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City Council Staff Report
February 8, 2022
Agenda Item No. 4
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: Jon Lewis, Chief of Police - 949-644-3701, jlewis@nbpd.org
PREPARED BY: Katie Eing, Emergency Services Coordinator
PHONE: 949-644-3670, keing@nbpd.org
TITLE: Resolution No. 2022-11: Approval of the 2020 Urban Areas Security
Initiative Grant Program Transfer Agreement
ABSTRACT:
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 in building
and sustaining capabilities to prevent, protect against, respond to, and recover from
threats or acts of terrorism. The grant is managed through the City of Santa Ana and the
City of Newport Beach is a sub -recipient. The proposed Resolution and Grant will provide
first responders with equipment and training to better prepare for a terrorist attack or
natural disaster.
RECOMMENDATION:
a) Determine this action is exempt from the California Environmental Quality Act (CEQA)
pursuant to Sections 15060(c)(2) and 15060(c)(3) of the CEQA Guidelines because
this action will not result in a physical change to the environment, directly or indirectly;
b) Adopt Resolution No. 2022-11, 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 2020
Urban Areas Security Initiative (UASI) between the City of Santa Ana and the City of
Newport Beach; and
c) Authorize the City Manager to sign the attached agreement.
DISCUSSION:
The UASI Grant Program was authorized by Congress in 2003, and implemented by the
U.S. Department of Homeland Security to help strengthen the nation against risks
associated with potential terrorist attacks The 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.
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Resolution No. 2022-11: Approval of the 2020 Urban Areas Security Initiative
Grant Program Transfer Agreement
February 8, 2022
Page 2
In FY 2020, 33 high -threat, high-density urban areas were eligible for funding under the
UASI Grant Program, including the Orange County Metropolitan Area. The City of Santa
Ana applied for, received and accepted a $5,250,000 grant under the UASI Grant
Program from the U.S. Department of Homeland Security (DHS) Federal Emergency
Management Agency (FEMA) for use in the County of Orange to provide for terrorism
prevention and enhancement of emergency preparedness. The City of Santa Ana is
responsible for the management and administration of the UASI Grant Program which is
overseen by the California Governor's Office of Emergency Services (Cal OES).
The urban areas are chosen by DHS based on a formula that takes into account factors
such as critical infrastructure, population density, and credible threat information. Among
other densely populated areas, the City of Santa Ana was selected as the "core city" for
the Orange County Metropolitan Area, and is responsible for the management and
administration of the UASI Grant Program.
The FY 2020 UASI Grant Program priorities for Orange County include:
• Strengthen Chemical, Biological, Radiological, Nuclear, and Explosive materials
(CBRNE) Detection, Response, and Decontamination Capability
• Enhance Information Collection, Analysis, & Dissemination
• Improve and Expand Critical Infrastructure Protection
• Citizen Preparedness and Participation
• Homeland Security Training Program
The City of Newport Beach (City) is considered an urban area sub -recipient under this
grant program. Once the Transfer Agreement is approved, the City is eligible to receive
equipment and training.
FISCAL IMPACT:
Adopting the attached resolution is the first step required in order to apply for funding
under the Santa Ana UASI grant. If the City is awarded a portion of the Santa Ana UASI
grant, staff will return to City Council when budget appropriations are necessary.
ENVIRONMENTAL REVIEW:
Staff recommends the City Council find this action 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.
NOTICING:
The agenda item has been noticed according to the Brown Act (72 hours in advance of
the meeting at which the City Council considers the item).
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Resolution No. 2022-11: Approval of the 2020 Urban Areas Security Initiative
Grant Program Transfer Agreement
February 8, 2022
Page 3
ATTACHMENTS:
Attachment A — Resolution No. 2022-12
Attachment B — Transfer Agreement
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ATTACHMENT A
RESOLUTION NO. 2022-11
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
NEWPORT BEACH, CALIFORNIA, APPROVING THE
AGREEMENT FOR TRANSFER OR PURCHASE OF
EQUIPMENT/SERVCES OR FOR REIMBURSEMENT OF
TRAINING COSTS FOR THE FISCAL YEAR 2020 URBAN
AREAS SECURITY INITIATIVE (UASI) BETWEEN THE
CITY OF NEWPORT BEACH AND THE CITY OF ANAHEIM
WHEREAS, the Federal Urban Areas Security Initiative ("UASI") Grant Program
dedicated 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 Anaheim, acting through the Anaheim Police Department
in its capacity as a "Core City" for the Anaheim Urban Area under the Fiscal Year 2020
UASI Grant Program, has applied for, received and accepted a $5,200,000 grant ("Grant
Funds") entitled "Fiscal Year 2020 Urban Areas Security Initiative" from the Federal
Department of Homeland Security ("DHS") and 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 Anaheim is the administrator of the Fiscal Year 2020 UASI
Grant Program and distribution of the Grant Funds. The City of Anaheim 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 FY2020 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 Anaheim in accordance with the
terms and provisions of the Agreement for the purpose of, among other things, providing
its first responders with equipment and 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:
Resolution No. 2022 -
Page 2 of 3
Section 1: The City Council does hereby approve the Agreement between the
City of Anaheim 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 action as are consistent with and
deemed necessary by the City Manager, in consultation with the Police Chief (or his duly
authorized designee), to implement the Agreement, including the execution of all
certifications, disclosures, grant assurances, documents, agreements, reports and
instrument required under the Agreement and to administer the City's obligations,
responsibilities and duties to be performed hereunder and under the Agreement.
Section 3: The City Manager, in consultation with the Police 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 Anaheim, DHS, FEMA and / or Cal OES and
in accordance with 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 the 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 section, 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 Environment 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, Division 6, 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.
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Resolution No, 2022 -
Page 3 of 3
Section 7: This Resolution shall take effect immediately upon its adoption by
the city Council, and the City Clerk shall certify the vote adopting Resolution
ADOPTED this 8th day of February, 2022.
Kevin Muldoon
Mayor
ATTEST:
Leilani I. Brown
City Clerk
APPROVED AS TO FORM:
CITY TTORNEY'S OFFICE
Aaron C. Harp
City Attorney
Attachment(s): Exhibit 1 —Transfer Agreement
me
ATTACHMENT B
AGREEMENT
SUB -RECIPIENT: CITY OF NEWPORT BEACH
City Contract Number
EWA
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
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TERM AND SERVICES TO BE PROVIDED
§201.
Time of Performance 5
§202.
Use of Grant Funds 5
III
PAYMENT
§301. Payment of Grant Funds and Method of Payment 9
IV
STANDARD PROVISIONS
§401.
Construction of Provisions and Titles Herein
10
§402.
Applicable Law, Interpretation and Enforcement
10
§403.
Integrated Agreement
10
§404.
Excusable Delays
10
§405.
Breach
11
§406.
Prohibition Against Assignment or Delegation
11
§407.
Permits
11
§408.
Bonds
11
TABLE OF CONTENTS
Section Description Paqe
§409.
Indemnification
11
§410.
Conflict of Interest
12
§411.
Restriction on Disclosures
13
§412.
Statutes and Regulations Applicable to All Grant Contracts
13
§413.
Federal, State, and Local Taxes
17
§414.
Inventions, Patents and Copyrights
17
§415.
MBE/WBE
19
V
DEFAULTS, SUSPENSION, TERMINATION AND AMENDMENTS
§501. Defaults
§502. Amendments
V
ENTIRE AGREEMENT
§601. Complete Agreement
§602. Number of Pages and Attachments
Execution (Signature) Page
EXHIBITS
Exhibit A CalOES FY2020 Grant Assurances
Exhibit B Certification Regarding Debarment, Suspension and Other Responsibility
Matters
Exhibit C Certification Regarding Lobbying
20
20
21
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I •
Agreement Number:
AGREEMENT FOR TRANSFER OR PURCHASE OF EQUIPMENT/SERVICES OR FOR
REIMBURSEMENT OF TRAINING COSTS
FOR FY2020 URBAN AREAS SECURITY INITIATIVE (UASI)
BETWEEN
THE CITY OF ANAHEIM
AND CITY OF NEWPORT BEACH
THIS AGREEMENT is made and entered into this day of 20 , by and
between the CITY OF ANAHEIM, a municipal corporation (the "CI "), and CITY OF
NEWPORT BEACH (the "SUB -RECIPIENT" or "Contractor").
WITNESSETH
WHEREAS, CITY, acting through the Anaheim Police Department in its capacity
as a Core City for the Anaheim/Santa Ana Urban Area under the FY2020 Urban Areas
Security Initiative, has applied for, received and accepted a grant entitled "FY 2020
Urban Areas Security Initiative" from the federal Department Of Homeland Security
(DHS), Federal Emergency Management Agency (FEMA), through the State of
California Govemor's Office of Emergency Services (CaIOES), 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 2020 Homeland Security
Grant Program (HSGP) Notice of Funding Opportunity (NOFO)"
https://www.fema.gov/sites/default/files/2020-08/fema homeland-security-grant-
program-nofo fy-2020.pdf
California Office of Emergency Services "FY2020 Homeland Security Grant
Program: California Supplement to Federal Program Guidance and Application
Kit"
https://www.caloes.ca.qov/GrantsManagementSite/Documents/FY%202020%20H
SGP%20State%20Supplement.cdf
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 ANAHEIM
("CITY") and is overseen by the California Governor's Office of Emergency Services
("CaiOES"); 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
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WHEREAS, the Anaheim/Santa Ana Urban Area ("ASAUA") consists of 34 cities
in Orange County, including the City of Anaheim and the City of Santa Ana, 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 FY2020 UASI
Grant of $5,056,750 ("Grant Funds") to the CITY OF ANAHEIM, as a Core City, for use
in the ASAUA; and
WHEREAS, the CITY has designated the Chief of Police, or his designee and
the Anaheim Police Department, Emergency Management Director ("UASI Grant
Office") to provide for terrorism prevention and emergency preparedness; and
WHEREAS, the UASI Grant Office now wishes to distribute FY2020 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 Chief of Police which
authorizes the CITY to prepare and execute the Agreement.
NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
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I
INTRODUCTION
§101. Parties to the Agreement
The parties to this Agreement are:
A. The CITY, a municipal corporation, having its principal office at 425 South
Harbor Boulevard, Anaheim, CA 92805; 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 Anaheim shall be, unless otherwise
stated in the Agreement:
Richard LaRochelle, Lieutenant
Anaheim Police Department
425 South Harbor Boulevard
Anaheim, CA. 92805
Phone: (714) 765-3833
Fax: (714) 765-1616
rlarochelle@anaheim.net
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
Email: keing@nbpd.org
B. Formal notices, demands and communications to be given hereunder by
either party shall be made in writing and may be effected by personal
delivery or by registered or certified mail, postage prepaid, return receipt
requested and shall be deemed communicated as of the date of mailing.
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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 ANAHEIM. No employee of SUB -RECIPIENT
is, or shall be an employee of the CITY OF ANAHEIM 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 ANAHEIM.
§104. Conditions Precedent to Execution of This Agreement
SUB -RECIPIENT shall provide copies of the following documents to the CITY OF
ANAHEIM, unless otherwise exempted.
A. Grant Assurances in accordance with section 413C of this Agreement attached
hereto as Exhibit A and made part hereof.
B. Certifications Regarding Ineligibility, Suspension and Debarment as required by
Executive Order 12549 in accordance with Section 413Al2 of this Agreement
and attached hereto as Exhibit B and made a part hereof.
C. Certifications and Disclosures Regarding Lobbying in accordance with Section
413A4 of this Agreement and attached hereto as Exhibit C 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.
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TERM AND SERVICES TO BE PROVIDED
§201. Time of Performance
The term of this Agreement shall commence on 8/31/2021 and end on
3/31/2023 or upon the final disbursement of all of the Grant Amount (as
defined in Section 301) and any additional period of time as is required to
complete any necessary close out activities. Said term is subject to the
provisions herein.
§202. Use of Grant Funds
A. CITY may, a) transfer to SUB -RECIPIENT, equipment or services
purchased with grant funds and in accordance with grant guidelines set
forth above; or, b) reimburse SUB -RECIPIENT for purchase of authorized
equipment, exercises, services or training upon receiving prior written
approval from CITY or its designee and in accordance with grant guidelines
and in full compliance with all of the SUB -RECIPIENT'S purchasing and
bidding procedures. SUB -RECIPIENT shall specify the equipment,
services, exercises and training to be purchased using the Application for
Project Funding. A paper copy of this document will be provided to SUB -
RECIPIENT by CITY. In addition, a compact disc with a copy of the
document will be provided to SUB -RECIPIENT by CITY. If additional
copies of the document are needed, SUB -RECIPIENT may contact the
Anaheim 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. 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 FY2020 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."
D. The Authorized Equipment List (AEL) is a list of the allowable equipment
which may be purchased pursuant to this Agreement and is located at
httos://www.fema.gov/authorized-equipment-list, 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.
Any equipment acquired or obtained with Grant Funds:
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1. Shall be made available under the California Disaster and Civil
Defense Master Mutual Aid Agreement in consultation with
representatives of the various fire, emergency medical, hazardous
materials response services, and law enforcement agencies within
the jurisdiction of the applicant;
2. Shall be consistent with needs as identified in the National Priorities
and Core Capabilities, the State Homeland Security Strategy and the
Anaheim/Santa Ana Urban Area and Orange County Operational
Area Homeland Security Grants Strategy, the Threat Hazard
Identification and Risk Assessment (THIRA), the State
Preparedness Report; 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.
5. Shall be used by SUB -RECIPIENT in the program or project for
which it was acquired as long as needed, whether or not the project
or program continues to be supported by Federal funds. When no
longer useful for the original program or project, the Equipment may
be used in other activities currently or previously supported by a
Federal agency.
6. Shall be made available for use on other projects or programs
currently or previously supported by the Federal Government,
providing such use will not interfere with the work on the projects or
program for which it was originally acquired. First preference for
other use shall be given to other programs or projects supported by
the awarding agency.
7. Shall be recorded on a ledger. The record shall include: (a)
description of the item of Equipment, (b) serial number or other
Identification number, (c) the source of funding for the property
(including FAIN); (d) who holds the title, (e) date of acquisition; (f)
the per unit acquisition cost of the Equipment, (g) percentage of
federal participation in the project costs for the Federal award under
which the property was acquired, (h) location, and (!)use and
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condition of Equipment, and 0} 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.
12. SUB -RECIPIENT shall contact the ASAUA Grant Office prior to
initiating the disposition process. Disposal of equipment shall be
conducted pursuant to 2 CFR Part 200.313. The ASAUA will contact
the awarding agency for disposition instructions, if necessary, prior to
any action being taken.
E. Any training paid pursuant to this Agreement shall conform to the guidelines
as listed in FY2020 Homeland Security Grant Program, as set forth above. All
training expenses must be pre -authorized by CalOES at
hftps://www.caloes.ca.qov/CaliforniaSpecializedTraininal nstituteS ite/Documen
ts/HSG%20Funds°/o2OTracking%2ONumber%2OReguest%2OForm.pdf. A
catalogue of Grantor approved and sponsored training courses is available at
https://cdp.dhs.-gov/.
F. Any exercise paid pursuant to this Agreement shall conform to the guidelines as
listed in FY2020 Homeland Security Grant Program, as set forth above.
Detailed Homeland Security Exercise and Evaluation Program Guidance is
available at hftps://www.fema.gov/media-library/assets/documents/32326.
G. Any planning paid pursuant to this Agreement shall conform to the guidelines
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as listed in FY2020 Homeland Security Grant Program, as set forth above.
H. Any organizational activities paid pursuant to this Agreement shall conform to
the guidelines as listed in FY2020 Homeland Security Grant Program, as set
forth above.
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ul
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 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
Anaheim 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 Anaheim 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.
M
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-recipientm herein and In any amendments hereto Includes the party or
parties Identified in this Agreement. The singular shall include the plural. If
there is more than one Sub -recipient as identified herein, unless expressly
stated otherwise, their obligations and liabilities hereunder shall be joint and
several. Use of the feminine, masculine, or neuter genders shall be deemed to
include the genders not used.
§402. Applicable Law. Interpretation and Enforcement
Each party's performance hereunder shall comply with all applicable laws of the
United States of America, the State of California, and the CITY. This
Agreement shall be enforced and interpreted under the laws of the State of
California and the CITY.
If any part, term or provision of this Agreement shall be held void, illegal,
unenforceable, or in conflict with any law of a federal, state or local government
having jurisdiction over this Agreement, the validity of the remaining portions of
provisions shall not be affected thereby.
§403. Integrated Agreement
This Agreement sets forth all of the rights and duties of the parties with respect to
the subject matter hereof, and replaces any and all previous agreements or
understandings, whether written or oral, relating thereto. This Agreement may be
amended only by a written instrument executed by both parties hereto.
§404. Excusable Delays
In the event that performance on the part of any party hereto shall be delayed or
suspended as a result of circumstances beyond the reasonable control and
without the fault and negligence of said party, none of the parties shall incur any
liability to the other parties as a result of such delay or suspension,
Circumstances deemed to be beyond the control of the parties hereunder shall
include, but not be limited to, acts of God or of the public enemy; insurrection;
acts of the Federal Government or any unit of State or Local Government in
either sovereign or contractual capacity; fires; floods; epidemics; quarantine
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restrictions; strikes, freight embargoes or delays in transportation; to the extent
that they are not caused by the party's willful or negligent acts or omissions and
to the extent that they are beyond the party's reasonable control.
§405. Breach
Except for excusable delays, if any party fails to perform, in whole or in part, any
promise, covenant, or agreement set forth herein, or should any representation
made by it be untrue, any aggrieved party may avail itself of all rights and
remedies, at law or equity, in the courts of law. Said rights and remedies are
cumulative of those provided for herein except that in no event shall any party
recover more than once, suffer a penalty or forfeiture, or be unjustly
compensated.
§406. Prohibition Against Assignment or Dele ation
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. 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.
§409. Indemnification
To the fullest extent of the law, SUB -RECIPIENT agrees to indemnify, defend,
and hold harmless the City of Anaheim, its officers, agents, employees,
representatives and designated volunteers from and against any and all claims,
demands, defense costs, or liability of any kind or nature arising out of or resulting
from, or any way connected with SUB -RECIPIENTS acts, errors or omissions in
the performance of SUB -RECIPIENT'S services or use of grant funds under the
terms of this Agreement.
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§410. 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
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between said person and the Contractor.
E. Prior to obtaining the CITY'S approval of any subcontract, the SUB -
RECIPIENT shall disclose to the CITY any relationship, financial or
otherwise, direct or indirect, of the SUB -RECIPIENT or any of its officers,
directors or employees or their immediate family with the proposed
subcontractor and its officers, directors or employees.
F. For further clarification of the meaning of any of the terms used herein, the
parties agree that references shall be made to the guidelines, rules, and laws
of the SUB -RECIPIENT, State of California, and Federal regulations
regarding conflict of interest.
G. The SUB -RECIPIENT warrants that it has not paid or given and will not pay or
give to any third person any money or other consideration for obtaining this
Agreement.
H. The SUB -RECIPIENT covenants that no member, officer or employee of
SUB -RECIPIENT shall have interest, direct or indirect, in any contract or
subcontract or the proceeds thereof for work to be performed in connection
with this project during his/her tenure as such employee, member or officer or
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".
§411. 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.).
§412. Statutes and Regulations Applicable To All Grant Contracts
A. 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 A. 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.
B. SUB -RECIPIENT shall comply with all applicable requirements of state, federal,
county and SUB -RECIPIENT laws, executive orders, regulations, program and
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administrative requirements, policies and any other requirements governing this
Agreement. SUB -RECIPIENT shall comply with state and federal laws and
regulations pertaining to labor, wages, hours, and other conditions of
employment. SUB -RECIPIENT shall comply with new, amended, or revised
laws, regulations, and/or procedures that apply to the performance of this
Agreement. These requirements include, but are not limited to:
Office of Management and Budget (OMB) Circulars
SUB -RECIPIENT shall comply with 2 Code of Federal Regulations
(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 FY2020 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 2020-0095; and identify the City of
Anaheim as the Pass -Through.
3. Records Maintenance
Records, in their original form, shall be maintained in accordance with
requirements prescribed by the CITY with respect to all matters
covered on file for all documents specified in this Agreement.
Original forms are to be maintained on file for all documents specified
in this Agreement. Such records shall be retained for a period of
three (3) years after 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.
4. 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
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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.
5. Civil Rights
SUB -RECIPIENT shall comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title VI of
the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b) Title IX
of the Education Amendments of 1972, as amended (20 U.S.C.
§§1681- 1683, and 1685-1686), which prohibits discrimination on the
basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as
amended (29 U.S.C. §794), which prohibits discrimination on the
basis of handicaps; (d) The Age Discrimination act of 1975, as
amended (42 U.S.C. §§6101-6107), which prohibits discrimination on
the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation act of 1970
(P.L. 91-616) as amended, relating to nondiscrimination on the basis
of alcohol abuse or alcoholism; (g) §§523 and 527 of the Public
Health Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee 3), as
amended, relating to confidentiality of alcohol and drug abuse patient
records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C.
§§3601, et seq.), as amended, relating to non-discrimination in the
sale, rental or financing of housing; (i) any other nondiscrimination
provisions in the specific statute(s) under which application for
Federal assistance is being made; (j) the requirements of any other
nondiscrimination statute(s) which may apply to the application; and
(k) P.L. 93-348 regarding the protection of human subjects involved
in research, development, and related activities supported by this
award of assistance.
6. Telecommunications (2 CFR 200.216)
SUBRECIPIENT will comply with FEMA Policy 405-143-1,
Prohibitions on Expending FEMA Award Funds on Covered
Telecommunication Equipment or Services (Interim), which
prohibits grant recipients and subrecipients from obligating or
expending loan or grant funds to procure or obtain, extend or
renew a contract to procure or obtain, or to enter into a contract (or
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extend or renew a contract) to procure or obtain equipment,
services, or systems that uses covered telecommunications
equipment or services as a substantial or essential component of
any system, or as critical technology as part of any system.
C. 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
2020 Homeland Security Grant Program —Notice of Funding
Opportunity; ODP WMD Training Course Catalogue; and DOJ Office
for Civil Rights.
Standardized Emergency Management System (SEMS)
requirements as stated in the California Emergency Services Act,
Government Code Chapter 7 of Division 1 of Title 2, § 8607.1(e) and
CCR Title 19, §§ 2445-2448.
Provisions of 44 CFR applicable to grants and cooperative
agreements, including Part 18, Administrative Review Procedures;
Part 20, Criminal Justice Information Systems; Part 22,
Confidentiality of Identifiable Research and Statistical Information;
Part 23, Criminal Intelligence Systems Operating Policies; Part 30,
Intergovernmental Review of Department of Justice Programs and
Activities; Part 35, Nondiscrimination on the Basis of Disability in
State and Local Government Services; Part 38, Equal Treatment of
Faith -based Organizations; Part 42, Nondiscrimination/Equal
employment Opportunities Policies and Procedures; Part 61,
Procedures for Implementing the National Environmental Policy Act;
Part 63, Floodplain Management and Wetland Protection
Procedures; Part 64, Floodplain Management and Wetland
Protection Procedures; Federal laws or regulations applicable to
federal Assistance Programs; Part 69, New Restrictions on Lobbying;
Part 70, Uniform Administrative Requirements for Grants and
Cooperative Agreements (including sub -awards) with Institutions of
Higher Leaming, Hospitals and other Non -Profit Organizations; and
Part 83, Govemment- Wide Requirements for a Drug Free
Workplace (grants).
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2. Travel Expenses
SUB -RECIPIENT as provided herein may be compensated for SUB -
RECIPIENT'S reasonable travel expenses incurred in the
performance of this Agreement, to include travel and per diem,
unless otherwise expressed. Travel including in -State and out -of -
State travel shall not be reimbursed without prior written
authorization from the UASI Grant Office.
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)).
3, Noncompliance
SUB -RECIPIENT understands that failure to comply with any of the
above assurances may result in suspension, termination or reduction
of grant funds, and repayment by SUB -RECIPIENT to CITY of any
unlawful expenditures.
§413. 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.
§414. Inventions. Patents and Copyrights
A. Reporting Procedure for Inventions
If any project produces any invention or discovery (Invention) patentable or
otherwise under title 35 of the U.S. Code, including, without limitation,
processes and business methods made in the course of work under this
Agreement, the SUB -RECIPIENT shall report the fact and disclose the
Invention promptly and fully to the CITY. The CITY shall report the fact and
disclose the Invention to the Grantor. Unless there is a prior agreement
between the CITY and the Grantor, the Grantor shall determine whether to
seek protection on the Invention. The Grantor shall determine how the rights in
the Invention, including rights under any patent issued thereon, will be
allocated and administered in order to protect the public interest consistent
with the policy ("Policy") embodied in the Federal Acquisition Regulations
System, which is based on Ch. 18 of title 35 U.S.C. Sections 200, et seq.
(Pub. L. 95-517, Pub. L. 98-620, 37 CFR part 401); Presidential Memorandum
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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. Cooyright Policy
and a non-exclusive, irrevocable,
improve upon, and allow others to
Invention developed under this
Unless otherwise provided by the terms of the Grantor or of this
Agreement, when copyrightable material ("Material") is developed
under this Agreement, the author or the CITY, at the CITY'S
discretion, may copyright the Material. If the CITY declines to
copyright the Material, the CITY shall have an unencumbered right,
and a non-exclusive, irrevocable, royalty- free license, to use,
manufacture, improve upon, and allow others to do so for all
government purposes, any Material developed under this Agreement.
2. The Grantor shall have an unencumbered right, and a non-exclusive,
irrevocable, royalty -free license, to use, manufacture, improve upon,
and allow others to do so for all government purposes, any Material
developed under this Agreement or any Copyright purchased under
this Agreement.
3. SUB -RECIPIENT shall comply with 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)).
E. Obligations Bindinq 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.
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§415. 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.
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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.
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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 three (3) duplicate originals, each of which is
deemed to be an original. This Agreement includes twenty-two (22) pages and
three (3) Exhibits which constitute the entire understanding and agreement of the
parties.
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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.
ATTEST:
Theresa Bass
Clerk of the Council
APPROVED AS TO FORM:
By:
Kristin Pelletier
Sr. Asst. City Attorney
22
CITY OF ANAHEIM, a municipal Corporation
of the State of California
By:
Jorge Cisneros
Chief of Police
SUB -RECIPIENT
CITY OF NEWPORT BEACH
DUNS No. 06-0782482
By:
Grace K. Leung
APPROVED AS TO FORM:
CITY ATTORNEY'S OFFICE
By:
i c
Aaron C. Harp
City Attorney
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EXHIBIT A
California Governor's Office of Emergency Services
FY2020 Grant Assurances
(All HSGP Applicants)
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) Federal Preparedness Grants Manual;
(d) California Supplement to the NOFO; and
(e) Federal and State Grant Program Guidelines.
Federal Regulations
Government cost principles, uniform administrative requirements, and audit requirements for
federal grant programs are set forth in Title 2, Part 200 of the Code of Federal Regulations
(C.F.R.). Updates are issued by the Office of Management and Budget (OMB) and can be found
at http://www.whitehouse.gov/omb/.
State and federal grant award requirements are set forth below. The Applicant hereby
agrees to comply with the following:
1. Proof of Authority
The Applicant will obtain proof of authority 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 the grant 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) Applicant is authorized by the city council, governing board, or authorized body to apply
for federal assistance, and the institutional, managerial and financial capability
(including funds sufficient to pay the non-federal share of project cost, if any) to ensure
proper planning, management and completion of the project described in this
application; and
(e) Official executing this agreement is authorized by the Applicant.
This Proof of Authority must be maintained on file and readily available upon request.
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2. Period of Performance
The period of performance is specified in the Award. The Applicant is only authorized to
perform allowable activities approved under the award, within the period of performance.
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. § 200.213 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 principals,
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, or performing a public (federal, state,
or local) transaction or contract under a public transaction; violation of federal or state
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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 state and federal statutes relating to non-discrimination,
including:
(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 (42 U.S.C. §§ 12101- 12213), which
prohibits discrimination on the basis of disability and requires buildings and structures
be accessible to those with disabilities and access and functional needs;
(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 dd-2), 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. Part100. 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 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;
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(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) California's Fair Employment and Housing Act (FEHA) (California Government Code
§§12940, 12945, 12945.2), as applicable. 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, 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;
(m) Any other nondiscrimination provisions in the specific statute(s) under which
application for federal assistance is being made; and
(n) The requirements of any other nondiscrimination statute(s) that may apply to this
application.
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, including:
(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 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);
0) The Endangered Species Act of 1973, (P.L. 93-205);
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(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 et
seq.);
(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 et seq.);
(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 assignees to acknowledge and agree to comply with this provision.
10. Conflict of Interest
The Applicant will establish safeguards to prohibit the Applicant's 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 subrecipient, recipient, or subrecipient 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.
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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; (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 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
(d) 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
(e) 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
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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 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.
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, California 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 (HSGP) —
PROGRAM SPECIFIC ASSURANCES / CERTIFICATIONS
21. 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.
22. 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.
23. Best Practices for Collection and Use of Personally Identifiable Information (Pit)
DHS defines personally identifiable information (PI I) 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 PH are required to have a
publically-available privacy policy that describes standards on the usage and maintenance of
PH they collect. Recipients may also find the DHS Privacy Impact Assessments: Privacy
Guidance and Privacy template a useful resource respectively.
24. 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.
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25. 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.
26. 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.
27. 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.
28. 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 B- 138942.
29. Hotel and Motel Fire Safety Act of 1990
In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, all Applicants
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.
30. Non -supplanting Requirement
All recipients who receive federal financial assistance awards made under programs 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.
31. 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.
32. 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.
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33. 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.
34. 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 govemment-wide Award Tenn 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.
35. 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.
36. 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.
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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 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 2020, Version 10, 1, hereby incorporated by reference, which can
be found at: https://www.dhs.aov/publication/fyl5-dhs-standard-terms-and-conditions.
The undersigned represents that he/she is authorized to enter into this agreement for and
on behalf of the Applicant.
Subrecipient: CITY OF NEWPORT BEACH
Signature of Authorized Agent:
Printed Name of Authorized Agent: Grace K. Leu
Title: City Manager Date:
APPROV AS TO FORM:
CITY A OR�il��4 �yC�'�
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Jtaron U. Harp, Ulry,ynorney
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EXHIBIT B
CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER
RESPONSIBILITY MATTERS
Applicants should refer to the regulations cited below to determine the certification to which they are required
to attest. Applicants should also review the instructions for certification included in the regulations before
completing this form. Signature of this form provides for compliance with certification requirements under
the applicable CFR covering New Restrictions on Government -wide Debarment and Suspension
(Nonprocurement). The certification shall be treated as a material representation of fact upon which reliance
will be placed when the Agency determines to award the covered transaction or cooperative agreement.
As required by Executive Order 12549, Debarment and Suspension, and implemented under the applicable
CFR, for prospective participants in covered transactions, as defined in the applicable CFR
A. The applicant certifies that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to
a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered
transactions by any Federal department or agency;
(b) Have not within a three-year period preceding this application been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or
contract under a public transaction; violation of Federal or State antitrust statutes or commission
of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false
statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a government entity
(Federal State or local) with commission of any of these offenses enumerated in paragraph (1)
(b) of this certification; and
(d) Have not within a three-year period preceding this application had one or more public transactions
(Federal, State or local) terminated for cause or default; and
B, Where the applicant is unable to certify to any of the statements in this certification, he or she shall
attach an explanation to this application.
Address: City of Newport Beach
Authorized Agent Signature
100 Civic Center Drive
Grace K. Leung
Printed or Typed Name
Newport Beach, CA 92660
City Manager
Title
APPROVE ASTO FORM:
CITYATi RNEY'S OFFi
. Harp, City t orney
4-42
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.
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EXHIBIT C
CERTIFICATION REGARDING LOBBYING
The undersigned certifies, to the best of his or her knowledge and belief, that:
1. 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.
The Subrecipient, as identified below, certifies or affirms the truthfulness and accuracy of
each statement of its certification and disclosure, if any. In addition, the Subrecipient
understands and agrees that the provisions of 31 U.S.C. Chap. 38, Administrative Remedies
for False Claims and Statements, apply to this certification and disclosure, if any.
AGREEMENT NUMBER:
City of Newport Beach
CO NTRACTORIBORROW ER/AG ENCY
Grace K. Leung, City Manager
NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
SIGNATURE
DATE
APPRcVW AS TO FORM:
CITY A RNETS rif
Br
C. Harp. My kWrrOY