HomeMy WebLinkAboutC-8075-4 - Agreement to Transfer Funds for 2017 Emergency Management Performance Grant Programr
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AGREEMENT TO TRANSFER FUNDS
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FOR 2017 EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM
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THIS AGREEMENT is entered into this day of mom' 20-LE, which date is
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enumerated for purposes of reference only, by and between the COUNTY OF ORANGE, a political
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subdivision of the State of California, hereinafter referred to as "COUNTY," and
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_ i 0 r f et0J-,-, a municipal corporation, hereinafter referred to as
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"SUBRECIPIENT."
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WHEREAS, COUNTY, acting through its Sheriff-Coroner Department, hereinafter referred to
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as SHERIFF, in its capacity as the lead agency for the Operational Area, has applied for, received and
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accepted the Emergency Management Performance Grant (hereinafter referred to as "the grant") from
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the California Office of Emergency Services (" CalOES").
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WHEREAS, the purpose of the grant is to support comprehensive emergency management at
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the state, tribal and local levels and to encourage the improvement of prevention, protection, mitigation,
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response and recovery capabilities for all hazards, as set forth in Attachment A hereto (FY2017
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Emergency Management Performance Grants [EMPG] Notice of Funding Opportunity [NOFO]), which'
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is attached hereto and incorporated herein by reference.
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NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
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1. COUNTY shall transfer to SUBRECIPIENT grant funds, in arrears, as necessary to
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reimburse SUBRECIPIENT for reasonable and perrnissible expenditures for the grant purposes. In
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order to obtain grant funds, SUBRECIPIENT shall comply with the instructions and submit to SHERIFF
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all required information and documentation, as set forth in Attachment B (EMPG City Financial
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Management Forms Workbook), which is attached hereto and incorporated herein by reference.
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2. Throughout their useful life, grant property and equipment shall be used by
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SUBRECIPIENT only for grant purposes in accordance with Attachment A hereto.
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3. SUBRECIPIENT shall exercise due care to preserve and safeguard grant property and
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equipment from damage or destruction and shall provide regular maintenance and such repairs for grant
CFDA: 97.042
Emergency Management Performance Grant
Department of Homeland Security Page 1 of 4
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property and equipment as are necessary, in order to keep said grant
continually in good working order.
property and equipment
4. If grant property or equipment becomes obsolete, SUBRECIPIENT shall dispose of it
only in accordance with the instructions of COUNTY or the agency from which COUNTY received the
grant funds.
5. SUBRECIPIENT shall submit to the COUNTY grant program reporting documents and
information in accordance with requirements set out in the Attachment C (Emergency Management
Performance Grant Program: California Supplement to the Federal Program Funding Opportunity
Announcement; or, The State Guidance), which is attached hereto and incorporated herein by reference.
6. By executing this Agreement, SUBRECIPIENT agrees to comply with and be fully
bound by this Agreement and all applicable provisions of Attachments A, B, C, and D (Standard
Assurances for all CalOES Federal Grant Programs) hereto. SUBRECIPIENT shall notify COUNTY
immediately upon discovery that it has not abided or no longer will abide by any applicable provision of
this Agreement or Attachments A, B, C, or D hereto.
7. SUBRECIPIENT agrees to indemnify, defend and save harmless COUNTY and the
agency from which COUNTY received grant funds, and their elected and appointed officials, officers,
agents and employees from any and all claims and losses accruing or resulting to any and all contractors,
subcontractors, laborers, and any other person, firm or corporation furnishing or supplying work,
services, materials or supplies in connection with SUBRECIPIENT's performance of this Agreement,
including Attachments A, B, C, and D hereto, and from any and all claims and losses accruing or
resulting to any person, firm, or corporation who may be injured or damaged by SUBRECIPIENT in the
performance of this Agreement, including Attachments A, B, C, and D hereto.
8. No alteration or variation of the terms of this Agreement shall be valid unless made in
writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or
agreement not incorporated herein shall be binding on any of the parties hereto.
9. SUBRECIPIENT may not assign this Agreement in whole or in part without the express
I written consent of COUNTY.
CFDA: 97.042
Emergency Management Performance Grant
Department of Homeland security
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10. SUBRECIPIENT shall provide to COUNTY all records and information requested by
COUNTY for inclusion in quarterly reports and such other reports or records as COUNTY may be
required to provide to the agency from which COUNTY received grant funds or other persons or
agencies.
11. For a period of three years after the final Federal Financial Report hereunder or until all
claims related to this Agreement are finally settled, whichever is later, SUBRECIPIENT shall preserve
and maintain all documents, papers and records relevant to the work performed or property or equipment
acquired in accordance with this Agreement, including Attachments A, B, C, and D hereto. For the
same time period, SUBRECIPIENT shall make said documents, papers and records available to
COUNTY and the agency from which COUNTY received the grant funds or their duly authorized
representative(s), for examination, copying, or mechanical reproduction on or off the premises of
SUBRECIPIENT, upon request, during usual working hours.
12. SUBRECIPIENT and COUNTY shall be subject to examination and audit by the State
Auditor General with respect to this Agreement for a period of three years after the final Federal
Financial Report hereunder.
13. COUNTY may terminate this Agreement and be relieved of the payment of any
consideration. to SUBRECIPIENT if a) SUBRECIPIENT fails to perform any of the covenants
contained in this Agreement, including the applicable terms of Attachments A, B, C, and D hereto, at the
time and in the manner herein provided, or b) COUNTY loses funding under the grant. In the event of
termination, COUNTY may proceed with the work in any manner deemed proper by COUNTY.
14. SUBRECIPIENT and its agents and employees shall act in an independent capacity in
the performance of this Agreement, including Attachments A, B, C, and D hereto, and shall not be
considered officers, agents or employees of COUNTY or SHERIFF or of the agency from which
COUNTY received grant funds.
15. By signing this Agreement, SUBRECEIPIENT understands and agrees that:
a. Failure to follow grant guidance, including those detailed below, will result in
ineligibility for any reimbursement under the FYI EMPG:
CFDA: 97.042
Emergency Management Performance Grant
Department of Homeland Security Page 3 of 4
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b. A SUBRECIPIENT representative must attend half of the Orange County Emergency
Managers Organization meetings held from July 1, 2017 through June 30, 2018;
c. SUBRECIPIENT must maintain National Incident Management System (NIMS)
compliance;
d. For any personnel whose salary is charged to the grant, that specific individual must
meet the training and exercise requirements set forth in the grant guidance; and
e. Only those expenditures specifically detailed in the Financial Management Forms
Workbook are approved for funding; any changes must be pre -approved by the
California Office of Emergency Services.
IN WITNESS WHEREOF, the parties have executed this Agreement in the County of Orange,
State of California.
DATED: &, 20/6
APPROVED AS TO FORM
COUNTY COUNSEL
By
endy lips, Senior Etputy
DATED: 1 "Z/ , 20
C[DA: 97.042
Emergency Management Performance Grant
Department of l lomeland Security
COUNTY OF ORANGE, a political subdivision
SUBRECIPIENT07iV4gAW Or/ &AS
By
ATTEST:
P n
DATED:
-?-A-19
Page 4 of 4
�crFOR%
PaR m CITY OF
°z NEWPORT BEACH
cy<`�o�P
City Council Staff Report
November 13, 2018
Agenda Item No. 11
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, keing@nbpd.org
PHONE: 949-644-3670
TITLE: Accept the 2017 Emergency Management Performance Grant
ABSTRACT -
The Emergency Management Performance Grant (EMPG) is a Federal Emergency
Management Agency (FEMA) pass through grant that provides funding for local
emergency management programs. The funding is used to purchase supplies and
equipment for the City's Emergency Operations Center (EOC).
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) Accept the grant funding in the amount of $12,271 to be used in support of the City's
emergency management program; and
c) Approve Budget Amendment No. 19BA-017 to accept grant funds from the Federal
Emergency Management Agency (FEMA) through the County of Orange, and
increase expenditures appropriations by $12,271 in account 0103511-821005.
FUNDING REQUIREMENTS:
The Budget Amendment appropriates $12,271 in increased expenditures. The revenue
was included in the FY 2018/19 original budget account in the Police Department,
0103511-431250, and purchases will be expensed to the account in the Police
Department, 0103511-821005.
Accept the 2017 Emergency Management Performance Grant
November 13, 2018
Page 2
DISCUSSION:
The EMPG program provides funding to states to support state, local, tribal and territorial
governments in preparing for all hazards, as authorized by the Robert T. Stafford Disaster
Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.). Title VI of the Stafford
Act authorizes FEMA to make grants for the purpose of providing a system of emergency
preparedness for the protection of life and property in the United States from hazards and
to vest responsibility for emergency preparedness jointly in the federal government and
the states and their political subdivisions. The purpose of EMPG is to sustain and improve
comprehensive emergency management programs at the state, tribal, territorial
governments and local levels from all man-made and natural disasters through the
prevention, mitigation, response and recovery for all hazard events.
The Police Department utilizes the funding to purchase supplies and equipment for the
City's Emergency Operations Center (EOC). The grant requires a 50 percent funding
match, which the City provides through the Police Department, Emergency Preparedness
operating budget supported by the General Fund.
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).
ATTACHMENTS:
Attachment A — Copy of Check
Attachment B — Budget Amendment
11-2
o . m Eric H. Woolery, CPA
County Auditor - Controller
9<IFOR�l
ATTACHMENT A
L)AIt IJJUtU: Ulf-6U-LU78 VtIVUUK INUIVIbtK: IYIIJI. IKUJI yy UMMUr, IVUIVIt3tK: W-U"1"1U8/3"1
PAYMENT REQUEST INVOICE NUMBER AMOUNT
GAT 060 19000279 7. 12,271.00
2017 EMPG
CFDA #: 97.042
INV DATE: 5/9/2018 .�
� ( NET LINE AMOUNT 12,271.00
jj TOT INV AMOUNT 12,271.00
COUNTY OF ORANGE- CALIFORNIA PAGrz 1 OF 1 f WC:f't Tf1TAl 1'3 ')'71 nn
PLEASE DETACH BEFORE PRESENTING FOR PAYMENT
DO NOT ACCEPT THIS CHECK UNLESS YOU CAN SEE A TRUE WATERMARK - HOLD UP TO LIGHT TO 5EE `SAFE" AND "VERIFY FIRST '7"
�YoFo
COUNTY 6F ORANGE
CHECK NUMBER SANTA ANA, CALIFORNIA ISSUE DATE 56-862
p 0 412
09-01108731 08-30-2018
�LrFoc��t Trusts Revolving Fund
...... ......
PAY. TWELVE'THOUSAND TWO HUNDRED SEVENTY ONE. DOLLARS AND 00 CENTS"""""
w.
*****12,271.00
To `..,C I TY OF NEWPORT BEACH
EMERGENCY SERVICES COORDINATOR
870 SANTA BARBARA DR.
CHECKSGVERi$700,000 REQUIRE TWO SIGNATURES
NEWPORT BEACH CA 92660 -
/)
30690WELLS FARGO BANK ddd 3 ERIC H. WOOLERY, CPA COUNTY AUDITOR -CONTROLLER
VOID UNLESS PRESENTED WITHIN SIX MONTHS FROM DATE OF ISSUE
110090 L 10873Iii' i:0Lt4 2038 24 :96000 3 2 3 791i' 11.3
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£ SC \
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a�$s�sF' � Yc }' 4 .. t eF.s.�� Baas- `, ':7k•t7^ %
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COUNTY OF ORANGE- CALIFORNIA PAGrz 1 OF 1 f WC:f't Tf1TAl 1'3 ')'71 nn
PLEASE DETACH BEFORE PRESENTING FOR PAYMENT
DO NOT ACCEPT THIS CHECK UNLESS YOU CAN SEE A TRUE WATERMARK - HOLD UP TO LIGHT TO 5EE `SAFE" AND "VERIFY FIRST '7"
�YoFo
COUNTY 6F ORANGE
CHECK NUMBER SANTA ANA, CALIFORNIA ISSUE DATE 56-862
p 0 412
09-01108731 08-30-2018
�LrFoc��t Trusts Revolving Fund
...... ......
PAY. TWELVE'THOUSAND TWO HUNDRED SEVENTY ONE. DOLLARS AND 00 CENTS"""""
w.
*****12,271.00
To `..,C I TY OF NEWPORT BEACH
EMERGENCY SERVICES COORDINATOR
870 SANTA BARBARA DR.
CHECKSGVERi$700,000 REQUIRE TWO SIGNATURES
NEWPORT BEACH CA 92660 -
/)
30690WELLS FARGO BANK ddd 3 ERIC H. WOOLERY, CPA COUNTY AUDITOR -CONTROLLER
VOID UNLESS PRESENTED WITHIN SIX MONTHS FROM DATE OF ISSUE
110090 L 10873Iii' i:0Lt4 2038 24 :96000 3 2 3 791i' 11.3
ATTACHMENT B City of Newport Beach
BUDGET AMENDMENT
2018-19
EFFECT ON BUDGETARY FUND BALANCE:
Increase Revenue Estimates
X Increase Expenditure Appropriations
Transfer Budget Appropriations
SOURCE:
from existing budget appropriations
from additional estimated revenues
X from unappropriated fund balance
EXPLANATION:
NO. BA- 19BA-017
AMOUNT:j $12,271.00
This budget amendment is requested to provide for the following:
To increase expenditure appropriations for the purchase of supplies and equipment for the City's Emergency Operations
Center using funding from an Emergency Management Performance Grant that was included in the FY 2018-19 Adopted
Budget.
ACCOUNTING ENTRY:
BUDGETARY FUND BALANCE
Fund Object
010 300000
REVENUE ESTIMATES
Org Object Project
EXPENDITURE APPROPRIATIONS
Org Object Project
0103511 821005
Signed:
Fina
Signed:
Signed
inance Di
Amount
Description Debit
General Fund - Fund Balance $12,271.00
Description
Description
Police Emergency Prep - EMPG Grant
Administ�Ve Approval: City Manager
City Council Approval: City Clerk
Automatic System Entry.
Credit
$12,271.00
0- 7 -
Date
1/ 7!
Date
Date
11-4
Increase in Budgetary Fund Balance
ANDX
Decrease in Budgetary Fund Balance
No effect on Budgetary Fund Balance
ONE-TIME?
FXI
Yes
No
This budget amendment is requested to provide for the following:
To increase expenditure appropriations for the purchase of supplies and equipment for the City's Emergency Operations
Center using funding from an Emergency Management Performance Grant that was included in the FY 2018-19 Adopted
Budget.
ACCOUNTING ENTRY:
BUDGETARY FUND BALANCE
Fund Object
010 300000
REVENUE ESTIMATES
Org Object Project
EXPENDITURE APPROPRIATIONS
Org Object Project
0103511 821005
Signed:
Fina
Signed:
Signed
inance Di
Amount
Description Debit
General Fund - Fund Balance $12,271.00
Description
Description
Police Emergency Prep - EMPG Grant
Administ�Ve Approval: City Manager
City Council Approval: City Clerk
Automatic System Entry.
Credit
$12,271.00
0- 7 -
Date
1/ 7!
Date
Date
11-4
CITY OF
� SEW P�R
T
z NEWPORT BEACH
City Council Staff Report
October 25, 2016
Agenda Item No. 3
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: Authorize the City Manager and Police Chief to Execute Emergency
Management and Homeland Security Grant Applications
ABSTRACT:
The Police Department requests the City Council adopt a resolution designating the City
Manager and Police Chief to execute applications for Emergency Management and
Homeland Security grants which include non-matching, matching under $10,000 and/or
matched with in-kind administrative expenditures.
RECOMMENDATION:
a) Determine that the 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 it will not result in a physical change to the environment, directly or
indirectly; and
b) Adopt Resolution No. 2016-116, A Resolution of the City Council of the City of
Newport Beach, California, Providing Written Authorization to the State of California
Governor's Office of Emergency Services of the Standard Assurances Required to
Apply for Grants from the Federal Department of Homeland Security, Federal
Emergency Management Agency, and authorizing City officials to execute
Emergency Management and Homeland Security Grant Applications and
documents.
FUNDING REQUIREMENTS:
The Police Department will only apply for related Emergency Management and
Homeland Security grants. Some grants require City matching funds; however, any
needed matching funds will meet Council Policy F-3 and will be limited to $10,000.
Most require no direct City funding or require an in-kind administrative match instead.
3-1
Authorizing City Officials to Execute Emergency Management and
Homeland Security Grant Applications
October 25, 2016
Page 2
DISCUSSION:
For several years, the Police Department has obtained federal and state grants to
improve the security and the state of readiness for the City of Newport Beach.
These grants have been obtained from a number of federal and state agencies, often
with short application and performance timeframes. They include: Emergency
Management Program (EMPG), Citizen Corps, Hazard Mitigation and Department of
Homeland Security grants, such as the Urban Area Security Initiative (UASI) and other
grants.
With the adoption of this Resolution, the City Manager and the Police Chief will be able
to quickly develop, submit and execute grant applications that fall within Council Policy
F-3. These grants will allow for enhanced training of emergency response personnel
and emergency management staff, creation of training exercises and the purchase of
specialized equipment to continue preparing the City of Newport Beach.
Approval of this resolution allows the City to maintain consistency with federal and state
grant timeframe requirements. It is also needed to comply with the California Governor's
Office of Emergency Services (Cal OES) Grant Assurances which requires the City to:
identify positions that are authorized to apply for Homeland Security grants, provide all
matching funds including cash as required, provide liability for grant projects and
acknowledge that grant funds shall not be used to supplant expenditures.
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).
ATTACHMENTS:
Attachment A — Resolution
Attachment B — CAL OES Assurances
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ATTACHMENT A
RESOLUTION NO. 20--
A RESOLUTION OF THE CITY COUNCIL OF THE CITY
OF NEWPORT BEACH, CALIFORNIA PROVIDING
WRITTEN AUTHORIZATION TO THE STATE OF
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY
SERVICES OF THE STANDARD ASSURANCES
REQUIRED TO APPLY FOR GRANTS FROM THE
FEDERAL DEPARTMENT OF HOMELAND SECURITY,
FEDERAL EMERGENCY MANAGEMENT AGENCY
WHEREAS, the City Council of the City of Newport Beach ("City Council")
desires to designate and authorize certain officials as the City of Newport Beach's
("City") agents for purposes of applying for and obtaining Emergency Management and
Department of Homeland Security Grants (hereinafter collectively referred to as "Eligible
Grants");
WHEREAS, for all grants of thirty thousand dollars ($30,000) or more, City
Council Policy F-3 generally requires that, prior to the acceptance of a grant, the City
Council and City Manager approve the terms and conditions of the grant, approve
budget appropriations for the grant expenditures and City matching expenditures unless
previously appropriated through the budget adoption process, and approve and execute
the grant contracts. Council expenditure appropriation is required for all new
appropriations in excess of ten thousand dollars ($10,000) or as otherwise specified by
City Council Policy F-3;
WHEREAS, the City regularly applies for Eligible Grants from the Federal
Department of Homeland Security, Federal Emergency Management Agency ("FEMA"),
which are administered by the State of California Governor's Office of Emergency
Services ("Cal OES"). As part of all such applications for Eligible Grants, Cal OES
requires that the City submit written authorization from the City Council providing
specific standard assurances that the City Council, on behalf of the City, agrees (a) to
provide all matching funds required for the project specified in the grant application and
that any cash match will be appropriated as required, (b) that any liability arising out of
the performance of the grant agreement shall be the responsibility of the City, (c) that
grant funds shall not be used to supplant expenditures controlled by the City Council,
and (d) that the City official executing the grant agreement is authorized to do so
(collectively, the "Standard Assurances");
WHEREAS, the City's applications for Eligible Grants to Cal OES can be for
amounts under thirty thousand dollars ($30,000) and are therefore not required to be
brought to the City Council for approval. Notwithstanding, the City Council must still
provide the Standard Assurances for each such application for an Eligible Grant in order
for the City to apply for such Eligible Grants;
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Resolution No. 2016 -
Page 2 of _
WHEREAS, the purpose of this Resolution is for the City Council to provide
written authorization of the Standard Assurances to Cal OES for all applications of the
City for all Eligible Grants not otherwise required to be approved by the City Council per
Council Policy F-3. Notwithstanding, this Resolution is not intended to circumvent any
requirement in City Council Policy F-3 regarding all grants of thirty thousand dollars
($30,000) or more and all new appropriations in excess of ten thousand dollars
($10,000) or as otherwise specified by City Council Policy F-3.
NOW, THEREFORE, the City Council of the City of Newport Beach resolves as
follows:
Section 1: The City Council does hereby provide written authorization to Cal
OES that, for all Eligible Grants for which the City applies: (a) the City Council and City
will provide all matching funds required for the project specified in the grant application
and that any cash match will be appropriated as required, (b) that any liability arising out
of the performance of the grant agreement shall be the responsibility of the City, (c) that
grant funds shall not be used to supplement expenditures controlled by the City Council,
and (d) that the City Manager and/or Police Chief are hereby authorized to execute the
grant agreements on behalf of the City and take any actions necessary to implement
such grant agreements.
Section 2: The recitals provided in this resolution are true and correct and are
incorporated into the operative part of this resolution.
Section 3: If any section, subsection, sentence, clause or phrase of this
resolution is, for any reason, held to be invalid or unconstitutional, such decision shall
not affect the validity or constitutionality of the remaining portions of this resolution. The
City Council hereby declares that it would have passed this resolution, and each
section, subsection, sentence, clause or phrase hereof, irrespective of the fact that any
one or more sections, subsections, sentences, clauses or phrases be declared invalid
or unconstitutional.
Section 4: The City Council finds the adoption of this resolution is not subject to
the California Environmental Quality Act ("CEQA") pursuant to Sections 15060(c)(2) (the
activity will not result in a direct or reasonably foreseeable indirect physical change in
the environment) and 15060(c)(3) (the activity is not a project as defined in Section
15378) of the CEQA Guidelines, California Code of Regulations, Title 14, Chapter 3,
because it has no potential for resulting in physical change to the environment, directly
or indirectly.
Section 5: This resolution shall take effect immediately upon its adoption by the
City Council, and the City Clerk shall certify the vote adopting the resolution.
3-4
Resolution No. 2016 -
Page 3 of
ADOPTED this 25t" day of October, 2016.
Diane B. Dixon
Mayor
ATTEST:
Leilani I. Brown
City Clerk
APPROVED AS TO FORM:
CITY ATTORNEY'S OFFICE
�r
Aaron C. Harp ►; �,K
City Attorney
Attachment(s): Standard Assurances for All Cal OES Federal Grant Programs
3-5
ATTACHMENT B
Cal OE S
110VERNOR'S IIFEICE
OF EMERGENCY SERVICES
Standard Assurances
For All Cal CIES Federal Grant Programs
As the duly authorized representative of the Applicant, I hereby certify that the Applicant has the
legal authority to apply for Federal assistance and the institutional, managerial and financial capability
(including funds sufficient to pay any non -Federal share of project cost) to ensure proper planning,
management and completion of the project described in this application, within prescribed timelines.
I further acknowledge that the Applicant is responsible for reviewing and adhering to all
requirements within the:
(a) Applicable Federal Regulations (see below);
(b) Federal Program Notice of Funding Opportunity (NOFO);
(c) California Supplement to the NOFO; and
(d) Federal and State Grant Program Guidelines.
Federal Regulations
Government cost principles, uniform administrative requirements and audit requirements for federal
grant programs are housed in Title 2, Part 200 of the Code of Federal Regulations (CFR) and in
updates issued by the Office of Management and Budget (OMB) on http://www.whitehouse.gov/omb/.
Significant state and federal grant award requirements (some of which appear in the documents
listed above) are called out below. The Applicant hereby agrees to comply with the following:
1. Proof of Authority
The Applicant will obtain written authorization from the city council, governing board or authorized
body in support of this project. This written authorization must specify that the Applicant and the city
council, governing board or authorized body agree:
(a) To provide all matching funds required for said project and that any cash match will be
appropriated as required.
(b) That 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) That grant funds shall not be used to supplant expenditures controlled by the city council,
governing board or authorized body.
(d) That the official executing this agreement is, in fact, authorized to do so.
Homeland Security Grant Program - 2015 Grant Assurances
Page 1 of 10
Initials
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This Proof of Authority must be maintained on file and readily available upon demand.
2. Period of Performance
The Applicant will initiate work after approval of the award and complete all work within the period of
performance specified in the grant.
3. Lobbying and Political Activities
As required by Section 1352, Title 31 of the U.S. 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 (EO) 12549 and 12689, and 2 CFR §200.212 and codified in 2
CFR 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:
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(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
antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental
entity (Federal, State, or local) with commission of any of the offenses enumerated in
paragraph (2)(b) of this certification; and
(d) Have not within a three-year period preceding this application had one or more public
transaction (Federal, State, or local) terminated for cause or default.
Where the Applicant is unable to certify to any of the statements in this certification, he or she shall
attach an explanation to this application.
5. Non -Discrimination and Equal Employment Opportunity
The Applicant will comply with all Federal statutes relating to non-discrimination. These include, but
are not limited to, the following:
(a) Title VI of the Civil Rights Act of 1964 (Public Law (P.L.) 88-352 and 42 U.S.C. §2000d et.
seq.) which prohibits discrimination on the basis of race, color or national origin and requires
that recipients of federal financial assistance take reasonable steps to provide meaningful
access to persons with limited English proficiency (LEP) to their programs and services;
(b) Title IX of the Education Amendments of 1972, 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) Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of
disability, as well as all applicable regulations and guidelines issued pursuant to ADA (42
U.S.C. 12101, et seq.);
(e) Age Discrimination Act of 1975, as amended (42 U.S.C. §§6101-6107), which prohibits
discrimination on the basis of age;
(f) Drug Abuse Office and Treatment Act of 1972) (P.L. 92-255), as amended (P.L. 96-181),
relating to nondiscrimination on the basis of Treatment or recovery from drug abuse;
(g) 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;
(h) Sections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§290 dd-3 and
290 ee 3), as amended, relating to confidentiality of alcohol and drug abuse patient records;
(i) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental or financing of housing;
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Q) EO 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, or
national origin;
(k) EO 11375, which bans discrimination on the basis of sex in hiring and employment in both
the United States federal workforce and on the part of government contractors;
(1) California Public Contract Code §10295.3, which addresses discrimination based on
domestic partnerships;
(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) which may apply to the
application.
In addition to the items listed in (a) through (n), the Applicant will comply with California's Fair
Employment and Housing Act (FEHA). FEHA prohibits harassment and discrimination in
employment because of race, color, religion, sex, gender, gender identity, gender expression,
sexual orientation, marital status, national origin, ancestry, mental and physical disability, medical
condition, age, pregnancy, denial of medical and family care leave, or pregnancy disability leave
(California Government Code sections 12940, 12945, 12945.2) and/or retaliation for protesting
illegal discrimination related to one of these categories, or for reporting patient abuse in tax
supported institutions.
6. Drug -Free Workplace
As required by the Drug -Free Workplace Act of 1988 (41 U.S.C. §701 et seq.), the Applicant
certifies that it will or will continue to provide a drug-free workplace and a drug-free awareness
program as outlined in the Act.
7. Environmental Standards
The Applicant will comply with State and Federal environmental standards which may be prescribed
pursuant to the following, as applicable:
(a) California Environmental Quality Act (CEQA) (California Public Resources Code §§21000-
21177), to include coordination with the city or county planning agency;
(b) CEQA Guidelines (California Code of Regulations, Title 14, Division 6, Chapter 3, §§15000-
15387);
(c) Federal Clean Water Act (CWA) (33 U.S.C. §1251 et seq.), which establishes the basic
structure for regulating discharges of pollutants into the waters of the United States and
regulating quality standards for surface waters.
(d) Institution of environmental quality control measures under the National Environmental
Policy Act of 1969 (P.L. 91-190) and Executive Orders (EO) on the Environmental Justice
Act (EO 12898) and Environmental Quality (EO 11514);
(e) Notification of Environmental Protection Agency (EPA) violating facilities pursuant to EO
11738;
(f) Protection of wetlands pursuant to EO 11990;
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(g) Evaluation of flood hazards in floodplains in accordance with EO 11988;
(h) 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.);
(i) Conformity of Federal actions to State (Clean Air) Implementation Plans under Section
176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §7401 et seq.);
(j) Protection of underground sources of drinking water under the Safe Drinking Water Act of
1974, as amended (P.L. 93-523);
(k) Protection of endangered species under the Endangered Species Act of 1973, as amended
(P. L. 93-205);
(1) 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.
Finally, 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) finally 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 CFR §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 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 which sets forth that no subgrantee, 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) (2 CFR Chapter 1, Part 170), specifically (a) the reporting of
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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 on
executive compensation, and also requirements implementing the Act for the non -Federal entity at
2 CFR part 25 Financial Assistance Use of Universal Identifier and Central Contractor Registration
and 2 CFR part 170 Reporting Subaward and Executive Compensation Information.
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 and 31 U.S.C.
§6101 et seq.
13. Human Trafficking
The Applicant will comply with the requirements of Section 106(g) of the Trafficking Victims
Protection Act (TVPA) of 2000, as amended (22 U.S.C. §7104) which prohibits grant award
recipients or a subrecipient from (1) Engaging in severe forms of trafficking in persons during the
period of time that the award is in effect (2) Procuring a commercial sex act during the period of
time that the award is in effect or (3) Using forced labor in the performance of the award or
subawards under the award.
14. Labor Standards
The Applicant will comply with the following federal labor standards:
(a) Comply with the provisions of 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.
(b) Comply with 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.
15. Worker's Compensation
The Applicant must comply with provisions which require every employer to be insured against
liability for Worker's Compensation before commencing performance of the work of this Agreement,
as per California Labor Code §3700.
16. 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
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area to participate in the program and to purchase flood insurance if the total cost of
insurable construction and acquisition is $10,000 or more.
(c) Assist the awarding agency in assuring compliance with Section 106 of the National Historic
Preservation Act of 1966, as amended (16 U.S.C. §470), EO 11593 (identification and
protection of historic properties), and the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. §469a-1 et seq.).
(d) Comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §4831 and 24 CFR
Part 35) which prohibits the use of lead-based paint in construction or rehabilitation of
residence structures.
17. Certifications Applicable Only to Federally -Funded Construction Projects
For all construction projects, the Applicant will:
(a) Not dispose of, modify the use of, or change the terms of the real property title or other
interest in the site and facilities without permission and instructions from the awarding
agency. Will record the Federal awarding agency directives and will include a covenant in
the title of real property acquired in whole or in part with Federal assistance funds to assure
nondiscrimination during the useful life of the project.
(b) Comply with the requirements of the awarding agency with regard to the drafting, review and
approval of construction plans and specifications.
(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.
18. 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 which is
under Federal control is subject to the Freedom of Information Act (FOIA), 5 U.S.C. §552. The
Applicant should also consult its own State and local laws and regulations regarding the release of
information, which should be considered when reporting sensitive matters in the grant application,
needs assessment and strategic planning process.
19. California Public Records 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 may be
subject to the California Public Records Act (California Government Code §§6250-6276.48), which
requires inspection and/or disclosure of governmental records to the public upon request, unless
exempted by law.
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HOMELAND SECURITY GRANT PROGRAM - PROGRAM SPECIFIC ASSURANCES /
CERTIFICATIONS
20. Personally Identifiable Information
Subrecipients collecting Personally Identifiable Information (PII) must have a publically-available
policy that describes what PII they collect, how they plan to use the PII, whether they share PII with
third parties, and how individuals may have their PII corrected where appropriate.
21. Disposition of Equipment
When original or replacement equipment acquired under this award is no longer needed for the
original project or program or for other activities currently or previously supported by the
Department of Homeland Security/Federal Emergency Management Agency, subrecipients must
request instructions from Cal OES on proper disposition of equipment.
22. Reporting Accusations and Findings of Discrimination
If, during the past three years, the subrecipient has been accused of discrimination on the grounds
of race, color, national origin (including limited English proficiency), sex, age, disability, religion, or
familial status, the subrecipient must provide a list of all such proceedings, pending or completed,
including outcome and copies of settlement agreements to Cal OES for reporting to the DHS
awarding office and the DHS Office of Civil Rights and Civil Liberties.
If any court or administrative agency makes a finding of discrimination on grounds of race, color,
national origin (including limited English proficiency), sex, age, disability, religion or familial status
against the subrecipient, or the subrecipient settles a case or matter alleging such discrimination,
subrecipients must forward a copy of the complaint and findings to Cal OES for forwarding to the
DHS Component and/or awarding office.
The United States has the right to seek judicial enforcement of these obligations.
23. Acknowledgement of Federal Funding from DHS and Use of DHS Seal, Logo and Flags
All subrecipients must acknowledge their use of federal funding when issuing statements, press
releases, requests for proposal, bid invitations, and other documents describing projects or
programs funded in whole or in part with federal funds.
All subrecipients must obtain DHS's approval prior to using DHS seal(s), Logos, crests or
reproductions 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.
24. Copyright
All subrecipients must affix the applicable copyright notices of 17 U.S.C. §§401 or 402 and an
acknowledgement of Government sponsorship (including award number) to any work first produced
under Federal financial assistance awards, unless the work includes any information that is
otherwise controlled by the Government (e.g., classified information or other information subject to
national security or export control laws or regulations).
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25. Energy Policy and Conservation Act
All subrecipients 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 issues in
compliance with this Act.
26. Hotel and Motel Fire Safety Act of 1990
All subrecipients must ensure that all conference, meeting, convention, or training space funded in
whole or in part with Federal funds complies with Section 6 of the fire prevention and control
guidelines of the Federal Fire Prevention and Control Act of 1974, 15 U.S.C. §2225a.
27. Terrorist Financing E.O. 13224
All subrecipients must comply with U.S. Executive Order 13224 and U.S. law that prohibit
transactions with, and the provisions of resources and support to, individuals and organizations
associated with terrorism. It is the legal responsibility of subrecipients to ensure compliance with the
E.O. and laws.
28. USA Patriot Act of 2001
All subrecipients must comply with the requirements of the Uniting and Strengthening America by
Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA Patriot Act),
which amends 18 U.S.C. §§175-175c.
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, including contracts under grants and cooperative agreements and subcontracts.
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The undersigned represents that he/she is authorized by the above named Applicant to enter into this
agreement for and on behalf of the said Applicant.
Signature of Authorized Agent:
Printed Name of Authorized Agent:
Title:
Homeland Security Grant Program - 2015 Grant Assurances
Date:
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