and/or timely reports f. Management systems which do not meet federally required management standards (N) Termination for Cause: If performance is not occurring as agreed, the Award may be reduced or terminated without compensation for reduction or termination costs. DHS&EM will provide 5 days notice to Kodiak Island Borough stating the reasons for the action, steps taken to correct the problems, and the commencement date of the reduction or termination. DHS&EM will reimburse Kodiak Island Borough only for acceptable work or deliverables, necessary and allowable costs incurred through the date of reduction or termination. Final payment may be withheld at the discretion of DHS&EM until completion of a final DHS&EM review. Any equipment purchased under a terminated grant may revert to DHS&EM at the option of DHS&EM. (0) Termination for Convenience: Any project may be terminated upon convenience, in whole or in part, for the convenience of the Government. The US Department of Homeland Security and the Division of Homeland Security and Emergency Management, by written notice, may terminate this grant, in whole or in part, when it is in the Government's interest. Allowable costs obligated and/or incurred through the date of termination shall be reimbursed. Any equipment purchased under a terminated grant may revert to DHS&EM at the option of DHS&EM. (P) Proiect ImDlementation: Due to the competitiveness of the 2006 Homeland Security grant, approved projects shall be ready-to- go. Project implementation shall begin within one hundred twenty (120) days of the grant Award date. (Coincides with first Quarterly report Due January 20) a. If a project cannot be operational within one hundred twenty (120) days of the approved Award date, the sub-grantee must submit a written statement signed by the signatory officials to DHS&EM, justifying the implementation delay, expected starting date, and a formal request to extend the project start date past the 120-day period. At the discretion of DHS&EM, the grant Award is subject to cancellation and funds may be de-obligated and reallocated to other projects. Grant Reauirements. Assurances and Aareements (continued from Section 11 of Award) (A) The performance period for this grant Award is June 1, 2007 through September 30, 2008. Monies may not be obligated outside of this time period. An obligation occurs when funds are encumbered, as with a Purchase Order. All obligated and encumbered funds must be liquidated within 45 days of the end of the performance period when the Final Progress Reports are due. (B) The Kodiak Island Borough shall be familiar with the requirements and restrictions of the FY2006 Pre-Disaster Mitigation Program Guidance. By signing this Obligating Award Document, the Kodiak Island Borough certifies it has read, understood and accepted these documents as binding. (C) The signature of the Signatory Officials on this Award certifies that all financial expenditures, including all supporting documentation submitted for reimbursement, have been incurred by the jurisdiction, and is eligible and allowable expenditures consistent with the grant guidelines for this project. The Kodiak Island Borough shall follow the financial management requirements imposed on them by DHS&EM, which must comply with the requirements the Office of Grant Operations (OGO) has imposed upon DHS&EM. (0) The signature of the Signatory Officials on this Award attests to the Kodiak Island Borough's understanding, acceptance, and compliance with Lobbying; Debarment, Suspension and other responsibility matters; Drug-free Workplace; Conflict of Interest, and Non- Supplanting certifications. Federal funds will not be used to supplant State or local funds. Federal funds must be used to supplement existing funds to augment program activities, and not replace those funds which have been appropriated in the budget for the same purpose. Potential supplanting may be the subject of application and pre-Award, post-Award monitoring, and audit (E) The Kodiak Island Borough's shall ensure the accounting system managing these grant funds are not commingled with funds from other Federal, State or Local agencies, and each Award is accounted for separately. (H) The Kodiak Island Borough shall comply with Federal Civil Rights Laws and Regulations: Title VI of the Civil Rights Act of 1964, Section 504 of the Rehabilitation Act of 1973, Title IX of the Education Amendments of 1972, Age Discrimination Act of 1975, Americans with Disabilities Act of 1991. The Kodiak Island Borough will take reasonable steps to ensure Limited English Proficient (LEP) persons have meaningful access to its programs and activities. Executive Order 13347 Individuals with Disabilities in Emergency Preparedness requires government to support safety and security for individuals with disabilities in situations involving disasters, including earthquakes, tornadoes, fires, floods, hurricanes, and acts of terrorism. (F) The Kodiak Island Borough certifies that it has an Affirmative Action Plan/Equal Employment Opportunity Plan (for DHS/ODP/DOJ grants). An EEOP is not required for recipients of less than $25,000 or fewer than 50 employees. (G) The Kodiak Island Borough certifies that its employees are eligible to work in the U.S. as verified by Form 1-9, Immigration & Naturalization Service Employment Eligibility. (H) It is the responsibility of the Kodiak Island Borough as the recipient of these Federal funds to fully understand and comply with the requirements of: a. OMB Circular A-102, Grants and Cooperative Agreements with State and Local Governments at www.whitehouse.Qov/omb/circulars/a102/a102.html. b. OMB Circular A-8? Cost Principles for State, Local and Indian Tribal Governments at www.whitehouse.Qov/omb/circulars/index.html. c. OMB Circular A-110 Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations at www.whitehouse.Qov/omb/circulars/index.html d. OMB Circular A-21 Cost Principles for Educational Institutions at www.whitehouse.Qov/omb/circulars/index.html X:\Staff Support\GRANTS SUPPORT\Grants Admin Docs\Grant Templates\Awards and Amendments\2006 PDM ~ OriQinal.doc A m'IJ..t 2flflli p~"p 1 nf <1