HomeMy WebLinkAbout20190330.tiffRESOLUTION
RE: APPROVE SUB AWARD GRANT AGREEMENT FOR 2018-2019 HAZARDOUS
MATERIALS EMERGENCY PREPAREDNESS (HMEP) PROGRAM AND AUTHORIZE
CHAIR TO SIGN
WHEREAS, the Board of County Commissioners of Weld County, Colorado, pursuant to
Colorado statute and the Weld County Home Rule Charter, is vested with the authority of
administering the affairs of Weld County, Colorado, and
WHEREAS, the Board has been presented with a Sub Award Grant Agreement for the
2018-2019 Hazardous Materials Emergency Preparedness (HMEP) Program between the
County of Weld, State of Colorado, by and through the Board of County Commissioners of Weld
County, on behalf of the Weld County Office of Emergency Management, to the Colorado Division
of Homeland Security and Emergency Management, Department of Public Safety, commencing
September 29, 2018, and ending September 30, 2019, with further terms and conditions being as
stated in said grant agreement, and
WHEREAS, after review, the Board deems it advisable to approve said grant agreement,
a copy of which is attached hereto and incorporated herein by reference.
NOW, THEREFORE, BE IT RESOLVED by the Board of County Commissioners of Weld
County, Colorado, that the Sub Award Grant Agreement for the 2018-2019 Hazardous Materials
Emergency Preparedness (HMEP) Program between the County of Weld, State of Colorado, by
and through the Board of County Commissioners of Weld County, on behalf of the Weld County
Office of Emergency Management, and the Colorado Division of Homeland Security and
Emergency Management, Department of Public Safety, be, and hereby is, approved.
BE IT FURTHER RESOLVED by the Board that the Chair be, and hereby is, authorized
to sign said grant agreement.
The above and foregoing Resolution was, on motion duly made and seconded, adopted
by the following vote on the 21st day of January, A.D., 2019, nunc pro tunc September 30, 2018.
BOARD OF COUNTY COMMISSIONERS
W LD COUNTY, CO RADO •
ATTEST:datifezt) tj •tA
Weld County Clerk to the Board
BY:
APP
Deputy CI
torney
Date of signature: I/ 2,A/lq
arbara Kirkmeyer, hair
Mike Freeman, Pro -Tern
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P. Conway
James
Steve Moreno
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2019-0330
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BOARD OF COUNTY COMMISSIONERS
PASS -AROUND REVIEW
PASS -AROUND TITLE: Hazardous Materials Planning Grant contract
DEPARTMENT: OEM DATE: Dec 26, 2018
PERSON REQUESTING: Roy Rudisill
Brief description of the problem/issue:
Attached is the contract for the 2018-2019 Hazardous Materials Planning Grant. The award for 2018-2019 is
$120,000.00, the Federal Funding is $96,000.00 and our local match is $24,000.00. The BOCC approved the
grant application in Feb. By the BOCC approving this contract we will be able to receive our reimbursements
for the grant.
This grant helps to support the development of the New County Wide Hazardous Materials Response Plan and
the new OEM Coordinator Position for Weld County.
I request the BOCC allow me to add this contract to the BOCC agenda for approval and signature
What options exist for the Board? (include consequences, impacts, costs, etc. of options):
Approve contract, Decline the grant
Recommendation:
Add contract to agenda for approval.
Sean P. Conwy
SC(9:14- JO -n1120
Julie A. euzad
Mike Freeman
Barbara Kirkmeyer, Pro -Tern
Steve Moreno, Chair
Approve
Recommendation
Schedule
Work Session
Other/Comments:
2019-0330
El' ►CO18
COLORADO
Division of Homeland Security
& Emergency Management
Department of Public Safety
December 19, 2018
Dear Mr Rudisill,
The Colorado Division of Homeland Security a Emergency Management (DHSEM) is pleased to issue the sub -award
grant agreement for the 2018-19 Hazardous Materials Emergency Preparedness (HMEP) grant program. The
Department of Transportation's Pipeline and Hazardous Materials Safety Administration (DOT/PHMSA) has approved
the State's application and has provided the funding for this year's grant program.
Before any reimbursements can be made under this grant program, a fully signed and executed grant agreement
with the State of Colorado and your organization must be completed. Please be aware that the grant start date is
September 30, 2018. All project activities must be completed by September 29, 2019 or sooner.
We appreciate and acknowledge the effort invested in this grant and look forward to working closely with you and
your staff as you implement your projects. Our staff will be in contact with you as the grant process moves forward.
Thank you in advance for your cooperation.
As always, you may contact any of us in the Grants and Contracts section at DHSEM if you have any questions
regarding your 2018-19 HMEP sub -award contract and/or the HMEP program. I am available at (720) 852-6710 or
Larisa.Cannon@state.co.us.
Respectfully,
Larisa Cannon
Acting Grants and Contracts Manager
Division of Homeland Security and Emergency Management
Colorado Department of Public Safety
9195 E. Mineral Avenue, Suite 200, Centennial, CO 80112
720.852.6710 Office 1303.913.6280 Mobile 1720.852.6768 Fax
700 Kipling Street Suite 1000, Lakewood, CO 80215 cdpsweb.state.co.us
John W. Hickenlooper, Governor I Stan Hilkey, Executive Director
HMEP 2018-19 Encumbrance # 18HMP19WELD
GRANT AWARD LETTER
SUMMARY OF GRANT AWARD TERMS AND CONDITIONS
State Agency
Department of Public Safety
Grant Maximum Amount
$96,000.00
Grantee
Board of County Commissioners of Weld County
Local Match Amount
Federal Fiscal Year 2018-2019: $24,000.00
Agreement Number
CMS Number: 125770
Encumbrance #: 18HMPl9WELD
Subrecipient DUNS#: 075757955
Federal Award Identification # (FAIN): HM-HMP-0553-16
Total Amount of the Federal Award: $1,358,974.00
Federal Award Date September 30, 2018
Name of Federal Awarding Agency DOT / PHMSA
CFDA 20.703 U.S. Department of Transportation
Identification if the Award is for R&D: No
Grant Issuance Date
September 30, 2018
Grant Expiration Date
September 29, 2019
Fund Expenditure End Date
September 29, 2019
Grant Authority
The Hazardous Materials Transportation Uniform Safety Act of 1990 (P.L. 101-615), authorized DOT to provide assistance to
public sector employees through training and planning grants to States, Territories, and federally recognized Native American
Tribes for emergency response.
Authority to enter into this Grant exists in CRS §24-1-128.6, funds have been budgeted, appropriated and otherwise made
available pursuant to said statute; and a sufficient unencumbered balance remains available for payment. Required approvals,
clearance and coordination have been accomplished from and with appropriate agencies.
Grant Purpose
The purpose of this grant program is to increase State, Territorial, Tribal, and local effectiveness in safely and efficiently
handling hazardous materials incidents, enhance implementation of the Emergency Planning and Community
Right -to -Know Act of 1986 (EPCRA), and encourage a comprehensive approach to emergency training
and planning by incorporating the unique challenges of responses to transportation situations.
Exhibits and Order of Precedence
The following Exhibits and attachments are included with this Grant:
1. Exhibit A, Statement of Work.
2. Exhibit B, Budget.
3. Exhibit C, Sample Option Letter (Form 1)
4. Exhibit D, Federal Provisions.
In the event of a conflict or inconsistency between this Grant and any Exhibit or attachment, such conflict or inconsistency
shall be resolved by reference to the documents in the following order of priority:
1. Exhibit D, Federal Provisions.
2. The provisions of the other sections of the main body of this Grant.
3. Exhibit A, Statement of Work.
4. Exhibit B, Budget.
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SIGNATURE PAGE
THE PARTIES HERETO HAVE EXECUTED THIS AGREEMENT
Each person signing this Agreement represents and warrants that the signer is duly authorized to execute this Agreement
and to bind the Party authorizing such signature.
GRANTEE
BOARD OF COUNTY COMMISSIONERS OF
WELD COUNTY
By: Barbara Kirkmeyer
Title: Chair
JAN 21 2019
Date:
2nd Grantee Signature if Needed
By:
Title:
Date:
*Signature
STATE OF COLORADO
Jared tiltsW -m`AkPn(pnper Governor
Department of Public Safety,
Division of Homeland Security and Emergency Management
Kevin R. Klein, Director
y: Kevin Klein, Director
Date:
In accordance with §24-30-202, C.R.S., this Agreement is not valid until signed and dated below by the State Controller or an
authorized delegate.
STATE CONTROLLER
Robert Jaros, CPA, MBA, JD
By: Colorado Department of Public Safety, -
Office of Grants Management Director
Effective Date:
Inlilliam F Areiambaagr.
SQni01' P 0/Parn iYlanfer
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TABLE OF CONTENTS
GRANT AWARD LETTER
SIGNATURE PAGE
1 GRANT
2 TERM
3 DEFINITIONS
4 STATEMENT OF WORK
5 PAYMENTS TO GRANTEE
6 REPORTING - NOTIFICATION
7 GRANTEE RECORDS
8 CONFIDENTIAL INFORMATION -STATE RECORDS
9 CONFLICTS OF INTEREST
10 INSURANCE
11 REMEDIES
12 DISPUTE RESOLUTION
13 NOTICES AND REPRESENTATIVES
14 RIGHTS IN WORK PRODUDT AND OTHER INFORMATION
15 GOVERNMENTAL IMMUNITY
16 GENERAL PROVISIONS
EXHIBIT A, STATEMENT OF WORK
EXHIBIT B, BUDGET
EXHIBIT C, SAMPLE OPTION LETTER (FORM 1)
EXHIBIT D, FEDERAL PROVISIONS
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HMEP 2018-19 Encumbrance # 18HMP19WELD
1. GRANT
As of the Grant Issuance Date, the State Agency shown on the first page of this Grant Award Letter
(the "State") hereby obligates and awards to Grantee shown on the first page of this Grant Award
Letter (the "Grantee") an award of Grant Funds in the amounts shown on the first page of this
Grant Award Letter By accepting the Grant Funds provided under this Grant Award Letter,
Grantee agrees to comply with the terms and conditions of this Grant Award Letter and
requirements and provisions of all Exhibits to this Grant Award Letter
2. TERM
A Initial Grant Term and Extension
The Parties' respective performances under this Grant Award Letter shall commence on the
Grant Issuance Date and shall terminate on the Grant Expiration Date unless sooner
terminated or further extended in accordance with the terms of this Grant Award Letter Upon
request of Grantee, the State may, in its sole discretion, extend the term of this Grant Award
Letter by providing Grantee with an updated Grant Award Letter showing the new Grant
Expiration Date
B Early Termination in the Public Interest
The State is entering into this Grant Award Letter to serve the public interest of the State of
Colorado as determined by its Governor, General Assembly, or Courts If this Grant Award
Letter ceases to further the public interest of the State or if State, Federal or other funds used
for this Grant Award Letter are not appropriated, or otherwise become unavailable to fund
this Grant Award Letter, the State, in its discretion, may terminate this Grant Award Letter
in whole or in part by providing written notice to Grantee that includes, to the extent
practicable, the public interest justification for the termination If the State terminates this
Grant Award Letter in the public interest, the State shall pay Grantee an amount equal to the
percentage of the total reimbursement payable under this Grant Award Letter that
corresponds to the percentage of Work satisfactorily completed, as determined by the State,
less payments previously made Additionally, the State, in its discretion, may reimburse
Grantee for a portion of actual, out-of-pocket expenses not otherwise reimbursed under this
Grant Award Letter that are incurred by Grantee and are directly attributable to the
uncompleted portion of Grantee's obligations, provided that the sum of any and all
reimbursements shall not exceed the maximum amount payable to Grantee hereunder This
subsection shall not apply to a termination of this Grant Award Letter by the State for breach
by Grantee
C Grantee's Termination Under Federal Requirements
Grantee may request termination of this Grant by sending notice to the State, or to the Federal
Awarding Agency with a copy to the State, which includes the reasons for the termination
and the effective date of the termination If this Grant is terminated in this manner, then
Grantee shall return any advanced payments made for work that will not be performed prior
to the effective date of the termination
3. DEFINITIONS
The following terms shall be construed and interpreted as follows
A "Budget" means the budget for the Work described in Exhibit A
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B "Business Day" means any day in which the State is open and conducting business, but shall
not include Saturday, Sunday or any day on which the State observes one of the holidays
listed in §24-11-101(1) C R S
C "CORA" means the Colorado Open Records Act, §§24-72-200 1 et seq , C R S
D "Grant Award Letter" means this letter which offers Grant Funds to Grantee, including all
attached Exhibits, all documents incorporated by reference, all referenced statutes, rules and
cited authorities, and any future updates thereto
E "Grant Funds" means the funds that have been appropriated, designated, encumbered, or
otherwise made available for payment by the State under this Grant Award Letter
F "Grant Expiration Date" means the Grant Expiration Date shown on the first page of this
Grant Award Letter
G "Grant Issuance Date" means the Grant Issuance Date shown on the first page of this Grant
Award Letter
H "Exhibits" exhibits and attachments included with this Grant as shown on the first page of
this Grant
I "Extension Term" means the period of time by which the Grant Expiration Date is extended
by the State through delivery of an updated Grant Award Letter
J "Federal Award" means an award of Federal financial assistance or a cost -reimbursement
contract under the Federal Acquisition Regulations by a Federal Awarding Agency to the
Recipient "Federal Award" also means an agreement setting forth the terms and conditions
of the Federal Award The term does not include payments to a contractor or payments to an
individual that is a beneficiary of a Federal program
K "Federal Awarding Agency" means a Federal agency providing a Federal Award to a
Recipient The United States Department of Transportation, Pipeline and Hazardous
Materials Safety Administration (US DOT/PHMSA) is the Federal Awarding Agency for the
Federal Award which is the subject of this Grant
L "Goods" means any movable material acquired, produced, or delivered by Grantee as set
forth in this Grant Award Letter and shall include any movable material acquired, produced,
or delivered by Grantee in connection with the Services
M "Incident" means any accidental or deliberate event that results in or constitutes an imminent
threat of the unauthorized access or disclosure of State Confidential Information or of the
unauthorized modification, disruption, or destruction of any State Records
N "Initial Term" means the time period between the Grant Issuance Date and the Grant
Expiration Date
O "Matching Funds" means the funds provided Grantee as a match required to receive the
Grant Funds
P "Party" means the State or Grantee, and "Parties" means both the State and Grantee
Q "PCI" means payment card information including any data related to credit card holders'
names, credit card numbers, or the other credit card information as may be protected by state
or federal law
R "PII" means personally identifiable information including, without limitation, any
information maintained by the State about an individual that can be used to distinguish or
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trace an individual's identity, such as name, social security number, date and place of birth,
mother's maiden name, or biometric records, and any other information that is linked or
linkable to an individual, such as medical, educational, financial, and employment
information PII includes, but is not limited to, all information defined as personally
identifiable information in §§24-72-501 and 24-73-101 C R S
S "PHI" means any protected health information, including, without limitation any information
whether oral or recorded in any form or medium (i) that relates to the past, present or future
physical or mental condition of an individual, the provision of health care to an individual,
or the past, present or future payment for the provision of health care to an individual, and
(n) that identifies the individual or with respect to which there is a reasonable basis to believe
the information can be used to identify the individual PHI includes, but is not limited to, any
information defined as Individually Identifiable Health Information by the federal Health
Insurance Portability and Accountability Act
T "Recipient" means the State Agency shown on the first page of this Grant Award Letter, for
the purposes of the Federal Award
U "Services" means the services to be performed by Grantee as set forth in this Grant Award
Letter, and shall include any services to be rendered by Grantee in connection with the Goods
V "State Confidential Information" means any and all State Records not subject to disclosure
under CORA State Confidential Information shall include, but is not limited to, PII, PHI,
PCI, Tax Information, and State personnel records not subject to disclosure under CORA
State Confidential Information shall not include information or data concerning individuals
that is not deemed confidential but nevertheless belongs to the State, which has been
communicated, furnished, or disclosed by the State to Contractor which (i) is subject to
disclosure pursuant to CORA, (11) is already known to Contractor without restrictions at the
time of its disclosure to Contractor, (iii) is or subsequently becomes publicly available
without breach of any obligation owed by Contractor to the State, (iv) is disclosed to
Contractor, without confidentiality obligations, by a third party who has the right to disclose
such information, or (v) was independently developed without reliance on any State
Confidential Information
W "State Fiscal Rules" means the fiscal rules promulgated by the Colorado State Controller
pursuant to §24-30-202(13)(a) C R S
X "State Fiscal Year" means a 12 month period beginning on July 1 of each calendar year and
ending on June 30 of the following calendar year If a single calendar year follows the term,
then it means the State Fiscal Year ending in that calendar year
Y "State Records" means any and all State data, information, and records, regardless of
physical form, including, but not limited to, information subject to disclosure under CORA
Z "Sub -Award" means this grant by the State (a Recipient) to Grantee (a Subrecipient) funded
in whole or in part by a Federal Award The terms and conditions of the Federal Award flow
down to this Sub -Award unless the terms and conditions of the Federal Award specifically
indicate otherwise
AA "Subcontractor" means third -parties, if any, engaged by Grantee to aid in performance of
the Work "Subcontractor" also includes sub -grantees
BB "Subrecipient" means a state, local government, Indian tribe, institution of higher education
(IHE), or nonprofit organization entity that receives a Sub -Award from a Recipient to carry
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out part of a Federal program, but does not include an individual that is a beneficiary of such
program A Subrecipient may also be a recipient of other Federal Awards directly from a
Federal Awarding Agency For the purposes of this Grant, Grantee is a Subrecipient
CC "Tax Information" means Federal and State of Colorado tax information including, without
limitation, Federal and State tax returns, return information, and such other tax -related
information as may be protected by Federal and State law and regulation Tax Information
includes, but is not limited to all information defined as Federal tax information in Internal
Revenue Service Publication 1075
DD "Uniform Guidance" means the Office of Management and Budget Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 CFR Part 200,
commonly known as the "Super Circular, which supersedes requirements from OMB
Circulars A-21, A-87, A-110, A-122, A-89, A-102, and A-133, and the guidance in Circular
A-50 on Single Audit Act follow-up
EE "Work" means the delivery of the Goods and performance of the Services described in this
Grant Award Letter
FF "Work Product" means the tangible and intangible results of the Work, whether finished or
unfinished, including drafts Work Product includes, but is not limited to, documents, text,
software (including source code), research, reports, proposals, specifications, plans, notes,
studies, data, images, photographs, negatives, pictures, drawings, designs, models, surveys,
maps, materials, ideas, concepts, know-how, and any other results of the Work "Work
Product" does not include any material that was developed prior to the Grant Issuance Date
that is used, without modification, in the performance of the Work
Any other term used in this Grant Award Letter that is defined in an Exhibit shall be construed and
interpreted as defined in that Exhibit
4. STATEMENT OF WORK
Grantee shall complete the Work as described in this Grant Award Letter and in accordance with
the provisions of Exhibit A The State shall have no liability to compensate or reimburse Grantee
for the delivery of any goods or the performance of any services that are not specifically set forth
in this Grant Award Letter
5. PAYMENTS TO GRANTEE
A Maximum Amount
Payments to Grantee are limited to the unpaid, obligated balance of the Grant Funds The
State shall not pay Grantee any amount under this Grant that exceeds the Grant Amount
shown on the first page of this Grant Award Letter Financial obligations of the State payable
after the current State Fiscal Year are contingent upon funds for that purpose being
appropriated, budgeted, and otherwise made available The State shall not be liable to pay or
reimburse Grantee for any Work performed or expense incurred before the Grant Issuance
Date or after the Grant Expiration Date, provided, however, that Work performed and
expenses incurred by Grantee before the Grant Issuance Date that are chargeable to an active
Federal Award may be submitted for reimbursement as permitted by the terms of the Federal
Award
B Federal Recovery
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The close-out of a Federal Award does not affect the right of the Federal Awarding Agency
or the State to disallow costs and recover funds on the basis of a later audit or other review
Any cost disallowance recovery is to be made within the Record Retention Period, as defined
below
C Matching Funds
Grantee shall provide the Local Match Amount shown on the first page of this Grant Award
Letter and described in Exhibit A (the "Local Match Amount") Grantee shall appropriate
and allocate all Local Match Amounts to the purpose of this Grant Award Letter each fiscal
year prior to accepting any Grant Funds for that fiscal year Grantee does not by accepting
this Grant Award Letter irrevocably pledge present cash reserves for payments in future fiscal
years, and this Grant Award Letter is not intended to create a multiple -fiscal year debt of
Grantee Grantee shall not pay or be liable for any claimed interest, late charges, fees, taxes
or penalties of any nature, except as required by Grantee's laws or policies
D Reimbursement of Grantee Costs
The State shall reimburse Grantee's allowable costs, not exceeding the maximum total
amount described in this Grant Award Letter for all allowable costs described in this Grant
Award Letter and shown in the Budget, except that Grantee may adjust the amounts between
each line item of the Budget without formal modification to this Agreement as long as the
Grantee provides notice to the State of the change, the change does not modify the total
maximum amount of this Grant Award Letter or the maximum amount for any state fiscal
year, and the change does not modify any requirements of the Work The State shall
reimburse Grantee for the Federal share of properly documented allowable costs related to
the Work after the State's review and approval thereof, subject to the provisions of this Grant
The State shall only reimburse allowable costs if those costs are (i) reasonable and necessary
to accomplish the Work and for the Goods and Services provided, and (u) equal to the actual
net cost to Grantee (i e the price paid minus any items of value received by Grantee that
reduce the cost actually incurred)
E Close -Out
Grantee shall close out this Grant within 45 days after the Grant Expiration Date To complete
close out, Grantee shall submit to the State all deliverables (including documentation) as
defined in this Grant Award Letter and Grantee's final reimbursement request or invoice The
State will withhold 10% of allowable costs until all final documentation has been submitted
and accepted by the State as substantially complete
6 REPORTING - NOTIFICATION
A Violations Reporting
Grantee shall disclose, in a timely manner, in writing to the State and the Federal Awarding
Agency, all violations of federal or State criminal law involving fraud, bribery, or gratuity
violations potentially affecting the Federal Award The State or the Federal Awarding
Agency may impose any penalties for noncompliance allowed under 2 CFR Part 180 and 31
U S C 3321, which may include, without limitation, suspension or debarment
7. GRANTEE RECORDS
A Maintenance and Inspection
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Grantee shall make, keep, and maintain, all records, documents, communications, notes and
other written materials, electronic media files, and communications, pertaining in any manner
to this Grant for a period of 39 months following the completion of the close out of this Grant
Grantee shall permit the State to audit, inspect, examine, excerpt, copy and transcribe all such
records during normal business hours at Grantee's office or place of business, unless the State
determines that an audit or inspection is required without notice at a different time to protect
the interests of the State
B Monitoring
The State will monitor Grantee's performance of its obligations under this Grant Award
Letter using procedures as determined by the State Grantee shall allow the State to perform
all monitoring required by the Uniform Guidance, based on the State's risk analysis of
Grantee The State shall have the right, in its sole discretion, to change its monitoring
procedures and requirements at any time during the term of this Agreement The State shall
monitor Grantee's performance in a manner that does not unduly interfere with Grantee's
performance of the Work If Grantee enters into a subcontract or subgrant with an entity that
would also be considered a Subrecipient, then the subcontract or subgrant entered into by
Grantee shall contain provisions permitting both Grantee and the State to perform all
monitoring of that Subcontractor in accordance with the Uniform Guidance
C Final Audit Report
Grantee shall promptly submit to the State a copy of any final audit report of an audit
performed on Grantee's records that relates to or affects this Grant or the Work, whether the
audit is conducted by Grantee or a third party Additionally, if Grantee is required to perform
a single audit under 2 CFR 200 501, et seq , then Grantee shall submit a copy of the results
of that audit to the State within the same timelines as the submission to the federal
government
S. CONFIDENTIAL INFORMATION -STATE RECORDS
A Confidentiality
Grantee shall hold and maintain, and cause all Subcontractors to hold and maintain, any and
all State Records that the State provides or makes available to Grantee for the sole and
exclusive benefit of the State, unless those State Records are otherwise publically available
at the time of disclosure or are subject to disclosure by Grantee under CORA Grantee shall
not, without prior written approval of the State, use for Grantee's own benefit, publish, copy,
or otherwise disclose to any third party, or permit the use by any third party for its benefit or
to the detriment of the State, any State Records, except as otherwise stated in this Grant
Award Letter Grantee shall provide for the security of all State Confidential Information in
accordance with all policies promulgated by the Colorado Office of Information Security and
all applicable laws, rules, policies, publications, and guidelines If Grantee or any of its
Subcontractors will or may receive the following types of data, Grantee or its Subcontractors
shall provide for the security of such data according to the following (i.) the most recently
promulgated IRS Publication 1075 for all Tax Information and in accordance with the
Safeguarding Requirements for Federal Tax Information attached to this Grant as an Exhibit,
if applicable, (ii) the most recently updated PCI Data Security Standard from the PCI Security
Standards Council for all PCI, (iii) the most recently issued version of the U S Department
of Justice, Federal Bureau of Investigation, Criminal Justice Information Services Security
Policy for all CJI, and (iv) the federal Health Insurance Portability and Accountability Act
for all PHI and the HIPAA Business Associate Agreement attached to this Grant, if
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applicable Grantee shall immediately forward any request or demand for State Records to
the State's principal representative
B Other Entity Access and Nondisclosure Agreements
Grantee may provide State Records to its agents, employees, assigns and Subcontractors as
necessary to perform the Work, but shall restrict access to State Confidential Information to
those agents, employees, assigns and Subcontractors who require access to perform their
obligations under this Grant Award Letter Grantee shall ensure all such agents, employees,
assigns, and Subcontractors sign nondisclosure agreements with provisions at least as
protective as those in this Grant, and that the nondisclosure agreements are in force at all
times the agent, employee, assign or Subcontractor has access to any State Confidential
Information Grantee shall provide copies of those signed nondisclosure restrictions to the
State upon request
C Use, Security, and Retention
Grantee shall use, hold and maintain State Confidential Information in compliance with any
and all applicable laws and regulations in facilities located within the United States, and shall
maintain a secure environment that ensures confidentiality of all State Confidential
Information wherever located Grantee shall provide the State with access, subject to
Grantee's reasonable security requirements, for purposes of inspecting and monitoring access
and use of State Confidential Information and evaluating security control effectiveness Upon
the expiration or termination of this Grant, Grantee shall return State Records provided to
Grantee or destroy such State Records and certify to the State that it has done so, as directed
by the State If Grantee is prevented by law or regulation from returning or destroying State
Confidential Information, Grantee warrants it will guarantee the confidentiality of, and cease
to use, such State Confidential Information
D Incident Notice and Remediation
If Grantee becomes aware of any Incident, it shall notify the State immediately and cooperate
with the State regarding recovery, remediation, and the necessity to involve law enforcement,
as determined by the State After an Incident, Grantee shall take steps to reduce the risk of
incurring a similar type of Incident in the future as directed by the State, which may include,
but is not limited to, developing and implementing a remediation plan that is approved by the
State at no additional cost to the State
E Safeguarding PII
If Grantee or any of its Subcontractors will or may receive PII under this Agreement, Grantee
shall provide for the security of such PII, in a manner and form acceptable to the State,
including, without limitation, State non -disclosure requirements, use of appropriate
technology, security practices, computer access security, data access security, data storage
encryption, data transmission encryption, security inspections, and audits Grantee shall be a
"Third -Party Service Provider" as defined in §24-73-103(1)(i), C R S and shall maintain
security procedures and practices consistent with §§24-73-101 et seq , C R S
9. CONFLICTS OF INTEREST
Grantee shall not engage in any business or activities, or maintain any relationships that conflict in
any way with the full performance of the obligations of Grantee under this Grant Grantee
acknowledges that, with respect to this Grant, even the appearance of a conflict of interest shall be
harmful to the State's interests and absent the State's prior written approval, Grantee shall refrain
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from any practices, activities or relationships that reasonably appear to be in conflict with the full
performance of Grantee's obligations under this Grant If a conflict or the appearance of a conflict
arises, or if Grantee is uncertain whether a conflict or the appearance of a conflict has arisen,
Grantee shall submit to the State a disclosure statement setting forth the relevant details for the
State's consideration
10 INSURANCE
Grantee shall maintain at all times during the term of this Grant such liability insurance, by
commercial policy or self-insurance, as is necessary to meet its liabilities under the Colorado
Governmental Immunity Act, §24-10-101, et seq , C R S (the "GIA") Grantee shall ensure that
any Subcontractors maintain all insurance customary for the completion of the Work done by that
Subcontractor and as required by the State or the GIA
11. REMEDIES
In addition to any remedies available under any exhibit to this Grant Award Letter, if Grantee fails
to comply with any term or condition of this Grant or any terms of the Federal Award, the State
may terminate some or all of this Grant and require Grantee to repay any or all Grant funds to the
State in the State's sole discretion The State may also terminate this Grant Award Letter at any
time if the State has determined, in its sole discretion, that Grantee has ceased performing the Work
without intent to resume performance, prior to the completion of the Work
12 DISPUTE RESOLUTION
Except as herein specifically provided otherwise or as required or permitted by federal regulations
related to any Federal Award that provided any of the Grant Funds, disputes concerning the
performance of this Grant that cannot be resolved by the designated Party representatives shall be
referred in writing to a senior departmental management staff member designated by the State and
a senior manager or official designated by Grantee for resolution
13. NOTICES AND REPRESENTATIVES
Each Party shall identify an individual to be the principal representative of the designating Party
and shall provide this information to the other Party All notices required or permitted to be given
under this Grant Award Letter shall be in writing, and shall be delivered either in hard copy or by
email to the representative of the other Party Either Party may change its principal representative
or principal representative contact information by notice submitted in accordance with this §15
14. RIGHTS IN WORK PRODUCT AND OTHER INFORMATION
Grantee hereby grants to the State a perpetual, irrevocable, non-exclusive, royalty free license, with
the right to sublicense, to make, use, reproduce, distribute, perform, display, create derivatives of
and otherwise exploit all intellectual property created by Grantee or any Subcontractors or
Subgrantees and paid for with Grant Funds provided by the State pursuant to this Grant
15. GOVERNMENTAL IMMUNITY
Liability for claims for injuries to persons or property arising from the negligence of the Parties,
their departments, boards, commissions committees, bureaus, offices, employees and officials shall
be controlled and limited by the provisions of the Colorado Governmental Immunity Act, §24-10-
101, et seq , CRS, the Federal Tort Claims Act, 28 U S C Pt VI, Ch 171 and 28 U S C 1346(b),
and the State's risk management statutes, §§24-30-1501, et seq C R S No term or condition of
this Contract shall be construed or interpreted as a waiver, express or implied, of any of the
immunities, rights, benefits, protections, or other provisions, contained in these statutes
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16. GENERAL, PROVISIONS
A Assignment
Grantee's rights and obligations under this Grant are personal and may not be transferred or
assigned without the prior, written consent of the State Any attempt at assignment or transfer
without such consent shall be void Any assignment or transfer of Grantee's rights and
obligations approved by the State shall be subject to the provisions of this Grant Award
Letter
B Captions and References
The captions and headings in this Grant Award Letter are for convenience of reference only,
and shall not be used to interpret, define, or limit its provisions All references in this Grant
Award Letter to sections (whether spelled out or using the § symbol), subsections, exhibits
or other attachments, are references to sections, subsections, exhibits or other attachments
contained herein or incorporated as a part hereof, unless otherwise noted
C Entire Understanding
This Grant Award Letter represents the complete integration of all understandings between
the Parties related to the Work, and all prior representations and understandings related to the
Work, oral or written, are merged into this Grant Award Letter
D Modification
The State may modify the terms and conditions of this Grant by issuance of an updated Grant
Award Letter, which shall be effective if Grantee accepts Grant Funds following receipt of
the updated letter The Parties may also agree to modification of the terms and conditions of
the Grant in a formal amendment to this Grant, properly executed and approved in accordance
with applicable Colorado State law and State Fiscal Rules
E Statutes, Regulations, Fiscal Rules, and Other Authority
Any reference in this Grant Award Letter to a statute, regulation, State Fiscal Rule, fiscal
policy or other authority shall be interpreted to refer to such authority then current, as may
have been changed or amended since the Grant Issuance Date Grantee shall strictly comply
with all applicable Federal and State laws, rules, and regulations in effect or hereafter
established, including, without limitation, laws applicable to discrimination and unfair
employment practices
F Digital Signatures
If any signatory signs this agreement using a digital signature in accordance with the
Colorado State Controller Contract, Grant and Purchase Order Policies regarding the use of
digital signatures issued under the State Fiscal Rules, then any agreement or consent to use
digital signatures within the electronic system through which that signatory signed shall be
incorporated into this Contract by reference
G Severability
The invalidity or unenforceability of any provision of this Grant Award Letter shall not affect
the validity or enforceability of any other provision of this Grant Award Letter, which shall
remain in full force and effect, provided that the Parties can continue to perform their
obligations under the Grant in accordance with the intent of the Grant
H Survival of Certain Grant Award Letter Terms
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Any provision of this Grant Award Letter that imposes an obligation on a Party after
termination or expiration of the Grant shall survive the termination or expiration of the Grant
and shall be enforceable by the other Party
I Third Party Beneficiaries
Except for the Parties' respective successors and assigns described above, this Grant Award
Letter does not and is not intended to confer any rights or remedies upon any person or entity
other than the Parties Any services or benefits which third parties receive as a result of this
Grant are incidental to the Grant, and do not create any rights for such third parties
J Waiver
A Party's failure or delay in exercising any right, power, or privilege under this Grant Award
Letter, whether explicit or by lack of enforcement, shall not operate as a waiver, nor shall any
single or partial exercise of any right, power, or privilege preclude any other or further
exercise of such right, power, or privilege
K Federal Provisions
Grantee shall comply with all applicable requirements of Exhibit D at all times during the
term of this Grant
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EXHIBIT A, STATEMENT OF WORK
1. GENERAL DESCRIPTION OF THE PROJECT(S).
1.1 Project Description. Grantee will hire a contracted planning position to support the Office of
Emergency Management and the Weld County Local Emergency Planning Committee (LEPC) on
community preparedness for risks associated with hazardous materials in transportation, support
LEPC's in the Northeast Region of Colorado and support the collection and routing of commodity
flow information in Weld County and the Northeast Region of Colorado.
Weld County and the Weld County LEPC will use the analytical infoarmation obtained in the
porjects from 2018 to address the development of a Hazardous Materials Response and
Transportation Plan, provide table top scenarios for each of the RMP facilities, coordinate an LEPC
workshop, prepare a report and risk assessment for each of the facilities that have EHS chemicals
in place, coordinate with each community on planning for hazmat transportation risks and develop
a training and exercise plan based on worst case scenarios.
1.2 Project Expenses. Project expenses include the costs to hire a contracted position as described in
§1.1 of this Exhibit A. All eligible expenses are listed in the 2017 HMEP Expenditure Guide (July
2017), and the budget table in Exhibit B.
1.3 Non -Federal Match: This non-federal match section applies to to this Grant. This Grant requires
a non-federal match contribution of 20% of the total Grant budget. Documentation of expenditures
for the non-federal match contribution is required with each drawdown request. The match may
include in -kind match.
2. DELIVERABLES:
2.1 Grantee shall submit performance progress reports describing project progress and
accomplishments, any delays in meeting the objectives and expenditures to date as described in §3
of this Exhibit A.
2.2 List additional grant deliverables: None.
3. REPORTING REQUIREMENTS:
3.1 Quarterly Progress Reports. The project(s) approved in this Grant are to be completed on or
before the termination date stated on the Grant Award Letter Summary of Grant Award Terms and
Conditions page of this Grant Agreement. Grantee shall submit quarterly progress reports for each
project identified in this agreement using the forms provided by the Department of Public Safety
throughout the life of the grant. One copy of the report in either electronic or scanned signatures
shall be submitted in accordance with the schedule below:
Report
Period
Due Date
October
—
December
January
15
January
—March
April
15
April
— June
July
15
July
— September
October
15
(The order of the reporting period quarters below are irrelevant to the grant. If the grant is open
during the "report period" reports for that period are due on the dates listed. If the grant is for
more than one year, reports are due for every quarter that the grant remains open).
3.2 Final Reports: Grantee shall submit a final progress report that provides final financial
reconciliation and final cumulative grant/project accomplishments within 45 days of the end of the
project/grant period. The final report may not include unliquidated obligations and must indicate
Exhibit A Page 1 of 4
HMEP 2018-19 Encumbrance # 18HMP19WELD
the exact balance of unobligated funds The final reports may substitute for the quarterly reports for
the final quarter of the grant period If all projects are completed before the end of the grant period,
the final report may be submitted at any time before its final due date Further reports are not due
after the Division of Homeland Security and Emergency Management has received, and sent notice
of acceptance of the final grant report
4. TESTING AND ACCEPTANCE CRITERIA
The Division of Homeland Security and Emergency Management shall evaluate this Project(s) through
the review of Grantee submitted progress reports The Division of Homeland Security and Emergency
Management may also conduct on -site monitoring to determine whether the Grantee is meeting/has met
the performance goals, administrative standards, financial management and other requirements of this
grant The Division of Homeland Security and Emergency Management will notify Grantee in advance
of such on -site monitoring
5. PAYMENT
51 Payment Schedule Grantee shall submit requests for reimbursement using the Division of
Homeland Security and Emergency Management's provided form quarterly at a minimum One
electronically or scanned signed/submitted copy of the reimbursement request is due on the same
dates as the required progress reports All requests shall be for eligible actual expenses incurred by
Grantee, as described in detail in the budget table(s) of Exhibit B Requests shall be accompanied
by supporting documentation totaling at least the amount requested for reimbursement and any
required non-federal match contribution If any progress reports are delinquent at the time of a
payment request, the Division of Homeland Security and Emergency Management may withhold
such reimbursement until the required reports have been submitted
5 2 Payment Amount If non-federal match is required, such match shall be documented with every
payment request Excess match documented and submitted with one reimbursement request shall
be applied to subsequent requests as necessary to maximize the allowable reimbursement
5.3 Remittance Address If mailed, payments shall be sent to the representative identified in §6 of this
Exhibit A
Grant
Barb Connolly, Controller & Purchasing Director
Post Office Box 758
Greeley, CO 80632
6. PRINCIPAL REPRESENTATIVES.
For the State-
Larisa Cannon, Acting Grants and Contracts Manager
Department of Public Safety,
Division of Homeland Security and Emergency
Management
9195 E Mineral Avenue, Suite 200
Centennial, CO 80112
Larisa Cannon@state co us
7 ADMINISTRATIVE REQUIREMENTS.
Required Documentation Grantees shall retain all procurement and payment documentation on site for
inspection This shall include, but not be limited to, purchase orders, receiving documents, invoices,
vouchers, equipment/services identification, and time and effort reports
7 1 Sufficient detail shall be provided with reimbursement requests to demonstrate that expenses are
For Grantee
Barbara Kirkmeyer, Commissioner
Chair Weld County, Board of
County Commissioners
Post Office Box 758
Greeley, CO 80632
smoreno@weldgov com
Exhibit A Page 2 of 4
[MEP 2018-19 Encumbrance # 18E-IMP19WELD
allowable and appropriate as detailed below:
7.1.1 Equipment or tangible goods. When requesting reimbursement for equipment items with
a purchase price of or exceeding $5,000, and a useful life of more than one year, the Grantee
shall provide a unique identifying number for the equipment, with a copy of the Grantee's
invoice and proof of payment. The unique identifying number can be the manufacturer's
serial number or, if the Grantee has its own existing inventory numbering system, that
number may be used. The location of the equipment shall also be provided. In addition to
ongoing tracking requirements, Grantee shall ensure that equipment items with per unit cost
of $5,000 or more are prominently marked in a manner similar to the following: Purchased
with funds provided by the U.S. Department of Homeland Security.
7.1.2 Services. Grantees shall include contract/purchase order number(s) or employee names, the
date(s) the services were provided and the nature of the services.
7.2 Procurement: A Grantee shall ensure its procurement policies meet or exceed local, state, and
federal requirements. Grantees should refer to local, state, and federal guidance prior to making
decisions regarding competitive bids, sole source or other procurement issues. In addition:
7.2.1 Any sole source transaction in excess of $100,000 shall be approved in advance by the
Division of Homeland Security and Emergency Management.
7.2.2 Grantees shall ensure that: (a) All procurement transactions, whether negotiated or
competitively bid, and without regard to dollar value, are conducted in a manner that
provides maximum open and free competition; (b) Grantee shall be alert to organizational
conflicts of interest and/or non-competitive practices among contractors that may restrict
or eliminate competition or otherwise restrain trade; (c) Contractors who 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; and (d) Any request for exemption of item a-
c within this subsection shall be submitted in writing to, and be approved by the authorized
Grantee official.
7.2.3 Grantee shall verify that the Contractor is not debarred from participation in state and
federal programs. Sub -grantees should review contractor debarment information on
http://www.sam.gov.
7.2.4 When issuing requests for proposals, bid solicitations, and other published documents
describing projects or programs funded in whole or in part with these grant funds, Grantee
and Subrantees shall use the phrase -"This project was supported by grant
# 18HMP 19WELD, issued by the Division of Homeland Security and Emergency
Management."
7.2.5 Grantee shall verify that all purchases are listed in §1 or §7 of this Exhibit. Equipment
purchases, if any, shall be for items listed in the Approved Equipment List (A.E.L) for the
grant period at https://www.fema.gov/authorized-equipment-list. Additionally, funds used
to support emergency communications activities should comply with the FY 2016
SAFECOM Guidance for Emergency Communication Grants, at
http://www.safecomprogram.gpy
7.2.6 Grantee shall ensure that no rights or duties exercised under this grant, or equipment
purchased with Grant Funds having a purchase value of $5,000 or more, are assigned
without the prior written consent of the Division of Homeland Security and Emergency
Management.
7.2.7 Grantee shall ensure that all funds are needed to supplement and not to supplant the
Exhibit A Page 3 of 4
HMEP 2018-19 Encumbrance # 18HMP19WELD
Grantee's own funds
7.3 Additional Administrative Requirements
7 3 1 The Grantee must request approval in advance for any change to this Grant Agreement,
using the forms and procedures established by the Division of Homeland Security and
Emergency Management
7 3 2 All applicant agencies that own resources currently covered by the Colorado Resource
Typing Standards must agree to participate in the State's Emergency Resource Inventory
Report and update their information on a quarterly basis
7.3.3 All funding related to exercises must be managed and executed in accordance with the
Homeland Security Exercise and Evaluation Program (HSEEP) and must be National
Incident Management System (NIMS) compliant Regardless of exercise type or scope,
After Action Reports/Improvement Plans are due to the State Training and Exercise
Program Manager within 45 days of the exercise
Exhibit A Page 4 of 4
HMEP 2018-19 Encumbrance # 18HMP19WELD
EXHIBIT B, BUDGET
BUDGET.
Project Activity/Line Item
Federal Share
Local Match Share
TOTAL Project
Salaries
$ 0 00
$ 0 00
$ 0 00
Fringe Benefits
$ 0 00
$ 0 00
$ 0 00
Travel
$ 0 00
$ 5,000 00
$ 5,000 00
Equipment (prior approval required)
$ 0 00
$ 0 00
$ 0 00
Contractual
$ 96,000 00
$ 14,000 00
$ 110,000 00
Other (explain) supplies
$ 0 00
$ 5,000 00
$ 5,000 00
TOTAL BUDGET
$ 96,000.00
$ 24,000.00
$120,000.00
TOTAL AWARD AMOUNT
$ 96,000 00
Exhibit B Page 1 of 1
HMEP 2018-19 Encumbrance # 1 x11 \1 P19WELD
EXHIBIT C, SAMPLE OPTION LETTER (FORM 1)
State Agency
Department of Public Safety
Grantee
Insert Grantee's Full Legal Name, including "Inc.", "LLC", etc...
Original Agreement
CMS Number:
Encumbrance #:
Subrecipient DUNS#:
Executive Order Identification #:
Award Date
Disaster Emergey Fund
Identification if the Award is for R&D:
Insert CMS Number
MG4145xxxxxx
Insert DUNS Number
E M W -2017 -SS -00050-S0 I
Insert Full Date
No
1. OPTIONS:
A. Option to extend for an Extension Term
B. Option to modify Budget table under the Agreement
2. REQUIRED PROVISIONS:
A. For use with Option 1(A): In accordance with ) Number of the Original Agreement
referenced above, the State hereby exercises its option for an additional term, beginning Month
Day, Year and ending on the current Agreement expiration date shown above, at the rates stated
in the Original Agreement, as amended.
B. For use with all Options that modify the Agreement Maximum Amount: I he Agreement
Maximum Amount table on the Agreement's Signature and Cover Page is hereby deleted and
replaced with the CurrenbAgreement Maximum Amount table shown above. The maximum
amount payable by Otte Sf to for perfortnance of this Grant Agreement is increased/decreased
to $ and the maximum amount of local matching funds, if applicable, is $ . The total
project amount is $
Option Letter Number
Insert the FORM 1 Number (e.g. "1" for the first
option)
Option Agreement Number
Insert CMS Number
Option Agreement Maximum Amount
$Insert Amount
Agreement Performance Beginning Date
Month Day, Year
Current Agreement Expiration Date
Month Day, Year
Project Activity/Line
Item
State Share
Organization _
S 0.00
Planning
'`j:.
$ 0.00
Equipment
$ 0.00
ik
$ 0.00
Training
TOTAL
AWARD
AMOUNT
S 0.00
3. OPTION EFFECaIVE DATE:
The effective date this Option Letter is upon approval of the State Controller.
SITE Ofe0LORADO
John W. Hickenlooper, Governor
Department of Public Safety,
Division of Homeland Security and Emergency Management
By: Kevin R. Klein, Director
Date:
Exhibit C
In accordance with §24-30-202 C.R.S., this Option is not valid
until signed and dated below by the State Controller or an
authorized delegate.
STATE CONTROLLER
Robert Jaros, CPA, MBA, JD
By:
Colorado Department of Public Safety. Ezra Michaels.
Office of Grants Management Director
Option Effective Date:
Page Iof1
HMEP 2018-19 Encumbrance # 18HMP19WELD
EXIII €: IT D, FE 1 EMAIL PR VISIONS
1. APPLICABILITY OF PROVISIONS.
11
The Grant Award Letter to which these Federal Provisions are attached has been funded, in whole
or in part, with an Award of Federal funds In the event of a conflict between the provisions of
these Federal Provisions, the Special Provisions, the agreement or any attachments or exhibits
incorporated into and made a part of the agreement, the provisions of these Federal Provisions
shall control
2. DEFINITIONS.
2 1 For the purposes of these Federal Provisions, the following terms shall have the meanings
ascribed to them below
2 1 1 "Agreement" means the Grant Award Letter to which these Federal Provisions are attached
and includes all Award types in §2 1 2 1 of this Exhibit
2 1 2 "Award" means an award of Federal financial assistance, and the agreement setting forth the
terms and conditions of that financial assistance, that a non -Federal Entity receives or
administers
2 1 2 1 Awards may be in the form of
21211 Grants,
21212 Contracts,
2 1 2 1 3 Cooperative agreements, which do not include cooperative research and development
agreements (CRDA) pursuant to the Federal Technology Transfer Act of 1986, as
amended (15 U S C 3710),
21214 Loans,
2 1 2 1 5 Loan Guarantees,
21216 Subsidies,
2 1 2 1 7 Insurance,
2 1 2 1 8 Food commodities,
2 1 2 1 9 Direct appropriations,
2 1 2 1 10 Assessed and voluntary contributions, and
2 1 2 1 11 Other financial assistance transactions that authorize the expenditure of Federal funds
by non -Federal Entities
2 1 2 1 12 Any other items specified by OMB in policy memoranda available at the OMB
website or other source posted by the OMB
2 1 2 2 Award does not include
2 1 2 2 1 Technical assistance, which provides services in lieu of money,
2 1 2 2 2 A transfer of title to Federally -owned property provided in lieu of money, even if the
award is called a grant,
2 1 2 2 3 Any award classified for security purposes, or
Exhibit D Page 1 of 9
HMEP 2018-19 Encumbrance # 18HMP19WELD
2 1 2 2 4 Any award funded in whole or in part with Recovery funds, as defined in section 1512
of the American Recovery and Reinvestment Act (ARRA) of 2009 (Public Law 111-
5)
2 1 3 "Contractor" means the party or parties to an Agreement funded, in whole or in part, with
Federal financial assistance, other than the Prime Recipient, and includes grantees,
subgrantees, Subrecipients, and borrowers For purposes of Transparency Act reporting,
Contractor does not include Vendors
21 4 "Data Universal Numbering System (DUNS) Number" means the nine -digit number
established and assigned by Dun and Bradstreet, Inc to uniquely identify a business entity
Dun and Bradstreet's website may be found at http //fedgov dnb com/webform
2 1 5 "Entity" means all of the following as defined at 2 CFR part 25, subpart C,
2 1 5 1 A governmental organization, which is a State, local government, or Indian Tribe,
2 1 5 2 A foreign public entity,
2 1 5 3 A domestic or foreign non-profit organization,
2 1 5 4 A domestic or foreign for-profit organization, and
2 1 5 5 A Federal agency, but only a Subrecipient under an Award or Subaward to a non -Federal
entity
2 1 6 "Executive" means an officer, managing partner or any other employee in a management
position
2 1 7 "Federal Award Identification Number (FAIN)" means an Award number assigned by a
Federal agency to a Prime Recipient
2 1 8 "Federal Awarding Agency" means a Federal agency providing a Federal Award to a
Recipient as described in 2 CFR §200 37
2 1 9 "FFATA" means the Federal Funding Accountability and Transparency Act of 2006 (Public
Law 109-282), as amended by §6202 of Public Law 110-252 FFATA, as amended, also is
referred to as the "Transparency Act "
2 1 10 "OMB" means the Executive Office of the President, Office of Management and Budget
2 1 11 "Prime Recipient" means a Colorado State agency or institution of higher education that
receives an Award
2 1 12 "Subaward" means an award by a Recipient to a Subrecipient funded in whole or in part by
a Federal Award The terms and conditions of the Federal Award flow down to the Award
unless the terms and conditions of the Federal Award specifically indicate otherwise in
accordance with 2 CFR §200 38 The term does not include payments to a contractor or
payments to an individual that is a beneficiary of a Federal program
2 1 13 "Subrecipient" means a non -Federal Entity (or a Federal agency under an Award or Subaward
to a non -Federal Entity) receiving Federal funds through a Prime Recipient to support the
performance of the Federal project or program for which the Federal funds were awarded A
Subrecipient is subject to the terms and conditions of the Federal Award to the Prime
Recipient, including program compliance requirements The term "Subrecipient" includes
and may be referred to as Subgrantee The term does not include an individual who is a
beneficiary of a federal program
Exhibit D Page 2 of 9
IIMEP 2018-19 Encumbrance # 18HMP19WELD
2 1 14 "Subrecipient Parent DUNS Number" means the subrecipient parent organization's 9 -digit
Data Universal Numbering System (DUNS) number that appears in the subrecipient's System
for Award Management (SAM) profile, if applicable
2 1 15 "Federal Provisions" means these Federal Provisions for Federally Funded Contracts, Grants,
and Purchase Orders subject to the Transparency Act and Uniform Guidance, as may be
revised pursuant to ongoing guidance from the relevant Federal or State of Colorado agency
or institutions of higher education
2 1 16 "System for Award Management (SAM)" means the Federal repository into which an Entity
must enter the information required under the Transparency Act, which may be found at
http //www sam gov
2 1 17 "Total Compensation" means the cash and noncash dollar value earned by an Executive
during the Prime Recipient's or Subrecipient's preceding fiscal year and includes the
following
2 1 17 1 Salary and bonus,
2 1 17 2 Awards of stock, stock options, and stock appreciation rights, using the dollar amount
recognized for financial statement reporting purposes with respect to the fiscal year in
accordance with the Statement of Financial Accounting Standards No 123 (Revised
2005) (FAS 123R), Shared Based Payments,
2 1 17 3 Earnings for services under non -equity incentive plans, not including group life, health,
hospitalization or medical reimbursement plans that do not discriminate in favor of
Executives and are available generally to all salaried employees,
2 1 17 4 Change in present value of defined benefit and actuarial pension plans,
2 1 17 5 Above -market earnings on deferred compensation which is not tax -qualified,
2 1 17 6 Other compensation, if the aggregate value of all such other compensation (e g
severance, termination payments, value of life insurance paid on behalf of the employee,
perquisites or property) for the Executive exceeds $10,000
2 1 18 "Transparency Act" means the Federal Funding Accountability and Transparency Act of
2006 (Public Law 109-282), as amended by §6202 of Public Law 110-252 The Transparency
Act also is referred to as FFATA
2 1 19 "Uniform Guidance" means the Office of Management and Budget Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards, which
supersedes requirements from OMB Circulars A-21, A-87, A-110, and A-122, OMB
Circulars A-89, A-102, and A-133, and the guidance in Circular A-50 on Single Audit Act
follow-up The terms and conditions of the Uniform Guidance flow down to Awards to
Subrecipients unless the Uniform Guidance or the terms and conditions of the Federal Award
specifically indicate otherwise
2 1 20 "Vendor" means a dealer, distributor, merchant or other seller providing property or services
required for a project or program funded by an Award A Vendor is not a Prime Recipient or
a Subrecipient and is not subject to the terms and conditions of the Federal award Program
compliance requirements do not pass through to a Vendor
3. COMPLIANCE
Exhibit D Page 3 of 9
HMEP 2018-19 Encumbrance # 18HMP19WELD
3 1 Contractor shall comply with all applicable provisions of the Transparency Act, all applicable
provisions of the Uniform Guidance, and the regulations issued pursuant thereto, including but
not limited to these Federal Provisions Any revisions to such provisions or regulations shall
automatically become a part of these Federal Provisions, without the necessity of either party
executing any further instrument The State of Colorado may provide written notification to
Contractor of such revisions, but such notice shall not be a condition precedent to the
effectiveness of such revisions
4. SYSTEM FOR AWARD MANAGEMENT (SAM) AND DATA UNIVERSAL NUMBERING
SYSTEM (DUNS) REQUIREMENTS.
4 1 SAM Contractor shall maintain the currency of its information in SAM until the Contractor
submits the final financial report required under the Award or receives final payment, whichever
is later Contractor shall review and update SAM information at least annually after the initial
registration, and more frequently if required by changes in its information
4 2 DUNS Contractor shall provide its DUNS number to its Prime Recipient, and shall update
Contractor's information in Dun & Bradstreet, Inc at least annually after the initial registration,
and more frequently if required by changes in Contractor's information
5. TOTAL COMPENSATION.
5 1 Contractor shall include Total Compensation in SAM for each of its five most highly
compensated Executives for the preceding fiscal year if
5 1 1 The total Federal funding authorized to date under the Award is $25,000 or more, and
5 1 2 In the preceding fiscal year, Contractor received
5 1 2 1 80% or more of its annual gross revenues from Federal procurement contracts and
subcontracts and/or Federal financial assistance Awards or Subawards subject to the
Transparency Act, and
5 1 2 2 $25,000,000 or more in annual gross revenues from Federal procurement contracts and
subcontracts and/or Federal financial assistance Awards or Subawards subject to the
Transparency Act, and
5 1 3 The public does not have access to information about the compensation of such Executives
through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of
1934 (15 U S C 78m(a), 78o(d) or § 6104 of the Internal Revenue Code of 1986
6. REPORTING.
6 1 Contractor shall report data elements to SAM and to the Prime Recipient as required in this
Exhibit if Contractor is a Subrecipient for the Award pursuant to the Transparency Act No direct
payment shall be made to Contractor for providing any reports required under these Federal
Provisions and the cost of producing such reports shall be included in the Agreement price The
reporting requirements in this Exhibit are based on guidance from the US Office of Management
and Budget (OMB), and as such are subject to change at any time by OMB Any such changes
shall be automatically incorporated into this Agreement and shall become part of Contractor's
obligations under this Agreement
7. EFFECTIVE DATE AND DOLLAR THRESHOLD FOR REPORTING.
7 1 Reporting requirements in §8 below apply to new Awards as of October 1, 2010, if the initial
award is $25,000 or more If the initial Award is below $25,000 but subsequent Award
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modifications result in a total Award of $25,000 or more, the Award is subject to the reporting
requirements as of the date the Award exceeds $25,000 If the initial Award is $25,000 or more,
but funding is subsequently de -obligated such that the total award amount falls below $25,000,
the Award shall continue to be subject to the reporting requirements
7 2 The procurement standards in §9 below are applicable to new Awards made by Prime Recipient
as of December 26, 2015 The standards set forth in §11 below are applicable to audits of fiscal
years beginning on or after December 26, 2014
8. SUBRECIPIENT REPORTING REQUIREMENTS.
8 1 If Contractor is a Subrecipient, Contractor shall report as set forth below
8 1 1 To SAM. A Subrecipient shall register in SAM and report the following data elements in
SAM for each Federal Award Identification Number no later than the end of the month
following the month in which the Subaward was made
8 1 1 1 Subrecipient DUNS Number,
8 1 1 2 Subrecipient DUNS Number + 4 if more than one electronic funds transfer (EFT)
account,
8 1 1 3 Subrecipient Parent DUNS Number,
8 1 1 4 Subrecipient's address, including Street Address, City, State, Country, Zip + 4, and
Congressional District,
8 1 1 5 Subrecipient's top 5 most highly compensated Executives if the criteria in §4 above are
met, and
8 1 1 6 Subrecipient's Total Compensation of top 5 most highly compensated Executives if
criteria in §4 above met
8 1 2 To Prime Recipient. A Subrecipient shall report to its Prime Recipient, upon the effective
date of the Agreement, the following data elements
8 1 2 1 Subrecipient's DUNS Number as registered in SAM
8 1 2 2 Primary Place of Performance Information, including Street Address, City, State,
Country, Zip code + 4, and Congressional District
9 PROCUREMENT STANDARDS.
9 1 Procurement Procedures A Subrecipient shall use its own documented procurement procedures
which reflect applicable State, local, and Tribal laws and regulations, provided that the
procurements conform to applicable Federal law and the standards identified in the Uniform
Guidance, including without limitation, §§200 318 through 200 326 thereof
9 2 Procurement of Recovered Materials If a Subrecipient is a State Agency or an agency of a
political subdivision of the State, its contractors must comply with section 6002 of the Solid
Waste Disposal Act, as amended by the Resource Conservation and Recovery Act The
requirements of Section 6002 include procuring only items designated in guidelines of the
Environmental Protection Agency (EPA) at 40 CFR part 247 that contain the highest percentage
of recovered materials practicable, consistent with maintaining a satisfactory level of
competition, where the purchase price of the item exceeds $10,000 or the value of the quantity
acquired during the preceding fiscal year exceeded $10,000, procuring solid waste management
services in a manner that maximizes energy and resource recovery, and establishing an
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affirmative procurement program for procurement of recovered materials identified in the EPA
guidelines
10. ACCESS TO RECORDS
10 1 A Subrecipient shall permit Recipient and auditors to have access to Subrecipient's records and
financial statements as necessary for Recipient to meet the requirements of §200 331
(Requirements for pass -through entities), §§200 300 (Statutory and national policy requirements)
through 200 309 (Period of performance), and Subpart F -Audit Requirements of the Uniform
Guidance 2 CFR §200 331(a)(5)
11. SINGLE AUDIT REQUIREMENTS
11 1 If a Subrecipient expends $750,000 or more in Federal Awards during the Subrecipient's fiscal
year, the Subrecipient shall procure or arrange for a single or program -specific audit conducted
for that year in accordance with the provisions of Subpart F -Audit Requirements of the Uniform
Guidance, issued pursuant to the Single Audit Act Amendments of 1996, (31 U S C 7501-7507)
2 CFR §200 501
11 1 1 Election. A Subrecipient shall have a single audit conducted in accordance with Uniform
Guidance §200 514 (Scope of audit), except when it elects to have a program -specific audit
conducted in accordance with §200 507 (Program -specific audits) The Subrecipient may
elect to have a program -specific audit if Subrecipient expends Federal Awards under only
one Federal program (excluding research and development) and the Federal program's
statutes, regulations, or the terms and conditions of the Federal award do not require a
financial statement audit of Prime Recipient A program -specific audit may not be elected
for research and development unless all of the Federal Awards expended weie received from
Recipient and Recipient approves in advance a program -specific audit
11 1 2 Exemption. If a Subrecipient expends less than $750,000 in Federal Awards during its fiscal
year, the Subrecipient shall be exempt from Federal audit requirements for that year, except
as noted in 2 CFR §200 503 (Relation to other audit requirements), but records shall be
available for review or audit by appropriate officials of the Federal agency, the State, and the
Government Accountability Office
11 1 3 Subrecipient Compliance Responsibility. A Subrecipient shall procure or otherwise
arrange for the audit required by Part F of the Uniform Guidance and ensure it is properly
performed and submitted when due in accordance with the Uniform Guidance Subrecipient
shall prepare appropriate financial statements, including the schedule of expenditures of
Federal awards in accordance with Uniform Guidance §200 510 (Financial statements) and
provide the auditor with access to personnel, accounts, books, records, supporting
documentation, and other information as needed for the auditor to perform the audit required
by Uniform Guidance Part F -Audit Requirements
12. CONTRACT PROVISIONS FOR SUBRECEPIENT CONTRACTS
12 1 If Contractor is a Subrecipient, then it shall comply with and shall include all of the following
applicable provisions in all subcontracts entered into by it pursuant to this Agreement
12 1 1 Equal Employment Opportunity Except as otherwise provided under 41 CFR Part 60, all
contracts that meet the definition of "federally assisted construction contract" in 41 CFR Part
60-1 3 shall include the equal opportunity clause provided under 41 CFR 60-1 4(b), in
accordance with Executive Order 11246, "Equal Employment Opportunity" (30 FR 12319,
12935, 3 CFR Part, 1964-1965 Comp , p 339), as amended by Executive Order 11375,
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12111
121111
121112
121113
121114
121115
121116
121 1 17
"Amending Executive Order 11246 Relating to Equal Employment Opportunity," and
implementing regulations at 41 CFR part 60, "Office of Federal Contract Compliance
Programs, Equal Employment Opportunity, Department of Labor
During the performance of this contract, the contractor agrees as follows
Contractor will not discriminate against any employee or applicant for employment
because of race, color, religion, sex, or national origin The contractor will take
affirmative action to ensure that applicants are employed, and that employees are
treated during employment, without regard to their race, color, religion, sex, or
national origin Such action shall include, but not be limited to the following
Employment, upgrading, demotion, or transfer, recruitment or recruitment
advertising, layoff or termination, rates of pay or other forms of compensation, and
selection for training, including apprenticeship The contractor agrees to post in
conspicuous places, available to employees and applicants for employment, notices
to be provided by the contracting officer setting forth the provisions of this
nondiscrimination clause
Contractor will, in all solicitations or advertisements for employees placed by or on
behalf of the contractor, state that all qualified applicants will receive consideration
for employment without regard to race, color, religion, sex, or national origin
Contractor will send to each labor union or representative of workers with which he
has a collective bargaining agreement or other contract or understanding, a notice to
be provided by the agency contracting officer, advising the labor union or workers'
representative of the contractor's commitments under section 202 of Executive Order
11246 of September 24, 1965, and shall post copies of the notice in conspicuous
places available to employees and applicants for employment
Contractor will comply with all provisions of Executive Order 11246 of September
24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor
Contractor will furnish all information and reports required by Executive Order 11246
of September 24, 1965, and by the rules, regulations, and orders of the Secretary of
Labor, or pursuant thereto, and will permit access to his books, records, and accounts
by the contracting agency and the Secretary of Labor for purposes of investigation to
ascertain compliance with such rules, regulations, and orders
In the event of Contractor's non-compliance with the nondiscrimination clauses of
this contract or with any of such rules, regulations, or orders, this contract may be
canceled, terminated or suspended in whole or in part and the contractor may be
declared ineligible for further Government contracts in accordance with procedures
authorized in Executive Order 11246 of September 24, 1965, and such other sanctions
may be imposed and remedies invoked as provided in Executive Order 11246 of
September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as
otherwise provided by law
Contractor will include the provisions of paragraphs (1) through (7) in every
subcontract or purchase order unless exempted by rules, regulations, or orders of the
Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of
September 24, 1965, so that such provisions will be binding upon each subcontractor
or vendor The contractor will take such action with respect to any subcontract or
purchase order as may be directed by the Secretary of Labor as a means of enforcing
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such provisions including sanctions for noncompliance Provided, however, that in
the event Contractor becomes involved in, or is threatened with, litigation with a
subcontractor or vendor as a result of such direction, the contractor may request the
United States to enter into such litigation to protect the interests of the United States "
12 1 2 Davis -Bacon Act. Davis -Bacon Act, as amended (40 U S C 3141-3148) When required
by Federal program legislation, all prime construction contracts in excess of $2,000 awarded
by non -Federal entities must include a provision for compliance with the Davis -Bacon Act
(40 U S C 3141-3144, and 3146-3148) as supplemented by Department of Labor regulations
(29 CFR Part 5, "Labor Standards Provisions Applicable to Contracts Covering Federally
Financed and Assisted Construction") In accordance with the statute, contractors must be
required to pay wages to laborers and mechanics at a rate not less than the prevailing wages
specified in a wage determination made by the Secretary of Labor In addition, contractors
must be required to pay wages not less than once a week The non -Federal entity must place
a copy of the current prevailing wage determination issued by the Department of Labor in
each solicitation The decision to award a contract or subcontract must be conditioned upon
the acceptance of the wage determination The non -Federal entity must report all suspected
or reported violations to the Federal awarding agency The contracts must also include a
provision for compliance with the Copeland "Anti -Kickback" Act (40 U S C 3145), as
supplemented by Department of Labor regulations (29 CFR Part 3, "Contractors and
Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or
Grants from the United States") The Act provides that each contractor or Subrecipient must
be prohibited from inducing, by any means, any person employed in the construction,
completion, or repair of public work, to give up any part of the compensation to which he or
she is otherwise entitled The non -Federal entity must report all suspected or reported
violations to the Federal awarding agency
12 1 3 Rights to Inventions Made Under a Contract or Agreement. If the Federal Award meets
the definition of "funding agreement" under 37 CFR §401 2 (a) and Subrecipient wishes to
enter into a contract with a small business firm or nonprofit organization regarding the
substitution of parties, assignment or performance of experimental, developmental, or
research work under that "funding agreement," Subrecipient must comply with the
requirements of 37 CFR Part 401, "Rights to Inventions Made by Nonprofit Organizations
and Small Business Firms Under Government Grants, Contracts and Cooperative
Agreements," and any implementing regulations issued by the awarding agency
12 1 4 Clean Air Act (42 U S.C 7401-7671q.) and the Federal Water Pollution Control Act (33
U.S.C. 1251-1387), as amended. Contracts and subgrants of amounts in excess of $150,000
must contain a provision that requires the non -Federal award to agree to comply with all
applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U S C
7401-7671q) and the Federal Water Pollution Control Act as amended (33 U S C 1251-
1387) Violations must be reported to the Federal awarding agency and the Regional Office
of the Environmental Protection Agency (EPA)
12 1 5 Debarment and Suspension (Executive Orders 12549 and 12689). A contract award (see
2 CFR 180 220) must not be made to parties listed on the government wide exclusions in the
System for Award Management (SAM), in accordance with the OMB guidelines at 2 CFR
180 that implement Executive Orders 12549 (3 CFR part 1986 Comp , p 189) and 12689 (3
CFR part 1989 Comp , p 235), "Debarment and Suspension " SAM Exclusions contains the
names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties
declared ineligible under statutory or regulatory authority other than Executive Order 12549
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12 1 6 Byrd Anti -Lobbying Amendment (31 U.S C. 1352). Contractors that apply or bid for an
award exceeding $100,000 must file the required certification Each tier certifies to the tier
above that it will not and has not used Federal appropriated funds to pay any person or
organization for influencing or attempting to influence an officer or employee of any agency,
a member of Congress, officer or employee of Congress, or an employee of a member of
Congress in connection with obtaining any Federal contract, grant or any other award covered
by 31 U S C 1352 Each tier must also disclose any lobbying with non -Federal funds that
takes place in connection with obtaining any Federal award Such disclosures are forwarded
from tier to tier up to the non -Federal award
13. CERTIFICATIONS
13 1 Unless prohibited by Federal statutes or regulations, Recipient may require Subrecipient to
submit certifications and representations required by Federal statutes or regulations on an annual
basis 2 CFR §200 208 Submission may be required more frequently if Subrecipient fails to
meet a requirement of the Federal award Subrecipient shall certify in writing to the State at the
end of the Award that the project or activity was completed or the level of effort was expended
2 CFR §200 201(3) If the required level of activity or effort was not carried out, the amount of
the Award must be adjusted
14 EXEMPTIONS.
14 1 These Federal Provisions do not apply to an individual who receives an Award as a natural
person, unrelated to any business or non-profit organization he or she may own or operate in his
or her name
14 2 A Contractor with gross income from all sources of less than $300,000 in the previous tax year
is exempt from the requirements to report Subawards and the Total Compensation of its most
highly compensated Executives
14 3 There are no Transparency Act reporting requirements for Vendors
15 EVENT OF DEFAULT.
15 1 Failure to comply with these Federal Provisions shall constitute an event of default under the
Agreement and the State of Colorado may terminate the Agreement upon 30 days prior written
notice if the default remains uncured five calendar days following the termination of the 30 day
notice period This remedy will be in addition to any other remedy available to the State of
Colorado under the Agreement, at law or in equity
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