HomeMy WebLinkAboutCity of Santa Ana - 2011-12-14A-2011-225-05
AGREEMENT
SUB -RECIPIENT: CITY OF HUNTINGTON BEACH
City Contract Number
TABLE OF CONTENTS
Section Description Paqe
INTRODUCTION
§101. Parties to the Agreement 3
§102. Representatives of the Parties and Service of Notices 3
§103. Independent Party 4
§104. Conditions Precedent to Execution of this Agreement 4
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TERM AND SERVICES TO BE PROVIDED
§201. Time of Performance
§202. Use of Grant Funds
5
5
III
PAYMENT
§301. Payment of Grant Funds and Method of Payment 8
IV
STANDARD PROVISIONS
§401.
Construction of Provisions and Titles Herein
9
§402.
Applicable Law, Interpretation and Enforcement
9
§403.
Integrated Agreement
9
§404.
Excusable Delays
9
§405.
Breach
10
§406.
Prohibition Against Assignment or Delegation
10
§407.
Permits
10
§408.
Non Discrimination and Affirmative Action
10
§409.
Bonds
11
TABLE OF CONTENTS
Section Description
§410. Indemnification
§411. Conflict of Interest
§412. Restriction on Disclosures
§413. Statutes and Regulations Applicable to All Grant Contracts
§414. Federal, State, and Local Taxes
§415. Inventions, Patents and Copyrights
§416. MBENVBE
V
DEFAULTS SUSPENSION TERMINATION AND AMENDMENTS
§501. Defaults
§502. Amendments
V
ENTIRE AGREEMENT
§601. Complete Agreement
§602. Number of Pages and Attachments
Execution (Signature) Page
EXHIBITS
Exhibit A Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transactions
Exhibit B Certification Regarding Lobbying
Exhibit C Grant Assurances
Exhibit D Reimbursement Request for Grant Expenditures
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ii
Agreement Number:
AGREEMENT FOR TRANSFER OR PURCHASE OF EQUIPMENT/SERVICES OR FOR
REIMBURSEMENT OF TRAINING COSTS
FOR FY2011 URBAN AREAS SECURITY INITIATIVE (UASI)
BETWEEN
THE CITY OF SANTA ANA
AND CITY OF HUNTINGTON BEACH
THIS AGREEMENT is made and entered into this 14th day of December, 2011, by and
between the CITY OF SANTA ANA, a municipal corporation (the "CITY'), and CITY OF
HUNTINGTON BEACH(the "SUB -RECIPIENT" or "Contractor").
WITNESSETH
WHEREAS, CITY, acting through the Santa Ana Police Department in its
capacity as a Core City for the Anaheim/Santa Ana Urban Area under the FY11 Urban
Areas Security Initiative, has applied for, received and accepted a grant entitled "FY
2011 Urban Areas Security Initiative" from the federal Department Of Homeland
Security(DHS) Federal Emergency Management Agency (FEMA), through the State of
California Emergency Management Agency (CalEMA), to enhance countywide
emergency preparedness (the "grant"), as set forth in the grant guidelines and
assurances that are incorporated to this Agreement by reference and located at:
http://www.fema.gov/pdf/government/grant/2011 /fy11 _hsgp_kit.pdf
http://www.calema.ca.gov/EMS-HS-
HazMat/Documents/HSGP/11 /FY11%20CA%20Supplement%20to%20the%20Fed
eral%20Program%20Guidance.pdf
Copies of the grant guidelines shall be retained in the Anaheim/Santa Ana
Grant Office.
WHEREAS, this financial assistance is administered by the CITY OF SANTA
ANA ("CITY') and is overseen by the California Emergency Management Agency
("Cal-EMA"); and
WHEREAS, this financial assistance is being provided to address the unique
equipment, training, planning, and exercise needs of large urban areas, and to assist
them in building an enhanced and sustainable capacity to prevent, respond to, and
recover from threats or acts of terrorism; and
WHEREAS, the Anaheim/Santa Ana Urban Area ("ASAUK) consists of 34 cities
in Orange County, including the City of Santa Ana and the City of Anaheim, the County
of Orange, including the unincorporated area of the County of Orange, Santa Ana
Unified School District Police, California State University, Fullerton, University of
California, Irvine, Municipal Water District of Orange County, and the Orange County
Fire Authority; and
WHEREAS, the Office of Grants Management ("OGM") awarded a FY11 UASI
Grant of $7,421,142 ("Grant Funds") to the CITY OF SANTA ANA, as a Core City, for
use in the ASAUA; and
WHEREAS, the CITY has designated the Chief of Police and the Santa Ana
Police Department, Homeland Security Division ("UASI Grant Office") to provide for
terrorism prevention and emergency preparedness; and
WHEREAS, the UASI Grant Office now wishes to distribute FY11 UASI Grant
Funds throughout the ASAUA, as further detailed in this Agreement ("Agreement") to
CITY OF HUNTINGTON BEACH ("SUB -RECIPIENT") and others;
WHEREAS, the CITY and SUB -RECIPIENT are desirous of executing this
Agreement as authorized by the City Council and the City Manager which authorizes
the CITY to prepare and execute the Agreement.
NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
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I
INTRODUCTION
§101. Parties to the Agreement
The parties to this Agreement are:
A. The CITY, a municipal corporation, having its principal office at 20 Civic Center
Plaza, Santa Ana, CA 92702; and
B. CITY OF HUNTINGTON BEACH, a municipal corporation, 2000 Main Street,
Huntington Beach, CA 92648
§102. Representatives of the Parties and Service of Notices
A. The representatives of the respective parties who are authorized to administer
this Agreement and to whom formal notices, demands and communications
shall be given are as follows:
1. The representative of the City of Santa Ana shall be, unless otherwise
stated in the Agreement:
Kenneth Gominsky, Jr., Commander
Santa Ana Police Department
Homeland Security Division
60 Civic Center Plaza
Santa Ana, CA. 92702
Phone: (714) 245-8040
Fax: (714) 245-8745
kgominsky@santa-ana.org
2. The representative of CITY OF HUNTINGTON BEACH shall be:
Mark Daggett, Battalion Chief
CITY OF HUNTINGTON BEACH
2000 Main Street, Huntington Beach, CA 92648
Phone: (714) 375-5008
E-mail: mdaggett@surfcity-hb.org
B. Formal notices, demands and communications to be given hereunder by
either party shall be made in writing and may be effected by personal
delivery or by registered or certified mail, postage prepaid, return receipt
requested and shall be deemed communicated as of the date of mailing.
C. If the name of the person designated to receive the notices, demands or
communications or the address of such person is changed, written notice
shall be given, in accord with this section, within five (5) business days of
said change.
§103. Independent Party
SUB -RECIPIENT is acting hereunder as an independent party, and not as an
agent or employee of the CITY OF SANTA ANA. No employee of SUB -
RECIPIENT is, or shall be an employee of the CITY OF SANTA ANA by virtue of
this Agreement, and SUB -RECIPIENT shall so inform each employee organization
and each employee who is hired or retained_ under this Agreement. SUB -
RECIPIENT shall not represent or otherwise hold out itself or any of its directors,
officers, partners, employees, or agents to be an agent or employee of the CITY
OF SANTA ANA.
§104. Conditions Precedent to Execution of This Agreement
SUB -RECIPIENT shall provide copies of the following documents to the CITY OF
SANTA ANA, unless otherwise exempted.
A. Grant Assurances in accordance with section 415C of this Agreement attached
hereto as Exhibit C and made part hereof.
B. Certifications Regarding Ineligibility, Suspension and Debarment as required
by Executive Order 12549 in accordance with Section 415Al2 of this
Agreement and attached hereto as Exhibit A and made a part hereof.
C. Certifications and Disclosures Regarding Lobbying in accordance with Section
415C of this Agreement and attached hereto as Exhibit B and made a part
hereof. SUB -RECIPIENT shall also file a Disclosure Form at the end of each
calendar quarter in which there occurs any event requiring disclosure or
which materially affects the accuracy of the information contained in any
Disclosure Form previously filed by SUB -RECIPIENT.
rd
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TERM AND SERVICES TO BE PROVIDED
§201. Time of Performance
The term of this Agreement shall commence on December 14, 2011 and end
on March 31, 2014 or upon the final disbursement of all of the Grant Amount
(as defined in Section 301) and any additional period of time as is required to
complete any necessary close out activities. Said term is subject to the
provisions herein.
§202. Use of Grant Funds
A. CITY may, a) transfer to SUB -RECIPIENT, equipment or services
purchased with grant funds and in accordance with grant guidelines set
forth above; or, b) reimburse SUB -RECIPIENT for purchase of authorized
equipment, exercises, services or training upon receiving prior written
approval from CITY or its designee and in accordance with grant guidelines
and in full compliance with all of the SUB -RECIPIENT'S purchasing and
bidding procedures. SUB -RECIPIENT shall specify the equipment,
services, exercises and training to be purchased using the Application for
Project Funding. A paper copy of this document will be provided to SUB -
RECIPIENT by CITY. In addition, a compact disc with a copy of the
document will be provided to SUB -RECIPIENT by CITY. If additional
copies of the document are needed, SUB -RECIPIENT may contact the
Santa Ana Grant Coordinator and it will be provided.
B. SUB -RECIPIENT shall provide any reports requested by the CITY regarding
the performance of the Agreement. Reports shall be in the form requested by
the CITY, and shall be provided in a timely manner.
C. The Authorized Equipment List (AEL) is a list of the allowable equipment
which may be purchased pursuant to this Agreement and is located at
https://www.rkb.us, and incorporated to this Agreement by reference. A
copy of the AEL shall be retained in the Anaheim/Santa Ana Grant Office.
Unless otherwise stated in program guidance any equipment acquired
pursuant to this Agreement shall meet all mandatory regulations and/or
DHS-adopted standards to be eligible for purchase using grant funds. SUB -
RECIPIENT shall provide the CITY a copy of its most current procurement
guidelines and follow its own procurement requirements as long as they
meet the minimum federal requirements. Federal procurement requirements
for the FY 11 UASI Grant can be found at 2 Code of Federal Regulations
(CFR) Part 225 "Cost Principles for State, Local, and Indian Tribal
Goverments" and 44 CFR Part 13 "Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments."
Any equipment acquired or obtained with Grant Funds:
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1. Shall be made available under the California Disaster and Civil
Defense Master Mutual Aid Agreement in consultation with
representatives of the various fire, emergency medical, hazardous
materials response services, and law enforcement agencies within
the jurisdiction of the applicant;
2. Shall be consistent with needs as identified in the National Priorities
and Target Capabilities, the State Homeland Security Strategy,and
the Anaheim/Santa Ana Urban Area and Orange County
Operational Area Homeland Security Grants Strategy; and
deployed in conformance with those plans;
3. Shall be made available pursuant to applicable terms of the
California Disaster and Civil Defense Master Mutual Aid Agreement
and deployed with personnel trained in the use of such equipment in
a manner consistent with the California Law Enforcement Mutual Aid
Plan or the California Fire Services and Rescue Mutual Aid Plan;
4. Shall be subject to the requirements of Title 44 CFR Part 13.32 and
13.33 For the purposes of this subsection, "Equipment" is defined as
nonexpendable property that is not consumed or does not lose its
identity by being incorporated into another item of equipment, which
costs $5,000 or more per unit, or is expected to have a useful life of
one (1) year or more. Items costing less than $5,000, but falling into
the following categories are also considered Equipment:
(1)electronics communications equipment for stationary or vehicular
use, including cellular telephones acquired by lease or purchase, and
(2) electronic office equipment, including facsimile machines,
copiers, electric typewriters, personal computers (monitors and
CPU's), terminals and printers;
5. Shall be used by SUB -RECIPIENT in the program or project for
which it was acquired as long as needed, whether or not the project
or program continues to be supported by Federal funds. When no
longer useful for the original program or project, the Equipment may
be used in other activities currently or previously supported by a
Federal agency.
6. Shall be made available for use on other projects or programs
currently or previously supported by the Federal Government,
providing such use will not interfere with the work on the projects or
program for which it was originally acquired. First preference for
other use shall be given to other programs or projects supported by
the awarding agency.
7. Shall be recorded on a ledger. This record must be updated bi-
annually and forwarded to the City. The record shall include: (a)
description of the item of Equipment, (b) manufacturer's model and
serial number, (c) Federal Stock number, national stock number, or
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other identification number; (d) the source of acquisition of the
Equipment, including the award number, (e) date of acquisition; (f)
the per unit acquisition cost of the Equipment, (g) records showing
maintenance procedures to keep the Equipment in good running
order, and (h) location and condition of Equipment. Records must be
retained pursuant to 44 C.F.R. Part 13.42, and Office of G&T.
8. All equipment obtained under this Agreement shall have an ASAUA
identification decal affixed to it, and, when practical, shall be affixed
where it is readily visible.
9. A physical inventory of the Equipment shall be taken and the results
reconciled with the Equipment records at least once every year.
Inventory shall also be taken prior to any UASI, State or Federal
monitor visits.
10. SUB -RECIPIENT shall exercise due care to preserve and
safeguard equipment acquired with grant funds from damage or
destruction and shall provide regular maintenance and such repairs
for said equipment as necessary, in order to keep said equipment
continually in good working order. Such maintenance and servicing
shall be the sole responsibility of SUB -RECIPIENT, who shall
assume full responsibility for maintenance and repair of the
equipment throughout the life of said equipment.
D. Any training paid pursuant to this Agreement shall conform to the guidelines
as listed in FY 2011 Homeland Security Grant Program, as set forth above.
All training expenses must be pre -authorized by Cal-EMA at
http://wvvw.firstrespondertraining.gov/admin. A catalogue of Grantor
approved and sponsored training courses is available at
http://www.firstrespondertraining.gov/odp_webforms.
E. Any exercise paid pursuant to this Agreement shall conform to the guidelines as
listed in FY 2011 Homeland Security Grant Program, as set forth above.
Detailed Homeland Security Exercise and Evaluation Program Guidance is
available at http://hseep.dhs.gov.
F. Any planning paid pursuant to this Agreement shall conform to the guidelines
as listed in FY 2011 Homeland Security Grant Program, as set forth above.
G. Any organizational activities paid pursuant to this Agreement shall conform to
the guidelines as listed in FY 2011 Homeland Security Grant Program, as set
forth above.
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III
PAYMENT
§301. Payment of Grant Funds and Method of Payment
A. CITY may, a) transfer to SUB -RECIPIENT, equipment or services purchased
with grant funds; or, b) reimburse SUB -RECIPIENT for the purchase of
authorized equipment, exercises, services or training upon receiving prior written
approval from CITY or its designee and in accordance with grant guidelines and
in full compliance with all of the SUB -RECIPIENT'S purchasing and bidding
procedures. SUB -RECIPIENT shall specify the equipment, exercises, services
or training to be purchased using the Application for Project Funding. A paper
copy of this document will be provided to SUB -RECIPIENT by CITY. In
addition, a compact disc with a copy of the document will be provided to SUB -
RECIPIENT by CITY. If additional copies of the document are needed, SUB -
RECIPIENT may contact the Santa Ana Grant Coordinator and it will be
provided. Funds may be used for planning, exercises, organizational and
training activities, and the purchase of equipment as described in Section 202
above.
B. SUB -RECIPIENT shall provide quarterly invoices to the CITY requesting
payment and all supporting documentation. Each reimbursement request shall
be accompanied by the Reimbursement Request for Grant Expenditures
(attached hereto as Exhibit D) detailing the expenditures made by SUB -
RECIPIENT as authorized by Section 202 above. Each reimbursement request
shall be submitted electronically at https:H38.184.198/. For equipment for which
SUB -RECIPIENT is requesting reimbursement, all appropriate back-up
documentation must be attached to the reimbursement form, including
invoices, proof of payment, packing slips, and Equipment Reimbursement
Worksheet. For training reimbursements, SUB -RECIPIENT must include a
copy of any certificates issued or a copy of the class roster verifying training
attendees, proof that a CaIEMA tracking number has been assigned to the
course, timesheets and payroll registers for all training attendees, receipts for
travel expenses related to the training, and Training Reimbursement
Worksheet. For regional project reimbursements, SUB -RECIPIENT must
include approval from the lead agency for all submitted invoices.
C. Payment of final invoice shall be withheld by the CITY until the SUB -
RECIPIENT has turned in all supporting documentation and completed the
requirements of this Agreement.
D. It is understood that the CITY makes no commitment to fund this
Agreement beyond the terms set forth herein.
E. Funding for all periods of this Agreement is subject to the continuing
availability to the CITY of federal funds for this program. The Agreement may
be terminated immediately upon written notice to SUB -RECIPIENT of a loss or
reduction of federal grant funds.
IV
STANDARD PROVISIONS
§401. Construction of Provisions and Titles Herein
All titles or subtitles appearing herein have been inserted for convenience and
shall not be deemed to affect the meaning or construction of any of the terms or
provisions hereof. The language of this Agreement shall be construed according
to its fair meaning and not strictly for or against either party. The word
"Sub -recipient" herein and in any amendments hereto includes the party or
parties identified in this Agreement. The singular shall include the plural. If
there is more than one Sub -recipient as identified herein, unless expressly
stated otherwise, their obligations and liabilities hereunder shall be joint and
several. Use of the feminine, masculine, or neuter genders shall be deemed to
include the genders not used.
§402. Applicable Law, Interpretation and Enforcement
Each party's performance hereunder shall comply with all applicable laws of the
United States of America, the State of California, and the CITY. This
Agreement shall be enforced and interpreted under the laws of the State of
California and the CITY.
If any part, term or provision of this Agreement shall be held void, illegal,
unenforceable, or in conflict with any law of a federal, state or local government
having jurisdiction over this Agreement, the validity of the remaining portions of
provisions shall not be affected thereby.
§403. Integrated Agreement
This Agreement sets forth all of the rights and duties of the parties with respect to
the subject matter hereof, and replaces any and all previous agreements or
understandings, whether written or oral, relating thereto. This Agreement may be
amended only by a written instrument executed by both parties hereto.
§404. Excusable Delays
In the event that performance on the part of any party hereto shall be delayed or
suspended as a result of circumstances beyond the reasonable control and
without the fault and negligence of said party, none of the parties shall incur any
liability to the other parties as a result of such delay or suspension.
Circumstances deemed to be beyond the control of the parties hereunder shall
include, but not be limited to, acts of God or of the public enemy; insurrection;
acts of the Federal Government or any unit of State or Local Government in
either sovereign or contractual capacity; fires; floods; epidemics; quarantine
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restrictions; strikes, freight embargoes or delays in transportation; to the extent
that they are not caused by the party's willful or negligent acts or omissions and
to the extent that they are beyond the party's reasonable control.
§405. Breach
Except for excusable delays, if any party fails to perform, in whole or in part, any
promise, covenant, or agreement set forth herein, or should any representation
made by it be untrue, any aggrieved party may avail itself of all rights and
remedies, at law or equity, in the courts of law. Said rights and remedies are
cumulative of those provided for herein except that in no event shall any party
recover more than once, suffer a penalty or forfeiture, or be unjustly
compensated.
§406. Prohibition Against Assignment or Delegation
SUB -RECIPIENT may not, unless it has first obtained the written permission of
the CITY:
A. Assign or otherwise alienate any of its rights hereunder, including the right
to payment; or
B. Delegate, subcontract, or otherwise transfer any of its duties hereunder.
§407. Permits
SUB -RECIPIENT and its officers, agents and employees shall obtain and
maintain all permits and licenses necessary for SUB -RECIPIENT performance
hereunder and shall pay any fees required therefore. SUB -RECIPIENT further
certifies to immediately notify the CITY of any suspension, termination, lapses,
non renewals or restrictions of licenses, certificates, or other documents.
§408. Nondiscrimination and Affirmative Action
SUB -RECIPIENT shall comply with the applicable nondiscrimination and
affirmative action provisions of the laws of the United States of America, the
State of California, and the CITY. In performing this Agreement, SUB -
RECIPIENT shall not discriminate in its employment practices against any
employee or applicant for employment because of such person's race,
religion, national origin, ancestry, sex, sexual orientation, age, physical
handicap, mental disability, marital status, domestic partner status or medical
condition. SUB -RECIPIENT shall comply with Executive Order 11246,
entitled "Equal Employment Opportunity," as amended by Executive Order
11375, and as supplemented in Department of Labor regulations (41 CRF
Part 60).
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If required, SUB -RECIPIENT shall submit an Equal Employment Opportunity
Plan ("EEOP") to the DOJ Office of Civil Rights ("OCR") in accordance with
guidelines listed at http://www.ojp.usdoj.gov/ocr/eeop.htm,
Any subcontract entered into by the SUB-RICIPIENT relating to this Agreement,
to the extent allowed hereunder, shall be subject to the provisions of this § 408.
§409. Bonds
SUB -RECIPIENT must purchase a performance bond for any equipment item
over $250,000 or any vehicle (including aircraft or watercraft) financed with
homeland security funds.
§410. Indemnification
Each of the parties to this Agreement is a public entity. In contemplation of the
provisions of Section 895.2 of the Government Code of the State of California
imposing certain tort liability jointly upon public entities, solely by reason of such
entities being parties to an Agreement as defined by Section 895 of said Code, the
parties hereto, as between themselves, pursuant to the authorization contained in
Section 895.4 and 895.6 of said Code, will each assume the full liability imposed
upon it or upon any of its officers, agents, or employees by law, for injury caused
by a negligent or wrongful act or omission occurring in the performance of this
Agreement, to the same extent that such liability would be imposed in the absence
of Section 895.2 of said Code. To achieve the above- stated purpose, each party
indemnifies and holds harmless the other party solely by virtue of said Section
895.2. The provision of Section 2778 of the California Civil Code is made a part
hereto as if fully set forth herein. SUB -RECIPIENT certifies that it has adequate
self insured retention of funds to meet any obligation arising from this Agreement.
§411. Conflict of Interest
A. The SUB -RECIPIENT covenants that none of its directors, officers,
employees, or agents shall participate in selecting, or administrating any
subcontract supported (in whole or in part) by Federal funds where such
person is a director, officer, employee or agent of the subcontractor; or where
the selection of subcontractors is or has the appearance of being motivated by
a desire for personal gain for themselves or others such as family business,
etc.; or where such person knows or should have known that:
1. A member of such person's immediate family, or domestic partner
or organization has a financial interest in the subcontract;
2. The subcontractor is someone with whom such person has or is
negotiating any prospective employment; or
3. The participation of such person would be prohibited by the
California Political Reform Act, California Government Code
§87100 et seq. if such person were a public officer, because such
person would have a "financial or other interest" in the subcontract.
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B. Definitions:
1. The term "immediate family" includes but is not limited to domestic
partner and/or those persons related by blood or marriage, such as
husband, wife, father, mother, brother, sister, son, daughter, father
in law, mother in law, brother in law, sister in law, son in law,
daughter in law.
2. The term "financial or other interest" includes but is not limited to:
a. Any direct or indirect financial interest in the specific
contract, including a commission or fee, a share of the
proceeds, prospect of a promotion or of future employment,
a profit, or any other form of financial reward.
b. Any of the following interests in the subcontractor
ownership: partnership interest or other beneficial interest of
five percent or more; ownership of five percent or more of
the stock; employment in a managerial capacity; or
membership on the board of directors or governing body.
C. The SUB -RECIPIENT further covenants that no officer, director, employee, or
agent shall solicit or accept gratuities, favors, anything of monetary value from
any actual or potential subcontractor, supplier, a party to a sub agreement, (or
persons who are otherwise in a position to benefit from the actions of any
officer, employee, or agent).
D. The SUB -RECIPIENT shall not subcontract with a former director, officer, or
employee within a one year period following the termination of the relationship
between said person and the Contractor.
E. Prior to obtaining the CITY'S approval of any subcontract, the SUB -
RECIPIENT shall disclose to the CITY any relationship, financial or
otherwise, direct or indirect, of the SUB -RECIPIENT or any of its officers,
directors or employees or their immediate family with the proposed
subcontractor and its officers, directors or employees.
F. For -further clarification of the meaning of any of the terms used herein, the
parties agree that references shall be made to the guidelines, rules, and laws
of the SUB -RECIPIENT, State of California, and Federal regulations
regarding conflict of interest.
G. The SUB -RECIPIENT warrants that it has not paid or given and will not pay or
give to any third person any money or other consideration for obtaining this
Agreement.
H. The SUB -RECIPIENT covenants that no member, officer or employee of
SUB -RECIPIENT shall have interest, direct or indirect, in any contract or
subcontract or the proceeds thereof for work to be performed in connection
with this project during his/her tenure as such employee, member or officer or
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for one year thereafter.
I. The SUB -RECIPIENT shall incorporate the foregoing subsections of this
Section into every agreement that it enters into in connection with this project
and shall substitute the term "subcontractor' for the term "SUB -RECIPIENT"
and "sub subcontractor" for "Subcontractor".
§412. Restriction on Disclosures
Any reports, analysis, studies, drawings, information, or data generated as a
result of this Agreement are to be governed by the California Public Records Act
(California Government Code Sec. 6250, et seq.).
§413. Statutes and Regulations Applicable To All Grant Contracts
A. SUB -RECIPIENT shall comply with all applicable requirements of state, federal,
county and SUB -RECIPIENT laws, executive orders, regulations, program and
administrative requirements, policies and any other requirements governing this
Agreement. SUB -RECIPIENT shall comply with state and federal laws and
regulations pertaining to labor, wages, hours, and other conditions of
employment. SUB -RECIPIENT shall comply with new, amended, or revised
laws, regulations, and/or procedures that apply to the performance of this
Agreement. These requirements include, but are not limited to:
Office of Management and Budget (OMB) Circulars
SUB -RECIPIENT shall comply with OMB Circulars, as applicable:
OMB Circular A-87 (Cost Principles for State, Local, and Indian
Tribal Governments, relocated to 2 CFR Part 225); OMB Circular A-
102 (Grants and Cooperative Agreements with State and Local
Governments, found in 44 CFR Part 13 "Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and
Local Governments"); OMB Circular A-133 (Audits of States, Local
Governments, and Non -Profit Organizations.
2. Single Audit Act
If Federal funds are used in the performance of this Agreement,
SUB -RECIPIENT shall adhere to the rules and regulations of the
Single Audit Act, 31 USC Sec. 7501 et seq.; and any
administrative regulation or field memos implementing the Act.
When reporting under on the FY11 UASI Grant Program under
the Single Audit Act, SUB -RECIPIENT shall use Catalog of
Federal Domestic Assistance (CFDA) Program Number 97.067
"Homeland Security Grant Program"; Grant Identification
Number 2011-SS-0077; and Identify the City of Santa Ana as the
Pass -Through.
3. Americans with Disabilities Act
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SUB -RECIPIENT hereby certifies that it will comply with the
Americans with Disabilities Act, 42 USC §§ 12101, et seq., and its
implementing regulations. SUB -RECIPIENT will provide reasonable
accommodations to allow qualified individuals with disabilities to
have access to and to participate in its programs, services and
activities in accordance with the provisions of the Americans with
Disabilities Act. SUB -RECIPIENT will not discriminate against
persons with disabilities or against persons due to their relationship
to or association with a person with a disability. Any subcontract
entered into by the SUB -RECIPIENT, relating to this Agreement, to
the extent allowed hereunder, shall be subject to the provisions of
this paragraph.
4. Political and Sectarian Activity Prohibited
None of the funds, materials, property or services provided directly or
indirectly under this Agreement shall be used for any partisan political
activity, or to further the election or defeat of any candidate for public
office. Neither shall any funds provided under this Agreement be
used for any purpose designed to support or defeat any pending
legislation or administrative regulation. None of the funds provided
pursuant to this Agreement shall be used for any sectarian purpose or
to support or benefit any sectarian activity.
If this Agreement provides for more than $100,000 in grant funds or
more than $150,000 in loan funds, SUB -RECIPIENT shall submit to
the CITY a Certification Regarding Lobbying and a Disclosure Form,
if required, in accordance with 31 USC §1352. A copy of the
Certificate is attached hereto as Exhibit B. No funds will be released
to SUB -RECIPIENT until the Certification is filed.
SUB -RECIPIENT shall file a Disclosure Form at the end of each
calendar quarter in which there occurs any event requiring disclosure
or which materially affects the accuracy of any of the information
contained in any Disclosure Form previously filed by SUB -
RECIPIENT. SUB -RECIPIENT shall require that the language of this
Certification be included in the award documents for all sub -awards
at all tiers and that all subcontractors shall certify and disclose
accordingly.
5. Records Inspection
At any time during normal business hours and as often as the CITY,
the U.S. Comptroller General, and/or the Auditor General of the
State of California may deem necessary, SUB -RECIPIENT shall
make available for examination all of its records with respect to all
matters covered by this Agreement. The CITY, the U.S. Comptroller
General and/or the Auditor General of the State of California shall
have the authority to audit, examine and make excerpts or
transcripts from records, including SUB -RECIPIENT'S invoices,
14
materials, payrolls, records of personnel, conditions of employment
and other data relating to all matters covered by this Agreement.
SUB -RECIPIENT agrees to provide any reports requested by the
CITY regarding performance of the Agreement.
6. Records Maintenance
Records, in their original form, shall be maintained in accordance with
requirements prescribed by the CITY with respect to all matters
covered on file for all documents specified in this Agreement.
Original forms are to be maintained on file for all documents specified
in this Agreement. Such records shall be retained for a period of
three (3) years after termination of this Agreement and after final
disposition of all pending matters. "Pending matters" include, but are
not limited to, an audit, litigation or other actions involving records.
The CITY may, at its discretion, take possession of, retain and audit
said records. Records, in their original form pertaining to matters
covered by this Agreement, shall at all times be retained within the
County of Orange unless authorization to remove them is granted in
writing by the CITY.
7. Subcontracts and Procurement
SUB -RECIPIENT shall comply with the federal and SUB -
RECIPIENT standards in the award of any subcontracts. For
purposes of this Agreement, subcontracts shall include but not
be limited to purchase agreements, rental or lease agreements,
third party agreements, consultant service contracts and
construction subcontracts.
SUB -RECIPIENT shall ensure that the terms of this Agreement with
the CITY are incorporated into all Subcontractor Agreements. The
SUB -RECIPIENT shall submit all Subcontractor Agreements to the
CITY for review prior to the release of any funds to the
subcontractor. The SUB -RECIPIENT shall withhold funds to any
subcontractor agency that fails to comply with the terms and
conditions of this Agreement and their respective Subcontractor
Agreement.
8. Labor
SUB -RECIPIENT shall comply with the Intergovernmental
Personnel Act of 1970 (42 U.S.C. §§4728-4763) relating to
prescribed requirements for merit systems for programs funded
under one of the 19 statutes or regulations specified in Appendix A
of OPM's Standards for a Merit System Personnel Administration
(5 C.F.R. 900, Subpart F).
SUB -RECIPIENT shall comply, as applicable, with the provisions of
15
the Davis -Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act
(40 U.S.C. §276c and 18 U.S.C. §874), the Contract Work Hours and
Safety Standards Act (40 U.S.C. §§327-333), regarding labor
standards for federally -assisted construction subagreements, and the
Hatch Act (5 USC §§1501-1508 and 7324-7328).
SUB -RECIPIENT shall comply with the Federal Fair Labor Standards
Act (29 USC §201) regarding wages and hours of employment. None
of the funds shall be used to promote or deter Union/labor organizing
activities. CA Gov't Code Sec. 16645, et seq.
9. Civil Rights
SUB -RECIPIENT shall comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title VI of
the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b) Title IX
of the Education Amendments of 1972, as amended (20 U.S.C.
§§1681- 1683, and 1685-1686), which prohibits discrimination on the
basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as
amended (29 U.S.C. §794), which prohibits discrimination on the
basis of handicaps; (d) The Age Discrimination act of 1975, as
amended (42 U.S.C. §§6101-6107), which prohibits discrimination on
the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation act of 1970
(P.L. 91-616) as amended, relating to nondiscrimination on the basis
of alcohol abuse or alcoholism; (g) §§523 and 527 of the Public
Health Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee 3), as
amended, relating to confidentiality of alcohol and drug abuse patient
records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C.
§§3601, et seq.), as amended, relating to non-discrimination in the
sale, rental or financing of housing; (i) any other nondiscrimination
provisions in the specific statute(s) under which application for
Federal assistance is being made; 0) the requirements of any other
nondiscrimination statute(s) which may apply to the application; and
(k) P.L. 93-348 regarding the protection of human subjects involved
in research, development, and related activities supported by this
award of assistance.
10. Environmental
SUB -RECIPIENT shall comply, or has already complied, with the
requirements of Titles II and III of the Uniform relocation Assistance
and Real Property Acquisition Policies Act of 1970 (P.L. 91-646)
which provide for fair and equitable treatment of persons displaced
or whose property is acquired as a result of Federal or federally -
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
16
participation in purchases.
SUB -RECIPIENT shall comply with environmental standards which
may be prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive
Order (EO) 11514; (b) notification of violating facilities pursuant to
EO 11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved
State management program developed under the Coastal Zone
Management Act of 1972 (16 U.S.C. §§1451, et seq.); (f)
conformity of Federal actions to State (Clean Air) Implementation
Plans under Section 176(c) of the Clean Air Act of 1955, as
amended (42 U.S.C. §§7401, et seq.); (g) protection of
underground sources of drinking water under the Safe Drinking
Water Act of 1974, as amended (P.L. 93-523); (h) protection of
endangered species under the Endangered Species Act of 1973,
as amended (P.L. 93205); and (i) Flood Disaster Protection Act of
1973 §102(a) (P.L. 93-234).
SUB -RECIPIENT shall comply with the Wild and Scenic Rivers Act of
1968 (16 U.S.C. §§1271, et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
SUB -RECIPIENT shall comply with the Lead -Based Paint Poisoning
Prevention Act (42 U.S.C. §§4801, et seq.) which prohibits the use of
lead- based paint in construction or rehabilitation of residence
structures.
SUB -RECIPIENT shall comply with the Federal Water Pollution
Control Act (33 U.S.C. § 1251, et seq.) which restores and maintains
the chemical, physical and biological integrity of the Nation's waters.
SUB -RECIPIENT shall ensure that the facilities under its ownership,
lease or supervision which shall be utilized in the accomplishment of
this project are not listed in the Environmental Protection Agency's
(EPA) list of Violating Facilities and that it will notify the Federal
Grantor agency of the receipt of any communication from the
Director of the EPA Office of Federal Activities indicating that a
facility to be used in the project is under consideration for listing by
the EPA.
By signing this Agreement, SUB -RECIPIENT ensures that it is in
compliance with the California Environmental Quality Act (CEQA),
Public Resources Code §21000, et seq. and is not impacting the
environment negatively.
SUB -RECIPIENT shall comply with the Energy Policy and
Conservation Act (P.L. 94-163, 89 Stat. 871).
17
SUB -RECIPIENT shall comply, if applicable, with the provision of the
Coastal Barrier Resources Act (P.L. 97-348) dated October 19, 1982
(16 USC 3501, et. seq.), which prohibits the expenditure of most new
Federal funds within the units of the Coastal Barrier Resources
System.
11. Preservation
SUB -RECIPIENT shall comply with Section 106 of the National
Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO
11593 (identification and protection of historic properties), and the
Archaeological and Historic Preservation Act of 1974 (16 U.S.C.
§§469a-1, et seq.).
12. Suspension and Debarment
SUB -RECIPIENT shall comply with Federal Register, Volume 68,
Number 228, regarding Suspension and Debarment, and SUB -
RECIPIENT shall submit a Certification Regarding Debarment required
by Executive Order 12549 and any amendment thereto. Said
Certification shall be submitted to the CITY concurrent with the
execution of this Agreement and shall certify that neither SUB -
RECIPIENT nor its principals are presently debarred, suspended,
proposed for debarment, declared ineligible or voluntarily excluded
from participation in this transaction by any federal department head
or agency. SUB -RECIPIENT shall require that the language of this
Certification be included in the award documents for all sub -award at
all tiers and that all subcontractors shall certify accordingly.
13. Druq-Free Workplace
SUB -RECIPIENT shall comply with the federal Drug -Free
Workplace Act of 1988, 41 USC §701, 44 CFR Part 67; the
California Drug -Free Workplace Act of 1990, CA Gov't Code §§
8350-8357.
14. Miscellaneous
SUB -RECIPIENT shall comply with the Laboratory Animal Welfare Act
of 1966, as amended (P.L. 89-544, 7 USC §§2131, et seq.).
B. Statutes and Regulations Applicable To This Particular Grant
SUB -RECIPIENT shall comply with all applicable requirements of state and
federal laws, executive orders, regulations, program and administrative
requirements, policies and any other requirements governing this particular
grant program. SUB -RECIPIENT shall comply with new, amended, or revised
laws, regulations, and/or procedures that apply to the performance of this
Agreement. These requirements include, but are not limited to:
Title 44 Code of Federal Regulations (CFR) Part 13; EO 12372;
Department of Justice (DOJ) Office of Judicial Programs (OJP) Office
18
of the Comptroller, U.S. Department of Homeland Security,
Preparedness Directorate Financial Management Guide; U.S.
Department of Homeland Security, Office of Grants and Training, FY
2009 Homeland Security Grant Program — Program Guidance and
Application Kit; ODP WMD Training Course Catalogue; and DOJ Office
for Civil Rights.
Standardized Emergency Management System (SEMS)
requirements as stated in the California Emergency Services Act,
Government Code Chapter 7 of Division 1 of Title 2, § 8607.1(e) and
CCR Title 19, §§ 2445-2448.
Provisions of 44 CFR applicable to grants and cooperative
agreements, including Part 18, Administrative Review Procedures;
Part 20, Criminal Justice Information Systems; Part 22,
Confidentiality of Identifiable Research and Statistical Information;
Part 23, Criminal Intelligence Systems Operating Policies; Part 30,
Intergovernmental Review of Department of Justice Programs and
Activities; Part 35, Nondiscrimination on the Basis of Disability in
State and Local Government Services; Part 38, Equal Treatment of
Faith -based Organizations; Part 42, Nondiscrimination/Equal
employment Opportunities Policies and Procedures; Part 61,
Procedures for Implementing the National Environmental Policy Act;
Part 63, Floodplain Management and Wetland Protection
Procedures; Part 64, Floodplain Management and Wetland
Protection Procedures; Federal laws or regulations applicable to
federal Assistance Programs; Part 69, New Restrictions on Lobbying;
Part 70, Uniform Administrative Requirements for Grants and
Cooperative Agreements (including sub -awards) with Institutions of
Higher Learning, Hospitals and other Non -Profit Organizations; and
Part 83, Government- Wide Requirements for a Drug Free
Workplace (grants).
Nondiscrimination requirements of the Omnibus Crime Control and
Safe Streets Act of 1968, as amended, 42 USC 3789(d), or the
Juvenile Justice and Delinquency Prevention Act, or the Victims of
Crime Act, as appropriate; the provisions of the current edition of the
Office of Justice Programs Financial and Administrative Guide for
Grants, M7100.1, and all other applicable federal laws, orders,
circulars, or regulations.
2. Travel Expenses
SUB -RECIPIENT as provided herein may be compensated for SUB -
RECIPIENT'S reasonable travel expenses incurred in the
performance of this Agreement, to include travel and per diem,
unless otherwise expressed. Travel including in -State and out -of -
State travel shall not be reimbursed without prior written
authorization from the UASI Grant Office.
19
SUB -RECIPIENT'S travel and per diem reimbursement costs shall
be reimbursed based on the SUB -RECIPIENT'S travel policies
and procedures. If SUB -RECIPIENT does not have established
travel policies and procedures, SUB -RECIPIENT'S reimbursement
rates shall not exceed the amounts established by the State
Department of Personnel Administration Rules and Regulations,
PML 97-024, Section 599.619, dated July 1, 1997 and Section
599.631, and as amended from time to time.
3. Noncompliance
SUB -RECIPIENT understands that failure to comply with any of the
above assurances may result in suspension, termination or reduction
of grant funds, and repayment by SUB -RECIPIENT to CITY of any
unlawful expenditures.
C. Compliance With Grant Assurances
To obtain the Grant Funds, the Grantor required an authorized representative
of the CITY to sign certain promises regarding the way the Grant Funds would
be spent ("Grant Assurances"), attached hereto as Exhibit C. By signing these
Grant Assurances, the CITY became liable to the Grantor for any funds that
are used in violation of the grant requirements. SUB -RECIPIENT shall be
liable to the Grantor for any funds the Grantor determines SUB -RECIPIENT
used in violation of these Grant Assurances. SUB -RECIPIENT shall indemnify
and hold harmless the CITY for any sums the Grantor determines SUB -
RECIPIENT used in violation of the Grant Assurances.
§414. Federal, State and Local Taxes
Federal, State and local taxes shall be the responsibility of SUB -RECIPIENT as
an independent party and not as a CITY employee.
§415. Inventions, Patents and Copyrights
A. Reporting Procedure for Inventions
If any project produces any invention or discovery (Invention) patentable or
otherwise under title 35 of the U.S. Code, including, without limitation,
processes and business methods made in the course of work under this
Agreement, the SUB -RECIPIENT shall report the fact and disclose the
Invention promptly and fully to the CITY. The CITY shall report the fact and
disclose the Invention to the Grantor. Unless there is a prior agreement
between the CITY and the Grantor, the Grantor shall determine whether to
seek protection on the Invention. The Grantor shall determine how the rights in
the Invention, including rights under any patent issued thereon, will be
allocated and administered in order to protect the public interest consistent
with the policy ("Policy") embodied in the Federal Acquisition Regulations
System, which is based on Ch. 18 of title 35 U.S.C. Sections 200, et seq.
20
(Pub. L. 95-517, Pub. L. 98-620, 37 CFR part 401); Presidential Memorandum
on Government Patent Policy to the Heads of the Executive Departments and
Agencies, dated 2/18/1983); and Executive Order 12591, 4/10/87, 52 FR
13414, 3 CFR, 1987 Comp., p. 220 (as amended by Executive Order 12618,
12/22/87, 52 FR 48661, 3 CFR, 1987 Comp., p. 262). SUB -RECIPIENT
hereby agrees to be bound by the Policy, and will contractually require its
personnel to be bound by the Policy.
B. Rights to Use Inventions
CITY shall have an unencumbered right,
royalty- free license, to use, manufacture,
do so for all government purposes, any
Agreement,
C. Copyright Policy
and a non-exclusive, irrevocable,
improve upon, and allow others to
Invention developed under this
Unless otherwise provided by the terms of the Grantor or of this
Agreement, when copyrightable material ("Material") is developed
under this Agreement, the author or the CITY, at the CITY'S
discretion, may copyright the Material. If the CITY declines to
copyright the Material, the CITY shall have an unencumbered right,
and a non-exclusive, irrevocable, royalty- free license, to use,
manufacture, improve upon, and allow others to do so for all
government purposes, any Material developed under this Agreement.
2. The Grantor shall have an unencumbered right, and a non-exclusive,
irrevocable, royalty -free license, to use, manufacture, improve upon,
and allow others to do so for all government purposes, any Material
developed under this Agreement or any Copyright purchased under
this Agreement.
3. SUB -RECIPIENT shall comply with 24 CFR 85.34.
D. Rights to Data
The Grantor and the CITY shall have unlimited rights or copyright license to
any data first produced or delivered under this Agreement. "Unlimited rights"
means the right to use, disclose, reproduce, prepare derivative works,
distribute copies to the public, and perform and display publicly, or permit
others to do so; as required by 48 CFR 27.401. Where the data are not first
produced under this Agreement or are published copyrighted data with the
notice of 17 U.S.C. Section 401 or 402, the Grantor acquires the data under a
copyright license as set forth in 48 CFR 27.404(f)(2) instead of unlimited
rights. (48 CFR 27.404(a)).
E. Obligations Binding on Subcontractors
SUB -RECIPIENT shall require all subcontractors to comply with the
obligations of this section by incorporating the terms of this section into all
21
subcontracts.
§416. Minority Women And Other Business Enterprise Outreach Program
It is the policy of the CITY to provide minority business enterprises (MBEs),
women business enterprises (WBEs) and all other business enterprises an equal
opportunity to participate in the performance of all SUB -RECIPIENT contracts,
including procurement, construction and personal services. This policy applies to
all Contractors and Sub -Contractors.
22
V
DEFAULTS, SUSPENSION, TERMINATION, AND AMENDMENTS
§501. Defaults
Should SUB -RECIPIENT fail for any reason to comply with the contractual
obligations of this Agreement within the time specified by this Agreement, the
CITY reserves the right to terminate the Agreement, reserving all rights under
state and federal law.
§502. Amendments
Any change in the terms of this Agreement, including changes in the services to
be performed by SUB -RECIPIENT and any increase or decrease in the amount of
compensation which are agreed to by the CITY and SUB -RECIPIENT shall be
incorporated into this Agreement by a written amendment properly executed and
signed by the person authorized to bind the parties thereto.
SUB -RECIPIENT agrees to comply with all future CITY Directives, or any rules,
amendments or requirements promulgated by the CITY affecting this
Agreement.
23
vl
ENTIRE AGREEMENT
§601. Complete Agreement
This Agreement contains the full and complete Agreement between the two
parties. Neither verbal agreement nor conversation with any officer or employee
of either party shall affect or modify any of the terms and conditions of this
Agreement.
§602. Number of Pages and Attachments
This Agreement is executed in two (2) duplicate originals, each of which is
deemed to be an original. This Agreement includes twenty-five (25) pages and
five (4) Exhibits which constitute the entire understanding and agreement of the
parties.
IM
IN WITNESS WHEREOF, the City and CITY OF HUNTINGTON BEACH have caused
this Agreement to be executed by their duly authorized representatives on the date first
set forth above.
ATTEST:
By:
Maria D. Huizar
Clerk of the Council
APPROVED AS TO FORM:
CITY OF SANTA ANA, a municipal
Corporation of the State of California
By:
Paul M. Walters
City Manager
By: Q11�/ SUB -RECIPIENT
Judd CITY OF HUNTINGTON BEACH
Assistant City Attor ey
NJ
PrintedyjC'K
Title Vt a-v- C+h t�F
APPROVED AS TO FORM
y:. �q
Printed
�-S� Name
lSYYl1 I�J1y�
Title � `� A4-6yn &,A
U)co 2AL'411 Z
25
EXHIBIT A
CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER
RESPONSIBILITY MATTERS
Applicants should refer to the regulations cited below to determine the certification to which they are
required to attest. Applicants should also review the instructions for certification included in the regulations
before completing this form. Signature of this form provides for compliance with certification requirements
under the applicable CFR covering New Restrictions on Government -wide Debarment and Suspension
(Nonprocurement). The certification shall be treated as a material representation of fact upon which reliance
will be placed when the Agency determines to award the covered transaction or cooperative agreement.
As required by Executive Order 12549, Debarment and Suspension, and implemented under the applicable
CFR, for prospective participants in covered transactions, as defined in the applicable CFR
A. The applicant certifies that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced
to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered
transactions by any Federal department or agency;
(b) Have not within a three-year period preceding this application been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection
with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction
or contract under a public transaction; violation of Federal or State antitrust statutes or
commission of embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a government entity
(Federal State or local) with commission of any of these offenses enumerated in paragraph (1)
(b) of this certification; and
(d) Have not within a three-year period preceding this application had one or more public
transactions (Federal, State or local) terminated for cause or default; and
B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall
attach an explanation to this application.
Address: GlrV 01Gi::S—A4uiz�eecd Agent Signature
PA--Tr2-lC.V MG1NZtl1lt—
Printed or Typed Name
F, P-t5- 6*7 grF
Title
rz'o" MAIN 9�-r2fvT
14CA
26
INSTRUCTIONS FOR CERTIFICATION
By signing and submitting this document, the prospective recipient of Federal assistance funds is
providing the certification as set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed
when this transaction was entered into. If it is later determined that the prospective recipient of
Federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies
available to the Federal Government, the department or agency with which this transaction originated
may pursue available remedies, including suspension and/or debarment.
3. The prospective recipient of Federal assistance funds shall provide immediate written notice to the
person to whom this agreement is entered, if at any time the prospective recipient of Federal
assistance funds learns that its certification was erroneous, when submitted or has become
erroneous by reason of changed circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered
transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and
"voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and
Coverage sections of rules implementing Executive Order 12549.
5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that, should
the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless authorized by the department or
agency with which this transaction originated.
6. The prospective recipient of Federal assistance funds further agrees by submitting this proposal that
it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transactions," without modification, in all lower tier covered
transactions and in all solicitations for lower tier covered transactions.
A participant in a covered transaction may rely upon a certification of a prospective participant in a
lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded
from the covered transaction, unless it knows that the certification is erroneous. A participant may
decide the method and frequency by which it determines the eligibility of its principals. Each
participant may, but is not required to, check the List of Parties Excluded from Procurement or Non
Procurement Programs.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of records
in order to render in good faith the certification required by this clause. The knowledge and
information of a participant is not required to exceed that which is normally possessed by a prudent
person in the ordinary course of business dealings.
Except for transactions authorized under Paragraph 5 of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier covered transaction -with a person who is
suspended, debarred, ineligible, or voluntary excluded from participation in this transaction, in
addition to other remedies available to the Federal Government, the department or agency with which
this transaction originated may pursue available remedies, including suspension and/or debarment:.
27
EXHIBIT B
CERTIFICATION REGARDING LOBBYING
Certification for Contracts. Grants. Loans
and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
No Federal. appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or
employee of an agency, a Member of Congress, an officer or employee of Congress,
or an employee of a Member of Congress in connection with the awarding of any
Federal contract, the making of any Federal grant, the making of any Federal loan,
the entering into of any cooperative agreement, and the extension, continuation,
renewal, amendment, or modification of any Federal contract, grant, loan or
cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this Federal contract, grant,
loan, or cooperative agreement, the undersigned shall complete and submit
Standard Form LLL "Disclosure Form to Report Lobbying" in accordance with its
instructions.
3. The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants,
and contracts under grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
4. This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by Section 1352
Title 31, U.S. Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less that $10,000 and not more than $100,000 for
each such failure.
AGREEMENT NUMBER
Gc G
CONT CTOR/BORROWER/AGENCY
M cj"T"lf-- e�
D TITLE OF AUTHORIZED REPRESENTATIVE
SIGNATURE DATE
28
EXHIBIT C
California Emergency Management Agency (Cal EMA)
Fiscal Year (FY) 2011 Grant Assurances
(All HSGP Applicants)
Name of Applicant: CLt- / 0 EW N iT �n� PeAok--
Address: 2000 f4A tl4
City: zo ft>- State: C Zip Code: 2(0 lr'
Telephone Number: lly�—CUy(p Fax Number:
E-Mail Address: by►da a,gP a-fi- �, uc+ 1 �i�i- d1'U
As the duly authorized representative of the applicant, I certify that the applicant named above:
1. Will assure that grant funds will support efforts related to providing an integrated
mechanism to enhance the coordination of national priority efforts to prevent, respond to,
and recover from terrorist attacks, major disasters and other emergencies.
2. Has the legal authority to apply for federal assistance and has the institutional,
managerial and financial capability to ensure proper planning, management and completion
of the grant provided by the U.S. Department of Homeland Security (DHS)/Federal
Emergency Management Agency (FEMA) and sub -granted through the State of California,
Cal EMA.
3. Will assure that grant funds are used for allowable, fair, and reasonable costs only and
will not be transferred between grant programs (for example: State Homeland Security
Program, Urban Area Security Initiative, Citizen Corps Program, and Metropolitan
Medical Response System) or fiscal years.
4. Will comply with any cost sharing commitments included in the FY 2011 Investment
Justifications submitted to DHS/FEMA and Cal EMA, where applicable.
5. Will give the federal government, the General Accounting Office, the Comptroller
General of the United States, the State of California, the Office of Inspector General,
through any authorized representative, access to, and the right to examine, all paper or
electronic records, books, or documents related to the award; and will establish a proper
accounting system in accordance with generally accepted accounting standards and/or
awarding agency directives.
6. Agrees that funds utilized to establish or enhance state and local fusion centers must
support the development of a statewide fusion process that corresponds with the Global
Justice/Homeland Security Advisory Council (HSAC) Fusion Center Guidelines, follow
the federal and state approved privacy policies, and achieve (at a minimum) baseline level
of capability as defined by the Fusion Capability Planning Tool.
7. Will provide progress reports, and other such information as may be required by the
awarding agency, including the Initial Strategy Implementation Plan (ISIP) within 45 days
of the award, and update via the Grant Reporting Tool (GRT) twice each year.
8. Will initiate and complete the work within the applicable time frame' after receipt of
approval from Cal EMA.
29
9. Will maintain procedures to minimize the time elapsing between the award of funds and
the disbursement of funds.
10. Will comply with all regulations applicable to DHS/FEMA grants, including, but not
limited to, 44 CFR, Part 13, Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments including, but not limited to, all
provisions relevant to the payment of interest earned on advances.
11. Will comply with all provisions of 48 CFR, Part 31.2, Federal Acquisition Regulations
(FAR), Contracts with Commercial Organizations.
12. Will establish safeguards to prohibit employees from using their positions for a purpose
that constitutes, or presents the appearance of, personal or organizational conflict of
interest, or personal gain for themselves or others, particularly those with whom they have
family, business, or other ties.
13. Understands and agrees that federal funds will not be used, directly or indirectly, to
support the enactment, repeal, modification or adoption of any law, regulation, or policy, at
any level of government, without the express prior written approval from DHS/FEMA and
Cal EMA.
14. Agrees that, to the extent contractors or subcontractors are utilized, will use small,
minority -owned, women -owned, or disadvantaged business concerns and contractors or
subcontractors to the extent practicable.
15. Will notify Cal EMA of any developments that have a significant impact on award -
supported activities, including changes to key program staff.
16. Will comply, if applicable, with the Lead -Based Paint Poisoning Prevention Act (42
U.S.C. §§ 4801 et seq.) which prohibits the use of lead based paint in construction or
rehabilitation of structures.
17. Will comply, and will assure the compliance of all agents and contractors, with all
federal and state statues relating to civil rights and nondiscrimination. These include, but
are not limited, to:
a. Title VI of the Civil Rights Act of 1964 (P.L. 88-352), as amended, which
prohibits discrimination on the basis of race, color or national origin.
b. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§
1681-1683 and 1685-1686), which prohibits discrimination on the basis of gender.
c. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794),
which prohibits discrimination against individuals with disabilities.
d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101-6107),
which prohibits discrimination on the basis of age.
e. The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended,
relating to nondiscrimination on the basis of drug abuse.
f. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or alcoholism.
g. Sections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290
dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug
abuse patient records.
h. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as
amended, relating to nondiscrimination in the sale, rental or financing of housing.
i. Title 44 Code of Federal Regulations (CFR) Parts 7, 16, and 19 relating to
nondiscrimination.
j. The requirements of any other nondiscrimination provisions in the specific
statute(s) under which the application for federal assistance is being made.
k. The nondiscrimination requirements and all other provisions of the current
edition of the Office of Justice Programs Financial and Administrative Guide for
Grants, M7100.1.
18. In the event that a federal or state court or federal or state administrative agency makes
a finding of discrimination after a due process hearing on the grounds or race, color,
religion, national origin, gender, or disability against a recipient of funds, the recipient will
forward a copy of the finding to Cal EMA, FEMA and the U.S. Department of Justice
Office of Civil Rights, Office of Justice Programs.
19. Will provide an Equal Employment Opportunity Plan, if applicable, to the Department
of Justice Office of Civil Rights within 60 days of grant award.
20. Will comply with the requirements of Titles II and III of the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. § 4601 et seq.
[P.L. 91-646]) which provides for fair and equitable treatment of persons displaced or
whose property is acquired as a result of federal or federally assisted programs. These
requirements apply to all interested in real property acquired for project purposes
regardless of federal participation in purchases. Will also comply with Title 44 CFR, Part
25, Uniform Relocation Assistance and Real Property Acquisition for Federal and
Federally -Assisted Programs.
21. Will comply, if applicable, with the flood insurance purchase requirements of Section
102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients
in a special flood hazard area to participate in the program and to purchase flood insurance
if the total cost of insurable construction and acquisition is $10,000 or more.
22. Will comply with all applicable federal, state, and local environmental and historical
preservation (EHP) requirements. Failure to meet federal, state, and local EHP
requirements and obtain applicable permits may jeopardize federal funding. Applicant will
comply with all conditions placed on any project as the result of the EHP review; any
change to the scope of work of a project will require reevaluation of compliance with these
EHP requirements.
23. Will comply with all regulations applicable to DHS/FEMA grants including, but not
limited to, 44 CFR, Part 10, Environmental Considerations. Applicant will also comply
with all state laws, including the California Environmental Quality Act.
24. Agrees not to undertake any project having the potential to impact the EHP resources
without the prior written approval of DHS/FEMA and Cal EMA including, but not limited
to, ground disturbance, construction, modification to any structure, physical security
enhancements, communications towers, any structure over 50 years old, and purchase
and/or use of any sonar equipment. The subgrantee must comply with all conditions and
restrictions placed on the project as a result of the EHP review. Any construction- related
activities initiated without the necessary EHP review and approval will result in a
noncompliance finding, and may not be eligible for reimbursement with DHS/FEMA/Cal
EMA funding. Any change to the scope of work will require re-evaluation of compliance
with the EHP. If ground -disturbing activities occur during the project implementation, the
subgrantee must ensure monitoring of the disturbance. If any potential archeological
resources are discovered, the subgrantee will immediately cease activity in that area and
notify DHS/FEMA, Cal EMA, and the appropriate State Historic Preservation Office.
31
25. Agrees any construction activities that have been initiated prior to the full
environmental and historic preservation review could result in non-compliance finding.
Subgrantees must complete the FEMA EHP Screening Form (OMB Number 1660-
0 1 15/FEMA Form 024-0-01) and submit it, with all supporting documentation, to Cal
EMA for review. The EHP Screening Form is part of an Information Bulletin available at:
www.fema.gov/doc/govemment/grant/bulletins/info329 final screening_memo.doc
Grantees should submit the FEMA EHP Screening Form for each project as soon as
possible upon receiving their grant award.
26. Will ensure that the facilities under its ownership, lease or supervision, which shall be
utilized in the accomplishment of this project, are not on the Environmental Protection
Agency's (EPAs) List of Violating Facilities, and will notify Cal EMA and FEMA of the
receipt of any communication from the Director of the EPA Office of Federal Activities
indicating if a facility to be used in the project is under consideration for listing by the
EPA.
27. Will provide any information requested by DHS/FEMA and/or Cal EMA to ensure
compliance with applicable laws, including the following:
a. Institution of environmental quality control measures under the National
Environmental Policy Act, National Historical Preservation Act, Archaeological
and Historic Preservation Act, Endangered Species Act, and Executive Orders on
Floodplains (11988), Wetlands (11990), Environmental Justice (12898), and
Environmental Quality (11514).
b. Notification of violating facilities pursuant to EO 11738.
c. Assurance of project consistency with the approved state management program
developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 et
seq.).
d. Conformity of Federal actions to State (Clean Air) Implementation Plans under
Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. § 7401 et
seq.).
e. Protection of underground sources of drinking water under the Safe Drinking
Water Act of 1974, as amended (P.L. 93-523).
f. California Environmental Quality Act (CEQA), California Public Resources
Code Sections 21080-21098: California Code of Regulations (CCR), Title 14,
Chapter 3 Sections 15000-15007.
g. Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.) related to
protecting components or potential components of the national wild and scenic
rivers system.
h. Applicable provisions of the Coastal Barrier Resources Act (P.L. 97-348) dated
October 19, 1982 (16 USC 3501 et seq.), which prohibits the expenditure of most
new federal funds within the units of the Coastal Barrier Resources System.
28. Will comply with Standardized Emergency Management System (SEMS) requirements
as stated in the California Emergency Services Act, Government Code, Chapter 7 of
Division 1 of Title 2, Section 8607.1(e) and CCR Title 19, Sections 2445, 2446, 2447, and
2448.
29. Agrees that all publications created or published with funding under this grant shall
prominently contain the following statement: "This document was prepared under a grant
from FEMA's Grant Programs Directorate, U.S. Department of Homeland Security. 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 FEMA's Grant Programs
Directorate or the U.S. Department of Homeland Security. " The recipient also agrees that,
when practicable, any equipment purchased with grant funding shall be prominently
32
marked as follows: "Purchased with funds provided by the U.S. Department of Homeland
Security. "
30. Acknowledges that DHS/FEMA reserves a royalty -free, nonexclusive, and irrevocable
license to reproduce, publish, or otherwise use, and authorize others to use, for federal
government purposes: a) the copyright in any work developed under an award or sub -
award; and b) any rights of copyright to which a recipient or sub -recipient purchases
ownership with federal support.
31. The recipient agrees to consult with DHS/FEMA and Cal EMA regarding the allocation
of any patent rights that arise from, or are purchased with, this funding.
32. Has requested through the State of California, federal financial assistance to be used to
perform eligible work approved in the submitted application for federal assistance and after
the receipt of federal financial assistance, through the State of California, agrees to the
following:
a. Promptly return to the State of California all the funds received, which exceed
the approved, actual expenditures as accepted by the federal or state government.
b. In the event the approved amount of the grant is reduced, the reimbursement
applicable to the amount of the reduction will be promptly refunded to the State of
California.
c. Separately account for interest earned on grant funds, and will return all interest
earned, in excess of $100 per Federal Fiscal Year.
33. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S C. Sections
4728-4763) relating to prescribed standards for merit systems for programs funded under
one of the 19 statutes or regulations specified in Appendix A of OPM's Standards for a
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
34. Will comply with provisions of the Hatch Act (5 U.S.C. Sections 1501-1508 and 7324-
7328), which limit the political activities of employees whose principal employment
activities are funded in whole or in part with federal funds.
35. Will comply, if applicable, with P.L. 93-348 regarding the protection of human subjects
involved in research, development, and related activities supported by this award of
assistance.
36. Understands and agrees that the applicant, grantees, subgrantees, recipients, sub -
recipients, employees of the applicant, grantees, subgrantees, recipients and subrecipients,
may not:
a. Engage in severe forms of trafficking in persons during the period of time that
the award is in effect;
b. Procure a commercial sex act during the period of time that the award is in
effect; or
c. Use forced labor in the performance of the award or subawards under the award.
Applicant understands and agrees that Cal EMA and/or DHS/FEMA may
unilaterally terminate any award, without penalty, if the subgrantee that is a private
entity:
d. Is determined to have violated a prohibition identified in paragraph 35,
subsections a, b, or c; or
e. Has an employee who is determined by the agency official authorized to
terminate the award to have violated a prohibition in paragraph 35 subsection a, b,
or c through conduct that is either:
i. associated with performance under this award; or
33
ii. imputed to the authorized agent or subrecipient using the standards and
due process for imputing the conduct of an individual to an organization
provided in 2 CFR Part 180, "OMB Guidelines to Agencies on
Government wide Department and Suspension (Non -procurement)," as
implemented by DHS/FEMA at 2 CFR, Part 3000.
And further understands that subgrantees and subrecipients must:
f. Inform Cal EMA immediately of any information received from any source
alleging a violation of a prohibition in paragraph 35 subsection a, b, or c;
g. FEMA's right to terminate unilaterally as described in paragraph 35 implements
section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as
amended (22 USC 7104(g)). The right of FEMA and Cal EMA to terminate this
award unilaterally is in addition to all other remedies for noncompliance that are
available under this award.
h. For purposes of this term:
"Employee" means either:
i. an individual employed by the subgrantee or subrecipient who is
engaged in the performance of the project or program under this award; or
ii. another person engaged in the performance of the project or program
under this award and not compensated by the subgrantee or subrecipient,
including, but not limited to, a volunteer or individual whose services are
contributed by a third party as an in -kind contribution toward cost sharing
or matching requirements.
ii. "Forced labor" means labor obtained by any of the following methods:
the recruitment, harboring, transportation, provision, or obtaining of a
person for labor or services, through the use of force, fraud, or coercion for
the purpose of subjection to involuntary servitude, peonage, debt bondage
or slavery.
iii. "Private entity" means any entity other than a state, local government,
Indian Tribe, or foreign public entity, as those terms are defined in 2 CFR
175.25, and includes non-profit organizations, including any non-profit
institution of higher education, hospital, or tribal organization other than
one included in the definition of Indian Tribe at 2 CFR 175.25(b), and for -
profit organizations.
iv. "Severe forms of trafficking in persons," "commercial sex act," and
"coercion" have the meanings given at section 103 of the TVPA, as
amended (22 USC 7102).
37. Will comply, if applicable, with the Laboratory Animal Welfare Act of 1966 (P. L. 89-
544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care, handling, and treatment of
warm blooded animals held for research, teaching, or other activities supported by this
award of assistance.
38. Will comply with the minimum wage and maximum hour provisions of the Federal Fair
Labor Standards Act (29 U.S.C. 201), as they apply to employees of institutions of higher
education, hospitals, and other non-profit organizations.
39. Agrees that "Classified national security information," as defined in Executive Order
(EO) 12958, as amended, means information that has been determined pursuant to EO
12958 or any predecessor order to require protection against unauthorized disclosure and is
marked to indicate its classified status when in documentary form.
40. Agrees that no funding under this award shall be used to support a contract, subaward,
or other agreement for goods or services that will include access to classified national
security information if the award recipient has not been approved for and has access to
such information.
34
41. Agrees that where an award recipient, grantee, subrecipient, or subgrantee has been
approved for and has access to classified national security information, no funding under
this award shall be used to support a contract, subaward, or other agreement for goods or
services that will include access to classified national security information by the
contractor, subawardee, or other entity without prior written approval from the DHS Office
of Security, Industrial Security Program Branch (ISPB), or, an appropriate official within
the federal department or agency with whom the classified effort will be performed. Such
contracts, subawards, or other agreements shall be processed and administered in
accordance with the DHS "Standard Operating Procedures, Classified Contracting by
States and Local Entities," dated July 7, 2008; EOs 12829, 12958, 12968, as amended; the
National Industrial Security Program Operating Manual (NISPOM); and/or other
applicable implementing directives or instructions. All security requirement documents are
located at: http://www.dhs.gov/xopnbiz/grants/index.shtm.
42. Understands that immediately upon determination by the award recipient that funding
under this award will be used to support such a contract, subaward, or other agreement, and
prior to execution of any actions to facilitate the acquisition of such a contract, subaward,
or other agreement, the award recipient shall contact ISPB, or the applicable federal
department or agency, for approval and processing instructions.
DHS Office of Security ISPB contact information:
Telephone: 202-447-5346
E-mail: DD254AdministrativeSecurity@dhs.gov
Mail: Department of Homeland Security
Office of the Chief Security Officer
ATTN: ASD/Industrial Security Program Branch
Washington, DC 20528
43. Agrees with the requirements regarding Data Universal Numbering System. (DUNS)
Numbers, meaning if recipients are authorized to make subawards under this award, they
must notify potential subrecipients that no entity (see definition in paragraph C of this
award term) may receive or make a subaward to any entity unless the entity has provided
its DUNS number.
a. For purposes of this award term, the following definitions will apply:
i. "Data Universal Numbering System (DUNS)" number means the nine
digit number established and assigned by Dun and Bradstreet, Inc. (D&B)
to uniquely identify business entities. A DUNS number may be obtained
from D&B by telephone (currently 866-705-5711) or the Internet
(currently at http://fedgov.dnb.com/webform).
ii. "Entity", as it is used in this award term, means all of the following, as
defined at 2 CFR part 25, subpart C, as a Governmental organization,
which is a state, local government, or Indian Tribe; or a foreign public
entity; or a domestic or foreign nonprofit organization; or a domestic or
foreign for -profit organization; or a federal agency, but only as a sub -
recipient under an award or subaward to a non-federal entity.
iii. "Subaward" means a legal instrument to provide support for the
performance of any portion of the substantive project or program for which
you received this award and that you as the recipient award to an eligible
subrecipient. It does not include your procurement of property and services
needed to carry out the project or program (for further explanation, see
Sec. 210 of the attachment to OMB Circular A-133, "Audits of States,
Local Governments, and Non -Profit Organizations") and may be provided
through any legal agreement, including an agreement that you consider a
contract.
35
iv. "Subrecipient" means an entity that receives a subaward from you
under this award; and is accountable to you for the use of the federal funds
provided by the subaward.
44. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C.
Section 276a to 276a-7), the Copeland Act (40 U.S.C. Section 276c and 18 U.S.C. Sections
874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. Sections 327-
333), regarding labor standards for federally -assisted construction sub -agreements.
45. Agrees that:
a. No federal appropriated funds have been paid or will be paid, by or on behalf of
the undersigned, to any person for influencing or attempting to influence an officer
or employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with the making
of any federal grant, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any federal grant
or cooperative agreement.
b. If any other funds than federal appropriated funds have been paid or will be paid
to any person for influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, an officer or an employee of Congress, or
employee of a Member of Congress in connection with the federal grant or
cooperative agreement, the undersigned shall complete and submit Standard Form
LLL, "Disclosure of Lobbying Activities," in accordance with its instructions.
c. The undersigned shall require that the language of this certification be included
in the award documents for all sub awards at all tiers including subgrants, contracts
under grants and cooperative agreements, and subcontract(s) and that all sub
recipients shall certify and disclose accordingly.
d. This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this
certification is a prerequisite for making or entering into this transaction imposed
by section 1352, Title 31, U.S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
46. Agrees that equipment acquired or obtained with grant funds:
a. Will be made available pursuant to applicable terms of the California Disaster
and Civil Defense Master Mutual Aid Agreement in consultation with
representatives of the various fire, emergency medical, hazardous materials
response services, and law enforcement agencies within the jurisdiction of the
applicant, and deployed with personnel trained in the use of such equipment in a
manner consistent with the California Law Enforcement Mutual Aid Plan or the
California Fire Services and Rescue Mutual Aid Plan.
b. Is consistent with needs as identified in the State Homeland Security Strategy
and will be deployed in conformance with that Strategy.
47. Agrees that funds awarded under this grant will be used to supplement existing funds
for program activities, and will not supplant (replace) non-federal funds.
48. Will comply with all applicable federal statutes, regulations, policies, guidelines and
requirements, including OMB Circulars A102 and A-133, E.O. 12372 and the current
Administrative Requirements, Cost Principles, and Audit Requirements.
49. Will comply with all provisions of 2 CFR, including: Part 215 Uniform Administrative
Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals,
and Other Non -Profit Organizations (OMB Circular A-110); Part 225 Cost Principles for
36
State, Local and Indian Tribal Governments (OMB Circular A-87); Part 220 Cost
Principles for Educational Institutions (OMB Circular A-21); Part 230 Cost Principles for
Non -Profit Organizations (OMB Circular A-122).
50. Will comply with Subtitle A, Title II of the Americans with Disabilities Act (ADA)
1990.
51. Agrees to cooperate with any assessments, national evaluation efforts, or information or
data collection requests, including, but not limited to, the provision of any information
required for the assessment or evaluation of any activities within this agreement.
52. Will comply with Federal Acquisition Regulations (FAR), part 31.2 Contract Cost
Principles and Procedures, Contracts with Commercial Organizations.
53. Will comply with the financial and administrative requirements set forth in the current
edition of the DHS Financial Management Guide.
54. Agrees that all allocations and use of funds under this grant will be in accordance with
the FY 2011 Homeland Security Grant Program Guidance and Application Kit, and the
California Supplement to the FY 2011 Homeland Security Grant Program Guidance and
Application Kit. All allocations and use of funds under this grant will be in accordance
with the Allocations, and use of grant funding must support the goals and objectives
included in the state and/or Urban Area Homeland Security Strategies as well as the
investments identified in the Investment Justifications which were submitted as part of the
California FY 2011 Homeland Security Grant Program application. Further, use of FY
2011 funds is limited to those investments included in the California FY 2011 Investment
Justifications submitted to DHS/FEMA and Cal EMA and evaluated through the peer
review process.
55. Will not make any award or permit any award (subgrant or contract) to any party that is
debarred or suspended or is otherwise excluded from or ineligible for participation in
federal assistance programs under EOs 12549 and 12689, "Debarment and Suspension".
56. As required by EO 12549, Debarment and Suspension, and implemented at 44 CFR
Part 17, for prospective participants in primary covered transactions, the applicant certifies
that it and its principals:
a. Are not presently debarred, suspended, proposed for debarment, declared
ineligible, sentenced to a denial of federal benefits by a state or federal court, or
voluntarily excluded from covered transactions by any federal department or
agency.
b. Have not within a three-year period preceding this application been convicted of
or had a civil judgment rendered against them for commission of fraud or a
criminal offense in connection with obtaining, attempting to obtain, or performing
a public (federal, state, or local) transaction or contract under a public transaction;
violation of federal or state antitrust statutes or commission of embezzlement,
theft, forgery, bribery, falsification or destruction of records, making false
statements, or receiving stolen property.
c. Are not presently indicted for or otherwise criminally or civilly charged by a
governmental entity (federal, state, or local) with commission of any of the
offenses enumerated in paragraph (1)(b) of this certification; and have not within a
three-year period preceding this application had one or more public transactions
(federal, state, or local) terminated for cause or default; and where the applicant is
unable to certify to any of the statements in this certification, he or she shall attach
an explanation to this application.
37
57. Agrees to comply with the Drug -Free Workplace Act of 1988, and certifies that it will
or will continue to provide a drug -free workplace by:
a. Publishing a statement notifying employees that the unlawful manufacture,
distribution, dispensing, possession, or use of a controlled substance is prohibited
in the grantee's workplace and specifying the actions that will be taken against
employees for violation of such prohibition.
b. Establishing an ongoing drug -free awareness program to inform employees
about:
i. The dangers of drug abuse in the workplace;
ii. The grantee's policy of maintaining a drug -free workplace;
iii. Any available drug counseling, rehabilitation, and employee assistance
programs; and
iv. The penalties that may be imposed upon employees for drug abuse violations
occurring in the workplace.
c. Making it a requirement that each employee engaged in the performance of the
grant be given a copy of the statement required by paragraph (a).
d. Notifying the employee in the statement required by paragraph (a) that, as a
condition of employment under the grant, the employee will:
i. Abide by the terms of the statement; and
ii. Notify the employer in writing of his or her conviction for a violation of
a criminal drug statute occurring in the workplace no later than five
calendar days after such conviction.
e. Notifying Cal EMA, in writing, within 10 calendar days after receiving notice
under subparagraph (d)(ii) from an employee or otherwise receiving actual notice
of such conviction. Employers of convicted employees must provide notice,
including position title, to:
Department of Justice, Office of Justice Programs
ATTN: Control Desk
633 Indiana Avenue, N.W.
Washington, DC 20531
Notice shall include the identification number(s) of each affected grant.
f. Taking one of the following actions, within 30 calendar days of receiving notice
under subparagraph (d)(ii), with respect to any employee who is so convicted.
i. Taking appropriate personnel action against such an employee, up to and
including termination, consistent with the requirements of the
Rehabilitation Act of 1973, as amended; or
ii. Requiring such employee to participate satisfactorily in a drug abuse
assistance or rehabilitation program approved for such purposes by a
federal, state, or local health, law enforcement, or other appropriate
agency.
g. Making a good faith effort to continue to maintain a drug -free workplace
through implementation of paragraph 57 subsections (a), (b), (c), (d), (e), and (f).
58. Will comply with all applicable requirements of all other federal and state laws, EOs,
regulations, program and administrative requirements, policies and any other requirements
governing this program.
59. Understands the reporting of subawards and executive compensation rules, including
first tier subawards to Cal EMA.
a. Applicability: unless you are exempt as provided in subsection (d) of this
paragraph, subrecipient must report each action that obligates $25,000 or more in
Federal funds that does not include Recovery funds (as defined in section
1512(a)(2) of the American Recovery and Reinvestment Act of 2009.
b. Where and when to report: you must report each obligating action described in
the following paragraphs to Cal EMA. For subaward information, report no later
38
than the end of the month following the month in which the obligation was made.
(For example, if the obligation was made on November 7, 2011, the obligation
must be reported by no later than December 31, 2011.)
c. What to report: You must report the information about each obligating action
that the submission instructions posted in Information Bulletin 350, to Cal EMA.
d. Reporting Total Compensation of Recipient Executives: You must report total
compensation for each of your five most highly compensated executives for the
preceding completed fiscal year, if:
i. The total federal funding authorized to date under this award is $25,000
or more;
ii. In the preceding fiscal year, you received 80 percent or more of your
annual gross revenues from federal procurement contracts (and
subcontracts) and federal financial assistance subject to the Transparency
Act, as defined at 2 CFR 170.320 (and subawards); and $25,000,000 or
more in annual gross revenues from federal procurement contracts (and
subcontracts) and federal financial assistance subject to the Transparency
Act, as defined at 2 CFR 170.320 (and subawards); and
iii. The public does not have access to information about the compensation
of the 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 section 6104 of the Internal Revenue Code of 1986. (To determine if the
public has access to the compensation information, see the U.S. Security
and Exchange Commission total compensation filings at
http://www.see.gov/answers/execomp.htm.)
iv. Subrecipient Executives. Unless you are exempt as provided above, for
each first -tier subrecipient under this award, you shall report the names and
total compensation of each of the subrecipient's five most highly
compensated executives for the subrecipient's preceding completed fiscal
year, if in the subrecipient's preceding fiscal year, the subrecipient received
80 percent or more of its annual gross revenues from federal procurement
contracts (and subcontracts) and federal financial assistance subject to the
Transparency Act, as defined at 2 CFR 170.320 (and subawards); and
$25,000,000 or more in annual gross revenues from federal procurement
contracts (and subcontracts), and federal financial assistance subject to the
Transparency Act (and subawards); and the public does not have access to
information about the compensation of the 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 section 6104 of the Internal Revenue
Code of 1986. (To determine if the public has access to the compensation
information, see the U.S. Security and Exchange Commission total
compensation filings at http://www.sec.gov/answers/execomp.httn.)You
must report subrecipient executive total compensation to Cal EMA by the
end of the month following the month during which you make the
subaward. For example, if a subaward is obligated on any date during the
month of October of a given year (i.e., between October 1 and 31), you
must report any required compensation information of the subrecipient by
November 30 of that year.
60. Exemptions to Paragraph 59 include: If, in the previous tax year, you had gross income,
from all sources, under $300,000, you are exempt from the requirements to report on
subawards, and the total compensation of the five most highly compensated executives of
any subrecipient.
a. Definitions associated with paragraph 59 include:
i. "Executive" means officers, managing partners, or any other employees
in management positions.
39
ii. "Total compensation" means the cash and noncash dollar value earned
by the executive during the recipient's or subrecipient's preceding fiscal
year and includes the following (for more information see 17 CFR
229.402(c)(2)):
■ Salary and bonus.
• Awards of stock, stock options, and stock appreciation rights. Use 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 2004) (FAS 123R), Shared Based
Payments.
Earnings for services under non -equity incentive plans. This does not
include group life, health, hospitalization or medical reimbursement plans
that do not discriminate in favor of executives, and are available generally
to all salaried employees.
■ Change in pension value. This is the change in present value of defined
benefit and actuarial pension plans.
■ Above -market earnings on deferred compensation which is not tax -
qualified.
■ 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.
61. Understands that failure to comply with any of the above assurances may result in
suspension, termination, or reduction of grant funds.
The undersigned represents that he/she is authorized by the above named applicant to enter into this
agreement for and on behalf of the said applicant.
Signature of Authorized A ent:
Printed Name of Authorized Agent: PM-PLCG�L,tc_ rIf-
Title: F1 a�O- GN-1E1= Date:
M