HomeMy WebLinkAbout2018-59 - Approving the Agreement for Transfer or Purchase of Equipment/Services or For Reimbursement of Training Costs for Fiscal Year 2017 Urban Areas Security Initiative (UASI) Between the City Of Newport Beach and the City Of Santa AnaRESOLUTION NO. 2018-59
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF NEWPORT
BEACH, CALIFORNIA, APPROVING THE AGREEMENT FOR
TRANSFER OR PURCHASE OF EQUIPMENT/SERVICES OR FOR
REIMBURSEMENT OF TRAINING COSTS FOR FISCAL YEAR 2017
URBAN AREAS SECURITY INITIATIVE (UASI) BETWEEN THE CITY
OF NEWPORT BEACH AND THE CITY OF SANTA ANA
WHEREAS, the Federal Urban Areas Security Initiative ("UASI") Grant Program
dedicates funding support to select high -threat, high-density urban areas in order to
address their unique multi -discipline planning, organization, equipment, training, and
exercise needs to prevent, protect against, respond to, and recover from threats or acts
of terrorism;
WHEREAS, the City of Santa Ana, acting through the Santa Ana Police
Department in its capacity as a "Core City" for the Anaheim/Santa Ana Urban Area under
the Fiscal Year 2017 UASI Grant Program, has applied for, received and accepted a
$4,344,000 grant ("Grant Funds") entitled "Fiscal Year 2017 Urban Areas Security
Initiative" from the Federal Department of Homeland Security ("DHS") Federal Emergency
Management Agency ("FEMA"), through the State of California Governor's Office of
Emergency Services ("Cal OES"), for use in the County of Orange to provide for terrorism
prevention and enhancement of countywide emergency preparedness;
WHEREAS, the City of Santa Ana is the administrator of the Fiscal Year 2017
UASI Grant Program and distribution of the Grant Funds. The City of Santa Ana desires
to distribute a portion of the Grant Funds to the City of Newport Beach ("City") in
accordance with the terms and provisions of that certain "Agreement for Transfer or
Purchase of Equipment/Services or for Reimbursement of Training Costs for FY2017
Urban Areas Security Initiative (UASI)" in the form attached hereto as Exhibit 1 (the
"Agreement"); and
WHEREAS, the City desires to enter into the Agreement and to use such Grant
Funds as are made available to the City by the City of Santa Ana in accordance with the
terms and provisions of the Agreement for the purpose of, among other things, providing
its first responders with equipment and training to better prepare for a terrorist threat or
attack and/or natural disaster.
NOW, THEREFORE, the City Council of the City of Newport Beach resolves as
follows:
Section 1: The City Council does hereby approve the Agreement between the
City of Santa Ana and the City, in the form attached hereto as Exhibit 1.
Section 2: The City Manager is authorized and directed to execute the
Agreement on behalf of the City and to take such other actions as are consistent with and
deemed necessary by the City Manager in consultation with the Fire Chief (or his duly
authorized designee) to implement the Agreement, including the execution of all
certifications, disclosures, grant assurances, documents, agreements, reports and
instruments required under the Agreement and to administer the City's obligations,
responsibilities and duties to be performed hereunder and under the Agreement.
Resolution 2018-59
Page 2 of 2
Section 3: The City Manager in consultation with the Fire Chief (or his duly
authorized designee) is further authorized and directed to use such Grant Funds for
eligible activities as approved by the City of Santa Ana, DHS, FEMA and/or Cal OES and
in accordance with the terms and provisions of the Agreement.
Section 4: The recitals provided in this resolution are true and correct and are
incorporated into the operative part of this resolution.
Section 5: If any section, subsection, sentence, clause or phrase of this resolution
is, for any reason, held to be invalid or unconstitutional, such decision shall not affect the
validity or constitutionality of the remaining portions of this resolution. The City Council
hereby declares that it would have passed this resolution, and each section, subsection,
sentence, clause or phrase hereof, irrespective of the fact that any one or more sections,
subsections, sentences, clauses or phrases be declared invalid or unconstitutional.
Section 6: The City Council finds the adoption of this resolution is not subject to
the California Environmental Quality Act ("CEQA") pursuant to Sections 15060(c)(2) (the
activity will not result in a direct or reasonably foreseeable indirect physical change in the
environment) and 15060(c)(3) (the activity is not a project as defined in Section 15378)
of the CEQA Guidelines, California Code of Regulations, Title 14, Chapter 3, because it
has no potential for resulting in physical change to the environment, directly or indirectly;
and is not a "project" as defined in Section 15378 of the CEQA Guidelines.
Section 7: This Resolution shall take effect immediately upon its adoption by
the City Council, and the City Clerk shall certify the vote adopting the Resolution.
ADOPTED this 14th day of August, 2018.
ATTEST:
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Leilani I. Brown
City Clerk
APPROVED AS TO FORM:
CITY ATTORNEY'S OFFICE
Fo+(Aaron C. Harp
City Attorney
Attachment: Exhibit 1 —Agreement
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Marshall "D " Duffield
Mayor
AGREEMENT
SUB -RECIPIENT: CITY OF NEWPORT BEACH
City Contract Number
Section Description
TABLE OF CONTENTS
I
INTRODUCTION
Page
§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
11
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
Pape
§410.
Indemnification
11
§411.
Conflict of Interest
11
§412.
Restriction on Disclosures
13
§413.
Statutes and Regulations Applicable to All Grant Contracts
13
§414.
Federal, State, and Local Taxes
20
§415.
Inventions, Patents and Copyrights
20
§416.
MBENVBE
22
V
DEFAULTS, SUSPENSION, TERMINATION AND AMENDMENTS
§501. Defaults 23
§502. Amendments 23
V
ENTIRE AGREEMENT
§601. Complete Agreement 24
§602. Number of Pages and Attachments 24
Execution (Signature) Page 25
EXHIBITS
Exhibit A Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transactions
Exhibit B Certification Regarding Lobbying
Exhibit C Grant Assurances
Agreement Number:
AGREEMENT FOR TRANSFER OR PURCHASE OF EQUIPMENT/SERVICES OR FOR
REIMBURSEMENT OF TRAINING COSTS
FOR FY2017 URBAN AREAS SECURITY INITIATIVE (UASI)
BETWEEN
THE CITY OF SANTA ANA
AND CITY OF NEWPORT BEACH
THIS AGREEMENT is made and entered into this Wh day of March, 2018, by and
between the CITY OF SANTA ANA, a municipal corporation (the "CITY"), and CITY OF
NEWPORT 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 FY17 Urban
Areas Security Initiative, has applied for, received and accepted a grant entitled "FY
2017 Urban Areas Security Initiative" from the federal Department Of Homeland
Security(DHS) Federal Emergency Management Agency (FEMA), through the State of
California Governor's Office of Emergency Services (CalOES), 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:
"U.S. Department of Homeland Security "Fiscal Year 2017 Homeland Security Grant
Program (HSGP) Notice of Funding Opportunity (NOFO)"
https:/Iwww,fema.gov/media-library-data/14966918SS715
4d78d65ebb3OO9OOce6c94S93leff2c6/FY 2017 HSGP NOFO 20170601v2014 605._d
California Governor's Office of Emergency Services "FY2017 Homeland Security Grant
Program: California Supplement to Federal Program Guidance and Application Kit"
htt p://www. sa coes.org/Documents/FY%202017%20HSG PP62OState"7 20G u ida nces. pdf?I D=76
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 Governor's Office of Emergency
Services ("Cal-OES"); 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 ("ASAUA") 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 FYI UASI
Grant of $4,344,000 ("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, or his designee 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 FYI UASI Grant
Funds throughout the ASAUA, as further detailed in this Agreement ("Agreement") to
CITY OF NEWPORT 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:
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 NEWPORT BEACH, a municipal corporation, 100 Civic Center Drive,
Newport Beach, CA 92660
§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) 245-8098
kgominsky@santa-ana.org
2. The representative of CITY OF NEWPORT BEACH shall be:
Katie Eing, Emergency Services Coordinator
CITY OF NEWPORT BEACH
100 Civic Center Drive, Newport Beach, CA 92660
Phone: (949) 644-3109
E-mail: keing@nbfd.net
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.
n
TERM AND SERVICES TO BE PROVIDED
§201. Time of Performance
The term of this Agreement shall commence on March 28, 2018 and end on
March 31, 2020 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, copies of the document will be provided
electronically 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
7138/fema preparedness grants authorized equipment list.pdf, 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 17 UASI Grant
can be found at 2 Code of Federal Regulations (CFR) Part 200 "Uniform
Administrative Requirements, Cost Principles, and Audit Requirements for
Federal Awards."
Any equipment acquired or obtained with Grant Funds:
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 Core 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 2 CFR Part 200.313 and
200.314. 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.
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.
Shall be recorded on a ledger. The record shall include: (a)
description of the item of Equipment, (b) a serial number or other
identification number, (c) the source of funding for the property
(including the FAIN), (d) who holds the title, (e) the acquisition date,
(f) the cost of the property, (g) percentage of Federal participation in
the project costs for the Federal award under which the property was
acquired, (h) location, (i) use and condition of Equipment, and (j)
ultimate disposition data including the date of disposal and sale price
of the property. Records must be retained pursuant to 2 CFR Part
200.313.
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 two years.
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.
11. SUB -RECIPIENT shall identify a Point -of -Contact (POC) to be
responsible for all Equipment prior to the receipt of the item(s). POC will
serve as the custodian of the Equipment. SUB -RECIPIENT shall notify
the CITY of any change in the POC and assume the responsibility of
advising the new custodian of all UASI grant program guidelines and
requirements.
D. Any training paid pursuant to this Agreement shall conform to the guidelines
as listed in FY 2017 Homeland Security Grant Program, as set forth above.
All training expenses must be pre -authorized by Cal-OES at
http://www.firstrespondertraining.gov/admin. A catalogue of Grantor
approved and sponsored training courses is available at
hftp://www.firstrespondertraining.gov/odp—webforms.
E. Any exercise paid pursuant to this Agreement shall conform to the guidelines as
listed in FY 2017 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 2017 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 2017 Homeland Security Grant Program, as set
forth above.
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. 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 invoices to the CITY requesting payment and all
supporting documentation. Each reimbursement request shall be
accompanied by the Reimbursement Request for Grant Expenditures detailing
the expenditures made by SUB -RECIPIENT as authorized by Section 202
above. Each reimbursement request shall be submitted to the Santa Ana UASI
Grant Office. 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 CalOES 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
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 partys 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 ancestry,
familial status, race, color, religious creed (including religious dress and
grooming practices), sex (which includes pregnancy, childbirth,
breastfeeding, and medical conditions related to pregnancy, childbirth, or
breastfeeding), gender, gender identity, gender expression, sexual
orientation, marital status, national origin, ancestry, mental or physical
disability, genetic information, medical condition, age, pregnancy, denial of
medical and family care leave, or pregnancy disability (California
Government Code §§ 12490, 12945, 12945.2), military or veteran status,
and/or retaliation for protesting illegal discrimination related to one of these
categories, or for reporting patient abuse in tax supported institutions.. SUB -
RECIPIENT shall comply with Executive Order 11246, entitled "Equal
10
Employment Opportunity," as amended by Executive Order 11375, and as
supplemented in Department of Labor regulations (41 CRF Part 60).
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 hftp://www.ojp.usdoj.gov/ocr/eeop.htm,
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 § 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. SUB -RECIPIENT must provide a copy of performance
bond to CITY no later than the time of reimbursement.
§410. Indemnification
Each of the parties to this Agreement is a public entity. In contemplation of the
provisions of Section 895.2 of the Govemment 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. 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.
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.
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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
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:
1. Office of Management and Budget (OMB)
SUB -RECIPIENT shall comply with 2 Code of Federal Regulation
(CFR) Part 200 (Uniform Administrative, Cost Principles, and Audit
Requirements for Federal Awards).
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.; Title 2 Code of Federal
Regulations, Part 200, Subpart F Audit Requirements; and any
administrative regulation or field memos implementing the Act. When
reporting under on the FY17 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 2017-0083; and identify
the CITY OF SANTA ANA as the Pass -Through.
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3. Americans with Disabilities Act
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
In accordance with 2 CFR §200.336,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
14
audit, examine and make excerpts or transcripts from records,
including SUB -RECIPIENT'S invoices, 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 specked
in this Agreement. Such records shall be retained for a period of
three (3) years after the CITY receives notification of grant closeout
from CalOES 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.
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, as applicable, with the provisions of
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).
15
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.
SUB -RECIPIENT shall comply with provisions which require every
employer to be insured to protect workers who may be injured on the
job at all times during the performance of the work of this Agreement,
as per the workers compensation laws set forth in California Labor
Code §§ 3700 et seq.
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 against
those with disabilities or access and functional needs; (d) The Age
Discrimination act of 1975, as amended (42 U.S.C. §§6101-6107),
which prohibits discrimination on the basis of age; (e) Public Health
Service Act of 1912 (42 U.S.C. §§ 290), relatrigtoconfdentialkyofpatient
records regarding substance abuse treatment (f1 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 as
implemented by the Department of Housing and Urban Development
at 24 C.F.R. Part 100. The prohibition on disability discrimination
includes the requirement that new multifamily housing with four or
more dwelling units-i.e., the public and common use areas and
individual apartment units (all units in buildings with elevators and
ground floor units in buildings without elevators) -be designed and
constructed with certain accessible features (See 24 C.F.R. §
100.201); (g) Executive Order 11246, which prohibits federal
contractors and federally assisted construction contractors and
subcontractors, who do over $10,000 in Government business in one
year from discriminating in employment decisions on the basis of
race, color, religion, sex, sexual orientation, gender identification, or
national origin; (h) Executive Order 11375, which bans discrimination
on the basis of race, color, religion, sex, sexual orientation, gender
identification, or national origin in hiring and employment in both the
United States federal workforce and on the part of government
contractors; (i) California Public Contract Code §10295.3, which
prohibits discrimination based on domestic partnerships and those in
same sex marriages; (j) DHS policy to ensure the equal treatment of
faith -based organizations, under which all applicants and recipients
must comply with equal treatment policies and requirements
contained in 6 C.F.R. Part 19; (k) Any other nondiscrimination
provisions in the speck statute(s) under which application for federal
assistance is being made; and (1) The requirements of any other
nondiscrimination statute(s) which may apply to the application.
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
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); the Council on
Environmental Quality Regulations for Implementing the Procedural
Provisions of NEPA; and Executive Order 12898 which focuses on
the environmental and human health effects of federal actions on
minority and low-income populations with the goal of achieving
environmental protection for all communities; (b) Executive Order
(EO) 11514; (c) notification of violating facilities pursuant to EO
11738; (d) protection of wetlands pursuant to EO 11990; (e)
evaluation of flood hazards in floodplains in accordance with EO
11988; (f) 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.); (g)
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.), (h) protection of
underground sources of drinking water under the Safe Drinking
Water Act of 1974, as amended (P.L. 93-523); (i) 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.
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SUB -RECIPIENT shall comply with the Federal Water Pollution
Control Act (33 U.S.C. 1251-1387) which restores and maintains the
chemical, physical and biological integrity of the Nation's waters.
SUB -RECIPIENT shall comply with the Federal Clean Water Act
(CWA) (33 U.S.0 §1251 et seq.), which establishes the basic
structure for regulating discharges of pollutants into the waters of the
United States and regulating quality standards for surface waters.
SUB -RECIPIENT shall comply with Federal Clean Air Act of 1955 (42
U.S.C. § 7401) which regulates air emissions from stationary and
mobile sources.
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.
SUB -RECIPIENT shall comply with the Energy Policy and
Conservation Act (P.L. 94-163, 89 Stat. 871).
SUB -RECIPIENT shall not be: (1) in violation of any order or
resolution promulgated by the State Air Resources Board or an air
pollution district; (2) subject to a cease and desist order pursuant to §
13301 of the Califomia Water Code for violation of waste discharge
requirements or discharge prohibitions; or (3) determined to be in
violation of federal law relating to air or water pollution.
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., CEQA Guidelines
(California Code of Regulations, Title 14 Division 6, Chapter 3, §§
15000-15387), and is not impacting the environment negatively.
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 -
K
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.
As required by Executive Orders (EO) 12549 and 12689, and 2 CFR
§200.212 and codified in 2 CFR Part 180, Debarment and Suspension,
SUB -RECIPIENT will provide protection against waste, fraud and
abuse by debarring or suspending those persons deemed
irresponsible in their dealings with the Federal government.
13. Drug -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. Financial Management
SUB -RECIPIENT will comply with 31 U.S.0 §3729 which sets forth
that no subgrantee, recipient or subrecipient shall submit a false
claim for payment, reimbursement or advance.
15. Reporting — Accountability
SUB -RECIPIENT agrees to comply with applicable provisions of the
Federal Funding Accountability and Transparency Act (FFATA) (2
CFR Chapter 1, Part 170), specifically (a) the reporting ofsubawards
obligating $25,000 or more in federal funds and (b) executive
compensation data for first-tier subawards. This includes the
provisions of FFATA, which includes requirements on executive
compensation, and also requirements implementing the Act for the
non -Federal entity at 2 CFR part 25 Financial Assistance Use of
Universal Identifier and Central Contractor Registration and 2 CFR
part 170 Reporting Subaward and Executive Compensation
Information.
SUB -RECIPIENT must also comply with statutory requirements for
whistleblower protections at 10 U.S.C. §2409, 41 U.S.C. §4712, and
10 U.S.C. §2324, 41 U.S.C. §4304 and §4310 and 31 U.S.C. §6101
et seq.
E
16. Human Trafficking
SUB -RECIPIENT will comply with the requirements of Section
106(g) of the Trafficking Victims Protection Act (NPA) of 2000, as
amended (22 U.S.C. §7104) which prohibits grant award recipients
or a subrecipient from (1) Engaging in severe forms of trafficking in
persons during the period of time that the award is in effect (2)
Procuring a commercial sex act during the period of time that the
award is in effect or (3) Using forced labor in the performance of the
award or subawards under the award.
17. Freedom of Information Act
SUB -RECIPIENT acknowledges that all information submitted in
the course of applying for funding under this program or provided
in the course of an entity's grant management activities which is
under Federal control is subject to the Freedom of Information Act
(FOIA), 5 U.S.C. §552. SUB -RECIPIENT should also consult State
and local laws and regulations regarding the release of
information, which should be considered when reporting sensitive
matters in the grant application, needs assessment and strategic
planning process.
18. California Public Records Act
SUB -RECIPIENT acknowledges that all information submitted in
the course of applying for funding under this program or provided
in the course fo an entity's grant management activities may be
subject to the California Public Records Act (California
Government Code §§6250-6276.48), which requires inspection
and/or disclosure of governmental records to the public upon
request, unless exempted by law.
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 2 Code of Federal Regulations (CFR) Part 200; EO 12372;
Department of Justice (DOJ) Office of Judicial Programs (OJP) Office
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
2017 Homeland Security Grant Program —Notice of Funding
Opportunity; ODP WMD Training Course Catalogue, and DOJ Office
for Civil Rights.
?0
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).
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.
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 under 5 U.S.0
5701-11, ("Travel and Subsistence Expenses; Mileage
Allowances"), or by the Administrator of General Services, or by
the President (or his or her designee) pursuant to any provisions
of such subchapter must apply to travel under federal awards (48
CFR 31.205-46(a)).
21
3. Personally Identifiable Information
SUB -RECIPIENT collecting Personally Identifiable Information
(PI I) must have a publically-available policy that describes what
Pit they collect, how they plan to use the PI I, whether they share
Pit with third parties, and how individuals may have their PII
corrected where appropriate. DHS defines personally identifiable
information (PII) as any information that permits the identity of an
individual to be directly or indirectly inferred, including any
information that is linked or linkable to that individual.
4. Hotel and Motel Fire Safety Act of 1990
SUB -RECIPIENT must ensure that all conference, meeting,
convention, or training space funded in whole or in part with
Federal funds complies with Section 6 of the fire prevention and
control guidelines of the Federal Fire Prevention and Control Act
of 1974, 15 U.S.C. §2225a.
Terrorist Financing E.O. 13224
SUB -RECIPIENT must comply with U.S. Executive Order 13224
and U.S. law that prohibit transactions with, and the provisions of
resources and support to, individuals and organizations
associated with terrorism.
6. USA Patriot Act of 2001
SUB -RECIPIENT must comply with the requirements of the
Uniting and Strengthening America by Providing Appropriate
Tools Required to Intercept and Obstruct Terrorism Act (USA
Patriot Act), which amends 18 U.S.C. §§175-175c.
7. Acknowledgement of Federal Funding from DHS
SUB -RECIPIENT must acknowledge their use of federal funding
when issuing statements, press releases, requests for proposals,
bid invitations, and other documents describing projects or
programs funded in whole or in part with federal funds.
8. Federal Debt Status
SUB -RECIPIENT is required to be non -delinquent in their
repayment of any federal debt. Examples of relevant debt include
delinquent payroll and other taxes, audit disallowances, and
benefit overpayments. See OMB Circular A-129.
9. Fly America Act of 1974
SUB -RECIPIENT must comply with Preference for U.S. Flag Air
Carriers: (air carriers holding certificates under 49 U.S.C. §
41102) for international air transportation of people and property
to the extent that such service is available, in accordance with the
International Air Transportation Fair Competitive Practices Act of
1974 (49 U.S.C. § 40118) and the interpretative guidelines issued
by the Comptroller General of the United States in the March 31,
1981, amendment to Comptroller General Decision B-138942
10. 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
21
System, which is based on Ch. 18 of title 35 U.S.C. Sections 200, et seq.
(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.
SUB -RECIPIENT shall comply with all applicable requirements in the
Code of Federal Regulations related to copyrights and copyright
policy.
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)).
24
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 subcontracts.
F. Patents and Intellectual Property Rights
Unless otherwise provided by law, SUB -RECIPIENT is subject to the Bayh-
Dole Act, Pub. L. No. 96-517, as amended, and codified in 35 U.S.C. § 200 et
seq. SUB -RECIPIENT is subject to the specific requirements governing the
development, reporting, and disposition of rights to inventions and patents
resulting from financial assistance awards located at 37 C.F.R. Part 401 and
the standard patent rights clause located at 37 C.F.R. § 401.14.
§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.
25
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.
26
VI
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-seven (28) pages and
three (3) Exhibits which constitute the entire understanding and agreement of the
parties.
27
IN WITNESS WHEREOF, the City and CITY OF NEWPORT BEACH have caused this
Agreement to be executed by their duly authorized representatives on the date first set
forth above.
By:
Maria D. Huizar
Clerk of the Council
RECOMMENDED FOR APPROVAL:
By:
David Valentin
Acting Chief of Police
APPROVED AS TO FORM:
Tamara Bogosian
Assistant City Attorney
28
CITY OF SANTA ANA, a municipal
Corporation of the State of California
0
Raul Godinez II
City Manager
SUB -RECIPIENT
CITY OF NEWPORT BEACH
DUNS # 06-0752482
By:
Printed Name
Title
APPROVED
By
Printed Nan-fe
Title W766& DaAVY ci`7Y X7Quk,/
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 govemment 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.
Authorized Agent Signature
Printed or Typed Name
29
INSTRUCTIONS FOR CERTIFICATION
1. 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.
7. 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.
9. 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.
30
EXHIBIT B
CERTIFICATION REGARDING LOBBYING
Certification for Contracts. Grants. Loans
and C000erative Aareements
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 than $10,000 and not more than $100,000 for
each such failure.
AGREEMENT NUMBER
CONTRACTOR/BORROWER/AGENCY
NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
SIGNATURE DATE
31
EXHIBIT C
California Governor's Office of Emergency Services
Standard Assurances
(For All Cal OES Federal Grant Programs)
Name of Applicant:
Address:
City:
Telephone Number:
E -Mail Address:
State:
Fax Number:
Zip Code:
As the duly authorized representative of the Applicant, I hereby certify that the
Applicant has the legal authority to apply for Federal assistance and the institutional,
managerial and financial capability (including funds sufficient to pay any non -Federal
share of project cost) to ensure proper planning, management and completion of the
project described in this application, within prescribed timelines.
I further acknowledge that the Applicant is responsible for reviewing and adhering
to all requirements within the:
(a) Applicable Federal Regulations (see below);
(b) Federal Program Notice of Funding Opportunity (NOFO),
(c) California Supplement to the NOFO; and
(d) Federal and State Grant Program Guidelines.
Federal Regulations
Government cost principles, uniform administrative requirements and audit requirements
for federal grant programs are housed in Title 2, Part 200 of the Code of Federal
Regulations (CFR) and in updates issued by the Office of Management and Budget
(OMB) on http://www.whitehouse.gov/omb/.
Significant state and federal grant award requirements (some of which appear in the
documents listed above) are called out below. The Applicant hereby agrees to
comply with the following:
1. Proof of Authority
The Applicant will obtain written authorization from the city council, governing board or
authorized body in support of this project. This written authorization must specify that the
Applicant and the city council, governing board or authorized body agree:
(a) To provide all matching funds required for said project and that any cash match will be
appropriated as required.
(b) Any liability arising out of the performance of this agreement shall be the responsibility
of the Applicant and the city council, governing board or authorized body.
(c) Grant funds shall not be used to supplant expenditures controlled by the city council,
governing board or authorized body.
(d) The official executing this agreement is, in fact, authorized to do so.
This Proof of Authority must be maintained on file and readily available upon request.
2. Period of Performance
The Applicant will initiate work after approval of the award and complete all work within the
period of performance specified in the grant.
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3. Lobbying and Political Activities
As required by Section 1352, Title 31 of the United States Code (U.S.C.), for persons
entering into a contract, grant, loan or cooperative agreement from an agency or
requests or receives from an agency a commitment providing for the United States to
insure or guarantee a loan, the Applicant certifies 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 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.
(b) 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.
(c) 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.
The Applicant will also comply with provisions of the Hatch Act (5 U.S.C. §§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.
Finally, the Applicant 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 without the express written approval from the California Governor's Office of
Emergency Services (Cal OES) or the federal awarding agency.
4. Debarment and Suspension
As required by Executive Orders 12549 and 12689, and 2 C.F.R. §200.212 and
codified in 2 C.F.R. Part 180, Debarment and Suspension, the Applicant will provide
protection against waste, fraud, and abuse by debarring or suspending those
persons deemed irresponsible in their dealings with the federal government. The
Applicant certifies that it and its principal, subgantees, recipients or subrecipients:
(a) Are not presently debarred, suspended, proposed for debarment, declared
ineligible, 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,
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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 (2)(b) of this certification; and
(d) Have not within a three-year period preceding this application had one or
more public transaction (federal, state, or local) terminated for cause or
default.
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.
5. Non -Discrimination and Equal Employment Opportunity
The Applicant will comply with all federal statutes relating to non-discrimination.
These include, but are not limited to, the following:
(a) Title VI of the Civil Rights Act of 1964 (Public Law (P.L.) 88-352 and 42
U.S.C. §2000d et. seq.) which prohibits discrimination on the basis of race,
color, or national origin and requires that recipients of federal financial
assistance take reasonable steps to provide meaningful access to persons
with limited English proficiency (LEP) to their programs and services;
(b) Title IX of the Education Amendments of 1972, (20 U.S.C. §§1681-1683, and
1685-1686), which prohibits discrimination on the basis of sex in any
federally funded educational program or activity;
(c) Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. §794), which
prohibits discrimination against those with disabilities or access and
functional needs;
(d) Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination
on the basis of disability and requires buildings and structures be accessible
to those with disabilities and access and functional needs (42 U.S.C. §§
12101-12213.);
(e) Age Discrimination Act of 1975, (42 U.S.C. §§ 6101-6107), which prohibits
discrimination on the basis of age;
(f) Public Health Service Act of 1912 (42 U.S.C. §§ 290), relating to
confidentiality of patient records regarding substance abuse treatment,
(g) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §3601 et seq.), relating to
nondiscrimination in the sale, rental or financing of housing as implemented
by the Department of Housing and Urban Development at 24 C.F.R. Part
100. The prohibition on disability discrimination includes the requirement that
new multifamily housing with four or more dwelling units—i.e., the public and
common use areas and individual apartment units (all units in buildings with
elevators and ground -floor units in buildings without elevators)— be
designed and constructed with certain accessible features (See 24 C.F.R. §
100.201);
(h) Executive Order 11246, which prohibits federal contractors and federally
assisted construction contractors and subcontractors, who do over $10,000
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in Government business in one year from discriminating in employment
decisions on the basis of race, color, religion, sex, sexual orientation, gender
identification, or national origin;
(i) Executive Order 11375, which bans discrimination on the basis of race,
color, religion, sex, sexual orientation, gender identification, or national
origin in hiring and employment in both the United States federal workforce
and on the part of government contractors;
Q) California Public Contract Code §10295.3, which prohibits discrimination
based on domestic partnerships and those in same sex marriages;
(k) DHS policy to ensure the equal treatment of faith -based organizations,
under which all applicants and recipients must comply with equal
treatment policies and requirements contained in 6 C.F.R. Part 19;
(1) Any other nondiscrimination provisions in the specific statute(s) under which
application for federal assistance is being made; and
(m)The requirements of any other nondiscrimination statute(s) which
may apply to the application.
In addition to the items listed in (a) through (m), the Applicant will comply with
California's Fair Employment and Housing Act (FEHA). FEHA prohibits harassment
and discrimination in employment because of ancestry, familial status, race, color,
religious creed (including religious dress and grooming practices), sex (which includes
pregnancy, childbirth, breastfeeding and medical conditions related to pregnancy,
childbirth, or breastfeeding), gender, gender identity, gender expression, sexual
orientation, marital status, national origin, ancestry, mental and physical disability,
genetic information, medical condition, age, pregnancy, denial of medical and family
care leave, or pregnancy disability leave (California Government Code §§ 12940,
12945, 12945.2), military and veteran status, and/or retaliation for protesting illegal
discrimination related to one of these categories, or for reporting patient abuse in tax
supported institutions.
6. Drug -Free Workplace
As required by the Drug -Free Workplace Act of 1988 (41 U.S.C. §701 et seq.), the
Applicant certifies that it will maintain a drug-free workplace and a drug-free
awareness program as outlined in the Act.
7. Environmental Standards
The Applicant will comply with state and federal environmental standards, which may
be prescribed pursuant to the following, as applicable:
(a) California Environmental Quality Act (CEQA) (California Public Resources
Code §§ 21000- 21177), to include coordination with the city or county
planning agency;
(b) CEQA Guidelines (California Code of Regulations, Title 14, Division 6,
Chapter 3, §§ 15000- 15387);
(c) Federal Clean Water Act (CWA) (33 U.S.C. § 1251 et seq.), which
establishes the basic structure for regulating discharges of pollutants into
the waters of the United States and regulating quality standards for
surface waters;
(d) Federal Clean Air Act of 1955 (42 U.S.C. § 7401) which regulates air
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emissions from stationary and mobile sources;
(e) Institution of environmental quality control measures under the National
Environmental Policy Act (NEPA) of 1969 (P.L. 91-190); the Council on
Environmental Quality Regulations for Implementing the Procedural
Provisions of NEPA; and Executive Order 12898 which focuses on the
environmental and human health effects of federal actions on minority and
low-income populations with the goal of achieving environmental protection
for all communities;
(f) Evaluation of flood hazards in floodplains in accordance with Executive Order
11988;
(g) Executive Order 11514 which sets forth national environmental standards;
(h) Executive Order 11738 instituted to assure that each federal agency
empowered to enter into contracts for the procurement of goods, materials, or
services and each federal agency empowered to extend federal assistance
by way of grant, loan, or contract shall undertake such procurement and
assistance activities in a manner that will result in effective enforcement of
the Clean Air Act and the Federal Water Pollution Control Act Executive
Order 11990 which requires preservation of wetlands;
(i) The Safe Drinking Water Act of 1974, (P.L. 93-523);
(j) The Endangered Species Act of 1973, (P.L. 93-205);
(k) Assurance of project consistency with the approved state management
program developed under the Coastal Zone Management Act of 1972 (16
U.S.C. §§1451 etseq.);
(1) Conformity of Federal Actions to State (Clear Air) Implementation Plans
under Section 176(c) of the Clean Air Act of 1955, as amended (42
U.S.C. §§7401 etseq.);
(m)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.
The Applicant shall not be: 1) in violation of any order or resolution promulgated by the
State Air Resources Board or an air pollution district; 2) subject to a cease and desist
order pursuant to § 13301 of the California Water Code for violation of waste
discharge requirements or discharge prohibitions; or 3) determined to be in violation of
federal law relating to air or water pollution.
8. Audits
For subrecipients expending $750,000 or more in federal grant funds annually, the
Applicant will cause to be performed the required financial and compliance audits in
accordance with the Single Audit Act Amendments of 1996 and Title 2 of the Code of
Federal Regulations, Part 200, Subpart F Audit Requirements.
9. Access to Records
In accordance with 2 C.F.R. §200.336, the Applicant will give the awarding agency,
the Comptroller General of the United States and, if appropriate, the state, through
any authorized representative, access to and the right to examine all records, books,
papers, or documents related to the award.
The Applicant will require any subrecipients, contractors, successors, transferees and
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assignees to acknowledge and agree to comply with this provision.
10. Conflict of Interest
The Applicant 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.
11. Financial Management
False Claims for Payment The Applicant will comply with 31 U.S.0 §§ 3729-3733
which sets forth that no recipient shall submit a false claim for payment,
reimbursement or advance.
12. Reporting -Accountability
The Applicant agrees to comply with applicable provisions of the Federal Funding
Accountability and Transparency Act (FFATA) (P.L. 109-282), specifically (a) the
reporting of subawards obligating $25,000 or more in federal funds and (b) executive
compensation data for first-tier subawards. This includes the provisions of FFATA,
which includes requirements for executive compensation, and also requirements
implementing the Act for the non-federal entity at 2 C.F.R. Part 25 Financial
Assistance Use of Universal Identifier and Central Contractor Registration and 2
C.F.R. Part 170 Reporting Subaward and Executive Compensation Information.
13. Whistleblower Protections
The Applicant also must comply with statutory requirements for whistleblower
protections at 10 U.S.C. § 2409, 41 U.S.C. § 4712, and 10 U.S.C. § 2324, 41 U.S.C. §
4304 and § 4310.
14. Human Trafficking
The Applicant will comply with the requirements of Section 106(g) of the Trafficking
Victims Protection Act of 2000, as amended (22 U.S.C. § 7104) which prohibits grant
award recipients or a subrecipient from: (1) engaging in trafficking in persons during
the period of time that the award is in effect: (2) procuring a commercial sex act
during the period of time that the award is in effect: or (3) using forced labor in the
performance of the award or subawards under the award.
15. Labor Standards
The Applicant will comply with the following federal labor standards:
(a) The Davis -Bacon Act (40 U.S.C. §§ 276a to 276a-7), as applicable, and the
Copeland Act (40 U.S.C. § 3145 and 18 U.S.C. § 874) and the Contract Work
Hours and Safety Standards Act (40 U.S.C. §§ 327-333), regarding labor
standards for federally -assisted construction contracts or subcontracts: and
(b) The Federal Fair Labor Standards Act (29 U.S.C. § 201 et al.) as they apply to
employees of institutes of higher learning (IHE), hospitals and other non-profit
organizations.
16. Worker's Compensation
The Applicant must comply with provisions which require every employer to be
insured to protect workers who may be injured on the job at all times during the
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performance of the work of this Agreement, as per the workers compensation laws
set forth in California Labor Code §§ 3700 et seq.
17. Property -Related
If applicable to the type of project funded by this federal award, the Applicant will:
(a) Comply 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 participation in purchase;
(b) Comply with flood insurance purchase requirements of Section 102(a) of the
Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires
subrecipients 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;
(c) Assist the awarding agency in assuring compliance with Section 106 of the
National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470),
Executive Order 11593 (identification and protection of historic properties), and
the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. § 469a-1
et seq.); and
(d) Comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §
4831 and 24 CFR Part 35) which prohibits the use of lead-based paint in
construction or rehabilitation of residence structures.
18. Certifications Applicable Only to Federally -Funded Construction Projects
For all construction projects, the Applicant will:
(a) Not dispose of, modify the use of, or change the terms of the real property title
or other interest in the site and facilities without permission and instructions
from the awarding agency. Will record the federal awarding agency directives
and will include a covenant in the title of real property acquired in whole or in
part with federal assistance funds to assure nondiscrimination during the useful
life of the project;
(b) Comply with the requirements of the awarding agency with regard to the
drafting, review and approval of construction plans and specifications; and
(c) Provide and maintain competent and adequate engineering supervision at the
construction site to ensure that the complete work conforms with the approved
plans and specifications and will furnish progressive reports and such other
information as may be required by the assistance awarding agency or State.
19. Use of Cellular Device While Driving is Prohibited
Applicants are required to comply with California Vehicle Code sections 23123 and
23123.5. These laws prohibit driving a motor vehicle while using an electronic
wireless communications device to write, send, or read a text -based communication.
Drivers are also prohibited from the use of a wireless telephone without hands-free
listening and talking, unless to make an emergency call to 911, law enforcement, or
similar services.
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20. California Public Records Act and Freedom of Information Act
The Applicant acknowledges that all information submitted in the course of applying
for funding under this program, or provided in the course of an entity's grant
management activities that are under Federal control, is subject to the Freedom of
Information Act (FOIA), 5 U.S.C. § 552, and the California Public Records Act,
Cal'rfomia Government Code section 6250 et seq. The Applicant should consider
these laws and consult its own State and local laws and regulations regarding the
release of information when reporting sensitive matters in the grant application,
needs assessment, and strategic planning process.
HOMELAND SECURITY GRANT PROGRAM - PROGRAM SPECIFIC
ASSURANCES / CERTIFICATIONS
21. Reporting Accusations and Findings of Discrimination
If during the past three years the recipient has been accused of discrimination on any
basis the recipient must provide a list of all such proceedings, pending or completed,
including outcome and copies of settlement agreements to the DHS Financial
Assistance Office and the DHS Office for Civil Rights and Civil Liberties (CRCL) by e-
mail at crcl(rilhg.dhs.gov or by mail at U.S. Department of Homeland Security Office
for Civil Rights and Civil Liberties, Building 410, Mail Stop #0190, Washington, D.C.
20528.
If the courts or administrative agencies make a finding of discrimination on grounds of
race, color, national origin (including LEP), sex, age, disability, religion, or familial
status against the recipient, or the recipients settle a case or matter alleging such
discrimination, recipients must forward a copy of the complaint and findings to the
DHS Financial Assistance Office and the CRCL by e-mail or mail at the addresses
listed above.
The United States has the right to seek judicial enforcement of these obligations.
22. Acknowledgment of Federal Funding from DHS
All recipients must acknowledge their use of federal funding when issuing
statements, press releases, requests for proposals, bid invitations, and other
documents describing projects or programs funded in whole or in part with federal
funds.
23. Activities Conducted Abroad
All recipients must ensure that project activities carried on outside the United States
are coordinated as necessary with appropriate government authorities and that
appropriate licenses, permits, or approvals are obtained.
24. Best Practices for Collection and Use of Personally Identifiable Information (Pit)
DHS defines personally identifiable information (PII) as any information that permits
the identity of an individual to be directly or indirectly inferred, including any
information that is linked or linkable to that individual. All recipients who collect PII
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are required to have a publically-available privacy policy that describes standards
on the usage and maintenance of PII they collect. Recipients may also find the
DHS Privacy Impact Assessments: Privacy Guidance and Privacy template a useful
resource respectively.
25. Copyright
All recipients must affix the applicable copyright notices of 17 U.S.C. §§ 401 or 402
and an acknowledgement of U.S. Government sponsorship (including the award
number) to any work first produced under federal financial assistance awards.
26. Duplication of Benefits
Any cost allocable to a particular federal financial assistance award provided for in 2
C.F.R. Part 200, Subpart E may not be charged to other federal financial assistance
awards to overcome fund deficiencies, to avoid restrictions imposed by federal
statutes, regulations, or federal financial assistance award terms and conditions, or
for other reasons. However, these prohibitions would not preclude recipients from
shifting costs that are allowable under two or more awards in accordance with
existing federal statutes, regulations, or the federal financial assistance award terms
and conditions.
27. Energy Policy and Conservation Act
All recipients must comply with the requirements of 42 U.S.C. § 6201 which contain
policies relating to energy efficiency that are defined in the state energy
conservation plan issued in compliance with this Act.
28. Federal Debt Status
All recipients are required to be non -delinquent in their repayment of any federal
debt. Examples of relevant debt include delinquent payroll and other taxes, audit
disallowances, and benefit overpayments. See OMB Circular A-129.
29. Fly America Act of 1974
All recipients must comply with Preference for U.S. Flag Air Carriers: (air carriers
holding certificates under 49 U.S.C. § 41102) for international air transportation of
people and property to the extent that such service is available, in accordance with
the International Air Transportation Fair Competitive Practices Act of 1974 (49
U.S.C. § 40118) and the interpretative guidelines issued by the Comptroller General
of the United States in the March 31, 1981, amendment to Comptroller General
Decision &138942
30. Hotel and Motel Fire Safety Act of 1990
In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, all
recipients must ensure that all conference, meeting, convention, or training space
funded in whole or in part with federal funds complies with the fire prevention and
control guidelines of the Federal Fire Prevention and Control Act of 1974, as
amended, 15 U.S.C. § 2225a.
31. Non -supplanting Requirements
All recipients who receive federal financial assistance awards made under programs
Initials
that prohibit supplanting by law must ensure that federal funds do not replace
(supplant) funds that have been budgeted for the same purpose through non-federal
sources.
32. Patents and Intellectual Property Rights
Unless otherwise provided by law, recipients are subject to the Bayh-Dole Act, Pub.
L. No. 96-517, as amended, and codified in 35 U.S.C. § 200 et seq. All recipients
are subject to the specific requirements governing the development, reporting, and
disposition of rights to inventions and patents resulting from financial assistance
awards located at 37 C.F.R. Part 401 and the standard patent rights clause located
at 37 C.F.R. § 401.14.
33. SAFECOM
All recipients who receive federal financial assistance awards made under programs
that provide emergency communication equipment and its related activities must
comply with the SAFECOM Guidance for Emergency Communication Grants,
including provisions on technical standards that ensure and enhance interoperable
communications.
34. Terrorist Financing
All recipients must comply with Executive Order 13224 and U.S. law that prohibit
transactions with, and the provisions of resources and support to, individuals and
organizations associated with terrorism. Recipients are legally responsible to ensure
compliance with the Order and laws.
35. Reporting of Matters Related to Recipient Integrity and Performance
If the total value of the recipient's currently active grants, cooperative agreements,
and procurement contracts from all federal assistance offices exceeds $10,000,000
for any period of time during the period of performance of this federal financial
assistance award, you must comply with the requirements set forth in the
government -wide Award Term and Condition for Recipient Integrity and
Performance Matters located at 2 C.F.R. Part 200, Appendix XII, the full text of
which is incorporated here by reference in the award terms and conditions.
36. USA Patriot Act of 2001
All recipients must comply with requirements of the Uniting and Strengthening
America by Providing Appropriate Tools Required to Intercept and Obstruct
Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175-175c.
37. Use of DHS Seal, Logo, and Flags
All recipients must obtain permission from their DHS Financial Assistance Office,
prior to using the DHS seal(s), logos, crests or reproductions of flags or likenesses
of DHS agency officials, including use of the United States Coast Guard seal, logo,
crests or reproductions of flags or likenesses of Coast Guard officials.
IMPORTANT
The purpose of the assurance is to obtain federal and state financial assistance,
including any and all federal and state grants, loans, reimbursement, contracts, etc. The
Initials
Applicant recognizes and agrees that state financial assistance will be extended based
on the representations made in this assurance. This assurance is binding on the
Applicant, its successors, transferees, assignees, etc. Failure to comply with any of the
above assurances may result in suspension, termination, or reduction of grant funds.
All appropriate documentation, as outlined above, must be maintained on file by the
Applicant and available for Cal OES or public scrutiny upon request. Failure to comply
with these requirements may result in suspension of payments under the grant or
termination of the grant or both and the subrecipient may be ineligible for award of any
future grants if the Cal OES determines that any of the following has occurred: (1) the
recipient has made false certification, or (2) violates the certification by failing to carry out
the requirements as noted above.
All of the language contained within this document must be included in the award
documents for all subawards at all tiers. All recipients are bound by the Department of
Homeland Security Standard Terms and Conditions 2017, Version 7.0, hereby
incorporated by reference, which can be found at: hftps://www.dhs.gov/publication/fy15-
dhs-sta n da rd -terms -and -conditions.
Applicant:
Signature of Authorized
Printed Name of Authorized Agent:
Title:
Initials
STATE OF CALIFORNIA }
COUNTY OF ORANGE } ss.
CITY OF NEWPORT BEACH }
I, Leilani I. Brown, City Clerk of the City of Newport Beach, California, do hereby certify that the
whole number of members of the City Council is seven, the foregoing resolution, being Resolution
No. 2018-59 was duly introduced before and adopted by the City Council of said City at a regular meeting
of said Council held on the 141h day of August, 2018; and the same was so passed and adopted by the
following vote, to wit:
AYES: Council Member Herdman, Council Member Diane Dixon, Council Member Kevin
Muldoon, Council Member Scott Peotter, Council Member Brad Avery, Mayor Pro Tem
Will O'Neill, Mayor Duffy Duffield
NAYS: None
IN WITNESS WHEREOF, I have hereunto subscribed my name and affixed the official seal of
said City this 251h day of July, 2018.
Leilani I. Brown
City Clerk
Newport Beach, California