HomeMy WebLinkAboutC-8201-4 - Grant Agreement for the Selective Traffic Enforcement Program (STEP) PT20091State of California — Office of Traffic Safety
GRANT AGREEMENT
GRANT NUMBER
PT20091
1. GRANT TITLE
Selective Traffic Enforcement Program STEP
2. NAME OF AGENCY
3. Grant Period
Newport Beach
From: 10/01/2019
4. AGENCY UNIT TO ADMINISTER GRANT
Newport Beach Police Department
To: 09/30/2020
5. GRANT DESCRIPTION
Best practice strategies will be conducted to reduce the number of persons killed and injured in crashes involving
alcohol and other primary collision factors. The funded strategies may include impaired driving enforcement,
enforcement operations focusing on primary collision factors, distracted driving, night-time seat belt enforcement,
special enforcement operations encouraging motorcycle safety, enforcement and public awareness in areas with a high
number of bicycle and pedestrian collisions, and educational programs. These strategies are designed to earn media
attention thus enhancing the overall deterrent effect.
6. Federal Funds Allocated Under This Agreement Shall Not Exceed: $250,000.00
7. TERMS AND CONDITIONS: The parties agree to comply with the terms and conditions of the following which are by this
reference made a part of the Agreement:
• Schedule A — Problem Statement, Goals and Objectives and Method of Procedure
• Schedule B — Detailed Budget Estimate and Sub -Budget Estimate (if applicable)
• Schedule B-1 —Budget Narrative and Sub -Budget Narrative (if applicable)
• Exhibit A — Certifications and Assurances
• Exhibit B* — OTS Grant Program Manual
*Items shown with an asterisk (*), are hereby incorporated by reference and made a part of this agreement as if attached hereto.
These documents can be viewed at the OTS home web page under Grants: www.ots.ca.gov.
We, the officials named below, hereby swear under penalty of perjury under the laws of the State of California that we are duly
authorized to legally bind the Grant recipient to the above described Grant terms and conditions.
IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto.
8. Approval Signatures
A. GRANT DIRECTOR
B. AUTHORIZING OFFICIAL OF AGENCY
NAME: Joe Cartwright PHONE: (949) 644-3740
NAME: Jon T. Lewis PHONE: 949-644-3701
TITLE: Lieutenant FAX:
TITLE: Chief of Police FAX: 949-644-3700
ADDRESS: 870 Santa Barbara Drive
ADDRESS: 870 Santa Barbara Drive
Newport Beach, CA 92660
Newport Beach, CA 92660
EMAIL: ,jcartwright@nbpd.or
EMAIL:jlewis nbpd.o
�'
G /2.28 08,.2.2—/ 9
0
nure) (Date)
(Signature) ate)
FISCAL OR ACCOUNTING OFFICIAL
D. AUTHORIZING OFFICIAL OF OFFICE OF TRAFFIC SAFETY
NAME: Dan Matusiewicz PHONE: 949-644-3123
NAME: Randy Weissman PHONE: (916) 509-3030
TITLE: Finance Director FAX: 949-644-3339
TITLE: Acting Director FAX: (916) 509-3055
ADDRESS: 100 Civic Center Drive
ADDRESS: 2208 Kausen Drive Suite 300
Newport Beach, CA 92660
Elk Grove, CA 95758
EMAIL: dm iewicz portbeachca.gov
MAtL: randy.weissman@ots.ca.gov
I l9
(Si nature) (Date)
(Signature) (Date)
E. ACCOUNTING OFFICER OF FFICE OF TRAFFIC SAFETY
9. DUNS INFORMATION
DUNS #: 060752482
NAME: Carolyn Vu
ADDRESS: 2208 Kausen Drive, Suite 300
REGISTERED ADDRESS: 100 Civic Center Drive
Elk Grove, CA 95758
CITY:Newport Beach
ZIP+4:92660-3267
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10. PROJECTED
EXPENDITURES
PROJECTED
FUND
CFDA
ITEM/APPROPRIATION
F.Y.
CHAPTER STATUTE
EXPENDITURES
405d AL -20
20.616
0521-0890-101
2019
2019 BA/19
$20,000.00
402PT-20
20.600
0521-0890-101
2019
2019 BA/19
$55,000.00
164 AL -20
20.608
0521-0890-101
2019
2019 BA/19
$175,000.00
AGREEMENT
$250,000.00
TOTAL
AMOUNT ENCUMBERED BY
$250,000.00
THIS DOCUMENT
I CERTIFY upon my own personal knowledge that the budgeted funds for
the current budget year are available for the period and purpose of the
PRIOR AMOUNT ENCUMBERED FOR THIS
expenditure stated above.
AGREEMENT
$ 0.00
OTS ACCOUNTING OFFICER'S SIGNATURE
DATE
TOTAL AMOUNT ENCUMBERED TO DATE
SIGNE
.1K
Ll
$250,000.00
APPROVED AS TO FORM:
CITY ATTORNEY'S OFFICE
Date:
--
AyorYC. Harp, Ci Attorney
Attest:
Leil ni I. Brown, %,ill.: .
Date: V' ''_L-._- .. -- -
8/19/2019 12:59:51 PM Page 2 of 16
State of California — Office of Traffic Safety
GRANT AGREEMENT
Schedule A
GRANT NUMBER
PT20091
1. PROBLEM STATEMENT
The City of Newport Beach is a unique and dynamic community located along the scenic coastline of Southern
California. The city and surrounding areas are deeply rooted in history. In the early 20"' century, Newport Beach was
home to celebrities such as John Wayne, James Cagney, Humphrey Bogart, and Shirley Temple. At approximately 51
square miles, including areas of water, Newport Beach consists of rugged coastline, inland waterways, and has a
diverse mix of commerce, tourism, and distinct residential communities.
Newport Beach is a hot spot for Orange County nightlife and routinely competes against other cities for the most
Department of Alcoholic Beverage Control licensed establishments in the State of California (per capita). The
population of Newport Beach is approximately 86,000 residents; however, during the summer months the city
experiences an increase in daily visitors that routinely exceeds 100,000 per day. While the tourism generates a positive
tax revenue for the city, it also stresses the infrastructure and city departments, including the police department.
In 2007, our first grant was requested and awarded through the Office of Traffic Safety. Since then, the department has
been dedicated to the reduction of DUI -related incidents, community education, and enforcement. The City and Police
Department continue to recognize the need for ongoing DUI education and enforcement.
The most recent data (2016) supplied by the California Office of Traffic Safety, reveal the City of Newport Beach to be
in ranked 65 out of 104 similar -sized California cities in collision -related categories per capita. In substance, the City of
Newport Beach could noticeably improve their ranking by taking a robust approach with grant funding directed at
reducing fatal/injury collisions related to motorcyclists, bicyclists, unsafe speed, and impaired drivers. Newport Beach
markets itself as a destination location and attracts visitors from all over the region, state, and world. The daily increase
in population — including people who do not live in Newport Beach, but come to work, shop, visit, dine, or recreate — is
a component of our current rankings. To provide ongoing education and enforcement to our residents, businesses, and
visitors -- and to pursue increased roadway safety for all users -- we will continue to utilize OTS grant funding to
combat DUI alcohol, DUI drugs, distracted driving, primary collisions factors, motorcycle -related driving violations,
and bicycIist/motorist/pedestrian-refated violations.
2. PERFORMANCE MEASURES
A. Goals:
1. Reduce the number of persons killed in traffic collisions.
2. Reduce the number of persons injured in traffic collisions.
3. Reduce the number of pedestrians killed in traffic collisions.
4. Reduce the number of pedestrians injured in traffic collisions.
5. Reduce the number of bicyclists killed in traffic collisions.
6. Reduce the number of bicyclists injured in traffic collisions.
7. Reduce the number of persons killed in alcohol -involved collisions.
8. Reduce the number of persons injured in alcohol -involved collisions.
9. Reduce the number of persons killed in drug -involved collisions.
10. Reduce the number of persons injured in drug -involved collisions.
11. Reduce the number of persons killed in alcohol/drug combo -involved collisions.
12. Reduce the nu nber of persons injured in alcohol/drug combo -involved collisions.
13. Reduce the number of motorcyclists killed in traffic collisions.
14. Reduce the number of motorcyclists injured in traffic collisions.
15. Reduce hit & run fatal collisions.
16. Reduce hit & run injury collisions.
17. Reduce nighttime (2100 - 0259 hours) fatal collisions.
18. Reduce niRhttime (2100 - 0259 hours) iniury collisions.
B. Objectives: Target Number
1. Issue a press release announcing the kick-off of the grant by November 15. The kick-off 1
press releases and media advisories, alerts, and materials must be emailed to the OTS
Public Information Officer at pio@ots.ca.gov, and copied to your OTS Coordinator, for
approval 14 days prior to the issuance date of the release.
8/19/2019 12:59:51 PM Page 3 of 16
2. Participate and report data (as required) in the following campaigns, National Walk to
10
School Day, National Teen Driver Safety Week, NHTSA Winter Mobilization, National
Distracted Driving Awareness Month, National Motorcycle Safety Month, National
Bicycle Safety Month, National Click it or Ticket Mobilization, NHTSA Summer
Mobilization, National Child Passenger Safety Week, and California's Pedestrian Safety
Month.
3. Develop (by December 31) and/or maintain a " HOT Sheet" program to notify patrol and
12
traffic officers to be on the lookout for identified repeat DUI offenders with a suspended or
revoked license as a result of DUI convictions. Updated HOT sheets should be distributed
to patrol and traffic officers monthly.
4. Send law enforcement personnel to the NHTSA Standardized Field Sobriety Testing
4
(SFST) (minimum 16 hours) POST -certified training.
5. Send law enforcement personnel to the NHTSA Advanced Roadside Impaired Driving
2
Enforcement (ARIDE) 16 hour POST -certified training.
6. Send law enforcement personnel to the Drug Recognition Expert (DRE) training.
1
7. Send law enforcement personnel to the DRE Recertification training.
1
8. Send law enforcement personnel to SFST Instructor training.
1
9. Send law enforcement personnel to DRE Instructor training.
1
10. Conduct DUI/DL Checkpoints. A minimum of 1 checkpoint should be conducted during
2
the NHTSA Winter Mobilization and 1 during the Summer Mobilization. To enhance the
overall deterrent effect and promote high visibility, it is recommended the grantee issue an
advance press release and conduct social media activity for each checkpoint. For
combination DUI/DL checkpoints, departments should issue press releases that mention
DL's will be checked at the DUI/DL checkpoint. Signs for DUI/DL checkpoints should
read "DUI/Driver's License Checkpoint Ahead." OTS does not fund or support
independent DL checkpoints. Only on an exception basis and with OTS pre -approval will
OTS fund checkpoints that begin prior to 1800 hours. When possible, DUI/DL Checkpoint
screeners should be DRE- or ARIDE-trained.
11. Conduct DUI Saturation Patrol operation(s).
89
12. Conduct Traffic Enforcement operation(s), including but not limited to, primary collision
18
factor violations.
13. Conduct highly publicized Distracted Driving enforcement operation(s) targeting drivers
3
using hand held cell phones and textin .
14. Conduct highly publicized Motorcycle Safety enforcement operation(s) in areas or during
2
events with a high number of motorcycle incidents or collisions resulting from unsafe
speed, DUI, following too closely, unsafe lane changes, improper turning, and other
primary collision factor violations by motorcyclists and other drivers.
15. Conduct highly publicized pedestrian and/or bicycle enforcement operation(s) in areas or
4
during events with a high number of pedestrian and/or bicycle collisions resulting from
violations made by pedestrians, bicyclists, and drivers.
16. Conduct Traffic Safety educational presentation(s) with an effort to reach community
1
members. Note: Presentation(s) may include topics such as distracted driving, DUI, speed,
bicycle and pedestrian safety, seat belts and child passenger safety.
17. Conduct Know Your Limit campaigns with an effort to reach members of the community.
10
3. METHOD OF PROCEDURE
A. Phase 1— Program Preparation (1St Quarter of Grant Year)
• The department will develop operational plans to implement the "best practice" strategies outlined in the
objectives section.
• All training needed to implement the program should be conducted this quarter.
• All grant related purchases needed to implement the program should be made this quarter.
• In order to develop/maintain the "Hot Sheets," research will be conducted to identify the "worst of the
worst" repeat DUI offenders with a suspended or revoked license as a result of DUI convictions. The Hot
Sheets may include the driver's name, last known address, DOB, description, current license status, and the
number of times suspended or revoked for DUI. Hot Sheets should be updated and distributed to traffic and
patrol officers at least monthly.
• Implementation of the STEP grant activities will be accomplished by deploying personnel at high collision
locations.
8/19/2019 12:59:51 PM Page 4 of 16
Media Requirements
• Issue a press release announcing the kick-off of the grant by November 15, but no earlier than October
1. If unable to meet the November 15 date, communicate reasons to your OTS Coordinator. The kick-off
press releases and any related media advisories, alerts, and materials must be emailed for approval to the
OTS Public Information Officer at piogots.ca.gov, and copied to your OTS Coordinator, 14 days prior to
the issuance date of the release.
B. Phase 2 — Proltram Operations (Throughout Grant Year)
• The department will work to create media opportunities throughout the grant period to call attention to the
innovative program strategies and outcomes.
Media Requirements
• Send all grant -related activity press releases, media advisories, alerts and general public materials to the
OTS Public Information Officer (PIO) at pio@ots.ca.gov, with a copy to your OTS Coordinator. The
following requirements are for grant -related activities and are different from those regarding any grant
kick-off release or announcement.
• If an OTS -supplied, template -based press release is used, there is no need for pre -approval,
however, the OTS PIO and Coordinator should be copied when at the same time as the release is
distributed to the press.
• If an OTS -supplied template is not used, or is substantially changed, a draft press release shall be
sent to the OTS PIO for approval. Optimum lead-time would be 10 days prior to the release
distribution date, but should be no less than 5 working days prior to the release distribution date.
• Press releases reporting the immediate and time -valued results of grant activities such as
enforcement operations are exempt from the recommended advance approval process, but still
should be copied to the OTS PIO and Coordinator when the release is distributed to the press.
• Use the following standard language in all press, media, and printed materials: Funding for this program
was provided by a grant from the California Office of Traffic Safety, through the National Highway Traffic
Safety Administration.
• Email the OTS PIO at piogots.ca.gov and copy your OTS Coordinator at least 30 days in advance, a short
description of any significant grant -related traffic safety event or program so OTS has sufficient notice to
arrange for attendance and/or participation in the event.
• Submit a draft or rough -cut of all printed or recorded material (brochures, posters, scripts, artwork, trailer
graphics, etc.) to the OTS PIO at piogots.ca.gov and copy your OTS Coordinator for approval 14 days
prior to the production or duplication.
• Space permitting, include the OTS logo, on grant -funded print materials; consult your OTS Coordinator for
specifics and format -appropriate logos.
• Contact the OTS PIO or your OTS Coordinator, sufficiently far enough in advance of need, for
consultation when deviation from anv of the above requirements might be contemplated
C. Phase 3 — Data Collection & Reporting (Throughout Grant Year)
• Invoice Claims (due January 30, April 30, July 30, and October 30)
• Quarterly Performance Reports (due January 30, April 30, July 30, and October 30)
• Collect and report quarterly, appropriate data that supports the progress of goals and objectives.
• Provide a brief list of activity conducted, procurement of grant -funded items, and significant media
activities. Include status of grant -funded personnel, status of contracts, challenges, or special
accomplishments.
• Provide a brief summary of quarterly accomplishments and explanations for objectives not
completed or plans for upcoming activities.
• Collect. analvze and report statistical data relating to the grant goals and objectives.
4. METHOD OF EVALUATION
Using the data compiled during the grant, the Grant Director will complete the "Final Evaluation" section in the
fourth/final Quarterly Performance Report (QPR). The Final Evaluation should provide a brief summary of the grant's
accomplishments, challenges and significant activities. This narrative should also include whether goals and objectives
were met, exceeded, or an explanation of why objectives were not completed.
5. ADMINISTRATIVE SUPPORT
This program has full administrative support, and every effort will be made to continue the grant activities after grant
conclusion.
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State of California — Office of Traffic Safety
GRANT AGREEMENT
Schedule B
GRANT NUMBER
PT20091
FUND NUMBER
CATALOG NUMBER
FUND DESCRIPTION
TOTAL AMOUNT
Straight time
(CFDA)
$0.00
Overtime
DUI/DL Checkpoints
405d AL -20
20.616
Impaired Driving Countermeasures
$20,000.00
402PT-20
20.600
State and Community Highway
$55,000.00
Benefits OT @ 1.45%
20.608
Safety
Traffic Enforcement
164 AL -20
20.608
Minimum Penalties for Repeat
$175,000.00
$4,800.00
Motorcycle Safety
Offenders for Driving While
$3,200.00
Pedestrian and Bicycle Enforcement
20.600
Intoxicated
Traffic Safety Education
COST CATEGORY
CFDA
TOTAL COST
TO GRANT
A. PERSONNEL COSTS
Straight time
$0.00
Overtime
DUI/DL Checkpoints
20.608
$25,000.00
DUI Saturation Patrols
20.608
$124,600.00
Know Your Limit
20.608
$16,680.00
Benefits OT @ 1.45%
20.608
$2,411.00
Traffic Enforcement
20.600
$36,000.00
Distracted Driving
20.600
$4,800.00
Motorcycle Safety
20.600
$3,200.00
Pedestrian and Bicycle Enforcement
20.600
$6,400.00
Traffic Safety Education
20.600
$2,000.00
Benefits OT @ 1.45%
20.600
$760.00
SFST/ARIDE/DRE Instruction
20.616
$19,714.00
Benefits PT g 1.45%
20.616
$286.00
Category Sub -Total
$241,851.00
B. TRAVEL EXPENSES
In State Travel
20.600
$1,000.00
$0.00
Category Sub -Total
$1,000.00
C. CONTRACTUAL SERVICES
$0.00
Category Sub -Total
$0.00
D. EQUIPMENT
$0.00
Category Sub -Total
$0.00
E. OTHER DIRECT COSTS
DUI Checkpoint Supplies
20.608
$6,309.00
Educational Materials
20.600
$840.00
Category Sub -Total
$7,149.00
F. INDIRECT COSTS
$0.00
Category Sub -Total
$0.00
GRANT TOTAL $250,000.00
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8/19/2019 12:59:51 PM Page 8 of 16
State of California — Office of Traffic Safety
GRANT AGREEMENT
Schedule Q-1
GRANT NUMBER
PT20091
BUDGET NARRATIVE
PERSONNEL COSTS
QUANTITY
DUI/DL Checkpoints - Overtime for grant funded law enforcement operations conducted by
2
appropriate department personnel.
DUI Saturation Patrols - Overtime for grant funded law enforcement operations conducted by
89
appropriate department personnel.
Know Your Limit - Overtime for grant funded traffic safety presentations or campaigns conducted by
10
appropriate department personnel.
Benefits OT @ 1.45% - TOTAL BENEFIT RATE: 1.45%
1
Medicare - 1.45%
Traffic Enforcement - Overtime for grant funded law enforcement operations conducted by appropriate
18
department personnel.
Distracted Driving - Overtime for grant funded law enforcement operations conducted by appropriate
3
department personnel.
Motorcycle Safety - Overtime for grant funded law enforcement operations conducted by appropriate
2
department personnel.
Pedestrian and Bicycle Enforcement - Overtime for grant funded law enforcement operations
4
conducted by appropriate department personnel.
Traffic Safety Education - Overtime for grant funded traffic safety presentations or campaigns
1
conducted by appropriate department personnel.
Benefits OT @ 1.45% - TOTAL BENEFIT RATE: 1.45%
1
Medicare - 1.45%
SFST/ARIDE/DRE Instruction - Overtime for grant funded instructor training conducted by
I
appropriate department personnel.
Benefits PT @ 1.45% - TOTAL BENEFIT RATE: 1.45%
1
Medicare - 1.45%
TRAVEL EXPENSES
In State Travel - Costs are included for appropriate staff to attend conferences and training events
1
supporting the grant goals and objectives and/or traffic safety. Local mileage for grant activities and
meetings is included. All conferences, seminars or training not specifically identified in the Budget
Narrative must be approved by OTS. All travel claimed must be at the agency approved rate. Per Diem
may not be claimed for meals provided at conferences when registration fees are paid with OTS grant
funds.
CONTRACTUAL SERVICES
EQUIPMENT
OTHER DIRECT COSTS
8/19/2019 12:59:51 PM Page 9 of 16
DUI Checkpoint Supplies - On -scene supplies needed to conduct sobriety checkpoints. Costs may 1
include 28" traffic cones, MUTCD compliant traffic signs, MUTCD compliant high visibility vests
(maximum of 10), traffic counters (maximum of 2), generator, gas for generators, lighting, reflective
banners, electronic flares, PAS device supplies, heater, propane for heaters, fan, anti -fatigue mats, and
canopies. Additional items may be purchased if approved by OTS. The cost of food and beverages
will not be reimbursed.
Educational Materials - Costs of purchasing, developing or printing brochures, pamphlets, fliers, 1
coloring books, posters, signs, and banners associated with grant activities, and traffic safety conference
and training materials. Items shall include a traffic safety message and if space is available the OTS
loco. Additional items may be purchased if approved by OTS.
INDIRECT COSTS
STATEMENTS/DISCLAIMERS
There will be no program income generated from this grant.
Nothing in this "agreement" shall be interpreted as a requirement, formal or infonnal, that a particular law
enforcement officer issue a specified or predetermined number of citations in pursuance of the goals and objectives
here under.
8/19/2019 12:59:51 PM Page 10 of 16
State of California — Office of Traffic Safety
GRANT AGREEMENT
Exhibit A
CERTIFICATIONS AND ASSURANCES
HIGHWAY SAFETY GRANTS
(23 U.S.C. CHAPTER 4 AND SEC. 1906, PUB. L. 109-59, AS AMENDED)
GRANT NUMBER
PT20091
Failure to comply with applicable Federal statutes, regulations, and directives may subject Grantee Agency officials to
civil or criminal penalties and/or place the State in a high-risk grantee status in accordance with 49
CFR §18.12.
The officials named on the grant agreement, certify by way of signature on the grant agreement signature page, that the
Grantee Agency complies with all applicable Federal statutes, regulations, and directives and State rules, guidelines,
policies and laws in effect with respect to the periods for which it receives grant funding. Applicable provisions include,
but are not limited to, the following:
• 23 U.S.C. Chapter 4—Highway Safety Act of 1966, as amended
• 49 CFR Pant 18—Uniform Administrative Requirements for Grants and Cooperative Agreements to
State and Local Governments
• 23 CFR Part 1300—Uniform Procedures for State Highway Safety Grant Programs
NONDISCRIMINATION
(applies to subrecipients as well as States)
The State highway safety agency will comply with all Federal statutes and implementing regulations relating to
nondiscrimination ("Federal Nondiscrimination Authorities"). These include but are not limited to:
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq., 78 stat. 252), (prohibits discrimination on the
basis of race, color, national origin) and 49 CFR part 21;
• The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42
U.S.C. 4601), (prohibits unfair treatment of persons displaced or whose property has been acquired because of
Federal or Federal -aid programs and projects);
• Federal -Aid Highway Act of 1973, (23 U.S.C. 324 et seq.), and Title IX of the Education Amendments of 1972,
as amended (20 U.S.C. 1681-1683 and 1685-1686) (prohibit discrimination on the basis of sex);
• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. 794 et seq.), as amended, (prohibits discrimination on
the basis of disability) and 49 CFR part 27;
• The Age Discrimination Act of 1975, as amended, (42 U.S.C. 6101 et seq.), (prohibits discrimination on the basis
of age);
• The Civil Rights Restoration Act of 1987, (Pub. L. 100-209), (broadens scope, coverage and applicability of Title
VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the Rehabilitation
Act of 1973, by expanding the definition of the terms "programs or activities" to include all of the programs or
activities of the Federal aid recipients, subrecipients and contractors, whether such programs or activities are
Federally -funded or not);
• Titles II and III of the Americans with Disabilities Act (42 U.S.C. 12131-12189) (prohibits discrimination on the
basis of disability in the operation of public entities, public and private transportation systems, places of public
accommodation, and certain testing) and 49 CFR parts
37 and 38;
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Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low -
Income Populations (prevents discrimination against minority populations by discouraging programs, policies,
and activities with disproportionately high and adverse human health or environmental effects on minority and
low-income populations); and
• Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency (guards
against Title VI national origin discrimination/discrimination because of limited English proficiency (LEP) by
ensuring that funding recipients take reasonable steps to ensure that LEP persons have meaningful access to
programs (70 FR 74087-74100).
The State highway safety agency—
Will take all measures necessary to ensure that no person in the United States shall, on the grounds of race, color,
national origin, disability, sex, age, limited English proficiency, or membership in any other class protected by
Federal Nondiscrimination Authorities, be excluded from participation in, be denied the benefits of, or be
otherwise subjected to discrimination under any of its programs or activities, so long as any portion of the
program is Federally -assisted;
• Will administer the program in a manner that reasonably ensures that any of its subrecipients, contractors,
subcontractors, and consultants receiving Federal financial assistance under this program will comply with all
requirements of the Non -Discrimination Authorities identified in this Assurance;
• Agrees to comply (and require its subrecipients, contractors, subcontractors, and consultants to comply) with all
applicable provisions of law or regulation governing US DOT's or NHTSA's access to records, accounts,
documents, information, facilities, and staff, and to cooperate and comply with any program or compliance
reviews, and/or complaint investigations conducted by US DOT or NHTSA under any Federal Nondiscrimination
Authority;
• Acknowledges that the United States has a right to seek judicial enforcement with regard to any matter arising
under these Non -Discrimination Authorities and this Assurance;
• Agrees to insert in all contracts and funding agreements with other State or private entities the following clause:
"During the performance of this contract/funding agreement, the contractor/funding recipient agrees—
a. To comply with all Federal nondiscrimination laws and regulations, as may be amended from time to
time;
b. Not to participate directly or indirectly in the discrimination prohibited by any Federal non-
discrimination law or regulation, as set forth in appendix B of 49 CFR part 21 and herein;
c. To permit access to its books, records, accounts, other sources of information, and its facilities as
required by the State highway safety office, US DOT or NHTSA;
d. That, in event a contractor/funding recipient fails to comply with any nondiscrimination provisions in
this contract/funding agreement, the State highway safety agency will have the right to impose such
contract/agreement sanctions as it or NHTSA determine are appropriate, including but not limited to
withholding payments to the contractor/funding
recipient under the contract/agreement until the contractor/funding recipient complies; and/or
cancelling, terminating, or suspending a contract or funding agreement, in whole or in part; and
e. To insert this clause, including paragraphs (a) through (e), in every subcontract and sub agreement and
in every solicitation for a subcontract or sub -agreement, that receives Federal funds under this
program.
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POLITICAL ACTIVITY (HATCH ACT)
(applies to subrecipients as well as States)
The State will comply with provisions of the Hatch Act (5 U.S.C. 1501-1508), which limits the political activities of
employees whose principal employment activities are funded in whole or in part with Federal funds.
CERTIFICATION REGARDING FEDERAL LOBBYING
(applies to subrecipients as well as States)
Certification for Contracts, Grants, Loans, and Cooperative Agreements
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 any 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
sub -award at all tiers (including subcontracts, subgrants, and contracts under grant, loans, and cooperative
agreements) and that all subrecipients shall certify and disclose accordingly.
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.
RESTRICTION ON STATE LOBBYING
(applies to subrecipients as well as States)
None of the funds under this program will be used for any activity specifically designed to urge or influence a State or
local legislator to favor or oppose the adoption of any specific legislative proposal pending before any State or local
legislative body. Such activities include both direct and indirect (e.g., "grassroots") lobbying activities, with one
exception. This does not preclude a State official whose salary is supported with NHTSA funds from engaging in direct
communications with State or local legislative officials, in accordance with customary State practice, even if such
communications urge legislative officials to favor or oppose the adoption of a specific pending legislative proposal.
CERTIFICATION REGARDING DEBARMENT AND SUSPENSION
(applies to subrecipients as well as States)
Instructions for Primary Tier Participant Certification (States)
1. By signing and submitting this proposal, the prospective primary tier participant is providing the certification set
out below and agrees to comply with the requirements of 2 CFR parts 180 and 1200.
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2. The inability of a person to provide the certification required below will not necessarily result in denial of
participation in this covered transaction. The prospective primary tier participant shall submit an explanation of why it
cannot provide the certification set out below. The certification or explanation will be considered in connection with
the department or agency's determination whether to enter into this transaction. However, failure of the prospective
primary tier participant to furnish a certification or an explanation shall disqualify such person from participation in this
transaction.
3. The certification in this clause is a material representation of fact upon which reliance was placed when the
department or agency determined to enter into this transaction. If it is later determined that the prospective primary tier
participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal
Government, the department or agency may terminate this transaction for cause or default or may pursue suspension or
debarment.
4. The prospective primary tier participant shall provide immediate written notice to the department or agency to which
this proposal is submitted if at any time the prospective primary tier participant learns its certification was erroneous
when submitted or has become erroneous by reason of changed circumstances.
5. The terms covered transaction, civil judgment, debarment, suspension, ineligible, participant, person, principal, and
voluntarily excluded, as used in this clause, are defined in 2 CFR parts 180 and 1200. You may contact the department or
agency to which this proposal is being submitted for assistance in obtaining a copy of those regulations.
6. The prospective primary tier participant 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
proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily
excluded fi-orn participation in this covered transaction, unless authorized by the department or agency entering into
this transaction.
7. The prospective primary tier participant further agrees by submitting this proposal that it will include the clause titled
"Instructions for Lower Tier Participant Certification" including the "Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion—Lower Tier Covered Transaction," provided by the department or agency
entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations
for lower tier covered transactions and will require lower tier participants to comply with 2 CFR parts 180 and 1200.
8. 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 proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,
ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A
participant is responsible for ensuring that its principals are not suspended, debarred, or otherwise ineligible to
participate in covered transactions. To verify the eligibility of its principals, as well as the eligibility of any
prospective lower tier participants, each participant may, but is not required to, check the System for Award
Management Exclusions website (https://www.sam.gov/).
9. 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.
10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered
transaction knowingly enters into a lower tier covered transaction with a person who is
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from
participation in this transaction, in addition to other remedies available to the Federal government, the department or
agency may terminate the transaction for cause or default.
Certification Regarding Debarment, Suspension, and Other Responsibility Matters -Primary Tier
Covered Transactions
(1) The prospective primary tier participant certifies to the best of its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from participating in covered transactions by any Federal department or agency;
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(b) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered
against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or
performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal
or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of
records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State
or Local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and
(d) Have not within a three-year period preceding this application/proposal had one or more public transactions
(Federal, State, or local) terminated for cause or default.
(2) Where the prospective primary tier participant is unable to certify to any of the Statements in this certification,
such prospective participant shall attach an explanation to this proposal.
Instructions for Lower Tier Participant Certification
1. By signing and submitting this proposal, the prospective lower tier participant is providing the certification set out
below and agrees to comply with the requirements of 2 CFR parts 180 and 1200.
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 lower tier participant 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 or debarment.
3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted
or has become erroneous by reason of changed circumstances.
4. The terms covered transaction, civil judgment, debarment, suspension, ineligible, participant, person, principal, and
voluntarily excluded, as used in this clause, are defined in 2 CFR parts 180 and 1200.
You may contact the person to whom this proposal is submitted for assistance in obtaining a copy of those
regulations.
5. The prospective lower tier participant 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
proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily
excluded fi•om participation in this covered transaction, unless authorized by the department or agency with which this
transaction originated.
6. The prospective lower tier participant further agrees by submitting this proposal that it will include the clause titled
"Instructions for Lower Tier Participant Certification" including the "Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion — Lower Tier Covered Transaction," without modification, in all lower tier
covered transactions and in all solicitations for lower tier covered transactions and will require lower tier participants
to comply with 2 CFR parts 180 and 1200.
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 proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,
ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A
participant is responsible for ensuring that its principals are not suspended, debarred, or otherwise ineligible to
participate in covered transactions. To verify the eligibility of its principals, as well as the eligibility of any
prospective lower tier participants, each participant may, but is not required to, check the System for Award
Management Exclusions website (httl2s://www.samgov/).
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.
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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 proposed for debarment under 48 CFR part 9,
subpart 9.4, suspended, debarred, ineligible, or voluntarily 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 or debarment.
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-- Lower Tier
Covered Transactions:
1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is
presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating
in covered transactions by any Federal department or agency.
2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification,
such prospective participant shall attach an explanation to this proposal.
BUY AMERICA ACT
(applies to subrecipients as well as States)
The State and each subrecipient will comply with the Buy America requirement (23 U.S.C. 313) when purchasing items
using Federal fields. Buy America requires a State, or subrecipient, to purchase with Federal funds only steel, iron and
manufactured products produced in the United States, unless the Secretary of Transportation determines that such
domestically produced items would be inconsistent with the public interest, that such materials are not reasonably
available and of a satisfactory quality, or
that inclusion of domestic materials will increase the cost of the overall project contract by more than 25 percent. In
order to use Federal funds to purchase foreign produced items, the State must submit a
waiver request that provides an adequate basis and justification for approval by the Secretary of
Transportation.
PROHIBITION ON USING GRANT FUNDS TO CHECK FOR HELMET USAGE
(applies to subrecipients as well as States)
The State and each subrecipient will not use 23 U.S.C. Chapter 4 grant funds for programs to check helmet usage or
to create checkpoints that specifically target motorcyclists.
LAW ENFORCEMENT AGENCIES
All subrecipient law enforcement agencies shall comply with California law regarding profiling. Penal Code section
13519.4, subdivision (e), defines "racial profiling" as the "practice of detaining a suspect based on a broad set of criteria
which casts suspicion on an entire class of people without any individualized suspicion of the particular person being
stopped." Then, subdivision (f) of that section goes on to provide, "A law enforcement officer shall not engage in racial
profiling."
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