HomeMy WebLinkAboutC-3746(A) - Agreements to transfer or purchase equipment or services using Urban Area Security Initiative (UASI) Grant Funds from the Cities of Santa Ana and Anaheim FY 20091
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AGREEMENT FOR TRANSFER OR PURCHASE
OF EQUIPMENT/SERVICES OR FOR REIMBURSEMENT OF TRAINING COSTS
FOR FY08 URBAN AREAS SECURITY INITIATIVE (UASI)
THIS AGREEMENT is entered into this December 4, 2008 , dated for purposes of
identification only, is made and entered into by and between the
CITY OF ANAHEIM, a municipal corporation,
hereinafter referred to as "ANAHEIM,
A
N
D
City of Newport Beach ,
hereinafter referred to as "SUBGRANTEE".
WHEREAS, ANAHEIM, acting through the Anaheim Police Department in its capacity
as the Core City for the North Orange County Urban Area under the FY08 Urban Areas Security
Initiative, has applied for, received and accepted certain grants entitled "FY08 Urban Areas Security
Initiative" (UASI) from the Federal Emergency Management Agency Grant Programs Directorate
(formerly named the Department of Homeland Security, Office of Grants and Training), through the
State of California, Office of Homeland Security, to enhance countywide emergency preparedness,
hereinafter referred to as "the Grant," as set forth in the Grant Guidelines, copies of which are attached
hereto as Attachments A, B and C and incorporated herein by reference; and
WHEREAS, the terms of the Grant require that ANAHEIM use certain grant funds to i)
purchase equipment, technology or services that will be transferred to SUBGRANTEE to be used for
grant purposes, and/or ii) train members of SUBGRANTEE in a manner consistent with the Grant.
NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
I. PURCHASE OF EQUIPMENT OR SERVICES
1. As more specifically set forth herein, ANAHEIM may transfer to SUBGRANTEE, or
SUBGRANTEE shall purchase, the equipment or services as specified in Attachment D attached hereto
and incorporated herein by reference, in accordance with the Grant Guidelines and the Grant
Assurances, a copy of which are attached hereto as Attachment E and incorporated herein by reference.
I When purchasing Grant equipment, SUBGRANTEE shall comply with all of SUBGRANTEE's
2 purchasing and bidding procedures and applicable state law.
3 2. Prior to making any purchase of equipment or services, SUBGRANTEE shall obtain
4 written approval from ANAHEIM in a form to be mutually agreed upon by ANAHEIM and
5 SUBGRANTEE.
6 3. Throughout its useful life, SUBGRANTEE shall use any equipment acquired with Grant
7 funds only for those purposes permitted under the terms of the Grant, and shall make any equipment
8 purchased or transferred to SUBGRANTEE under the Grant available for mutual aid response to other
9 governmental entities in emergency situations to the maximum extent practicable.
10 4. SUBGRANTEE shall exercise due care to preserve and safeguard equipment in its
11 possession or control acquired with Grant funds from damage or destruction and shall provide regular
12 maintenance and such repairs for said equipment as are necessary, consistent with any warranty or
13 owner's manual, in order to keep said equipment continually in good working order. Such maintenance
14 and servicing shall be the sole responsibility of SUBGRANTEE, which shall assume full responsibility
15 for maintenance and repair of the equipment throughout the life of said equipment.
16 5. If equipment acquired with Grant funds becomes obsolete or unusable, SUBGRANTEE
17 shall notify ANAHEIM of such condition. SUBGRANTEE shall transfer or dispose of Grant -funded
18 equipment only in accordance with the instructions of ANAHEIM or the agency from which ANAHEIM
19 received the grant funds.
20 II. REIMBURSEMENT OF TRAINING COSTS
21 1. SUBGRANTEE shall be allocated a specified amount of funds to be used for training
22 purposes pursuant to the Grant Guidelines and terms of this Agreement. SUBGRANTEE may seek
23 reimbursement from ANAHEIM in accordance with the terms and conditions of this Agreement. Any
24 training expenditure that exceeds the amount allocated to SUBGRANTEE shall be the sole
25 responsibility of SUBGRANTEE.
26 2. If additional Grant funds become available for training purposes or if training funds are
27 reduced, ANAHEIM shall notify SUBGRANTEE, in writing, of the revised training budget.
28 SUBGRANTEE shall be responsible for limiting training for which it seeks reimbursement so as not to
exceed its revised allotment.
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1 3. Prior to incurring any expense for training for which reimbursement will be sought
2 pursuant to this Agreement, SUBGRANTEE shall obtain written approval from ANAHEIM.
3 SUBGRANTEE shall complete the State of California, "Request for Training Form," and submit a copy
4 of the same, with the tracking and feedback number, to ANAHEIM. The, "Request for Training Form"
5 is found at http://www.anaheim.net/police/uasi.asp.
6 4. SUBGRANTEE acknowledges that only Office of Domestic Preparedness ("ODP")
7 approved classes qualify for reimbursement.
8 5. SUBGRANTEE agrees to comply with Attachments A, B, C and E in seeking
9 reimbursement for training, including, but not limited to the overtime and backfill requirements as
10 outlined in Attachments A, B and C.
11 III. GENERAL PROVISIONS
12 1. SUBGRANTEE shall submit an invoice for equipment or services, or in the case of
13 training, a training reimbursement application in the form attached hereto as Attachment F and
14 incorporated herein by reference, to ANAHEIM as soon as practical, but in no event later than thirty
15 (30) days after receipt of the invoice or completion of the training.
16 2. ANAHEIM shall have ninety (90) days from receipt of an invoice or training
17 reimbursement application to reimburse SUBGRANTEE.
18 3. SUBGRANTEE agrees to comply with and be fully bound by all applicable
19 provisions of the Grant and Attachments A through E to this Agreement, and shall be fully responsible
20 for payment of items purchased or for any training costs that do not adhere thereto.
21 4. In the event of an audit of purchases made or training undertaken with Grant funds by
22 any authorized agency, SUBGRANTEE agrees to cooperate fully with such audit. If such audit
23 disallows payment to ANAHEIM in whole or part for any item procured for or by SUBGRANTEE or
24 for any training costs incurred by SUBGRANTEE and requires ANAHEIM to reimburse the Grantor,
25 SUBGRANTEE shall, within thirty (30) days of notification by ANAHEIM of such audit determination,
26 pay to ANAHEIM any amount for which reimbursement to ANAHEIM was disallowed.
27 5. SUBGRANTEE agrees to indemnify, defend and save harmless ANAHEIM and the
28 agency from which ANAHEIM received grant funds, and their officers, agents and employees from any
and all claims and losses accruing or resulting to any and all contractors, subcontractors, laborers, and
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any other person, firm or corporation furnishing or supplying work services, materials or supplies in
connection with SUBGRANTEE's performance of this Agreement, including the terms of the Grant,
and from any and all claims and losses accruing or resulting to any person, firm, or corporation who may
be injured or damaged by SUBGRANTEE in the performance of this Agreement.
6. No alteration or variation of the terms of this Agreement shall be valid unless made in
writing and signed by duly authorized representatives of both parties hereto, and no oral understanding
or agreement not incorporated herein shall be binding on any of the parties hereto.
7. SUBGRANTEE may not assign this Agreement in whole or in part without the express
written consent of ANAHEIM.
8. For a period of three years after final delivery hereunder or until all claims related to this
Agreement are finally settled, whichever is later, SUBGRANTEE shall preserve and maintain all
I documents, papers and records relevant to the equipment acquired or training undertaken in accordance
with this Agreement. With respect to training, such documents, papers and records shall include those
I relevant to the training costs, overtime, backfill, travel costs and per diem expenses. For the same
I period of time, SUBGRANTEE shall make said documents, papers and records available to ANAHEIM
I and the agency from which ANAHEIM received Grant funds or their duly authorized representative(s),
for examination, copying, or mechanical reproduction on or off the premises of SUBGRANTEE, upon
I request during usual working hours.
9. SUBGRANTEE shall provide to ANAHEIM all records and information requested by I
I ANAHEIM for inclusion in quarterly reports and such other reports or records as ANAHEIM may be
I required to provide to the agency from which ANAHEIM received Grant funds or other persons or
I agencies.
10. ANAHEIM may terminate this Agreement and be relieved of the delivery of any I
I consideration to SUBGRANTEE if a) SUBGRANTEE fails to perform any of the covenants contained
I in this Agreement, at the time and in the matter herein provided, or b) ANAHEIM loses funding under
I the Grant.
11. SUBGRANTEE and its agents and employees and independent contractors shall act in an I
independent capacity in the performance of this Agreement, and shall not be considered officers, agents
or employees of ANAHEIM or of the agency from which ANAHEIM received Grant funds.
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1 12. In the performance of this Agreement, SUBGRANTEE and its officers, agents,
2 employees shall comply with by all applicable federal, state and local laws, including all applicable
3 statutes, regulations, executive orders and ordinances.
4 IN WITNESS WHEREOF, the parties have executed this Agreement in the City of
5 Anaheim, County of Orange, State of California.
6 DATE OF EXECUTION: CITY OF ANAHEIM,
7 a municipal corporation,
g By
Chief of Police
9
"ANAHEIM"
10
/7
11 DATE OF EXECUTION:
12 '�F
i; ; fi By
13
AP
14 j,0VED AS TO O Printed Name LR'6'S
15 Title ►�2 }t t
Irar^ 4 V-
16 APPROV&S T "SUBGRANTEE
17
18
Cristina L. Talley
Attest: s , il�.r4,Y;
19
Sr. Assistant City Attorney
City Clerk
20
Date:
21
SEW PO
O �
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c�G/FORN.
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5
Xj St.
FY08 Anaheim/Santa Ana UASI
A°Grant Management Memo — 2008-01
Se
The Federal HSGP Guide for FY2008 in Appendix F states the following:
"Prior to the transition to FEMA the former Office of Grants and Training preparedness
programs followed The Department of Justice's codified regulations 28 CFR and the
OGO Financial Management Guide The former Office of Grants and Training is now
within FEMA and all preparedness programs will follow, FEMA's codified regulations
44 CFR."
The assurances titled "Office of Homeland Security FY08 Grant Assurances" have some
references to 28 CFR. The State Office of Homeland Security is aware of the discrepancy
and is currently working with FEMA's Grant Programs Directorate and plans to release
clarification to these assurances at a later date. As soon as the Anaheim/Santa Ana UASI
Offices receive this clarification they will forward it to their Sub -Recipients.
The Anaheim/Santa Ana UASI Offices acknowledge the Federal guidance. We direct our
Sub -Recipients to sign the assurances in their current format, follow relevant sections and
comply with FEMA by following 44 CFR where appropriate.
Respectfully,
Sergeant Brian McElhaney
Anaheim Police Department
Will establish safeguards to prohibit employees from using their positions for a purpose that
constitutes or presents the appearance of personal or organizational conflict of interest, or
personal gain for themselves or others, particularly those with whom they have family, business
or other ties.
9. Agrees that to the extent contractors or subcontractors are utilized, grantees and subgrantees shall
use small, minority, women -owned, or disadvantaged business concerns and contractors or
subcontractors to the extent practicable.
10. Will comply with 2 CFR 215.25, and will notify OHS of any developments that have a
significant impact on award -supported activities, including changes to key program staff.
11. Will comply, if applicable, with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §§
4801 et seq.) which prohibits the use of lead based paint in construction or rehabilitation of
residence structures.
12. Understands and agrees Federal funds will not be used, directly or indirectly, to support the
enactment, repeal, modification or adoption of any law, regulation, or policy, at any level of
government, without the express prior written approval from FEMA.
13. Will comply with all federal statues relating to Civil Rights and Nondiscrimination. These
include but are not limited to:
a. Title VI of the Civil Rights Act of 1964 (P.L. 88-352), as amended, which prohibits
discrimination on the basis of race, color or national origin.
b. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681-1683
and 1685-1686), which prohibits discrimination on the basis of gender.
c. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794) which
prohibits discrimination on the basis of handicaps.
d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101-6107) which
prohibits discrimination on the basis of age.
e. The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255) as amended, relating to
nondiscrimination on the basis of drug abuse.
f. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on
the basis of alcohol abuse or alcoholism;
g. §§ 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290
ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records.
h. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as amended, relating
to nondiscrimination in the sale, rental or financing of housing.
i. Title 28, Code of Federal Regulations, Part 42, Subparts C, D, E and G.
j. Title 28, CFR, Part 35.
k. Any other nondiscrimination provisions in the specific statute(s) under which application
for federal assistance is being made, and
1. Title 44 CFR Parts 7, 16, and 19 relating to nondiscrimination.
in. The requirements on any other nondiscrimination statute(s) which may apply to the
application.
n. Will, in the event a Federal or State court or Federal or State administrative agency
makes a finding of discrimination after a due process hearing on the grounds or race,
color, religion, national origin, gender, or disability against a recipient of funds, the
recipient will forward a copy of the finding to the Office of Civil Rights, Office of Justice
Programs.
Page 2 Initials
(EO11988), Wetlands (11990) and Environmental Justice (12898) and Environmental
Quality (EO 11514).
b. Title 44 CFR Parts 9 and 10, referencing floodplain management and environmental
considerations.
c. Notification of violating facilities pursuant to EO 11738.
d. 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.).
e. 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.).
f. Protection of underground sources of drinking water under the Safe Drinking Water Act
of 1974, as amended, (P.L. 93-523).
g. California Environmental Quality Act (CEQA). California Public Resources Code
Sections 21080-21098. California Code of Regulations, Title 14, Chapter 3 Section
15000-15007.
h. 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.
i. Applicable provisions of the Coastal Barrier Resources Act (P.L. 97-348) dated October
19, 1982 (16 USC 3501 et seq.) which prohibits the expenditure of most new Federal
funds within the units of the Coastal Barrier Resources System.
j. Will comply with all conditions placed on any project as the result of the EHP review;
any change to the scope of work of a project will require re-evaluation of compliance
with these EHP requirements.
k. Agrees not to undertake any project having the potential to impact the EHP resources
without the prior written approval of FEMA/OHS, including but not limited to
communications towers, physical security enhancements, new construction and
modifications to buildings that are 50 (fifty) years old or more.
20. Will comply with Standardized Emergency Management System (SEMS) requirements as stated
in the California Emergency Services Act, Government Code, Chapter 7 of Division 1 of Title 2,
Section 8607.1(e) and CCR Title 19, Sections 2445, 2446, 2447 and 2448.
21. Agrees that all publications created or published with funding under this grant shall prominently
contain the following statement: "This document was prepared under a grant from FEAM s
Grant Programs Directorate, U.S. Department of Homeland Security. points of view or opinions
expressed in this document are those of the authors and do not necessarily represent the official
position or policies of FEAM s Grant Programs Directorate or the U.S. Department of
Homeland Security. " The recipient also agrees that, when practicable, any equipment purchased
with grant funding shall be prominently marked as follows: "Purchased with funds provided by
the U.S. Department of Homeland Security. "
22. Has requested through the State of California, federal financial assistance to be used to perform
eligible work approved in the submitted application for federal assistance and after the receipt of
federal financial assistance, through the State of California, agree to the following:
a. Promptly return to the State of California all the funds received which exceed the
approved, actual expenditures as accepted by the federal or state government.
b. In the event the approved amount of the grant is reduced, the reimbursement applicable to
the amount of the reduction will be promptly refunded to the State of California.
c. Separately account for interest earned on grant funds, and will return all interest earned,
in excess of $100 per federal fiscal year.
Page 4 Initials
various fire, emergency medical, hazardous materials response services, and law
enforcement agencies within the jurisdiction of the applicant, and deployed with
personnel trained in the use of such equipment in a manner consistent with the California
Law Enforcement Mutual Aid Plan or the California Fire Services and Rescue Mutual
Aid Plan.
b. Is consistent with needs as identified in the State Homeland Security Strategy and will be
deployed in conformance with that Strategy.
31. Agrees that funds awarded under this grant will be used to supplement existing funds for
program activities, and will not supplant (replace) non-federal funds.
32. Will comply with all applicable Federal statutes, regulations, policies, guidelines and
requirements, including OMB Circulars A-21, A-87, A102, A-110, A-122, and A-133, E. 0.
12372 and the current Administrative Requirements, Cost Principles, and Audit Requirements.
Will also comply with Title 28, Code of Federal Regulations, Parts 66 and 70, that govern the
application, acceptance and use of Federal funds for federally assisted projects.
33. Will comply with provisions of 28 CFR applicable to grants and cooperative agreements,
Including:
a. Part 18, Administrative Review Procedures.
b. Part 20, Criminal Justice Information Systems.
c. Part 22, Confidentiality of Identifiable Research and Statistical Information.
d. Part 23, Criminal Intelligence Systems Operating Policies.
e. Part 30; Intergovernmental Review of Department of Justice Programs and Activities.
f. Part 35, Nondiscrimination on the Basis of Disability in State and Local Government
Services.
g. Part 38, Equal Treatment of Faith -based Organizations.
h. Part 63, Floodplain Management and Wetland Protection Procedures.
i. Part 42, Nondiscrimination/Equal Employment Opportunities Policies and Procedures.
j. Part 61, Procedures for Implementing the National Environmental Policy Act.
k. Part 64, Floodplain Management and Wetland Protection Procedures; and Federal laws or
regulations applicable to Federal Assistance Programs.
1. Part 66, Uniform Administrative Requirements for Grants and Cooperative Agreements
to State and Local Governments.
in. Part 67, Government -Wide Debarment and Suspension (Non -Procurement).
n. Part 69, New Restrictions on Lobbying.
o. Part 70, Uniform Administrative Requirements for Grants and Cooperative Agreements
(including sub -awards) with Institutions of Higher Learning, Hospitals and other Non -
Profit Organizations.
p. Part 83, Government -Wide Requirements for a Drug Free Workplace (grants).
34. Will comply with Subtitle A, Title II of the Americans with Disabilities Act (ADA) 1990.
35. Agrees to cooperate with any assessments, national evaluation efforts, or information or data
collection requests, including, but not limited to, the provision of any information required for
the assessment or evaluation of any activities within this agreement.
36. Will maintain procedures to minimize the time elapsing between the award of funds and the
disbursement of funds.
Page 6 Initials
b. Where the applicant is unable to certify to any of the statements in this certification, he or she
shall attach an explanation to this application.
42. Agrees to comply with the Drug -Free Workplace Act of 1988, and implemented at 28 CFR Part
67, Subpart F, for grantees, as defined at 28 CFR Part 67 Sections 67.615 and 67.620 and
certifies that it will or will continue to provide a drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture,
distribution, dispensing, possession, or use of a controlled substance is prohibited in
the grantee's workplace and specifying the actions that will be taken against
employees for violation of such prohibition.
(b) Establishing an on-going drug-free awareness program to inform employees about:
(1) The dangers of drug abuse in the workplace.
(2) The grantee's policy of maintaining a drug-free workplace.
(3) Any available drug counseling, rehabilitation, and employee assistance
programs; and
(4) The penalties that may be imposed upon employees for drug abuse violations
occurring in the workplace.
(c) Making it a requirement that each employee to be engaged in the performance of the
grant be given a copy of the statement required by paragraph (a).
(d) Notifying the employee in the statement required by paragraph (a) that, as a condition
of employment under the grant, the employee will
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for a violation of a
criminal drug statute occurring in the workplace no later than five calendar days
after such conviction.
(e) Notifying the agency, in writing, within 10 calendar days after receiving notice under
subparagraph (d)(2) from an employee or otherwise receiving actual notice of such
conviction. Employers of convicted employees must provide notice, including
position title, to:
Department of Justice, Office of Justice Programs,
ATTN: Control Desk,
633 Indiana Avenue, N.W.,
Washington, D.C. 20531.
Notice shall include the identification number(s) of each affected grant.
(f) Taking one of the following actions, within 30 calendar days of receiving notice
under subparagraph (d)(2), with respect to any employee who is so convicted.
(1) Taking appropriate personnel action against such an employee, up to and
including termination, consistent with the requirements of the Rehabilitation Act
of 1973, as amended; or
Page 8 Initials
CITY OF NEWPORT BEACH
CITY COUNCIL STAFF REPORT
Agenda Item No. 12
September 8, 2009
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: Fire Department
Steve Lewis, Fire Chief, 644-3101
slewis(a�nbfd.net
SUBJECT: Acceptance of the 2008 Urban Areas Security Initiative (UASI)
Grant Fund Training Allocation
RECOMMENDATION:
1. Accept the 2008 UASI Grant Fund Training Allocation in the amount of $49,358.17
to be utilized for reimbursement of training costs associated with approved
Department of Homeland Security (DHS) courses for emergency response
personnel.
2. City Council approve a Budget Amendment BA increasing revenue estimates
by $49,358.17 in 1820-486A, UASI Grant, and increasing expenditure
appropriations by $49,358.17 in 7014-C8002016.
DISCUSSION:
The Urban Area Security Initiative (UASI) grant was established in 2003, by the
Department of Homeland Security (DHS) to provide funding for training and
equipment for emergency personnel. The urban areas are chosen by DHS
based on a formula that takes into account factors such as critical infrastructure,
population density, and credible threat information. Among other densely
populated areas, the Cities of Santa Ana and Anaheim were jointly awarded
approximately $13 million dollars in the fiscal year 2008. Both UASI cities and
the County of Orange have teamed up to forge one of the most cohesive,
focused, and regional partnerships anywhere in the nation.
The City of Newport Beach falls within the Santa Ana UASI area, administered by the
City of Santa Ana. The Santa Ana UASI has set aside a total of $49,358.17 for the
City of Newport Beach for reimbursement of costs associated with training Fire and
Police personnel. The funds for the UASI grant will reimburse the City for any training
costs incurred such as tuition, overtime, back fill, and travel expenses for approved
courses. No matching funds are required to accept this grant.
Agenda Item No.
September 8, 2009
Page 2
With this grant, the City is eligible to receive UASI grant funds for preparedness
and response equipment.
Prepared by:
Steve Lewis
Fire Chief
Submitted by:
Steve Lewis
Fire Chief
Attachments: Budget Amendment
2008 UASI Grant Fund Training Allocations
Agenda Item No.
September 8, 2009
Page 3
City of A-natleim
POLICE DEPARTMENT
July 28, 2009
Ms. fennifcr Riddle
i City of Newport Reach
3300 Newport Ritrd
Newport Beach, (,192663
Subject: Nati6ntion of 2008 UASI Grunt Fund7raining Allocations
-
Dear N15. aid die.
This letter is to inform you of your 2005 UASI. Grant Fund training allocations.
tale have allocated the following dollar amounts to the City of Newport [leach:
Fire Department- Itcgignal Training: $17,095.70
DiscretionaryTroinine.: $4,273.53
Police Department- Regienai Training, $22,390.23
Discretionary Training: 55;54771
We look forward to workin;;m @th ycu throughouLthe upcoming grant year. For
further assistance, please cunta €t your UA51 Training Ccordinatcr.
Thank you,
Sen t3ittesdorf
lieutenant
Anaheim Police Deparlinaot
,i,. F.s. (Ai
City of Newport Beach NO. BA- 10BA -009
BUDGET AMENDMENT
2009 -10 AMOUNT: $a9,3s8.17
EFFECT ON BUDGETARY FUND BALANCE:
Pq Increase Revenue Estimates Increase in Budgetary Fund Balance
Increase Expenditure Appropriations AND Decrease in Budgetary Fund Balance
Transfer Budget Appropriations PX No effect on Budgetary Fund Balance
SOURCE:
from existing budget appropriations
X from additional estimated revenues
from unappropriated fund balance
EXPLANATION:
This budget amendment is requested to provide for the following:
To increase revenue estimates and expenditure appropriations to accpet the 2008 UASI Transfer Agreement to be utilized
for reimbursement of training costs associated with Department of Homeland Security (OHS) courses for emergency response
ACCOUNTING ENTRY:
BUDGETARY FUND BALANCE Amount
Fund Account Description Debit Credit
REVENUE ESTIMATES (3601)
Automatic System Entry .
Signed: aQ
Fin cia Approval: Administrativ rvices Director Date
dministraiiae Approv .City- NTanager
Signed: - °- - — .- _.__�_
City Council Approval: City Clerk Date
Fund /Division Account
Description
1820 486A
PD:Support Svcs - UASI 08 Transfer Agreement $49,358.17
EXPENDITURE APPROPRIATIONS (3603)
Description
Division
Number 7014
Misc & Studies
Account
Number C8002016
UASI 08 Transfer Agreement $49,358.17
Division
Number
Account
Number
Division
Number
Account
Number
Division
Number
Account
Number
Automatic System Entry .
Signed: aQ
Fin cia Approval: Administrativ rvices Director Date
dministraiiae Approv .City- NTanager
Signed: - °- - — .- _.__�_
City Council Approval: City Clerk Date
CITY OF NEWPORT BEACH
CITY COUNCIL STAFF REPORT
L -374C
BY THE CITY COUNCIL
CITY OF NEWPORT BEACH
NOV 5 2008
Agenda Item No. 10
November 25, 2008
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: Fire Department
Steve Lewis, Fire Chief, 644-310'
slewis(@city. newport-beach.ca. us
SUBJECT: Acceptance of Urban Areas Security Initiative (UASI)
Grant Transfer Agreement
RECOMMENDATION:
1. Accept UASI Grant transfer agreement equipment funds in the amount of $208,946
to be utilized for reimbursement of Newport Beach Fire Department costs for the
purchasing of equipment and material to outfit a Medium USAR Response Trailer.
2. Authorize the Fire Chief as the designee to sign the FY07 Transfer Agreement
Contract.
3. Approve a Budget Amendment 09BA-025 increasing revenue estimates by
$208,946 in 2355-48666, UASI Grant, and increasing expenditure appropriations by
$208,946 in 7014-C8002013.
DISCUSSION:
The Urban Area Security Initiative (UASI) grant was established in 2003, by the
Department of Homeland Security (DHS) to provide funding for training and
equipment for emergency personnel. The urban areas are chosen by DHS
based on a formula that takes into account factors such as critical infrastructure,
population density, and credible threat information. The Cities of Anaheim and
Santa Ana have been designated as the coordinators for Orange County UASI
programs. They were jointly awarded approximately $11 million dollars in the
fiscal year 2007. Both UASI cities and the County of Orange have teamed up to
forge one of the most cohesive, focused, and regional partnerships anywhere in
the nation.
The City of Newport Beach falls within the Santa Ana UASI area, administered by the
City of Santa Ana. The Santa Ana UASI has set aside a total of $208,946 for the City
of Newport Beach for reimbursement of costs associated with the outfitting of a
medium capability Urban Search and Rescue (USAR) trailer that is being provided to
Newport Beach Fire Department from the California Office of Emergency Services.
Agenda Item No.
November 25, 2008
Page 2
The trailer is expected to arrive in the spring of 2009. The trailer will become a
regional asset for USAR response. No matching funds are required to accept this
grant.
Prepa
7'err/Ulaszewski
Support Services Manager
Attachments: Budget Amendment
Submitted by:
Steve ewis
Fire Chief
S1
A
sanm
10/30/06
FY07 Anaheim /Santa Ana UASI
Application for Project Funding:
Application I Pe view Na ti fi c a ti nn
Paul Matheis
Division Chief - Training, Safety 6 Education Division
Newport Beach Fire Department
3300 Newport Blvd.
Newport Beach CA 92658
Requesting Jurisdiction: City of Newport Beach — Fire Department
Project Request: Enhancement of Urban Search and Rescue Capabilities
Project Cost $332.490.00
The application for the above project has been reviewed and meets the criteria for processing. This letter serves
to inform you that your project has been approved by the Anaheim /Santa Ana UASI.
An in depth review process of the application and the project concept itself was necessary prior to consideration
for approval. This process is required due to stringent UASI Grant Guidelines that must be adhered to. Our office
conducted an extensive review of this project and found it to be a viable concept based on investment
justificatians, regional benefit. degree of applicability to the Urban Area goals 6 objectives. strategies. and cost.
It Is critical that you become familiar with the Transfer Agreement between the City of Santa Ana and the City of
Newport Beach regarding the FY07 UASI Grant as well as the FY 2007 Homeland Security Grant Program
Guidance, the FY07 Homeland Security Grant Program California Supplement Guidance. and the FY2007
Anaheim /Santa Ana UASI Sub-Recipient Grant Guide . It is also imperative you contact the Santa Ana UASI Office
before funding any projects that may be questionable in regards to UASI procurement guidelines and /or the
Authorized Equipment list. We will seek approval from the State an your behalf thereby eliminating any
reimbursement issues.
If you have any questions regarding this notification or the review process. please feel free to contact myself or
Sgt. Enrique Esparza at (714) 245 -8729, or eesparzagsanta- ana.orq .
Respectfully.
KEN GDMINSKY. Commander
Homeland Security Division
Santa Ana Police Department
(714) 245 -H04n
koominskv9,santa- ana.ora
Cit v
Request Type
Specific Type
Original Request
Proposed Approval
Project Award
Huntington
Equipment
Basic USAR Equip.
$0.00
$0.00
$0.00
Beach FD
Equipment
Light USAR Equip.
$9,215.75
$9,215.75
$9,215.75
Equipment
Medium USAR Equip.
$86,328.23
$86,328.23
$86,328.23
Equipment
Heavy USAR Equip.
$0.00
$0.00
$0.00
Equipment
Confined Space Rescue Equipment
$36,655.00
$0.00
$0.00
Training
USAR Training
$60,000.00
$0.00
$0.00
$192,198.98
$95,543.98 HBFD Portion
$95,543.98
Fountain
Equipment
SCBA's
$24,514.00
$24,514.00
$24,514.00
Valley FD
Equipment
Light Rescue Tools
$3,486.00
$3,486.00
$3,486.00
Equipment
Basic USAR Equip.
$0.00
$0.00
$0.00
Equipment
Light USAR Equip.
$0.00
$0.00
$0.00
Equipment
Medium USAR Equip.
$0.00
$0.00
$0.00
Equipment
Heavy USAR Equip.
$0.00
$0.00
$0.00
$28,000.00
$28,000.00 FVFD Portion
$28,000.00
Newport
Equipment
Basic USAR Equip.
$41,809.70
$41,809.70
$41,809.70
Beach FD
Equipment
Light USAR Equip.
$10,493.44
$10,493.44
$10,493.44
Equipment
Medium USAR Equip.
$0.00
$0.00
$0.00
Equipment
Heavy USAR Equip.
$156,642.68
$156,642.68
$156,642.68
Equipment
USAR Truck
$51,500.00
$0.00
$0.00
Total Project $540,644.80 $332,489.80 $332,489.80
" All costs include 10% for tax and associated shipping handling fees "'
tC�O PYI
AGREEMENT
SUB - RECIPIENT: CITY OF NEWPORT BEACH
City Contract Number
ME
Section Description
TABLE OF CONTENTS
I
INTRODUCTION
§101. Parties to the Agreement
§102. Representatives of the Parties and Service of Notices
§103. Independent Party
§104. Conditions Precedent to Execution of this Agreement
11
TERM AND SERVICES TO BE PROVIDED
§201. Time of Performance
§202. Use of Grant Funds
III
PAYMENT
§301. Payment of Grant Funds and Method of Payment
IV
STANDARD PROVISIONS
§401. Construction of Provisions and Titles Herein
§402. Applicable Law, Interpretation and Enforcement
§403.. Integrated Agreement
§404. Excusable Delays
§405. Breach
§406. Prohibition Against Assignment or Delegation
§407. Permits
§408. Non Discrimination and Affirmative Action
§409. Bonds
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TABLE OF CONTENTS
Section Description
§410. Indemnification
§411. Conflict of Interest
§412. Restriction on Disclosures
§413. Statutes and Regulations Applicable to All Grant Contracts
§414. Federal, State, and Local Taxes
§415. Inventions, Patents and Copyrights
§416. MBENVBE
V
DEFAULTS, SUSPENSION, TERMINATION AND AMENDMENTS
§501. Defaults
§502. Amendments
V
ENTIRE AGREEMENT
§601. Complete Agreement
§602. Number of Pages and Attachments
Execution (Signature) Page
EXHIBITS
Exhibit A Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transactions
Exhibit B Certification Regarding Lobbying
Exhibit C FY07 Anaheim /Santa Ana Application for Project Funding
Exhibit D Grant Assurances
Exhibit E Reimbursement Request for Grant Expenditures ;
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Agreement Number:
AGREEMENT FOR TRANSFER OR PURCHASE OF EQUIPMENT /SERVICES OR FOR
REIMBURSEMENT OF TRAINING COSTS
FOR FY07 URBAN AREAS SECURITY INITIATIVE (UASI)
BETWEEN
THE CITY OF SANTA ANA
AND CITY OF NEWPORT BEACH
THIS AGREEMENT is made and entered into this day of , 2007, by and
between the CITY OF SANTA ANA, a municipal corporation (the " ), and CITY OF
NEWPORT BEACH, (the "SUB- RECIPIENT" or "Contractor').
WITNESSETH
WHEREAS, CITY, acting through the Santa Ana Police Department in its
capacity as a Core City for the Anaheim /Santa Ana Urban Area under the FY07 Urban
Areas Security Initiative, has applied for, received and accepted a grant entitled "FY07
Urban Areas Security Initiative" from the federal Department Of Homeland Security —
Office of Grants and Training, through the State of California Office of Homeland
Security, to enhance countywide emergency preparedness, hereafter referred to as "the
grant ", as set forth in the grant guidelines and assurances that are located at
http : / /www.homeland.ca.gov /pdf /fy07 hsgp _guidance.p.c ,and http: //www.homeland
.ca.gov/ pdf /FY07HSGP- StateSupplemental6- 1- 07.pdf, and incorporated to this
Agreement by ref_ erence. Copies of the grant guidelines shall be retained in the
Anaheim /Santa Ana Grant Office.
WHEREAS, this financial assistance is administered by the CITY OF SANTA
ANA (CITY) and.is overseen by the California Office of Homeland Security (OHS); and
WHEREAS, this financial assistance is being provided to address the unique
equipment, training, planning, and exercise needs of large urban areas, and to assist
them in building an enhanced and sustainable capacity to prevent, respond to, and
recover from threats or acts of terrorism; and
WHEREAS, the Anaheim /Santa. Ana Urban Area ( "ASAUA") consists of the City
of Santa Ana, the City of Anaheim, the unincorporated area of the County. of Orange,
and 34 participating jurisdictions; and
WHEREAS, the Office of Grants and Training (G &T) awarded a FY07 UASI
Grant of $11,072,000 ( "Grant Funds ") to the CITY OF SANTA ANA, as a Core City, for,
use in the ASAUA; and
WHEREAS, the CITY has designated the Chief of Police and the Santa Ana
Police Department, Homeland Security Division ( "UASI Grant Office ") to provide for
A6'
terrorism prevention and emergency preparedness; and
WHEREAS, the UASI Grant Office now wishes to distribute FY07 UASI Grant
Funds throughout the ASAUA, as further detailed in this Agreement ("Agreement') to
CITY OF NEWPORT BEACH ,(SUB- RECIPIENT) and others;
WHEREAS, the CITY and SUB - RECIPIENT are desirous of executing this
Agreement as authorized by the City Council and the City Manager which authorizes
the CITY to prepare and execute the Agreement.
NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
2
I
INTRODUCTION
§101. Parties to the Agreement
The parties to this Agreement are:
A. The CITY, a municipal corporation, having its principal office at 20 Civic Center
Plaza, Santa Ana, CA 92702; and
B. CITY OF NEWPORT BEACH, a municipal corporation, 3300 Newport Blvd.
Newport Beach, CA 92663
§102. Representatives of the Parties and Service of Notices
A. The representatives of the respective parties who are authorized to administer
this Agreement and to whom formal notices, demands and communications
shall be given are as follows:
1. The representative of the City of Santa Ana shall be, unless otherwise
stated in the Agreement
Carlos Rojas, Commander
Santa Ana Police Department
Homeland Security Division
60 Civic Center Plaza
Santa Ana, CA. 92702
Phone: (714) 245 -8722
Fax: (714) 24&-8098
crojas @ santa - ana.org
2. The representative of CITY OF NEWPORT BEACH shall be:
Paul Matheis
Division Chief
Newport Beach Fire Department
3300 Newport Blvd., Newport Beach, CA 92658
Phone: 949-644 -3368
pmatheista?city. newport-beach.ca. us
with a copy to:
3
'A 7
<<NAME OF 2nd RECIPIENT IF APPLICIABLE»
B. Formal notices, demands and communications to be given hereunder by
either party shall be made in writing and may be effected by personal
delivery or by registered or certified mail, postage prepaid, return receipt
requested and shall be deemed communicated as of the date of mailing.
C. If the name of the person designated to receive the notices, demands or
Communications or the address of such person is changed, written notice
shall be given, in accord with this section, within five (5) business days of
said change.
§103. Independent Partv
SUB - RECIPIENT is acting hereunder as an independent party, and not as an
agent or employee of the CITY OF SANTA ANA. No employee of SUB -
RECIPIENT is, or shall be an employee of the CITY OF SANTA ANA by virtue of
this Agreement, and SUB - RECIPIENT shall so inform each employee organization
and each employee who is hired or retained under this Agreement. SUB -
RECIPIENT shall not represent or otherwise hold out itself or any of its directors,
officers, partners, employees, or agents to be an agent or employee of the CITY
OF SANTA ANA.
§ 104. Conditions Precedent to Execution of This Agreement
SUB - RECIPIENT shall provide copies of the following documents to the CITY OF
SANTA ANA, unless otherwise exempted.
A. Grant Assurances in accordance with section 415C of this Agreement attached
hereto as Exhibit D and made part hereof.
B. Certifications Regarding Ineligibility; Suspension and Debarment as required
by Executive Order 12549 in accordance with Section 415Al2 of this
Agreement and attached hereto as Exhibit A and made apart hereof.
C. Certifications and Disclosures Regarding Lobbying in accordance with Section
415C of this Agreement and attached hereto as Exhibit B and made a part
hereof. SUB - RECIPIENT shall also file a Disclosure Form at the end of each
calendar quarter in which there occurs any event requiring disclosure or
which materially affects, the accuracy of the information contained in any
Disclosure Form previously filed by SUB= RECIPIENT.
n
TERM AND SERVICES TO BE PROVIDED
§201. Time of Performance
The term of this Agreement shall commence on October 3, 2007 and end on
March 31, 2010 or upon the final disbursement of all of the Grant Amount (as
defined in Section 301) and any additional period of time as is required to
complete any necessary close out activities. Said term is subject to the
provisions herein.
§202. Use of Grant Funds
A. CITY may a) transfer to SUB- RECIPIENT, equipment or services
purchased with grant funds and in accordance with grant guidelines set
forth above; or b) reimburse SUB - RECIPIENT for purchase of authorized
equipment, exercises, services or training upon receiving prior written
approval from CITY or its designee and in accordance with grant guidelines
and in full compliance with all of the SUB - RECIPIENT'S purchasing and
bidding procedures. SUB - RECIPIENT shall specify the equipment,
services, exercises and training to be purchased using the Application for
Project Funding attached hereto as Exhibit C.
B. SUB - RECIPIENT shall provide any reports requested by the CITY regarding
the performance of the Agreement. Reports shall be in the form requested by
the CITY, and shall be provided in a timely manner..
C. The Authorized Equipment List (AEL) is a list of the allowable equipment
which may be purchased pursuant to this Agreement and is located at
httos: / /www.rkb.miPt.org, and incorporated to this Agreement by reference.
A copy of the AEL shall be retained in the Anaheim /Santa Ana Grant Office.
Unless otherwise stated in program guidance any equipment acquired
pursuant to this Agreement shall meet all mandatory regulations and /or
DHS- adopted standards to be eligible for purchase using grant funds. SUB -
RECIPIENT shall. provide the CITY a copy of its most current procurement
guidelines and follow its own procurement requirements as long as they
meet the minimum federal requirements. Federal procurement requirements
for the FY 07 UASI Grant can be found at OMB Circular A -102, Title .28 .
C.F.R..Part 66.36, and the Office of G &T Financial Management Guide.
Any equipment acquired or obtained with Grant Funds:
Shall be made available under the California Disaster and Civil
Defense Master Mutual Aid Agreement in consultation with
representatives of the various fire, emergency medical, hazardous
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materials response services, and law enforcement agencies within
the jurisdiction of the applicant;
2. Shall be consistent with needs as identified in the State Homeland
Security Strategy and deployed in conformance with that plan;
3. Shall be made available pursuant to applicable terms of the
California Disaster and Civil Defense Master Mutual Aid Agreement
and deployed with personnel trained in the use of such equipment in
a manner consistent with the California Law Enforcement Mutual Aid
Plan or the California. Fire Services and Rescue Mutual Aid Plan;
4. Shall be subject to the requirements of Title 28, C.F.R. 66.32, 66.33
and Office of G &T Financial Management Guide. For the purposes of
this subsection, "Equipment" is defined as nonexpendable property'
that is not consumed or does not lose its identity by being
incorporated into another item of equipment, which costs $5,000 or
more per unit, or is expected to have a useful life of one (1) year or
more. Items costing less than $5,000, but failing into the following
categories are also considered Equipment: (1)electronics
communications equipment for stationary or vehicular use, including
cellular telephones acquired by lease or purchase, and (2) electronic
office equipment, including facsimile machines, copiers, electric
typewriters, personal computers (monitors and CPU's), terminals and
printers;
5. Shall be used by SUB - RECIPIENT in the program or project for
which it was acquired as long as needed, whether or not the project
or program continues to be supported by Federal funds. When no
longer useful for the original program or project, the Equipment may
be used in other activities currently or previously supported by a
Federal agency.
6. Shall be made available for use on other projects or programs
currently or previously supported by the Federal Government,
providing, such use will not interfere with the work on the projects or
program for which it was originally acquired. First preference for
other use shall be given to other programs or projects supported by
the awarding agency.
7. Shall be recorded on a ledger. This record must be updated bi-
annually and forwarded to the City. The record shall include: (a)
description of the item of Equipment, (b) manufacturer's model and
serial number, (c) Federal Stock number, national stock number, or
other identification number; (d) the source of acquisition of the
Equipment, including the award number, (e) date of acquisition; (f)
the per unit acquisition cost of the Equipment, (g) records showing
maintenance procedures to keep the Equipment in good running
order, and (h) location and condition of.Equipment. Records must be
6
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retained pursuant to 28 C.F.R. Part 66.42, and Office of G &T.
All equipment obtained under this Agreement shall have an ASAUA
identification decal affixed to it, and, when practical, shall be affixed
where it is readily visible.
9. A physical inventory of the Equipment shall be taken and the results
reconciled with the Equipment records at least once every year.
Inventory shall also be taken prior to any UASI, State or Federal
monitor visits.
10. SUB - RECIPI ENT shall exercise due care to preserve and
safeguard equipment acquired with grant funds from damage or
destruction and shall provide regular maintenance and such repairs
for said equipment as necessary, in order to keep said equipment
continually in good working order. Such maintenance and servicing
shall be the sole responsibility of SUB - RECIPIENT, who shall
assume full responsibility for maintenance and repair of the
equipment throughout the life of said equipment.
D. Any training paid pursuant to this Agreement shall conform to the guidelines
as listed in FY 2007 Homeland Security Grant Program, as set forth above.
All training expenses must be pre - authorized by OHS at
http:// www. calguard. ca .gov /cajs- hstnonslgcpForm.htm. A catalogue of
Grantor approved and sponsored training courses is available at
hftp://www.ojp.usdoj.gov/odp/training.htm.
E. Any exercise paid pursuant to this Agreement shall conform to the guidelines as
listed in FY 2007 Homeland Security Grant Program, as set forth above.
Detailed Homeland Security Exercise and Evaluation Program Guidance is
available at http: / /hseep.dhs.gov.
F. Any planning paid pursuant to this Agreement shall conform to the guidelines.
as listed in FY 2007 Homeland Security Grant Program, as set forth above.
G. Any organizational activities paid pursuant to this Agreement.shall conform to
the guidelines as listed in FY 2007 Homeland Security Grant Program, as set
forth above.
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III
PAYMENT
§301. Payment of Grant Funds and Method of Payment
A. The CITY may a) transfer to SUB- RECIPIENT, equipment or services
purchased with grant funds; or b) reimburse SUB - RECIPIENT for the purchase
of authorized equipment, exercises, services or training upon receiving prior
written approval from CITY or its designee and in accordance with grant
guidelines and in full compliance with all of the SUB - RECIPIENTS purchasing
and bidding procedures. SUB - RECIPIENT shall specify the equipment,
exercises, services or training to be purchased using the Application for Project
Funding, attached hereto as Exhibit C. Funds may be used for planning,
exercises, organizational and training activities, and the purchase of equipment
as described in Section 202 above.
B. SUB - RECIPIENT shall provide quarterly invoices to the CITY requesting
payment and all supporting documentation. Each reimbursement request shall
be accompanied by the Reimbursement Request for Grant Expenditures
(attached hereto as Exhibit E) detailing the expenditures made by SUB -
RECIPIENT as authorized by Section 202 above. For equipment for which
SUB - RECIPIENT is requesting reimbursement, all appropriate back -up
documentation must be attached to the reimbursement form, including
invoices, proof of payment and packing slips. For training reimbursements,
SUB - RECIPIENT must include a copy of any certificates issued or a copy of
the class roster verifying training attendees, proof that an OHS tracking number
has been assigned to the course, timesheets and payroll registers for all
training attendees, and receipts for travel expenses related to the training. For
regional project reimbursements, SUB- RECIPIENT must include approval from
the lead agency for all submitted invoices.
C. Payment of final invoice shall be withheld by the CITY until the SUB -
RECIPIENT has turned in all supporting documentation and completed the
requirements of this Agreement.
D. It is understood that the CITY makes no commitment to fund this
Agreement beyond the terms set forth herein.
E. Funding for all periods of this Agreement is subject to the continuing
availability to the CITY of federal funds for this program. The Agreement may
be terminated immediately upon written notice to SUB - RECIPIENT of a loss or
reduction of federal grant funds.
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IV
STANDARD PROVISIONS
§401. Construction of Provisions and Titles Herein
All titles or subtitles appearing herein have been inserted for convenience and
shall not be deemed to affect the meaning or construction of any of the terms or
provisions hereof. The language of this Agreement shall be construed according
to its fair meaning and not strictly for or against either party. The word
"Sub- recipient" herein and in any amendments hereto includes the party or
parties identified in this Agreement. The singular shall include the plural. If
there is more than one Sub - recipient as identified herein, unless expressly
stated otherwise, their obligations and liabilities hereunder shall be joint and
several. Use of the feminine, masculine, or neuter genders shall be deemed to
include the genders not used.
§402. Applicable Law. Interpretation and Enforcement
Each party's performance hereunder shall comply with all applicable laws of the
United States of America, the State of California, and the CITY. This
Agreement shall be enforced and interpreted under the laws of the State of
California and the CITY.
If any part, term or provision of this Agreement shall be held void, illegal,
unenforceable, or in conflict with any law of a federal, state or local government
having jurisdiction over this Agreement, the validity of the remaining portions of
provisions shall not be affected thereby.
§403. Integrated Agreement
This Agreement sets forth all of the rights and duties of the parties with respect to
the subject matter hereof, and replaces any and all previous agreements or
understandings, whether written or oral, relating thereto. This Agreement may be
amended only by a written instrument executed by both parties hereto.
§404. Excusable Delays
In the event that performance on the part of any party hereto shall be delayed or
suspended as a result of circumstances beyond the reasonable control and
without the fault and negligence of said party, none of the parties shall incur any
liability to the other parties as a result of such delay or suspension.
Circumstances deemed to be beyond the control of the parties hereunder shall
includg, but not be limited to, acts of God or of the public enemy; insurrection;
acts of the Federal Government or any unit of State or Local Government in
either sovereign or contractual capacity; fires; floods; epidemics; quarantine
35
restrictions; strikes, freight embargoes or delays in transportation; to the extent
that they are not caused by the party's willful or negligent acts or omissions and
to the extent that they are beyond the party's reasonable control.
§405. Breach
Except for excusable delays, if any party fails to perform, in whole or in part, any
promise, covenant, or agreement set forth herein, or should any representation
made. by it be untrue, any aggrieved party may avail itself of all rights and
remedies, at law or equity, in the courts of law. Said rights and remedies are
cumulative of those provided for herein except that in no event shall any.party
recover more than once, suffer a penalty or forfeiture, or be unjustly
compensated.
§406. Prohibition Against Assignment or Delegation
SUB- RECIPIENT may not, unless it has first obtained the written permission of
the CITY:
A. Assign or otherwise alienate any of its rights hereunder, including the right
to payment; or
B. Delegate, subcontract, or otherwise transfer any of its duties hereunder.
§407. Permits
SUB - RECIPIENT and its officers, agents and employees shall obtain and
maintain all permits and licenses necessary for SUB - RECIPIENT performance
hereunder and shall pay any fees required therefore. SUB - RECIPIENT further
certifies to immediately notify the CITY of any suspension, termination, lapses,
non renewals or restrictions of licenses, certificates, or other documents.
§408. Nondiscrimination and Affirmative Action
SUB - RECIPIENT shall comply with the applicable nondiscrimination and
affirmative action provisions of the laws of the United States of America, the
State of California, and the CITY. In performing this Agreement, SUB -
RECIPIENT shall not discriminate in its employment- practices against any
employee or applicant for employment because of such person's race;
religion, national origin, ancestry, sex, sexual orientation, age, physical .
handicap, mental disability, marital status, domestic partner status or medical
condition. SUB - RECIPIENT shall comply with Executive Order 11246,
entitled "Equal Employment. Opportunity;" as amended by Executive Order
11375, and as supplemented in Department of Labor regulations (41 CRI=
Part 60).
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If required, SUB- RECIPIENT shall submit an Equal Employment Opportunity
Plan ( "EEOP ") to the DOJ Office of Civil Rights ( "OCR ") in accordance with
guidelines listed at http:// www.ojp.usdoj.gov /ocr /eeop.htm,
Any subcontract entered into by the SUB - RICIPIENT relating to this Agreement,
to the extent allowed hereunder, shall be subject to the provisions of this § 408.
§409. Bonds
SUB- RECIPIENT must purchase a performance bond for any equipment item
over $250,000 or any vehicle (including aircraft or watercraft) financed with
homeland security funds.
§410. Indemnification
Each of the parties to this Agreement is a public entity. In contemplation of the
provisions of Section 895.2 of the Government Code of the State of California
imposing certain tort liability jointly upon public entities, solely by reason of such
entities being parties to an Agreement as defined by Section 895 of said Code, the
parties hereto, as between themselves, pursuant to the authorization contained in
Section 895.4 and 895.6 of said Code, will each assume the full liability imposed
upon it or upon any of its officers, agents, or employees by law, for injury caused
by a negligent or wrongful act or omission occurring in the performance of this
Agreement, to the same extent that such liability would be imposed in the absence
of Section 895.2 of said Code. To achieve the above- stated purpose, each party
indemnifies and holds harmless the other party solely by virtue of said Section
895.2. The provision of Section 2778 of the California Civil Code is made a part
hereto as if fully set forth herein. SUB- RECIPIENT certifies that it has adequate
self insured retention of funds to meet any obligation arising from this Agreement.
§411. Conflict of, Interest
A. The SUB - RECIPIENT covenants that none of its directors, officers,
employees, or agents shall participate in selecting, or administrating any
subcontract supported (in whole or in part) by Federal funds where such
.person is a director, officer, employee or agent of the subcontractor; or where
the selection of subcontractors is or has the.appearance of being motivated by
a desire for personal gain for themselves or others such as family business,
etc.; or where such person knows or should have known that:
A member of such person's immediate.' family, or domestic partner
or organization has a financial, interest i the subcontract;
2. The subcontractor is someone with whom such person has or is
negotiating any prospective employment; or
3. The participation of such person would be prohibited by the
California Political Reform Act, California Government Code
§87100 et seq. if such person were a public officer, because such
person would have a "financial or other interest' in the subcontract.
11
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B. Definitions:
1. The term "immediate family" includes but is not limited to domestic
partner and/or those persons related by blood or marriage, such as
husband, wife, father, mother, brother, sister, son, daughter, father
in law, mother in law, brother in law, sister in law, son in law,
daughter in law.
2. The term "financial or other interest" includes but is not limited to:
a. Any direct or indirect financial interest in the specific
contract, including a commission or fee, a share of the
proceeds, prospect of a promotion or of future employment,
a profit, or any other form of financial reward.
b. Any of the following interests in the subcontractor
ownership: partnership interest or other beneficial interest of
five percent or more; ownership of five percent or more of
the stock; employment in a managerial capacity; or
membership on the board of directors or governing body.
C. The SUB - RECIPIENT further covenants that no officer, director, employee, or
agent shall solicit or accept gratuities, favors, anything of monetary value from
any actual or potential subcontractor, supplier, a party to a sub agreement, (or
persons who are otherwise in a position to benefit from the actions of any
officer, employee, or agent).
D. The SUB - RECIPIENT shall not subcontract with a former director, officer, or
employee within a one year period following the termination of the relationship
between said person and the Contractor.
E. Prior to obtaining the CITY'S approval of any subcontract, the SUB -
RECIPIENT shall disclose to the CITY any relationship, financial or
otherwise, direct or indirect, of the SUB - RECIPIENT or any of its officers,
directors or employees or their immediate family with the proposed
subcontractor and its officers, directors or employees.
F. For further clarification of the meaning of any of the terms used herein, the
parties agree that references shall be made to the guidelines, rules, and laws
of the SUB - RECIPIENT, State of California, and Federal regulations
regarding conflict of interest.
G. The SUB - RECIPIENT warrants that it has not paid or given and will not pay or
give to any third person any money or other consideration for obtaining this
Agreement.
H. The SUB- RECIPIENT covenants that no member, officer or employee of.
SUB- RECIPIENT shall have interest, direct or indirect, in any contract or
subcontract or the proceeds thereof for work to be performed in connection
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30
with this project during his/her tenure as such employee, member or officer or
for one year thereafter.
I. The SUB - RECIPIENT shall incorporate the foregoing subsections of this
Section into every agreement that it enters into in connection with this project
and shall substitute the term "subcontractor" for the term "SUB- RECIPIENT"
and "sub subcontractor" for "Subcontractor".
§412. Restriction on Disclosures
Any reports, analysis, studies, drawings, information, or data generated as a
result of this Agreement are to be governed by the California Public Records.Act
(California Government Code Sec. 6250 et seq.).
§413. Statutes and Regulations Applicable To All Grant Contracts
A. SUB - RECIPIENT shall comply with all applicable requirements of state, federal,
county and SUB - RECIPIENT laws, executive orders, regulations, program and
administrative requirements, policies and any other requirements governing this
Agreement. SUB- RECIPIENT shall comply with state and federal laws and .
regulations pertaining to labor, wages, hours, and other conditions of
employment. SUB - RECIPIENT shall comply with new, amended, or revised
laws, regulations, and /or procedures that apply to the performance of this
Agreement. These requirements include, but are not limited to:
Office of Management and Budget (OMB) Circulars
SUB - RECIPIENT shall comply with OMB Circulars, as applicable:
OMB Circular A -21 (Cost Principles for Educational Institutions);
OMB Circular A -87 (Cost Principles for State, Local, and Indian
Tribal Governments); OMB Circular A-1 02 (Grants and Cooperative
Agreements with State and Local Governments); Common Rule,
Subpart C for public agencies or OMB Circular A -110 (Uniform
Administrative Requirements for Grants and Other Agreements with
Institutions of Higher Education, Hospitals and Other Non- Profit
Organizations); OMB Circular A-122 (Cost Principles for Non - Profit
Organizations); OMB Circular. A-133 (Audits of States, Local
Governments, and Non -Profit Organizations.
2. Single Audit Act
If Federal funds are used in the performance of this Agreement,
SUB - RECIPIENT shall adhere to the rules and regulations of the
Single Audit Act, 31 USC Sec. 7501 et seq.; and any
administrative regulation or field memos implementing the Act.
Americans with Disabilities Act
SUB - RECIPIENT hereby certifies that it will comply with the
Americans with Disabilities Act 42, USG §§ 12101 et sea., and its
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implementing regulations. SUB - RECIPIENT will provide reasonable
accommodations to allow qualified individuals with disabilities to
have access to and to participate in its programs, services and
activities in accordance with the provisions of the Americans with
Disabilities Act. SUB - RECIPIENT will not discriminate against
persons with disabilities nor against persons due to their relationship
to or association with a person with a disability. Any subcontract
entered into by the SUB - RECIPIENT, relating to this Agreement, to
the extent allowed hereunder, shall be subject to the provisions of
this paragraph.
4. Political and Sectarian Activity Prohibited
None of the funds, materials, property or services provided directly or
indirectly under this Agreement shall be used for any partisan political
activity, or to further the election or defeat of any candidate for public
office. Neither. shall any funds provided under this Agreement be
used for any purpose designed to support or defeat any pending
legislation or administrative regulation. None of the funds provided
pursuant to this Agreement shall be used for any sectarian purpose or
to support or benefit any sectarian activity.
If this Agreement provides for more than $100,000.00 in grant funds
or more than $150,000 in loan funds, SUB - RECIPIENT shall submit
to the CITY a Certification Regarding Lobbying and a Disclosure
Form, if required, in accordance with 31 USC 1352. A copy of the
Certificate is attached hereto as Exhibit B. No funds will be released
to SUB - RECIPIENT until the Certification is filed.
SUB - RECIPIENT shall file a Disclosure Form at the end of each
calendar quarter in which there occurs any event requiring disclosure
or which materially affects the accuracy of any of the information
contained in any Disclosure Form previously filed by SUB -
RECIPIENT. SUB - RECIPIENT shall require that the language of this
Certification be included in the award documents for all sub - awards
at all tiers and that all subcontractors shall certify and disclose
accordingly.
5. Records Inspection
At anytime during normal business hours and as often as the CITY,
the U.S. Comptroller General and /or the Auditor General of the State
of California may deem necessary, SUB- RECIPIENT shall make
available for examination all of its records with respect to all matters
covered by this Agreement. The CITY, the U.S. Comptroller General
and /or the Auditor General of the State of California shall have the
authority to audit, examine and make excerpts or transcripts from
records, including SUB- RECIPIENT'S invoices, materials, payrolls,
records of personnel, conditions of employment and other data
relating to all matters covered by this Agreement.
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M
SUB - RECIPIENT agrees to provide any reports requested by the
CITY regarding performance of the Agreement.
6. Records Maintenance
Records, in their original form, shall be maintained in accordance with
requirements prescribed by the CITY with respect to all matters
covered on file for all documents specked in this Agreement.
Original forms are to. be maintained on file for all documents specified
in this Agreement. Such records shall be retained for a period of
three (3) years after termination of this Agreement and after final
disposition of all pending matters. 'Pending matters" include, but are
not limited to, an audit, litigation or other actions involving records.
The CITY may, at its discretion, take possession of, retain and audit .
said records. Records, in their original form pertaining to matters
covered by this Agreement, shall at all times be retained within the
County of Orange unless authorization to remove them is granted in
writing by the CITY.
7. Subcontracts and Procurement
SUB - RECIPIENT shall comply with the federal and SUB -
RECIPIENT standards in the award of any subcontracts. For
purposes of this Agreement, subcontracts shall include but not
be limited to purchase agreements, rental or lease agreements,
third party agreements, consultant service contracts and
construction subcontracts.
SUB - RECIPIENT shall ensure that the terms of this Agreement with
the CITY are incorporated into all Subcontractor Agreements. The
SUB - RECIPIENT shall submit all Subcontractor Agreements to the
CITY for review prior to the release of anv funds to the
subcontractor. The.SUB- RECIPIENT shall withhold funds to any
subcontractor agency that fails to comply with the terms and
conditions of this Agreement and their respective Subcontractor
Agreement.
8. Labor
SUB - RECIPIENT shall comply with the Intergovernmental
Personnel Act of 1970 (42 U.S.C. § §4728 -4763) relating to
prescribed requirements for merit systems,for programs funded
under one of the 19 statutes or.regulations specked in Appendix A
of OPM's Standards for a Merit System Personnel Administration
(5 C.F.R. 900, Subpart F).
SUB - RECIPIENT shall comply, as applicable, with the provisions of
the Davis -Bacon Act (40 U.S.C. § §276a to 276a -7), the Copeland Act
(40 U.S.C. §276c and 18 U.S.C. §874), the Contract Work Hours and
15
Safety Standards Act (40 U.S.C. § §327 -333), regarding labor
standards for federally- assisted construction subagreements, and the
Hatch Act (5 USC § §1501 -1508 and 7324 - 7328).
SUB - RECIPIENT shall comply with the Federal Fair Labor Standards
Act (29 USC § 201) regarding wages and hours of employment. None
of the funds shall be used to promote or deter Union /labor organizing
activities. CA Gov't Code Sec. 16645 et seg.
9. Civil Rights
SUB - RECIPIENT shall comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title VI of
the Civil Rights Act of 1964 (P.L. 88 -352) which prohibits
discrimination on the basis of race, color or national origin; (b) Title IX
of the Education Amendments of 1972, as amended (20 U.S.C.
§ §1681- 1683, and 1685 - 1686), which prohibits discrimination on the
basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as
amended (29 U.S.C. §794), which prohibits discrimination on the
basis of handicaps; (d) The Age Discrimination act of 1975, as
amended (42 U.S.C. § §6101 - 6107), which prohibits discrimination on
the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92 -255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation act of 1970
(P.L. 91 -616) as amended, relating to nondiscrimination on the basis
of alcohol abuse or alcoholism; (g) § §523 and 527 of the Public
Health Service Act of 1912 (42 U.S.C. § §290 dd -3 and 290 ee 3), as
amended, relating to confidentiality of alcohol and drug abuse patient
records; (h) Title VIII of the Civil Rights Act of 1968 (42 U. S.C.
§ §3601 et seq.), as amended, relating to non - discrimination in the
sale; rental or financing of housing; (i) any other nondiscrimination
provisions. in the specific statute(s) under which application for
Federal assistance is being made; Q) the requirements of any other
nondiscrimination statute(s) which may apply to the application; and
(k) P:L. 93 -348 regarding the protection of human subjects involved
in research, development, and related activities supported by this
award of assistance.
10. Environmental
SUB - RECIPIENT shall comply, or has already complied; with the
requirements of Titles II and 111 of the Uniform relocation Assistance
and Real Property Acquisition Policies Act of 1970 (P,L. 91 -646)
which provide for fair and equitable treatment of persons displaced
or whose property is acquired as a result of Federal or federally -
assisted programs. These requirements apply to all interests in real
property, acquired for project purposes regardless of Federal
participation in purchases.
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SUB - RECIPIENT shall comply with environmental standards which
may be prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91 -190) and Executive
Order (EO) 11514; (b) notification of violating facilities pursuant to
EO 11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved
State management program developed under the Coastal Zone
Management Act of 1972 (16 U.S.C. § §1451 et seq.); (f) conformity
of Federal actions to State (Clean Air) Implementation Plans under
Section 176(c) of the Clean Air Act of 1955, as amended (42
U.S.C. § §7401 et seq.); (g) protection of underground sources of
drinking water under the Safe Drinking Water Act of 1974, as
amended (P.L. 93 -523); (h) protection of endangered species
under the Endangered Species Act of 1973, as amended (P. L.
93205); and (i) Flood Disaster Protection Act of 1973 §102(a) (P.L.
93 -234).
SUB - RECIPIENT shall comply with the Wild and Scenic Rivers Act of
1968 (16 U.S.C. § §1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
SUB - RECIPIENT shall comply with the Lead -Based Paint Poisoning
Prevention Act (42 U.S.C. § §4801 et seq.) which prohibits the use of
lead- based paint in construction or rehabilitation of residence
structures.
SUB - RECIPIENT shall comply with the Federal Water Pollution
Control Act (33 U.S.C. § 1251 et seq.) which restores and maintains
the chemical, physical and biological integrity of the Nation's waters.
SUB - RECIPIENT shall ensure that the facilities under its ownership,
lease or supervision which shall be utilized in the accomplishment of
this project are not listed in the Environmental Protection Agency's
(EPA) list of Violating Facilities and that it will notify the Federal
Grantor agency of the receipt of any communication from the
Director of the EPA Office of Federal Activities indicating that.a
facility to be used in the project is under consideration for listing by
the EPA.
By signing this Agreement, SUB- RECIPIENT ensures that it is in
compliance with the California Environmental Quality Act (CEQA),
Public Resources Code §21000 et seg. and is, not impacting the
environment negatively.
SUB- RECIPIENT shall comply with the Energy Policy and
Conservation Act (P.L. 94 -163, 89 Stat. 871).
SUB - RECIPIENT shall comply, if applicable, with the provision of the
IIIn
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Coastal Barrier Resources Act (P.L. 97 -348) dated October 19, 1982
(16 USC 3501 et. seq.) which prohibits the expenditure of most new
Federal funds within the units of the Coastal Barrier Resources
System.
11. Preservation
SUB - RECIPIENT shall comply with Section 106 of the National
Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO
11593 (identification and protection of historic properties), and the
Archaeological and Historic Preservation Act of 1974 (16 U.S.C.
§ §469a -1 et seq.).
12. Suspension and Debarment
SUB - RECIPIENT shall comply with Federal Register, Volume 68,
Number 228, regarding Suspension and Debarment, and SUB -
RECIPIENT shall submit a Certification Regarding Debarment required
by Executive Order 12549 and any amendment thereto. Said
Certification shall be submitted to the CITY concurrent with the
execution of this Agreement and shall certify that neither SUB -
RECIPIENT nor its principals are presently debarred, suspended,
proposed for debarment, declared ineligible or voluntarily excluded
from participation in this transaction by any federal department head
or agency. SUB- RECIPIENT shall require that the language of this
Certification be included in the award documents for all sub -award at
all tiers and that all subcontractors shall certify accordingly.
13. Drug -Free Workplace
SUB - RECIPIENT shall comply with the federal Drug -Free
Workplace Act of 1988, 41 USC §701, 28 CFR Part 67; the
California Drug -Free Workplace Act of 1990, CA Govt Code §§
8350 -8357.
14. Miscellaneous
SUB- RECIPIENT shall comply with the Laboratory Animal Welfare Act
of 1966, as amended (P.L. 89 -544, 7 USC § §2131 et seq.).
B. Statutes and Regulations Applicable To This Particular Grant
SUB- RECIPIENT shall comply with all applicable requirements of state and
federal laws, executive orders, regulations., program and administrative
requirements, policies and any other requirements governing this particular
grant program. SUB - RECIPIENT shall comply with new; amended, or revised
laws, regulations, and/or procedures that apply to the performance of this
Agreement. These requirements. include, but are not limited to:
Title 28 Code of Federal Regulations (CFR) Part 66; EO 12372;
:Department of Justice (DOJ) Office of Judicial Programs (OJP) Office
of the Comptroller, U.S. Department of Homeland Security,
Preparedness Directorate Financial Management Guide; U.S.
18
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Department of Homeland Security, Office of Grants and Training, FY
2007 Homeland Security Grant Program — Program Guidance and
Application Kit; ODP WMD Training Course Catalogue; and DOJ Office
for Civil Rights.
Standardized Emergency Management System (SEMS)
requirements as stated in the California Emergency Services Act,
Government Code Chapter 7 of Division 1 of Title 2, § 8607.1(e) and
CCR Title 19, §§ 2445-
2448.
Provisions of 28 CFR applicable to grants and cooperative
agreements, including Part 18, Administrative Review Procedures;
Part 20, Criminal Justice Information Systems; Part 22,
Confidentiality of Identifiable Research and Statistical Information;
Part 23, Criminal Intelligence Systems Operating Policies; Part 30,.
Intergovernmental Review of Department of Justice Programs and
Activities; Part 35, Nondiscrimination on the Basis of Disability in
State and Local Government Services;.Part
38, Equal Treatment of Faith -based Organizations; Part 42,
Nondiscrimination /Equal employment Opportunities Policies and
Procedures; Part 61, Procedures for Implementing the National
Environmental Policy Act; Part 63, Floodplain Management and
Weland Protection Procedures; Part 64, Floodplain Management and
Wetland
Protection Procedures; Federal laws or regulations applicable to
federal Assistance Programs; Part 69, New Restrictions on Lobbying;
Part 70, Uniform Administrative Requirements for Grants and
Cooperative Agreements (including sub - awards) with Institutions of
Higher Learning, Hospitals and other Non - Profit Organizations; and
Part 83, Government- Wide Requirements for a Drug Free
Workplace (grants).
Nondiscrimination requirements of the Omnibus Crime Control and .
Safe Streets Act of 1968, as amended, 42 USC 3789(d), or the
Juvenile Justice and Delinquency Prevention Act, or the Victims of
Crime Act, as appropriate; the provisions of the current edition of the
Office of Justice Programs Financial and Administrative Guide for
Grants, M7100.1, and all other applicable federal laws, orders,
circulars, or regulations.
2. Travel Expenses
SUB - RECIPIENT as provided herein may be compensated for SUB -
RECIPIENT'S reasonable travel expenses incurred in the
performance of this Agreement, to include travel and per diem,
unless otherwise expressed. Travel including in -State and out -of
State travel shall not be reimbursed without prior written
19 /
authorization from the UASI Grant Office.
SUB - RECIPIENT'S travel and per diem reimbursement costs shall
be reimbursed based on the SUB - RECIPIENT'S travel policies
and procedures. If SUB - RECIPI ENT does not have established
travel policies and procedures, SUB - RECIPIENT'S reimbursement
rates shall not exceed the amounts established by the State
Department of Personnel Administration Rules and Regulations,
PML 97 -024, Section 599.619, dated July 1, 1997 and Section
599.631, and as amended from time to time.
3. Noncompliance
SUB - RECIPIENT understands that failure to comply with any of the
above assurances may result in suspension, termination or reduction
of grant funds, and repayment by SUB - RECIPIENT to CITY of any
unlawful expenditures.
C. Compliance With Grant Assurances
To obtain the Grant Funds, the Grantor required an authorized representative
of the CITY to sign certain promises regarding the way the Grant Funds would
be spent ( "Grant Assurances "), attached hereto as Exhibit D. By signing these
Grant Assurances, the CITY became liable to the Grantor for any funds that
are used in violation of the grant requirements. SUB - RECIPIENT shall be
liable to the Grantor for any funds the Grantor determines SUB - RECIPIENT
used in violation of these Grant Assurances. SUB - RECIPIENT shall indemnify
and hold harmless the CITY for any sums the Grantor determines SUB -
RECIPIENT used in violation of the Grant Assurances.
§414. Federal, State and Local Taxes
Federal, State and local taxes shall be the responsibility of SUB - RECIPIENT as
an independent party and not as a CITY employee.
§415. Inventions. Patents and Copyrights
A. Reporting Procedure for Inventions
If any project produces any invention or discovery (Invention) patentable or
otherwise under title 35 of the U.S. Code, including, without limitation,
processes and business methods made in the course of work under this
Agreement, the SUB - RECIPIENT shall, report the fact and disclose the
Invention promptly and fully to the CITY. The CITY shall report the fact and
disclose the Invention to the Grantor. Unless there is a prior agreement
between the CITY and the Grantor, the Grantor shall determine whether to
seek protection on the Invention. The Grantor.shall determine how the rights in
the Invention, including rights under any patent issued thereon, will be
allocated and administered in order to protect the public interest consistent
with the policy ( "Policy ") embodied in the Federal Acquisition Regulations
20
System, which is based on Ch. 18 of title 35 U.S.C. Sections 200 et seq. (Pub.
L. 95 -517, Pub. L. 98 -620, 37 CFR part 401); Presidential Memorandum on
Government Patent Policy to the Heads of the Executive Departments and
Agencies, dated 2/18/1983); and Executive Order 12591,
4/10/87, 52 FR 13414, 3 CFR, 1987 Comp., p. 220 (as amended by
Executive Order 12618, 12/22/87, 52 FR 48661, 3 CFR, 1987 Comp., p.
262). SUB- RECIPIENT hereby agrees to be bound by the Policy, and will
contractually require its personnel to be bound by the Policy.
B. Rights to Use Inventions
CITY shall have an unencumbered right,
royalty- free license, to use, manufacture,
do so for all government purposes, any
Agreement.
C. Copyright Policy
and a non - exclusive, irrevocable,
improve upon, and allow others to
Invention developed under this
Unless otherwise provided by the terms of the Grantor or of this
Agreement, when copyrightable material (Material) is developed
under this Agreement, the author or the CITY, at the CITY S
discretion, may copyright the Material. If the CITY declines to
copyright the Material, the CITY shall have an unencumbered right,
and a non - exclusive, irrevocable, royalty- free license, to use,
manufacture, improve upon, and. allow others to do so.for all
government purposes, any Material developed under this Agreement.
2. The Grantor shall have an unencumbered right, and a non - exclusive;
irrevocable, royalty -free license, to use, manufacture, improve upon,
and allow others to do so for all government purposes, any Material
developed under this Agreement or any Copyright purchased under
this Agreement.
3. SUB- RECIPIENT shall comply with 24 CFR 85.34.
D. Rights to Data
The Grantor and the CITY shall have unlimited rights or copyright license to
any data first produced or delivered under this Agreement. "Unlimited rights"
means the right to use,, disclose, reproduce, prepare derivative works,
distribute copies to the public, and perform and display publicly, or permit
others to do so; as required by 48 CFR 27.401. Where the. data are not first
produced under this Agreement or are published copyrighted data with the
notice of 17 U.S.C. Section 401 or 402, the Grantor acquires the data under a
copyright license as set forth in 48 CFR 27.404(f)(2). instead of unlimited
rights. (48 CFR 27.404(a)).
E. Obligations Binding on Subcontractors
SUB - RECIPIENT shall require all subcontractors to comply with the
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obligations of this section by incorporating the terms of this section into all
subcontracts.
§416. Minority, Women, And Other Business Enterprise Outreach Program
It is the policy of the CITY to provide minority business enterprises (MBEs),
women business enterprises (WBEs) and all other business enterprises an equal
opportunity to participate in the performance of all SUB - RECIPIENT contracts,
including procurement, construction and personal services. This policy applies to
all Contractors and Sub - Contractors.
22
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V
DEFAULTS. SUSPENSION TERMINATION, AND AMENDMENTS
§501. Defaults
Should SUB- RECIPIENT fail for any reason to comply with the contractual
obligations of this Agreement within the time specified by this Agreement, the
CITY reserves the right to terminate the Agreement, reserving all rights under
state and federal law.
§502. Amendments
Any change in the terms of this Agreement, including changes in the services to
be performed by SUB- RECIPIENT and any increase or decrease in the amount of
compensation which are agreed to by the CITY and SUB - RECIPIENT shall be
incorporated into this Agreement by a written amendment property executed and
signed by the person authorized to bind the parties thereto.
SUB- RECIPIENT agrees to comply with all future CITY Directives, or any rules,
amendments or requirements promulgated by the CITY affecting this
Agreement.
23
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vl
ENTIRE AGREEMENT
§601. Complete Agreement
This Agreement contains the full and complete Agreement between the two
parties. Neither verbal agreement nor conversation with any officer or employee
of either party shall affect or modify any of the terms and conditions of this
Agreement.
§602. Number of Pages and Attachments
This Agreement is executed in two (2) duplicate originals, each of which is
deemed to be an original. This Agreement includes twenty -five (25) pages and
five (5) Exhibits which constitute the entire understanding and agreement of the
parties.
24 49
IN WITNESS WHEREOF, the City and CITY OF NEWPORT BEACH have caused this
Agreement to be executed by their duly authorized representatives on the date first set
forth above.
ATTEST: CITY OF SANTA ANA, a municipal
Corporation of the Sate of California .
By: By: / r
Patricia E. Healy 7 David N. Ream
Clerk of the Council City Manager
RECOMMENDED FOR APPROVAL:
By:..
Paul M. Walters
Chief of Police
APPROVED AS TO /�FORM:
By: I�NY OA ,
Paula Coleman -
Assistant City Attorney
SUB - RECIPIENT
CITY OF NEWPORT BEACH
By: �. U
Printed Name
Title
APPROVED AS TO FORM
By: 4 .0 . C , (�
Printed Name Ao, r., v C , 9±! rbd
Afdoercy
EXHIBIT A
CERTIFICATION REGARDING DEBARMENT
26
0
EXHIBIT A
CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER
RESPONSIBILITY MATTERS
Applicants should refer to the regulations cited below to determine the certification to which they are
required to attest. Applicants should also review the instructions for certification included in the regulations
before completing this form. Signature of this form provides for compliance with certification requirements
under the applicable CFR covering New Restrictions on Government -wide Debarment and Suspension
(Nonprocurement). The certification shall be treated as a material representation of fact upon which reliance
will be placed when the Agency determines to award the covered transaction or cooperative agreement.
As required by Executive Order 12549, Debarment and Suspension, and implemented under the applicable
CFR, for prospective participants in covered transactions, as defined in the applicable CFR
A. The applicant certifies that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced
to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered
transactions by any Federal department or agency;
(b) Have not within a three -year period preceding this application been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection
with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction
or _ contract under a public transaction; _violation of Federal or State antitrust statutes or
commission of embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a government entity
(Federal State or local) with commission of any of these offenses enumerated in paragraph (1)
(b) of this certification; and
(d) Have not within a three -year period preceding this application had one or more public
transactions (Federal, State or local) terminated for cause or default; and
B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall
attach an explana n to this application. 2 �(
' Address: ✓ v -� /�
h��rized Agen / gn tune
ited.n Tvned`Name
Title .
27
• •' •
1. By signing and submitting this document, the prospective recipient of Federal assistance funds is
providing the certification as set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed
when this transaction was entered into. If it is later determined that the prospective recipient of
Federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies
available to the Federal Government, the department or agency with which this transaction originated
may pursue available remedies, including suspension and /or debarment.
3. The prospective recipient of Federal assistance funds shall provide immediate written notice to the
person to which this agreement is entered, if at any time the prospective recipient of Federal
assistance funds learns that its certification was erroneous, when submitted or has become
erroneous by reason of changed circumstances.
4. The terms "covered transaction," "debarred," " suspended, "'ineligible," "lower tier covered
transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and
"voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and
Coverage sections of rules implementing Executive Order 12549.
5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that, should
the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless authorized by the department or
agency with which this transaction originated.
6. The prospective recipient of Federal assistance funds further agrees by submitting this proposal that
it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transactions," without modification, in all lower tier covered
transactions and in all solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a
lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded
from the covered transaction, unless it knows that the certification is erroneous. A participant may
decide the method and frequency by which it determines the eligibility of its principals. Each .
participant may, but is not required to, check the List of Parties Excluded from Procurement or Non
Procurement Proorams.
8. Nothing contained in the foregoing shall be construed.to require establishment of a system of records
in order to render in good faith the certification required by this clause. The knowledge and
information of a participant is not required to exceed that which is normally possessed by a prudent .
person in the ordinary course of business dealings.
9. Except for transactions authorized under Paragraph 5 of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntary excluded from participation in this transaction, in
addition to other remedies available to the Federal Government, the department or agency with which
this transaction originated may pursue available remedies, including suspension and /or debarment.
28 .
501
EXHIBIT B
CERTIFICATION REGARDING LOBBYING
29 -
S3
EXHIBIT B
CERTIFICATION REGARDING LOBBYING
Certification for Contracts Grants Loans
and Cooperative Aareements
The undersigned certifies, to the best of his or her knowledge and belief, that:
No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or
employee of an agency, a Member of Congress, an officer or employee of Congress,
or an employee of a Member of Congress in connection with the awarding of any
Federal contract, the making of any Federal grant, the making of any Federal loan,
the entering into of any cooperative agreement, and the extension, continuation,
renewal, amendment, or modification of any Federal contract, grant, loan or
cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this Federal contract, grant,
loan, or cooperative agreement, the undersigned shall complete and submit
Standard Form LLL "Disclosure Form to Report Lobbying" in accordance with its
instructions.
3. The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants,
and contracts under grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
4. This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by Section 1352
Title 31, U.S. Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less that $10,000 and not more than $100,000 for
each such failure.
AGREEMENT NUMBER.
CONTRACTORIBORROWERIAGENCY
NAM AND TITLE OF 6WTHORIZED REPRE6ENTATIVE
WIN
30
5
EXHIBIT C
FY07 Anaheim /Santa Ana UASI Application for Project Funding
31
JAS'
EXHIBIT D
GRANT ASSURANCES
32
s�
Office of Homeland Security
FY07 UASI Grant Assurances
By signing this agreement the SUB - RECIPIENT certifies the following:
1. Has the legal authority to apply for federal assistance, and has the institutional,
managerial and financial capability to ensure proper planning, management and
completion of the grant provided by the federal Department of Homeland
Security and sub - granted through the State of California.
2. Will assure that grant funds are only used for allowable, fair, and reasonable costs
3. Will give the federal government, the General Accounting Office, the
Comptroller General of the United States, the State of California, through any
authorized representative, access to and the right to examine all paper or
electronic records, books, papers, or documents related to the award; and will
establish a proper accounting system in accordance with generally accepted
accounting standards or awarding agency directives.
4. Will provide progress reports and such other information as may be required
by the awarding agency.
5. Will initiate and complete the work within the applicable time frame after
receipt of approval of the awarding agency.
6. Will establish safeguards to prohibit employees from using their positions for a
purpose that constitutes or presents the appearance of personal or organizational
conflict of interest, or personal gain for themselves or others, particularly those
with whom they have family, business or other ties.
7. Will comply, if applicable, with the Lead -Based Paint Poisoning Prevention Act
(42 U.S.C.. §§ 4801 et seq.) which prohibits the use of lead based paint in
construction or rehabilitation of residence structures. Will comply with all federal
statues relating to nondiscrimination. These include but are not.limited.to:
a. Title VI of the Civil Rights Act of 1964 (P.L. 88 -352), as amended,
which prohibits discrimination on. the basis of race, color or national
origin;
b. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§
1681-
1683 and 1685 - 1686), which prohibits discrimination on the basis of 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;
A. The Age Discrimination Act of 1975,.as amended (42 U.S.C. §§ 6101 -6107)
which prohibits discrimination on the basis of age;
e. The Drug Abuse Office and Treatment Act of 1972 (P.L. 92 -255) as
amended, relating to nondiscrimination on the basis of drug abuse;
f. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment
and Rehabilitation Act of 1970 (P.L. 91 -616), as amended, relating to
33
S7
nondiscrimination on the basis of alcohol abuse or alcoholism;
g. §§ 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd -3
and
290 ee -3), as amended, relating to confidentiality of alcohol and drug
abuse patient records;
h. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as
amended, relating to nondiscrimination in the sale, rental or financing of
housing;
i. Title 28, Code of Federal Regulations, Part 42, Subparts C, D, E and G;
j. Title 28, CFR, Part 35;
k. Any other nondiscrimination provisions in the specific statute(s) under
which application for federal assistance is being made, and
L The requirements on any other nondiscrimination statute(s) which may
apply to the application.
8. Will comply, or has already complied, with the requirements of Titles II and III of
the Uniform Relocation Assistance and Real Property Acquisition Policies Act of
1970 (42 U.S.C. § 4601 et seq. (P.L. 91 -646) which provides for fair and equitable
treatment of persons displaced or whose property is acquired as a result of federal
or federally assisted programs. These requirements apply to all interested in real
property acquired for project purposes regardless of federal participation in
purchases.
9. Will comply, if applicable, with the flood insurance purchase requirements of
Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93 -234) which
requires recipients in a special flood hazard area to participate in the program and
to purchase flood insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
10. Will comply with environmental standards which may be prescribed
pursuant to the following:
a.. institution of environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91 -190) and Executive Order (EO)
11514;
b. notification of violating facilities pursuant to EO 11738;
c.. protection of wetlands pursuant to EO 11990;
d'.. evaluation of flood hazards in floodplains in accordance with EO 11988;
e. assurance of project consistency with the approved state management
program developed under the Coastal Zone Management Act of 1972 (16
U.S.C. §§ 1451 et seq.);
f. conformity of federal actions to State (Clean Air) Implementation Plans.
under Section FY06 Homeland Security Grant Program Page 45 176(c) of the.
Clean Air Act of 1955, as amended (42 U.S.C. § 7401 et seq.);
g. protection of underground sources of drinking water under the Safe Drinking
Water Act of 1974, as amended, (Pi. 93 -523); and
h. protection of endangered species under the Endangered. Species Act of
1973, as amended, (P.L. 93 -205).
i. California Environmental Quality Act (CEQA). California Public Resources
Code
Sections 21080- 21098. California Code of Regulations, Title 14, Chapter 3
34
JF
Section 15000- .15007
11. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271
et.seq.) related to protecting components or potential components of the national
wild and scenic rivers system.
12. Will 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 preservation of historic properties), and the
Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a -I et seq).
13. Will comply with Standardized Emergency Management System (SEMS)
requirements as stated in the California Emergency Services Act, Government
Code, Chapter 7 of Division I of Title 2, Section 8607.1(e) and CCR Title 19,
Sections 2445, 2446, 2447 and 2448.
14. Has requested through the State of California, federal financial assistance to be
used to perform eligible work approved in the applicant's application for federal
assistance. Will, after the receipt of federal financial assistance, through the
State of California, agree to the following:
a. Promptly return to the State of California all the funds received which
exceed the approved, actual expenditures as accepted by the federal or state
government.
b. b. In the event the approved amount of the grant is reduced, the
reimbursement applicable to the amount .of the reduction will be promptly
refunded to the State of California.
c. Separately account for interest earned on grant funds, and will return all
interest earned, in excess of $100 per federal fiscal year.
15. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S C.
Sections 4728 -4763) relating to prescribed standards for merit systems for
programs funded under one of the nineteen statutes orreplations specified in
Appendix A of OPM's Standards for a Merit System of Personnel Administration
(5, C.F.R. 900, Subpart F).
16. Will comply with provisions of the Hatch Act (5 U.S.C. Sections 1501 -1508 and
7324 -7328) which limit the political activities of employees whose principal
employment activities are funded in whole or in part with federal funds.
17. Will comply with P.L. 93 -348 regarding the protection of human subjects
involved in research, development, and related activities supported by this
award of assistance.
S. Will comply, if applicable, with the Laboratory Animal Welfare Act of 1966 (P.
L. 89 -544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care, handling,
and treatment of warm blooded animals held for research, teaching, or other
activities supported by this award of assistance: FY06 Homeland Security Grant
Program Page 46
35 A
S
19. Will comply with the minimum wage and maximum hour provisions of the
Federal Fair Labor Standards Act (29 U.S.C. 201), as they apply to employees of
institutions of higher education, hospitals, and other non -profit organizations.
20. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40
U.S.C. Section 276a to 276a -7), the Copeland Act (40 U.S.C. Section 276c
and 18 U.S.C. Sections 874), and the Contract Work Hours and Safety
Standards Act (40 U.S.C. Sections 327 -333), regarding labor standards for
federally assisted construction sub- agreements.
21. Will not make any award or permit any award (subgrant or contract) to any party
which is debarred or suspended or is otherwise excluded from or ineligible for
participation in Federal assistance programs under Executive Order 12549 and
12689, "Debarment and Suspension."
22. Agrees that:
a. No federal appropriated funds have been paid or will be paid, by or on
behalf of the undersigned, to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress
in connection with the making of any federal grant, the entering into of any
cooperative agreement, and the extension, continuation; renewal,
amendment, or modification of any federal grant or cooperative agreement;
b. If any other funds than federal appropriated funds have been paid or will be
paid to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or an employee
of Congress, or employee of a Member of Congress in connection with the
federal grant or cooperative agreement, the undersigned shall complete and
submit Standard Form LLL, "Disclosure of Lobbying Activities," in
accordance with its instructions;
c. The undersigned shall require that the language of this certification be
included in the award documents for all sub awards at all tiers including
subgrants, contracts under grants and cooperative agreements, and
subcontract(s) and that all sub recipients shall certify and disclose
accordingly.
d. This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this
certification is a prerequisite for making or entering into this transaction
imposed by section 1352, Title 31, U.S. Code.. Any person who fails to file
the required certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
23. Agrees that equipment acquired or obtained with grant funds:
a:. Will be made available under the California Disaster and Civil Defense
Master Mutual Aid Agreement in consultation with representatives of the
various fire, emergency medical, hazardous materials response services, and
law enforcement agencies within the jurisdiction of the applicant.
b. Is consistent with needs as identified in the State Homeland Security Strategy
and will be deployed in conformance with that Strategy.
36
M
c. Will be made available pursuant to applicable terms of the California Disaster
and Civil Defense Master Mutual Aid Agreement and deployed with
personnel trained in the use of such equipment in a manner consistent with the
California Law Enforcement Mutual Aid Plan or the California Fire Services
and Rescue Mutual Aid Plan.
24. Agrees that funds awarded under this grant will be used to supplement existing
funds for program activities, and will not supplant (replace) non - federal funds.
25. Will comply with all applicable Federal statutes, regulations, policies,
guidelines and requirements, including OMB Circulars A -2I, A -87, A102, A-
110, A -122, and A -133, E.O. 12372 and Uniform Administrative
Requirements for Grants and Cooperative Agreements contained in Title 28,
Code of Federal Regulations, Part 66 or 70, that govern the application,
acceptance and use of Federal funds for this federally- assisted project.
26. Will comply, and assure the compliance of all its subgrantees and contractors,
with the nondiscrimination requirements of the Omnibus Crime Control and
Safe Streets Act of 1968, as amended, 42 USC 3789(d), or the Juvenile
Justice and Delinquency Prevention Act, or the Victims of Crime Act, as
appropriate; the provision of the current edition of the Office of Justice
Programs Financial and Administrative Guide for Grants, M7100.1, and all
other applicable Federal laws, orders, circulars, or regulations.
27. Will comply with provisions of 28 CFR applicable to grants and cooperative.
agreements, Including:
a. Part 18, Administrative Review Procedures;
b. Part 20, Criminal Justice Information Systems;
c. Part 22, Confidentiality of Identifiable Research and Statistical Information;
d. Part 23, Criminal Intelligence Systems Operating Policies;
e. Part 30, Intergovernmental Review of Department of Justice Programs and .
Activities;
f. ` Part 35, Nondiscrimination on the Basis of Disability in State and Local
Government Services;
g. Part 38, Equal Treatment of Faith -based Organizations;
h. Part 63, Floodplain Management and Wetland Protection Procedures;
i. Part 42, Nondiscrimination/Equal Employment Opportunities Policies and
Procedures;
j. Part 61, Procedures for Implementing the National Environmental Policy Act;
k. Part 64, Floodplain Management and Wetland Protection Procedures; and
Federal laws or regulations applicable to Federal Assistance Programs.
1. Part 66, Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments.
m. Part 67, Government -Wide Debarment and Suspension (Non- Procurement)
n. Part 69, New Restrictions on Lobbying
o. Part 70, Uniform Administrative Requirements for Grants and
Cooperative Agreements (including sub - awards) with Institutions of
Higher Learning, Hospitals and other Non - Profit Organizations.
p. Part 83, Government -Wide Requirements for a Drug Free Workplace (grants)
37
�r
28. Will ensure that the facilities under its ownership, lease or supervision which
shall be utilized in the accomplishment of this project are not listed in the
Environmental Protection Agency's (EPA) list of Violating Facilities and that it
will notify the Federal Grantor agency of the receipt of any communication from
the Director of the EPA Office of Federal Activities indicating that a facility to
be used in the project is under consideration for listing by the EPA.
29. Will comply with Subtitle A, Title II of the Americans with Disabilities Act
(ADA) 1990.
30. Will, in the event a Federal or State court or Federal or State administrative
agency makes a finding of discrimination after a due process hearing on the
grounds or race, color, religion, national origin, sex, or disability against a
recipient of funds, the recipient will forward a copy of the finding to the Office
of Civil Rights, Office of Justice Programs.
31. Will provide an Equal Employment Opportunity Plan, if applicable, to the
Department of Justice Office of Civil Rights within 60 days of grant award.
32. Will comply with the financial and administrative requirements set forth in
the current edition of the Office of Justice Programs (OJP) Financial Guide.
33. Will comply, if applicable, with the provision of the Coastal Barrier Resources
Act (P.L.97 -348) dated October 19, 1982 (16 USC 3501 et seq.) which prohibits
the expenditure of most new Federal funds within the units of the Coastal Barrier
Resources System.
34. Will comply with all applicable requirements of all other federal laws, executive
orders, regulations, program and administrative requirements, policies and any
other requirements governing this program.
35. Understands that failure to comply with any of the above assurances may
result in suspension, termination or reduction of grant funds.
36. As required by Executive Order 12549, Debarment and I Suspension, and
implemented at 28 CFR Part 67, for prospective participants in primary covered
transactions, as defined at 28 CFR Part 67, Section 67:510
A. The applicant certifies that it its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared
ineligible, sentenced to a denial of Federal benefits by a State or Federal
court, or voluntarily excluded from covered transactions by any Federal
department or agency;
(b) Have not within a three -year period preceding this application been
convicted of or had a civil judgment rendered against them for commission of
fraud. or a criminal offense in connection with obtaining, attempting to obtain,
38
(p �
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 had one or
more public transactions (Federal, State, or local) terminated for cause or
default; and
B. Where the applicant is unable to certify to any of the statements in this
certification, he or she shall attach an explanation to this application.
37. As required by the Drug -Free Workplace Act of 1988, and implemented at 28
CFR Part 67, Subpart F, for grantees, as defined at 28 CFR Part 67 Sections
67.615 and 67.620
A. The applicant certifies that it will or will continue to provide a drug -free
workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession, or use of a controlled
substance is prohibited in the grantee's workplace and specifying the
actions that will be taken against employees for violation of such
prohibition;
(b) Establishing an on -going drug -free awareness program to inform
employees about:
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug -free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance programs; and
(4) The penalties that may be imposed upon employees for drug
abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in the
performance of the grant be given a copy of the statement required by
paragraph (a);
(d) Notifying the employee in the statement required by paragraph (a) that,
as a condition of employment under the grant, the employee will
(1) Abide by the terms of the statement; and .
(2) Notify the employer in writing of his or her conviction for a violation
Of a criminal drug statute occurring in the workplace no later than five
calendar days after such .conviction;
30
(e) Notifying the agency, in writing, within 10 calendar days after
receiving notice under subparagraph (d)(2) from an employee or
otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title, to:
Department of Justice, Office of Justice
Programs, ATTN: Control Desk,
633 Indiana Avenue, N.W., Washington, D.C. 20531.
Notice shall include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days of
receiving notice under subparagraph (d)(2), with respect to any
employee who is so convicted
(1) Taking appropriate personnel action against such an employee, up to
and including termination, consistent with the requirements of the
Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a drug
abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug -free
workplace through implementation of paragraphs (a), (b), (c), (d), (e),
and (f).
As the duly authorized representative of the applicant, I hereby certify that the
applicant will comply with the above certifications.
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 o.
Authorized
Printed Nana
Authorized gei
Title: r `y
Cw
40 ,
EXHIBIT E
REIMBURSEMENT REQUEST FOR GRANT EXPENDITURES
41
(� S
Anaheim/Santa Ana Urban Areas Security Initiative
Reimbursement Request for Grant Expenditures
Mail Reimbursement Request to:
Anaheim Police Department
Fast Station — Homeland Security Bureau
Attn: Lisa Navarro, Grant Coordinator
425 S. Harbor Blvd.
Anaheim, CA 92805
❑ This is the final reirnhumennent renned
Santa Ana Police Department
Attn: Sgt. Enrique Esparza, Grant Coordinator
60 Civic Center Plaza
P.O. Box 1981
Santa Ana, CA 92702
I
Agency / City Requesting Reimbursement I I
Total 'mount Requested:
(Attach copies of s uPporting invoices)
Under penalty of perjury, I certify that:
• 1 am an authorized officer of the claimant herein.
• This claim is in all respects true, correct, and all expenditures were made in
accordance with applicable laws, rules, regulations and grant conditions and
assurances.
• All attached invoices for items and/or services have been received in full.
2,
" MAMWIM,
Printed Name Phone Number
I I
Mailing Address Fax Number
City, State, Zip Code
signature
(Please sign in blue ink.)
Request Tracking Number: Account #:
Girtill: I L,161 Grant
Year: solution
Comments
42
Date:
M
City of Newport Beach NO. BA- OBBA -064
BUDGET AMENDMENT
2007 -08
EFFECT ON BUDGETARY FUND BALANCE:
Increase Revenue Estimates
X Increase Expenditure Appropriations AND
Transfer Budget Appropriations
SOURCE:
from existing budget appropriations
from additional estimated revenues
from unappropriated fund balance
EXPLANATION:
This budget amendment is requested to provide for the following:
AMOUNT: 847,316.as
qIncrease in Budgetary Fund Balance
Decrease in Budgetary Fund Balance
X No effect on Budgetary Fund Balance
To increase expenditure appropriations and revenue estimates to accept 2007 UASI transfer agreement training funds to be
utilized for reimbursement of training costs associated with approved Department of Homeland Security (DHS) courses for
emergency personnel.
ACCOUNTING ENTRY:
BUDGETARY FUND BALANCE
Fund Account
REVENUE ESTIMATES (3609)
Fund/Division Account
1820 48665
EXPENDITURE APPROPRIATIONS (3603)
Description
Description
PD Support Svcs - 2007 UASI Training Grant
Description
Division
Number 7014 Misc & Studies
Account
Number C8002010 2007 UASI Training Grant
Division
Number
Account
Number'
Division
Number
Account
Number
Division
Number
Account
Number
Division
Number
Account
Number
Signed:
Signed:
Signed:
Approval: AdminlstroVe Services Director
City Manager
Amount
Debit Credit
$47,315.46
$47,315.46
Date
d !�
Da
City Council Approval: City Clerk Date
BY THE Cm COUNCIL
Cm OF NEWPORT BEACH
nn- s{��fr
TO:
FROM:
CITY OF NEWPORT BEACH
CITY COUNCIL STAFF REPORT
Agenda Item No. 7
May 13, 2008
HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
Fire Department
Steve Lewis, Fire Chief, 6443101
siewis(@city.new[3ort-beach.ca.us
SUBJECT: Acceptance of the 2007 Urban Areas Security Initiative (UASI)
Grant Transfer Agreement
1. Accept the 2007 UASI Grant transfer agreement training funds in the amount of
$47,315.46 to be utilized for reimbursement training costs associated with approved
Department of Homeland Security (DHS) courses for emergency response
personnel.
2. City Council approve a Budget Amendment BA increasing revenue estimates
by $47,315.46 in 1820 - 48665, UASI Grant, and increasing expenditure
appropriations by $47,315.46 in 7014- C8002010.
DISCUSSION:
The Urban Area Security Initiative (UASI) grant was established in 2003, by the
Department Homeland Security (DHS) to provide funding for training and
equipment for emergency personnel. The urban areas are chosen by DHS
based on a formula that takes into account factors such as critical infrastructure,
population density, and credible threat information. Among other densely
populated areas, the Cities of Santa Ana and Anaheim were jointly awarded
approximately $11 million dollars in the fiscal year 2007. Both UASI cities and
the County of Orange have teamed up to forge one of the most cohesive,
focused, and regional partnerships anywhere in the nation.
The City of Newport Beach falls within the Santa Ana UASI area, administered by the
City of Santa Ana. The Santa Ana UASI has set aside a total of $47,315.46 for the
City of Newport Beach for reimbursement costs associated with training emergency.
personnel including Fire, Police, and EOC staff. The funds for the UASI grant will
reimburse the City for any training costs incurred such as tuition, overtime, back fill,
and travel expenses for approved courses. No matching funds are required to accept
this grant.
• da Item No.
May 13, 2008
Page 2
Additionally, with this grant, the City is eligible to receive UASI grant funds for
preparedness and response equipment. To date, the City has already received
the following equipment with UASI funds: Personal Protection Equipment (PPE)
for all first responders, Radio Communications 800 MHz enhancements, Fire
dispatch integration (Study to integrate CAD to CAD), mobile radios, and a
Mobile Command Vehicle.
Prepared by:
( L I �Z�
LAH-e'Eing
Emergency SeUes Coordinator
Attachments: Budget Amendment
Submitted by:
5
Steve Lewis
Fire Chief
•
•
FY07 Anaheim/Santa Ana UASI
Application for Project Funding
COPY
This application should be used to request FY07 Anaheim/Santa Ana UASI project
funding and to demonstrate how the funds will be used to enhance the capabilities of the
urban area and support the National Preparedness Goal, the State's Homeland Security
Strategy and the Urban Area's Homeland Security Strategy. Each project must support
one of the Investment Justifications submitted by the urban area as part of their FY07
UASI Grant Application. (A list of the Investment Justifications and strategies can be
found in appendices of the FY2007 UASI Grant Guide)
Projects should be developed using a capabilities -based planning approach and make use
of the "Target Capabilities List ", keeping in mind a capability may be delivered with any
combination of properly planned, organized, equipped, trained and exercised personnel
that achieve the intended outcome. Just as no single agency /jurisdiction would be
expected to perform every task, neither would they be expected to have sufficient levels
of every capability needed for a major event. Requirements that exceed a jurisdiction's
capabilities would be secured through mutual aid or formal requests for assistance from
other levels of government. This concept is the basis for strengthening regional planning,
coordination, and resource sharing to prepare for catastrophic events. A key factor in
determining if a project will receive funding is the ability of the project to achieve a
regional capability.
Using this methodology will assist the applicant in clearly defining why the capability is
needed; how the capability will be used; what functions the capability will perform; who
will need the capability; when the capability will be available; what key performance and
other attributes comprise the capability; how the capability will be supported; what skills
will be required and how we train responders; and finally, how much will the capability
cost.
Each application may support only one project. If an agency /jurisdiction wishes to
submit multiple projects for funding, each project will require a separate application.
Prior to completing this. application the Agency /Jurisdiction should confirm they
have met all requirements necessary to be eligible to apply for UASI funds.
(Response areas will expand to accommodate text entries)
1 of 19
. FY07 Anaheim/Santa Ana UASI •
Application for Project Funding
This page intentionally left blank
2of19
4
.FY07 Anaheim/Santa Ana UASI•
Application for Project Funding
I. Summary Information
Grant: I Urban Areas Security Initiative (UASI)
Year: 12007
Agency /Jurisdiction City of Newport Beach
Requesting Fin nd+n
Total Funding Discretionary Allocation: $11,828.87
Requested: I Regional Training Allocation: $47,315.46
Protect Description:
Enter a summary description of the project:
(This.olesc7ipdon should o be a ew lines which WLqin the overall concept o the Project)
This project provides reimbursement for FEMA — National Preparedness Directorate
(formerly Grants & Training) approved homeland security related training.
3 of 19 5`
•FY07 Anaheim/Santa Ana UASI •
Application for Project Funding
rt. Points of Contact
II. " rrma ?.A cn"hYMOri9di✓ Lion 4�onti ct} GS nt nto `
Nan=
I Steve Shulman
Police SEgeant
Addmn-
$70 Santa Barbara Drive
870 Santa Barbara Drive
Nei rt Beach
92660
92660
ELieutenant
949 -644 -3740
949- 279 -4815
949- 718 -1030
DBimh b .o
Shulman r d cLr
1 i n r
Narne:
Il.
Name:
n1n o ding. o
Dennis Birch
Tilte:
Police SEgeant
Addmn-
$70 Santa Barbara Drive
City
New ort Beach CA
ZiP Codez
92660
Once Phone
949 644 -3730
Cell Phone:
1 49 795 -9782
Fax
949 644 -3740
E-mail:
DBimh b .o
11 _
1 i n r
Narne:
Paul Matheis
Y itic:
Fire Division Chief
Address
3300 Nei ort Boulevard
Chr.
Anew rt Beach, CA, P.O. Box 1768
ZiP Cam:
92659 -8915
Office Phone
949 644 -3368
Cell Phone
949 795 -2231
Fax:
949 6443388
&nail: I
Pmatheis NBFD.nct
11.
Nam:
r i n
Katie Ein
Tide.
Disaster Preparedness Coordinator
Address:
3300 Newport Boulevard
CitY:
iw%lc%vport Beach, CA P.O. Box 1768
7iP Codes
92658 -8915
Office Phone
949 644 -3109
Cell Phone
1 49 795 -9782
Fax:
949 644 -3388
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M. Detailed Project Description
Describe the capability gap(s) this project is intended to address and why this solution
was selected over other options. Provide a detailed description of the project's goals,
objectives and expected outcomes. Description should include details on how the project
will be deployed (single jurisdiction, mutual aid zone, urban area) and the regional
This project provides reimbursement for training that will address multiple capability
gaps that exist in the Urban Area in the prevention, response, and recovery from
incidents of terrorism and catastrophic events. These capability gaps will be identified
by the individual jurisdictions throughout the Urban Area and through a committee
process that is multi jurisdictional and represents the entire Urban Area. Both individual
jurisdictions and the committee process will use a capability assessment as well as prior
after action reports to assist in the determination of capability gaps in training that exist
in the Urban Area.
This training project was selected, because training is the one of the key components in
the Department of Homeland Security's National Preparedness Guidelines. Only
through training can personnel across all disciplines become familiar with plans, policies,
and procedures that will allow them to effectively prepare for and respond to incidents of
terrorism.
This project seeks to provide training that closes capability gaps that are identified by
individual agencies and through a committee process that determines regional capability
gaps. The goal of this project is that personnel in the various disciplines and jurisdictions
have the knowledge that trains them to prepare for and respond to incidents of terrorism
and catastrophic events.
This project funds jurisdictional specific as well as regional training with a funding
emphasis on regional training projects that benefit the entire Urban Area and provide a
baseline of training to targeted disciplines and responders in the Urban Area.
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Application for Project Funding
IV. Strategy
Explain how this project supports the Urban Area's Homeland Security Strategy and the
State's Homeland Security Strategy. Please provide relevant strategy reference numbers.
(Urban Area and State Strategy are listed in the appendices of the FY2007 ASAUA UASI Grant Guide)
This project supports the Urban Area's Homeland Security Strategy item 3.2 which seeks
to ensure that training programs are delivered to accomplish core competencies and
awareness levels among all first responders regarding terrorism and WMD events. This
project will accomplish this through the identification and implementation of training
that fills current capability gaps.
This project also supports the following California Homeland Security Strategy Goals:
1. Strengthen CBRNE Detection, Response, and Decontamination Capabilities
(Goal 3- Objective 3.4)
2. Strengthen Explosive Device Response Operations (Goal 4- Objective 4.4)
3. Strengthen Medical Surge Capabilities (Goal 6- Objective 6.4)
4. Strengthen Mass Prophylaxis Capabilities (Goal 7- Objective 7.4)
Each of these goals listed in the California Homeland Security Strategy could be
supported through the training that is implemented through this project.
IV. (a) Strategy — FY07 Investment Justifications
Explain which of the Urban Area's Investment Justifications (U) this project supports.
Please provide relevant IJ reference numbers.
W's are listed in the appendices of the FY2007 UASI ASAUA Grant Guide)
This project directly supports Investment Justification #7 by continuing and enhancing
the homeland security training program in the Anaheim / Santa Ana Urban Area
fIV. (b) Strategy — Primary Target Capability .
Provide-the primary Target Capability the project" is designed to support.
/Target Capabilities are listed in the appendices of the FY2007 ASAUA UASI Grant Guide)
Intelligence / Information Sharing and Dissemination
IV. (c) Strategy - Target Capability Narrative
Provide a description of how this project supports the Target Capability selected and its
associated tasks.
This investment will leverage other grant funds to enhance and expand the Urban Area's
current Terrorism Liaison Officer (TLO) program. This investment will provide the
necessary training for TLOs, and provide awareness level training to other responders.
These responders will then understand the types of information that should be fed to the
designated TLOs in their agencies. The TLOs become the conduit of information into
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Application for Project Funding
the information sharing and investigative process.
IV. (d) Strategy — National Priorities
Provide the National Priority(ies) this project supports. Response should include a
detailed description how the project supports the National Priority(ies) selected.
(National Priorities are listed in the amendices of the FY2007 ASA UA (JAM Grant Cmide)
This project supports the following National Priorities:
1. Implement the National Incident Management System and National Response
Plan
2. Strengthen Information Sharing and Collaboration Capabilities
3. Strengthen Chemical, Biological, Radiological, Nuclear, and Explosive
Detection, Response, and Decontamination Capabilities
4. Strengthen Planning and Citizen Preparedness Capabilities
This project supports these National Priorities through the identification of capability
gaps that are related to these priorities and the implementation of jurisdictional and
regional training programs that address these capability gaps.
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Application for Project Funding
V. Funding Plan
Provide the total estimated cost of the project. Total shall be broken down by solution
area using the following table. For each solution area selected provide a description of
the planned expenditures. (note: M&A funds should not be used by sub- recipients)
Solution Area
Requested Amount
Planning
Organization
ui tnent
Training
Discretionary Allocation: $11,828.87
Regional Training Allocation: $47,315.46
Exercises
M &A
Core Cures Only)
Project Total
Discretionary Allocation: $11,828.87
Regional Training Allocation: $47,315.46
Planning
(Refer to the FY07 HSGP Grant Guide for allowable expenses under this solution area and include Mrs=cl costs
Description of planned expenditures: NIA
Organization
(Refer to FY07 HSGP Grant Guide for allowable expenses under this solution area and include personnel costs
Description of planned expenditures: N/A
Equipment
(Refer to the AEL for allowable expenses under this solution area and complete the Detailed Equipment sheet.
Include in the description section sufficient information to demonstrate the equipment is being used in the context in
which it is on the AEL.
Description of planned expenditures: N/A
Training
(Refer to the FY07 HSGP Grant Guide for allowable expenses under this solution area
Description of planned expenditures:
Approved training expenses for jurisdictional specific training.
Approved training expenses for regional training projects.
Exercises
-(Refer to the FY07 HSGP Gran Guide for allowable expenses under this solution area and include personnel costs
Description of planned expenditures: N/A
Management &.administration
or useft are cities" fer to dw FY,07 Grant HSGP Guide for allowable expenses under this solution area
Description of planned expenditures: N/A
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Application for Project Funding
VI. Milestones
Provide up to 10 specific milestones for the project, including a description and start and
end dates. Descriptions should include details of the activities to be performed.
Milestone #1
Title: Training Needs Assessment
Start Date: 1/1/08
End Date: 3/1/08
Description: Jurisdiction identifies training gaps in homeland security related
capabilities from sources such as After Action Reports.
Milestone #2
Title: Begin participation in training committee
Start Date: 1/1/08
End Date: 1/31/08
Description: Jurisdiction begins to participate in Urban Area training committee
meetings to develop regional training program options.
Milestone #3
Title: Jurisdiction Training Plan Development
Start Date: 3/1/08
1 End Date: 4/1/08
Description: Training plan (including vendor options, training cost estimates, etc.) is
developed.
Weston #4
Title: Jurisdictional Specific Training Occurs
Start Date: 3/1/08
1 End Date: 12/1/09
Description: Jurisdictional specific training occurs in accordance with the jurisdiction's
training plan to address the training gas identified in its needs assessment.
Milestone. #5
Title: Regional Training Occurs
Start Date: 3/1/08
End Date: 12/1/09
Description: Regional training occurs in accordance with the training plan developed .
and implemented by the training committee.
Milestone 96
Title: Final Reimbursement Documents Processed
Start Date: 12/1/09
1 End Date: 3/1A0
Description: Final reimbursement documents for jurisdictional specific and regional
training expenses are processed and submitted to the Santa Ana Police Department for
reimbursement.
Milestone #7
Title:
Start Date: End Date:
Description:
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Application for Project Funding
Milestone #8
Title:
Start Date: End Date:
Description:
Milestone #9
Title:
Start Date: End Date:
Description:
Milestone #10
Title:
Start Date: End Date:
Description:
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FY07 Anaheim/Santa Ana UASI•
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VII. Proiect Management
Describe the management team that is directly responsible for the implementation of this
project. Specifically, describe any key project roles and responsibilities, structures, and
subject matter expertise required by this project, including at least the project manager
and the contract structure. An organizational chart may be included.
This project will be managed by each jurisdiction by a maximum of two points -of-
contact representing two city departments such as Police and Fire. These points -of-
contact will be responsible for maintaining the jurisdiction's total training allocation
budget that will be reimbursed through the Urban Area Security Initiative grant funds.
These points of contact will be the only personnel who have the authority to submit
training course approvals to the State Office of Homeland Security and the only
personnel who have the authority to submit requests for reimbursement for approved
training expenses.
The Training Coordinator of the Santa Ana UASI office will be responsible for
processing reimbursement requests for all of the jurisdictions in the Urban Area for
Fiscal Year 2007.
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Application for Project Funding
List and describe up to five potential challenges to the effective implementation of this
project. For each identified challenge, provide a brief description of how the challenge
will be mitigated and include the probability of occurrence (high, medium, low), and
level of impact should it occur (high, medium, low).
#1
-Challenge
Probability
Medium
Impact:
I High
Description of challenge:
Jurisdictions will not utilize all UASI training allocation funds prior to the close of the
FY07 UASI gpnt.
Mitigation Strategy:
Prior to the close of the grant, remaining fitnds that have not been budgeted for specific
classes will be reallocated to other individual jurisdictions or used to fund ongoing
regional training projects.
Challenge #2
Probability: I LOW
Impact:
FFAedium
Description of challenge:
Training will not have a regional emphasis.
Mitigation Strategy:
Through the newly formed Training, Equipment, and Exercise Committee, training
courses will be recommended to the Grant Steering Committee that will have a regional
focus.
Challenge #3
Probability:
Medium
Impact:
Hi
Description of challenge:
Inadequate documentation to support reimbursement requests.
Mitigation Strategy:
The Santa Ana UASI Training and Exercise Coordinator will monitor reimbursement
requests to verify that each jurisdiction supplies and maintains appropriate
-documentation-
a #4
-Challenge
Probability:
Impact:
. Impact.
Description of challenge:
Description of challenge:
Mitigation Strategy:
Cbatlen . R.
Probability.-
Impact:
Description of challenge:
Mitigation Strategy:
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Application for Project Funding
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Application for Project Funding
IX. Impact (Performance Measures)
What outcomes will indicate this project is successful and how will the impact be
measured? Response should include details on what capability(ies), task(s) or
roficiency(ies) was established or enhanced
This project will be measured for its success through several methods. One such
method will be to determine the numbers of multi - disciplined personnel received
training that was funded by this project. Increased numbers of personnel or increased
numbers of disciplines that receive training would indicate project success.
Exercises will also measure the success of this project. This project funds training that
will be either determined to be necessary by an individual jurisdiction or through a
committee process that determines regional training needs. Once training occurs,
exercises will be developed that test the capabilities that should have been achieved
through the training. Exercise after action reports will reveal either proficiency or
additional training needs.
Finally, this project will be measured for its success by the numbers and types of
additional capabilities that have been enhanced or created through the implementation of
this project. These capabilities could be quantified by determining the numbers of
"resource typed" capabilities that have been created or enhanced through the training
funded by this project.
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•FY07 Anaheim/Santa Ana UASI •
Application for Project Funding
What is the long -term approach to sustaining the capabilities developed by this project?
Response should include details on how the capability(ies) will be maintained and
sustained including what funding will be used to sustain the capability.
This project has been and continues to be leveraged with other grant funding sources.
By leveraging several grant sources to fund this project, the Anaheim / Santa Ana Urban
Area is able to increase the numbers of personnel that receive training while not relying
completely on one grant source.
The Anaheim / Santa Ana Urban Area has increased its capabilities to plan for, prevent,
and respond to incidents of terrorism and catastrophic events in part by providing multi -
agency and multi - discipline training to large numbers of personnel. Sustainment of this
training will not be as costly as the original implementation to large numbers of
responders, and could be funded through existing training budgets in the future.
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Application for Project Funding
XI. Attachments
Include any attachments that may be relevant to the proiect.
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FY07 Anaheim/Santa Ana UAS,
Application for Project Funding
Mi. Sub - Recipient Representative Si¢ nature
A ent authorized to a ly fo and accept award on behalf of agency/ jurisdiction
Si tore:
l�tit
Name:
St e Lewis
Title:
Fire Chief
Address:
3300 Newport Boulevard
City:
Newport Boulevard, CA
zip Code:
92658 -8915
Office Phone:
(949 ) 644 -3382
Cell Phone:
(944 279 -9885
Fax:
(949 ) 644 -3120
E -mail: I
SLewis FD.net
Project reviewed by:
UASI
Representative:
Ana
Anaheim
Signature:
(�Santa
Title:
Name:
Carlos Rojas
Mark C rien
Title:
Commander
Lieutenant
Address:
60 Civic Center Plaza
8201 E. Santa Ana Canyon Rd.
City, State
Santa Ana, CA
Anaheim, CA
Zip Code:
92792
92803
Office Phone:
- 714) 245 -8722
714 765 -3879
Cell Phone:
(71 A
714 497 -6342
Fax:
714 ) 245 -8098
(714) 765 -3805
E -nmd.'
crojas anta -ana or
me rien anaheim.net
Recommended for A roval: Yes O No
Funding approved in an amount not to exceed:
Discretionary Allocation: $11,828.87
Regional Training Allocation: $47,315.46
Anaheim/Santa Ana UASI Authorized Representative
Signature:
Name:
Pau TM. Walters
Title:
Chief of Police
Address:
60 Civic Center Plaza
City, State:
Santa Ana, CA
Zip Code:
92702
Office Phone:
714 245 -8703
Cell Phone:
Fax:
(714) 245 -8098
E-mail:
pwalters@santa-ana.org
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Application for Project Funding
APPENDIX A
18 of 19
Detailed Equipment Sheet
Sheet _ of
•
•
�' 19 of 19
SUB - RECIPIENT:
City Contract Number
AGREEMENT
CITY OF NEWPORT BEACH
6AN
COPY
�.
M
•
TABLE OF CONTENTS
Section Description Page
I
INTRODUCTION
§101. Parties to the Agreement 3
§102. Representatives of the Parties and Service of Notices 3
§103. Independent Party 4
§104. Conditions Precedent to Execution of this Agreement 4
I I
TERM AND SERVICES TO BE PROVIDED
§201. Time of Performance
§202. Use of Grant Funds
III
PAYMENT
§301. Payment of Grant Funds and Method of Payment 8
IV
STANDARD PROVISIONS
§401.
Construction of Provisions and Titles Herein
9
§402.
Applicable Law, Interpretation and Enforcement
9
§403.
Integrated Agreement
9
§404.
Excusable Delays
9
§405.
Breach
10
§406.
Prohibition Against Assignment or Delegation
10
§407.
Permits
10
§408.
Non Discrimination and Affirmative Action
10
§409.
Bonds
11
..3
Section Description
TABLE OF CONTENTS
•
Pape
§410. Indemnification 11
§411. Conflict of Interest 11
§412. Restriction on Disclosures 13
§413. Statutes and Regulations Applicable to All Grant Contracts 13
§414 Federal, State, and Local Taxes 20
§415. Inventions, Patents and Copyrights 20
§416. MBE/WBE 22
V
DEFAULTS, SUSPENSION, TERMINATION, AND AMENDMENTS
§501. Defaults
§502. Amendments
V
ENTIRE AGREEMENT
§601. Complete Agreement
§602. Number of Pages and Attachments
Execution (Signature) Page
EXHIBITS
Exhibit A Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transactions
Exhibit B Certification Regarding Lobbying
Exhibit C FY07 Anaheim /Santa Ana Application for Project Funding
Exhibit D Grant Assurances
Exhibit E Reimbursement Request for Grant Expenditures
ii
23
23
24
24
25
4
• 0
Agreement Number.
AGREEMENT FOR TRANSFER OR PURCHASE OF EQUIPMENT /SERVICES OR FOR
REIMBURSEMENT OF TRAINING COSTS
FOR FY07 URBAN AREAS SECURITY INITIATIVE (UASI)
BETWEEN
THE CITY OF SANTA ANA
AND CITY OF NEWPORT BEACH
THIS AGREEMENT is made and entered into this day of 2007, by and
between the CITY OF SANTA ANA, a municipal corporation (the CITY"), and CITY OF
NEWPORT BEACH, (the'SUB- RECIPIENT" or "Contractor").
WITNESSETH
WHEREAS, CITY, acting through the Santa Ana Police Department in its
capacity as a Core City for the Anaheim /Santa Ana Urban Area under the FY07 Urban
Areas Security Initiative, has applied for, received and accepted a grant entitled "FY07
Urban Areas Security Initiative" from the federal Department Of Homeland Security —
Office of Grants and Training, through the State of California Office of Homeland
Security, to enhance countywide emergency preparedness, hereafter referred to as "the
grant', as set forth in the grant guidelines and assurances that are located at
hftp: / /www. homeland. ca.gov /pdfffyO7_hsgp�uidance.pdf and hft : //www.homeland
.ca.gov /pdf /FY07 HSGP- StateSupplemental6- 1- 07.pdf, and incorporated to this
Agreement by reference. Copies of the grant guidelines shall be retained in the
Anaheim/Santa Ana Grant Office.
WHEREAS, this financial assistance is administered by the CITY OF SANTA
ANA (CITY) and is overseen by the California Office of Homeland Security (OHS); and
WHEREAS, this financial assistance is being provided to address the unique
equipment, training, planning, and exercise needs of large urban areas, and to assist
them in building an enhanced and sustainable capacity to prevent, respond to, and
recover from threats or acts of terrorism; and
WHEREAS, the Anaheim /Santa Ana Urban Area ( "ASAUA ") consists of the City
of Santa Ana, the City of Anaheim, the unincorporated area of the County of Orange,
and 34 participating jurisdictions; and
WHEREAS, the Office of Grants and Training (G &'T) awarded a FY07 UASI
Grant of $11,072,000 ( "Grant Funds' to the CITY OF SANTA ANA, as a Core City, for
use in the ASAUA; and
WHEREAS, the CITY has designated the Chief of Police and the Santa Ana
Police Department, Homeland Security Division ( "UASI Grant Office") to provide for
A5,
0 •
terrorism prevention and emergency preparedness; and
WHEREAS, the UASI Grant Office now wishes to distribute FY07 UASI Grant
Funds throughout the ASAUA, as further detailed in this Agreement ( "Agreement") to
CITY OF NEWPORT BEACH ,(SUB - RECIPIENT) and others;
WHEREAS, the CITY and SUB - RECIPIENT are desirous of executing this
Agreement as authorized by the City Council and the City Manager which authorizes
the CITY to prepare and execute the Agreement.
NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
I
INTRODUCTION
§101. Parties to the Agreement
The parties to this Agreement are:
is
A. The CITY, a municipal corporation, having its principal office at 20 Civic Center
Plaza, Santa Ana, CA 92702; and
B. CITY OF NEWPORT BEACH, a municipal corporation, 3300 Newport Blvd.
Newport Beach, CA 92663
§102. Representatives of the Parties and Service of Notices
A. The representatives of the respective parties who are authorized to administer
this Agreement and to whom formal notices, demands and communications
shall be given are as follows:
1. The representative of the City of Santa Ana shall be, unless otherwise
stated in the Agreement:
Carlos Rojas, Commander
Santa Ana Police Department
Homeland Security Division
60 Civic Center Plaza
Santa Ana, CA. 92702
Phone: (714) 245 -8722
Fax: (714) 245 =8098
crojas@santa-ana.org
2. The representative of CITY OF NEWPORT BEACH shall be:
Paul Matheis
Division Chief
Newport Beach Fire Department
3300 Newport Blvd., Newport Beach, CA 92658
Phone: 949- 6443368
pmatheisO -city. newport-beach.ca.us
with a copy to:
M1
0 0
<<NAME OF 2nd RECIPIENT IF APPLICIABLE>>
B. Formal notices, demands and communications to be given hereunder by
either parry shall be made in writing and may be effected by personal
delivery or by registered or certified mail, postage prepaid, return receipt
requested and shall be deemed communicated as of the date of mailing.
C. If the name of the person designated to receive the notices, demands or
communications or the address of such person is changed, written notice
shall be given, in accord with this section, within five (5) business days of
said change.
§103. Independent Partv
SUB - RECIPIENT is acting hereunder as an independent party, and not as an
agent or employee of the CITY OF SANTA ANA. No employee of SUB -
RECIPIENT is, or shall be an employee of the CITY OF SANTA ANA by virtue of
this Agreement, and SUB - RECIPIENT shall so inform each employee organization
and each employee who is hired or retained under this Agreement. SUB -
RECIPIENT shall not represent or otherwise hold out itself or any of its directors,
officers, partners, employees, or agents to be an agent or employee of the CITY
OF SANTA ANA.
§104. Conditions Precedent to Execution of This Aareement
SUB - RECIPIENT shall provide copies of the following documents to the CITY OF
SANTA ANA, unless otherwise exempted.
A. Grant Assurances in accordance with section 415C of this Agreement attached
hereto as Exhibit D and made part hereof.
B. Certifications Regarding Ineligibility, Suspension and Debarment as required
by Executive Order 12549 in accordance with Section 415Al2 of this
Agreement and attached hereto as Exhibit A and made a part hereof.
C. Certifications and Disclosures Regarding Lobbying in accordance with Section
415C of this Agreement and attached hereto as Exhibit B and made a part
hereof. SUB - RECIPIENT shall also file a Disclosure Form at the end of each
calendar quarter in which there occurs any event requiring disclosure or
which materially affects the accuracy of the information contained in any
Disclosure Form previously filed by SUB - RECIPIENT.
•
•
TERM AND SERVICES TO BE PROVIDED
§201. Time of Performance
The term of this Agreement shall commence on October 3, 2007 and end on
March 31, 2010 or upon the final disbursement of all of the Grant Amount (as
defined in Section 301) and any additional period of time as is required to
complete any necessary close out activities. Said term is subject to the
provisions herein.
§202. Use of Grant Funds
A. CITY may a) transfer to SUB - RECIPIENT, equipment or services
purchased with grant funds and in accordance with grant guidelines set
forth above; or b) reimburse SUB - RECIPIENT for purchase of authorized
equipment, exercises, services or training upon receiving prior written
approval from CITY or its designee and in accordance with grant guidelines
and in full compliance with all of the SUB - RECIPIENT'S purchasing and
bidding procedures. SUB - RECIPIENT shall specify the equipment,
services, exercises and training to be purchased using the Application for
Project Funding attached hereto as Exhibit C.
B. SUB - RECIPIENT shall provide any reports requested by the CITY regarding
the performance of the Agreement. Reports shall be in the form requested by
the CITY, and shall be provided in a timely manner.
C. The Authorized Equipment List (AEL) is a list of the allowable equipment
which may be purchased pursuant to this Agreement and is located at
https: / /viww.rkb.mipt.org, and incorporated to this Agreement by reference.
A copy of the AEL shall be retained in the Anaheim /Santa Ana Grant Office.
Unless otherwise stated in program guidance any equipment acquired
pursuant to this Agreement shall meet all mandatory regulations and/or
DHS- adopted standards to be eligible for purchase using grant funds. SUB -
RECIPIENT shall provide the CITY a copy of its most current procurement
guidelines and follow its own procurement requirements as long as they
meet the minimum federal requirements. Federal procurement requirements
for the FY 07 UASI Grant can be found at OMB Circular A -102, Title 28
C.F.R. Part 66.36, and the Office of G &T Financial Management Guide.
Any equipment acquired or obtained with Grant Funds:
1. Shall be made available under the California Disaster and Civil
Defense Master Mutual Aid Agreement in consultation with
representatives of the various fire, emergency medical, hazardous
W
• 0
materials response services, and law enforcement agencies within
the jurisdiction of the applicant;
2. Shall be consistent with needs as identified in the State Homeland
Security Strategy and deployed in conformance with that plan;
3. Shall be made available pursuant to applicable terms of the
California Disaster and Civil Defense Master Mutual Aid Agreement
and deployed with. personnel trained in the use of such equipment in
a manner consistent with the California Law Enforcement Mutual Aid
Plan or the California Fire Services and Rescue Mutual Aid Plan;
4. Shall be subject to the requirements of Title 28, C.F.R. 66.32, 66.33
and Office of G &T Financial Management Guide. For the purposes of
this subsection, "Equipment" is defined as nonexpendable property'
that is not consumed or does not lose its identity by being
incorporated into another item of equipment, which costs $5,000 or
more per unit, or is expected to have a useful Irfe of one (1) year or
more. Items costing less than $5,000, but falling into the following
categories are also considered Equipment: (1)electronics
communications equipment for stationary or vehicular use, including
cellular telephones acquired by lease or purchase, and (2) electronic
office equipment, including facsimile machines, copiers, electric
typewriters, personal computers (monitors and CPU's), terminals and
printers;
5. Shall be used by SUB - RECIPIENT in the program or project for
which it was acquired as long as needed, whether or not the project
or program continues to be supported by Federal funds. When no
longer useful for the original program or project, the Equipment may
be used in other activities currently or previously supported by a
Federal agency.
6. Shall be made available for use on other projects or programs
currently or previously supported by the Federal Government,
providing such use will not interfere with the work on the projects or
program for which it was originally acquired. First preference for
other use shall be given to other programs or projects supported by
the awarding agency.
7. Shall be recorded on a ledger. This record must be updated bi-
annually and forwarded to the City. The record shall include: (a)
description of the item of Equipment, (b) manufacturer's model and
serial number, (c) Federal Stock number, national stock number, or
other identification number; (d) the source of acquisition of the
Equipment, including the award number, (e) date of acquisition; {f)
the per unit acquisition cost of the Equipment, (g) records showing
maintenance procedures to keep the Equipment in good running
order, and (h) location and condition of Equipment. Records must be
'30
•
0
retained pursuant to 28 C.F.R. Part 66.42, and Office of G &T.
8. All equipment obtained under this Agreement shall have an ASAUA
identification decal affixed to it, and, when practical, shall be affixed
where it is readily visible.
9. A physical inventory of the Equipment shall be taken and the results
reconciled with the Equipment records at least once every year.
Inventory shall also be taken prior to any UASI, State or Federal
monitor visits.
10. SUB - RECIPIENT shall exercise due care to preserve and
safeguard equipment acquired with grant funds from damage or
destruction and shall provide regular maintenance and such repairs
for said equipment as necessary, in order to keep said equipment
continually in good working order. Such maintenance and servicing
shall be the sole responsibility of SUB - RECIPIENT, who shall
assume full responsibility for maintenance and repair of the
equipment throughout the life of said equipment.
D. Any training paid pursuant to this Agreement shall conform to the guidelines
as listed in FY 2007 Homeland Security Grant Program, as set forth above.
All training expenses. must be pre - authorized by OHS at
http:// www. calguard. ca .gov /cajs- hs/nonslgcpForm.htm. A catalogue of
Grantor approved and sponsored training courses is available at
hftp://www.ojp.usdoj.gov/odp/training.htm.
E. Any exercise paid pursuant to this Agreement shall conform to the guidelines as
listed in FY 2007 Homeland Security Grant Program, as set forth above.
Detailed Homeland Security Exercise and Evaluation Program Guidance is
available at http: / /hseep.dhs.gov.
F. Any planning paid pursuant to this Agreement shall conform to the guidelines
as listed in FY 2007 Homeland Security Grant Program, as set forth above.
G. Any organizational activities paid pursuant to this Agreement shall conform to
the guidelines as listed in FY 2007 Homeland Security Grant Program, as set
forth above.
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III
PAYMENT
§301. Payment of Grant Funds and Method of Payment
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A. The CITY may a) transfer to SUB - RECIPIENT, equipment or services
purchased with grant funds; or b) reimburse SUB - RECIPIENT for the purchase
of authorized equipment, exercises, services or training upon receiving prior
written approval from CITY or its designee and in accordance with grant
guidelines and in full compliance with all of the SUB - RECIPIENT'S purchasing
and bidding procedures. SUB - RECIPIENT shall specify the equipment,
exercises, services or training to be purchased using the Application for Project
Funding, attached hereto as Exhibit C. Funds may be used for planning,
exercises, organizational and training activities, and the purchase of equipment
as described in Section 202 above.
B. SUB - RECIPIENT shall provide quarterly invoices to the CITY requesting
payment and all supporting documentation. Each reimbursement request shall
be accompanied by the Reimbursement Request for Grant Expenditures
(attached hereto as Exhibit E) detailing the expenditures made by SUB -
RECIPIENT as authorized by Section 202 above. For equipment for which
SUB - RECIPIENT is requesting reimbursement, all appropriate back -up
documentation must be attached to the reimbursement form, including
invoices, proof of payment and packing slips. For training reimbursements,
SUB - RECIPIENT must include a copy of any certificates issued or a copy of
the class roster verifying training attendees, proof that an OHS tracking number
has been assigned to the course, timesheets and payroll registers for all
training attendees, and receipts for travel expenses related to the training. For
regional project reimbursements, SUB - RECIPIENT must include approval from
the lead agency for all submitted invoices.
C. Payment of final invoice shall be withheld by the CITY until the SUB -
RECIPIENT has turned in all supporting documentation and completed the
requirements of this Agreement.
D. It is understood that the CITY makes no commitment to fund this
Agreement beyond the terms set forth herein.
E. Funding for all periods of this Agreement is subject to the continuing
availability to the CITY of federal funds for this program. The Agreement may
be terminated immediately upon written notice to SUB - RECIPIENT of a loss or
reduction of federal grant funds.
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IV
STANDARD PROVISIONS
§401. Construction of Provisions and Titles Herein
All titles or subtitles appearing herein have been inserted for convenience and
shall not be deemed to affect the meaning or construction of any of the terms or
provisions hereof. The language of this Agreement shall be construed according
to its fair meaning and not strictly for or against either party. The word
"Sub - recipient" herein and in any amendments hereto includes the party or
parties identified in this Agreement. The singular shall include the plural. If
there is more than one Sub - recipient as identified herein, unless expressly
stated otherwise, their obligations and liabilities hereunder shall be joint and
several. Use of the feminine, masculine, or neuter genders shall be deemed to
include the genders not used.
§402. Applicable Law. Interpretation and Enforcement
Each party's performance hereunder shall comply with all applicable laws of the
United States of America, the State of California, and the CITY. This
Agreement shall be enforced and interpreted under the laws of the State of
California and the CITY.
If any part, term or provision of this Agreement shall be held void, illegal,
unenforceable, or in conflict with any law of a federal, state or local government
having jurisdiction over this Agreement, the validity of the remaining portions of
provisions shall not be affected thereby.
§403. Integrated Agreement .
This Agreement sets forth all of the rights and duties of the parties with respect to
the subject matter hereof, and replaces any and all previous agreements or
understandings, whether written or oral, relating thereto. This Agreement may be
amended only by a written instrument executed by both parties hereto.
§404. Excusable Delays
In the event that performance on the part of any party hereto shall be delayed or
suspended as a result of circumstances beyond the reasonable control and
without the fault and negligence of said party, none of the parties shall incur any
liability to the other parties as a result of such delay or suspension.
Circumstances deemed to be beyond the control of the parties hereunder shall
include, but not be limited to, acts of God or of the public enemy; insurrection;
acts of the Federal Government or any unit of State or Local Government in
either sovereign or contractual capacity; fires; floods; epidemics; quarantine
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restrictions; strikes, freight embargoes or delays in transportation; to the extent
that they are not caused by the party's willful or negligent acts or omissions and
to the extent that they are beyond the party's reasonable control.
§405. Breach
Except for excusable delays, if any party fails to perform, in whole or in part, any
promise, covenant, or agreement set forth herein, or should any representation
made by it be untrue, any aggrieved party may avail itself of all rights and
remedies, at law or equity, in the courts of law. Said rights and remedies are
cumulative of those provided for herein except that in no event shall any party
recover more than once, suffer a penalty or forfeiture, or be unjustly
compensated.
§406. Prohibition Against Assignment or Delegation
SUB - RECIPIENT may not, unless it has first obtained the written permission of
the CITY:
A. Assign or otherwise alienate any of its rights hereunder, including the right
to payment; or
B. Delegate, subcontract, or otherwise transfer any of its duties hereunder.
§407. Permits
SUB - RECIPIENT and its officers, agents and employees shall obtain and
maintain all permits and licenses necessary for SUB - RECIPIENT performance
hereunder and shall pay any fees required therefore. SUB - RECIPIENT further
certifies to immediately notify the CITY of any suspension, termination, lapses,
non renewals or restrictions of licenses, certificates, or other documents.
§408. Nondiscrimination and Affirmative Action
SUB - RECIPIENT shall comply with the applicable nondiscrimination and
affirmative action provisions of the laws of the United States of America, the
State of California, and the CITY. In performing this Agreement, SUB -
RECIPIENT shall not discriminate in its employment practices against any
employee or applicant for employment because of such person's race;
religion, national origin, ancestry, sex, sexual orientation, age, physical
handicap, mental disability, marital status, domestic partner status or medical
condition. SUB - RECIPIENT shall comply with Executive Omer 11246,
entitled "Equal Employment Opportunity," as amended by Executive Order
11375, and as supplemented in Department of Labor regulations (41 CRF
Part 60).
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If required, SUB - RECIPIENT shall submit an Equal Employment Opportunity
Plan ( "EEOP ") to the DOJ Office of Civil Rights ( "OCR ") in accordance with
guidelines listed at http:// www.ojp.usdoj.gov /ocr /eeop.htm,
Any subcontract entered into by the SUB- RICIPIENT relating to this Agreement,
to the extent allowed hereunder, shall be subject to the provisions of this § 408.
§409. Bonds
SUB - RECIPIENT must purchase a performance bond for any equipment item
over $250,000 or any vehicle (including aircraft or watercraft) financed with
homeland security funds.
§410. Indemnification
Each of the parties to this Agreement is a public entity. In contemplation of the
provisions of Section 895.2 of the Government Code of the State of California
imposing certain tort liability jointly upon public entities, solely by reason of such
entities being parties to an Agreement as defined by Section 895 of said Code, the
parties hereto, as between themselves, pursuant to the authorization contained in
Section 895.4 and 895.6 of said Code, will each assume the full liability imposed
upon it or upon any of its officers, agents, or employees by law, for injury caused
by a negligent or wrongful act or omission occurring in the performance of this
Agreement, to the same extent that such liability would be imposed in the absence
of Section 895.2 of said Code. To achieve the above- stated purpose, each party
indemnifies and holds harmless the other party solely by virtue of said Section
895.2. The provision of Section 2778 of the California Civil Code is made a part
hereto as if fully set forth herein. SUB - RECIPIENT certifies that it has adequate
self insured retention of funds to meet any obligation arising from this Agreement.
§411. Conflict of Interest
A. The SUB - RECIPIENT covenants that none of its directors, officers,
employees, or agents shall participate in selecting, or administrating any
subcontract supported (in whole or in part) by Federal funds where such
person is a director, officer, employee or agent of the subcontractor; or where
the selection of subcontractors is or has the appearance of being motivated by
a desire for personal gain for themselves or others such as family business,
etc.; or where such person knows or should have known that:
1. A member of such person's immediate family, or domestic partner
or organization has a financial interest in the subcontract;
2. The subcontractor is someone with whom such person has or is
negotiating any prospective employment; or
3. The participation of such person would be prohibited by the
California Political Reform Act, California Government Code
§87100 et seq. if such person were a public officer, because such
person would have a "financial or other interest" in the subcontract.
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B. Definitions:
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1. The term "immediate family" includes but is not limited to domestic
partner and /or those persons related by blood or marriage, such as
husband, wife, father, mother, brother, sister, son, daughter, father
in law, mother in law, brother in law, sister in law, son in law,
daughter in law.
2. The term "financial or other interest" includes but is not limited to:
a. Any direct or indirect financial interest in the speck
contract, including a commission or fee, a share of the
proceeds, prospect of a promotion or of future employment,
a profit, or any other form of financial reward.
b. Any of the following interests in the subcontractor
ownership: partnership interest or other beneficial interest of
five percent or more; ownership of five percent or more of
the stock; employment in a managerial capacity; or
membership on the board of directors or governing body.
C. The SUB- RECIPIENT further covenants that no officer, director, employee, or
agent shall solicit or accept gratuities, favors, anything of monetary value from
any actual or potential subcontractor, supplier, a party to a sub agreement, (or
persons who are otherwise in a position to benefit from the actions of any
officer, employee, or agent).
D. The SUB - RECIPIENT shall not subcontract with a former director, officer, or
employee within a one year period following the termination of the relationship
between said person and the Contractor.
E. Prior to obtaining the CITY'S approval of any subcontract, the SUB -
RECIPIENT shall disclose to the CITY any relationship, financial or
otherwise, direct or indirect, of the SUB - RECIPIENT or any of its officers,
directors or employees or their immediate family with the proposed
subcontractor and its officers, directors or employees.
F. For further clarification of the meaning of any of the terms used herein, the
parties agree that references shall be made to the guidelines, rules, and laws
of the SUB- RECIPIENT, State of California, and Federal regulations
regarding conflict of interest.
G. The SUB - RECIPIENT warrants that it has not paid or given and will not pay or
give to any third person any money or other consideration for obtaining this
Agreement.
H. The SUB - RECIPIENT covenants that no member, officer or employee of
SUB - RECIPIENT shall have interest, direct or indirect, in any contract or
subcontract or the proceeds thereof for work to be performed in connection
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with this project during his /her tenure as such employee, member or officer or
for one year thereafter.
I. The SUB - RECIPIENT shall incorporate the foregoing subsections of this
Section into every agreement that it enters into in connection with this project
and shall substitute the term "subcontractor" for the term "SUB- RECIPIENT'
and "sub subcontractor" for "Subcontractor".
§412. Restriction on Disclosures
Any reports, analysis, studies, drawings, information, or data generated as a
result of this Agreement are to be governed by the California Public Records Act
(California Government Code Sec. 6250 et seq.).
§413. Statutes and Regulations Applicable To All Grant Contracts
A. SUB - RECIPIENT shall comply with all applicable requirements of state, federal,
county and SUB - RECIPIENT laws, executive orders, regulations, program and
administrative requirements, policies and any other requirements governing this
Agreement. SUB - RECIPIENT shall comply with state and federal laws and
regulations pertaining to labor, wages, hours, and other conditions of
employment. SUB - RECIPIENT shall comply with new, amended, or revised
laws, regulations, and /or procedures that apply to the performance of this
Agreement. These requirements include, but are not limited to:
Office of Management and Budget (OMB) Circulars
SUB - RECIPIENT shall comply with OMB Circulars, as applicable:
OMB Circular A -21 (Cost Principles for Educational Institutions);
OMB Circular A -87 (Cost Principles for State, Local, and Indian
Tribal Governments); OMB Circular A -102 (Grants and Cooperative
Agreements with State and Local Governments); Common Rule,
Subpart C for public agencies or OMB Circular A -110 (Uniform
Administrative Requirements for Grants and Other Agreements with
Institutions of Higher Education, Hospitals and Other Non - Profit
Organizations); OMB Circular A -122 (Cost Principles for Non - Profit
Organizations); OMB Circular A -133 (Audits of States, Local
Governments, and Non -Profit Organizations.
2. Single Audit Act
If Federal funds are used in the performance of this Agreement,
SUB- RECIPIENT shall adhere to the rules and regulations of the
Single Audit Act, 31 USC Sec. 7501 et seq.; and any
administrative regulation or field memos implementing the Act.
3. . Americans with Disabilities Act
SUB - RECIPIENT hereby certifies that it will comply with the
Americans with Disabilities Act 42, USC §§ 12101 et seq., and its
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implementing regulations. SUB - RECIPIENT will provide reasonable
accommodations to allow qualified individuals with disabilities to
have access to and to participate in its programs, services and
activities in accordance with the provisions of the Americans with
Disabilities Act. SUB - RECIPIENT will not discriminate against
persons with disabilities nor against persons due to their relationship
to or association with a person with a disability. Any subcontract
entered into by the SUB - RECIPIENT, relating to this Agreement, to
the extent allowed hereunder, shall be subject to the provisions of
this paragraph.
4. Political and Sectarian Activity Prohibited
None of the funds, materials, property or services provided directly or
indirectly under this Agreement shall be used for any partisan political
activity, or to further the election or defeat of any candidate for public
office. Neither shall any funds provided under this Agreement be
used for any purpose designed to support or defeat any pending
legislation or administrative regulation. None of the funds provided
pursuant to this Agreement shall be used for any sectarian purpose or
to support or benefit any sectarian activity.
If this Agreement provides for more than $100,000.00 in grant funds
or more than $150,000 in loan funds, SUB - RECIPIENT shall submit
to the CITY a Certification Regarding Lobbying and a Disclosure
Form, if required, in accordance with 31 USC 1352. A copy of the
Certificate is attached hereto as Exhibit B. No funds will be released
to SUB - RECIPIENT until the Certification is filed.
SUB - RECIPIENT shall file a Disclosure Form at the end of each
calendar quarter in which there occurs any event requiring disclosure
or which materially affects the accuracy of any of the information
contained in any Disclosure Form previously filed by SUB -
RECIPIENT. SUB - RECIPIENT shall require that the language of this
Certification be included in the award documents for all sub - awards
at all tiers and that all subcontractors shall certify and disclose
accordingly.
5. Records Inspection
At any time during normal business hours and as often as the CITY,
the U.S. Comptroller General and /or the Auditor General of the State
of California may deem necessary, SUB - RECIPIENT shall make
available for examination all of its records with respect to all matters
covered by this Agreement. The CITY, the U.S. Comptroller General
and /or the Auditor General of the State of California shall have the
authority to,audit, examine and make excerpts or transcripts from
records, including SUB - RECIPIENT'S invoices, materials, payrolls,
records of personnel, conditions of employment and other data
relating to all matters covered by this Agreement.
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SUB - RECIPIENT agrees to provide any reports requested by the
CITY regarding performance of the Agreement.
6. Records Maintenance
Records, in their original form, shall be maintained in accordance with
requirements prescribed by the CITY with respect to all matters
covered on file for all documents specked in this Agreement.
Original forms are to. be maintained on file for all documents specified
in this Agreement. Such records shall be retained for a period of
three (3) years after termination of this Agreement and after final
disposition of all pending matters. "Pending matters" include, but are
not limited to, an audit, litigation or other actions involving records.
The CITY may, at its discretion, take possession of, retain and audit
said records. Records, in their original form pertaining to matters
covered by this Agreement, shall at all times be retained within the
County of Orange unless authorization to remove them is granted in
writing by the CITY.
7. Subcontracts and Procurement
SUB - RECIPIENT shall comply with the federal and SUB -
RECIPIENT standards in the award of any subcontracts. For
purposes of this Agreement, subcontracts shall include but not
be limited to purchase agreements, rental or lease agreements,
third party agreements, consultant service contracts and
construction subcontracts.
SUB - RECIPIENT shall ensure that the terms of this Agreement with
the CITY are incorporated into all Subcontractor Agreements. The
SUB - RECIPIENT shall submit all Subcontractor Agreements to the
CITY for review prior to the release of any funds to the
subcontractor. The.SUB- RECIPIENT shall withhold funds to any
subcontractor agency that fails to comply with the terms and
conditions of this Agreement and their respective Subcontractor
Agreement.
8. Labor
SUB - RECIPIENT shall comply with the Intergovernmental
Personnel Act of 1970 (42 U.S.C. § §4728 -4763) relating to
prescribed requirements for merit systems for programs funded
under one of the 19 statutes or regulations specified in Appendix A
of OPM's Standards for a Merit System Personnel Administration
(5 C.F.R. 900, Subpart F).
SUB - RECIPIENT shall comply, as applicable, with the provisions of
the Davis -Bacon Act (40 U.S.C. § §276a to 276a -7), the Copeland Act
(40 U.S.C. §276c and 18 U.S.C. §874), the Contract Work Hours and
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Safety Standards Act (40 U.S.C. § §327 -333), regarding labor
standards for federally- assisted construction subagreements, and the
Hatch Act (5 USC § §1501 -1508 and 7324 - 7328).
SUB - RECIPIENT shall comply with the Federal Fair Labor Standards
Act (29 USC § 201) regarding wages and hours of employment. None
of the funds shall be used to promote or deter Union /labor organizing
activities. CA Gov't Code Sec. 16645 et sea.
9. Civil Ricrhts
SUB - RECIPIENT shall comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title VI of
the Civil Rights Act of 1964 (P.L. 88 -352) which prohibits
discrimination on the basis of race, color or national origin; (b) Title IX
of the Education Amendments of 1972, as amended (20 U.S.C.
§ §1681- 1683, and 1685 - 1686), which prohibits discrimination on the
basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as
amended (29 U.S.C. §794), which prohibits discrimination on the
basis of handicaps; (d) The Age Discrimination act of 1975, as
amended (42 U.S.C. § §6101 - 6107), which prohibits discrimination on
the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92 -255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation act of 1970
(P.L. 91 -616) as amended, relating to nondiscrimination on the basis
of alcohol abuse or alcoholism; (g) § §523 and 527 of the Public
Health Service Act of 1912 (42 U.S.C. § §290 dd -3 and 290 ee 3), as
amended, relating to confidentiality of alcohol and drug abuse patient
records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C.
§ §3601 et seq.), as amended, relating to non - discrimination in the
sale, rental or financing of housing; (i) any other nondiscrimination
provisions in the specific statute(s) under which application for
Federal assistance is being made; (j) the requirements of any other
nondiscrimination statute(s) which may apply to the application; and
(k) P.L. 93 -348 regarding the protection of human subjects involved
in research, development, and related activities supported by this
award of assistance.
10. Environmental
SUB - RECIPIENT shall comply, or has already complied, with the
requirements of Titles II and III of the Uniform relocation Assistance
and Real Property Acquisition Policies Act of 1970 (P.L. 91 -646)
which provide for fair and equitable treatment of persons displaced
or whose property is acquired as a result of Federal or federally -
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
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SUB - RECIPIENT shall comply with environmental standards which
may be prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91 -190) and Executive
Order (EO) 11514; (b) notification of violating facilities pursuant to
EO 11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved
State management program developed under the Coastal Zone
Management Act of 1972 (16 U.S.C. § §1451 et seq.); (f) conformity
of Federal actions to State (Clean Air) Implementation Plans under
Section 176(c) of the Clean Air Act of 1955, as amended (42
U.S.C. § §7401 et seq.); (g) protection of underground sources of
drinking water under the Safe Drinking Water Act of 1974, as
amended (P.L. 93 -523); (h) protection of endangered species
under the Endangered Species Act of 1973, as amended (P.L.
93205); and (i) Flood Disaster Protection Act of 1973 §102(a) (P.L.
93 -234).
SUB - RECIPIENT shall comply with the Wild and Scenic Rivers Act of
1968 (16 U.S.C. § §1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
SUB - RECIPIENT shall comply with the Lead -Based Paint Poisoning
Prevention Act (42 U.S.C. § §4801 et seq.) which prohibits the use of
lead- based paint in construction or rehabilitation of residence
structures.
SUB- RECIPIENT shall comply with the Federal Water Pollution
Control Act (33 U.S.C. § 1251 et seq.) which restores and maintains
the chemical, physical and biological integrity of the Nation's waters.
SUB - RECIPIENT shall ensure that the facilities under its ownership,
lease or supervision which shall be utilized in the accomplishment of
this project are not listed in the Environmental Protection Agency's
(EPA) list of Violating Facilities and that it will notify the Federal
Grantor agency of the receipt of any communication from the
Director of the EPA Office of Federal Activities indicating that a
facility to be used in the project is under consideration for listing by
the EPA.
By signing this Agreement, SUB - RECIPIENT ensures that it is in
compliance with the California Environmental Quality Act (CEQA),
Public Resources Code §21000 et seg. and is not impacting the
environment negatively.
SUB - RECIPIENT shall comply with the Energy Policy and
Conservation Act (P.L. 94 -163, 89 Stat. 871).
SUB - RECIPIENT shall comply, if applicable, with the provision of the
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Coastal Barrier Resources Act (P.L. 97 -348) dated October 19, 1982
(16 USC 3501 et. seq.) which prohibits the expenditure of most new
Federal funds within the units of the Coastal Barrier Resources
System,
11. Preservation
SUB - RECIPIENT shall comply with Section 106 of the National
Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO
11593 (identification and protection of historic properties), and the
Archaeological and Historic Preservation Act of 1974 (16 U.S.C.
§ §469a -1 et seq.).
12. Suspension and Debarment
SUB - RECIPIENT shall comply with Federal Register, Volume 68,
Number 228, regarding Suspension and Debarment, and SUB -
RECIPIENT shall submit a Certification Regarding Debarment required
by Executive Order 12549 and any amendment thereto. Said
Certification shall be submitted to the CITY concurrent with the
execution of this Agreement and shall certify that neither SUB -
RECIPIENT nor its principals are presently debarred, suspended,
proposed for debarment, declared ineligible or voluntarily excluded
from participation in this transaction by any federal department head
or, agency. SUB - RECIPIENT shall require that the language of this
Certification be included in the award documents for all sub -award at
all tiers and that all subcontractors shall certify accordingly.
13. Druq -Free Workplace
SUB - RECIPIENT shall comply with the federal Drug -Free
Workplace Act of 1988,41 USC §701, 28 CFR Part 67; the
California Drug -Free Workplace Act of 1990, CA Gov't Code §§
8350 -8357.
14. Miscellaneous
SUB - RECIPIENT shall comply with the Laboratory Animal Welfare Act
of 1966, as amended (P.L. 89-544,7 USC § §2131 et seq.).
B. Statutes and Regulations Applicable To This Particular Grant
SUB - RECIPIENT shall comply with all applicable requirements of state and
federal laws, executive orders, regulations, program and administrative
requirements, policies and any other requirements governing this particular
grant program. SUB - RECIPIENT shall comply with new, amended, or revised
laws, regulations, and/or procedures that apply to the performance of this
Agreement. These requirements include, but are not limited to:
Title 28 Code of Federal Regulations (CFR) Part 66; EO 12372;
Department of Justice (DOJ) Office of Judicial Programs (OJP) Office
of the Comptroller, U.S. Department of Homeland Security,
Preparedness Directorate Financial Management Guide; U.S.
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Department of Homeland Security, Office of Grants and Training, FY
2007 Homeland Security Grant Program — Program Guidance and
Application Kit; ODP WMD Training Course Catalogue; and DOJ Office
for Civil Rights.
Standardized Emergency Management System (SEMS)
requirements as stated in the California Emergency Services Act,
Government Code Chapter 7 of Division 1 of Title 2, § 8607.1(e) and
CCR Title 19, §§ 2445-
2448.
Provisions of 28 CFR applicable to grants and cooperative
agreements, including Part 18, Administrative Review Procedures;
Part 20, Criminal Justice Information Systems; Part 22,
Confidentiality of Identifiable Research and Statistical Information;
Part 23, Criminal Intelligence Systems Operating Policies; Part 30,
Intergovernmental Review of Department of Justice Programs and
Activities; Part 35, Nondiscrimination on the Basis of Disability in
State and Local Government Services; Part
38, Equal Treatment of Faith -based Organizations; Part 42,
Nondiscrimination/Equal employment Opportunities Policies and
Procedures; Part 61, Procedures for Implementing the National
Environmental Policy Act; Part 63, Floodplain Management and
Weland Protection Procedures; Part 64, Floodplain Management and
Wetland
Protection Procedures; Federal laws or regulations applicable to
federal Assistance Programs; Part 69, New Restrictions on Lobbying;
Part 70, Uniform Administrative Requirements for Grants and
Cooperative Agreements (including sub - awards) with Institutions of
Higher Learning, Hospitals and other Non - Profit Organizations; and
Part 83, Govemment: Wide Requirements for a Drug Free
Workplace (grants).
Nondiscrimination requirements of the Omnibus Crime Control and
Safe Streets Act of 1968, as amended, 42 USC 3789(d), or the
Juvenile Justice and Delinquency Prevention Act, or the Victims of
Crime Act, as appropriate; the provisions of the current edition of the
Office of Justice Programs Financial and Administrative Guide for
Grants, M7100.1, and all other applicable federal laws, orders,
circulars, or regulations.
2. Travel Exoenses
SUB - RECIPIENT as provided herein may be compensated for SUB -
RECIPIENTS reasonable travel expenses incurred.in the
performance of this Agreement, to include travel and per diem,
unless otherwise expressed. Travel including in -State and out -of-
State travel shalt not be reimbursed without prior written
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authorization from the UASI Grant Office.
SUB - RECIPIENT'S travel and per diem reimbursement costs shall
be reimbursed based on the SUB - RECIPIENT'S travel policies
and procedures. If SUB - RECIPIENT does not have established
travel policies and procedures, SUB - RECIPIENT'S reimbursement
rates shall not exceed the amounts established by the State
Department of Personnel Administration Rules and Regulations,
PML 97 -024, Section 599.619, dated July 1, 1997 and Section
599.631, and as amended from time to time.
3. Noncompliance
SUB - RECIPIENT understands that failure to comply with any of the
above assurances may result in suspension, termination or reduction
of grant funds, and repayment by SUB - RECIPIENT to CITY of any
unlawful expenditures.
C. Compliance With Grant Assurances
To obtain the Grant Funds, the Grantor required an authorized representative
of the CITY to sign certain promises regarding the way the Grant Funds would
be spent ( "Grant Assurances "), attached hereto as Exhibit D. By signing these
Grant Assurances, the CITY became liable to the Grantor for any funds that
are used in violation of the grant requirements. SUB - RECIPIENT shall be
liable to the Grantor for any funds the Grantor determines SUB - RECIPIENT
used in violation of these Grant Assurances. SUB - RECIPIENT shall indemnify
and hold harmless the CITY for any sums the Grantor determines SUB -
RECIPIENT used in violation of the Grant Assurances.
§414. Federal. State and Local Taxes
Federal, State and local taxes shall be the responsibility of SUB - RECIPIENT as
an independent party and not as a CITY employee.
§415. Inventions. Patents and Copyrights
A. Reoortinq Procedure for Inventions
If any project produces any invention or discovery (Invention) patentable or
otherwise under title 35 of the U.S. Code, including, without limitation,
processes and business methods made in the course of work under this
Agreement, the SUB - RECIPIENT shall report the fact and disclose the
Invention promptly and fully to the CITY. The CITY shall report the fact and
disclose the Invention to the Grantor. Unless there is a prior agreement
between the CITY and the Grantor, the Grantor shall determine whether to
seek protection on the Invention. The Grantor shall determine how the rights in
the Invention, including rights under any patent issued thereon, will be
allocated and administered in order to protect the public interest consistent
with the policy ( "Policy ") embodied in the Federal Acquisition Regulations
20
• •
System, which is based on Ch. 18 of title 35 U.S.C. Sections 200 et seq. (Pub.
L. 95 -517, Pub. L. 98 -620, 37 CFR part 401); Presidential Memorandum on
Government Patent Policy to the Heads of the Executive Departments and
Agencies, dated 2/18 /1983); and Executive Order 12591,
4/10/87, 52 FR 13414, 3 CFR, 1987 Comp., p. 220 (as amended by
Executive Order 12618,12/22/87, 52 FR 48661, 3 CFR, 1987 Comp., p.
262). SUB - RECIPIENT hereby agrees to be bound by the Policy, and will
contractually require its personnel to be bound by the Policy.
B. Rights to Use Inventions
CITY shall have an unencumbered right, and a non - exclusive, irrevocable,
royalty- free license, to use, manufacture, improve upon, and allow others to
do so for all government purposes, any Invention developed under this
Agreement.
C. Copyright Policv
Unless otherwise provided by the terms of the Grantor or of this
Agreement, when copyrightable material (Material) is developed
under this Agreement, the author or the CITY, at the CITY'S
discretion, may copyright the Material. If the CITY declines to
copyright the Material, the CITY shall have an unencumbered right,
and a non -exclusive, irrevocable, royalty- free license, to use,
manufacture, improve upon, and allow others to do so for all
government purposes, any Material developed under this Agreement.
2. The Grantor shall have an unencumbered right, and a non - exclusive,
irrevocable, royalty-free license; to use, manufacture, improve upon,
and allow others to do so for all government purposes, any Material
developed under this Agreement or any Copyright purchased under
this Agreement.
3. SUB - RECIPIENT shall comply with 24 CFR 85.34.
D. Rights to Data
The Grantor and the CITY shall have unlimited rights or copyright license to
any data first produced or delivered under this Agreement. "Unlimited rights"
means the right to use, disclose, reproduce, prepare derivative works,
distribute copies to the public, and perform and display publicly, or permit
others to do so; as required by 48 CFR 27.401. Where the data are not first
produced under this Agreement or are published copyrighted data with the
notice of 17 U.S.C. Section 401 or 402, the Grantor acquires the data under a
copyright license as set forth in 48 CFR 27.404(1`)(2) instead of unlimited
rights. (48 CFR 27.404(a)).
E. Obligations Binding on Subcontractors
SUB - RECIPIENT shall require all subcontractors to comply with the
21
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•
obligations of this section by incorporating the terms of this section into all
subcontracts.
§416. Minority. Women And Other Business Enterprise Outreach Program
It is the policy of the CITY to provide minority business enterprises (MBEs),
women business enterprises (WBEs) and all other business enterprises an equal
opportunity to participate in the performance of all SUB - RECIPIENT contracts,
including procurement, construction and personal services. This policy applies to
all Contractors and Sub - Contractors.
22
•
V
DEFAULTS, SUSPENSION, TERMINATION, AND AMENDMENTS
§501. Defaults
Should SUB - RECIPIENT fail for any reason to comply with the contractual
obligations of this Agreement within the time specified by this Agreement, the
CITY reserves the right to terminate the Agreement, reserving all rights under
state and federal law.
§502. Amendments
Any change in the terms of this Agreement, including changes in the services to
be performed by SUB - RECIPIENT and any increase or decrease in the amount of
compensation which are agreed to by the CITY and SUB - RECIPIENT shall be
incorporated into this Agreement by a written amendment properly executed and
signed by the person authorized to bind the parties thereto.
SUB - RECIPIENT agrees to comply with all future CITY Directives, or any rules,
amendments or requirements promulgated by the CITY affecting this
Agreement.
23
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•
VI
ENTIRE AGREEMENT
§601. Complete Agreement
•
This Agreement contains the full and complete Agreement between the two
parties. Neither verbal agreement nor conversation with any officer or employee
of either party shall affect or modify any of the terms and conditions of this
Agreement.
§602. Number of Pages and Attachments
This Agreement is executed in two (2) duplicate originals, each of which is
deemed to be an original. This Agreement includes twenty -five (25) pages and
five (5) Exhibits which constitute the entire understanding and agreement of the
parties.
24
49
•
IN WITNESS WHEREOF,
Agreement to be executed
forth above.
ATTEST.
In
Pi
the City and CITY OF NEWPORT BEACH have caused this
by their duly authorized representatives on the date first set
%Aroirt vi uie wuncn
RECOMMENDED FOR APPROVAL:
CITY OF SANTA ANA, a municipal
Corporation of the Sate of California
By: ley
David N. Ream
City Manager
}
By
Paul M. Walters SUB - RECIPIENT
Chief of Police CITY OF NEWPORT BEACH
APPROVED AS TO FORM:
By: a4.
Paula Coleman
Assistant City Attorney
Printed Narrte
-
�_
Title
-a_✓,L-
APPROVED AS TO FORM
C
(�
By: ';",
.
Printed Name
A o.. Pi w
C. t I a ✓!�
Title S s; S a^ } C; f y
Printed Name 4u; of .G(I19�HIn A)
GTY � ��
25
149
•
EXHIBIT A
0
CERTIFICATION REGARDING DEBARMENT
26
•
EXHIBIT A
•
CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER
RESPONSIBILITY MATTERS
Applicants should refer to the regulations cited below to determine the certification to which they are
required to attest. Applicants should also review the instructions for certification included in the regulations
before completing this form. Signature of this form provides for compliance with certification requirements
under the applicable CFR covering New Restrictions on Government -wide Debarment and Suspension
(Nonprocurement). The certification shall be treated as a material representation of fact upon which reliance
will be placed when the Agency determines to award the covered transaction or cooperative agreement.
As required by Executive Order 12549, Debarment and Suspension, and implemented under the applicable
CFR, for prospective participants in covered transactions, as defined in the applicable CFR
A. The applicant certifies that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced
to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered
transactions by any Federal department or agency;
(b) Have not within a three -year period preceding this application been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection
with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction
or contract under a public transaction; violation of Federal or State antitrust statutes or
commission of embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a government entity
(Federal State or local) with commission of any of these offenses enumerated in paragraph (1)
(b) of this certification; and
(d) Have not within a three -year period preceding this application had one or more public
transactions (Federal, State or local) terminated for cause or default; and
B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall
attach an explanat n to this application.
Title
Address:
27
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E
IL`lWZIIZ • • ' • .
1. By signing and submitting this document, the prospective recipient of Federal assistance funds is
providing the certification as set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed
when this transaction was entered into. If it is later determined that the prospective recipient of
Federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies
available to the Federal Goverment, the department or agency with which this transaction originated
may pursue available remedies, including suspension and/or debarment.
3. The prospective recipient of Federal assistance funds shall provide immediate written notice to the
person to which this agreement is entered, if at any time the prospective recipient of Federal
assistance funds teams that its certification was erroneous, when submitted or has become
erroneous by reason of changed circumstances.
4. The terms "covered transaction," "debarred," " suspended," "ineligible," "lower tier covered
transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and
"voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and
Coverage sections of rules implementing Executive Order 12549.
5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that, should
the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless authorized by the department or
agency with which this transaction originated.
6. The prospective recipient of Federal assistance funds further agrees by submitting this proposal that
it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transactions," without modification, in all lower tier covered
transactions and in all solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a
lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded
from the covered transaction, unless It knows that the certification is erroneous. A participant may
decide the method and frequency by which it determines the eligibility of its principals. Each
participant may, but is not required to, check the List of Parties Excluded from Procurement or Non
Procurement Programs.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of records
in order to render in good faith the certification required by this clause. The knowledge and
information of a participant is not required to exceed that which is normally possessed by a prudent
person in the ordinary course of business dealings.
9. Except for transactions authorized under Paragraph 5 of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntary excluded from participation in this transaction, in
addition to other remedies available to the Federal Goverment, the department or agency with which
this transaction originated may pursue available remedies, including suspension and/or debarment.
28
50.
EXHIBIT B
CERTIFICATION REGARDING LOBBYING
29
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1]
EXHIBIT B
CERTIFICATION REGARDING LOBBYING
Certification for Contracts. Grants. Loans
and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or
employee of an agency, a Member of Congress, an officer or employee of Congress,
or an employee of a Member of Congress in connection with the awarding of any
Federal contract, the making of any Federal grant, the making of any Federal loan,
the entering into of any cooperative agreement, and the extension, continuation,
renewal, amendment, or modification of any Federal contract, grant, loan or
cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this Federal contract, grant,
loan, or cooperative agreement, the undersigned shall complete and submit
Standard Form LLL "Disclosure Form to Report Lobbying" in accordance with its
instructions.
3. The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants,
and contracts under grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
4. This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by Section 1352
Title 31, U.S. Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less that $10,000 and not more than $100,000 for
each such failure.
AGREEMENT NUMBER
�p
l �l'i u ni � i a �sq- �10/t' C U►
CONTRACTOR/BOR OWERIAGENCY
NAM AND TITLE OF 9THORIZED REPR ENTATIVE
TURE
30 4
S
E
EXHIBIT C
E
FY07 Anaheim /Santa Ana UASI Application for Project Funding
31
5�
n
EXHIBIT D
GRANT ASSURANCES
32
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Office of Homeland Security
FY07 UASI Grant Assurances
By signing this agreement the SUB - RECIPIENT certifies the following:
1. Has the legal authority to apply for federal assistance, and has the institutional,
managerial and financial capability to ensure proper planning, management and
completion of the grant provided by the federal Department of Homeland
Security and sub - granted through the State of California.
2. Will assure that grant funds are only used for allowable, fair, and reasonable costs
3. Will give the federal government, the General Accounting Office, the
Comptroller General of the United States, the State of California, through any
authorized representative, access to and the right to examine all paper or
electronic records, books, papers, or documents related to the award; and will
establish a proper accounting system in accordance with generally accepted
accounting standards or awarding agency directives.
4. Will provide progress reports and such other information as may be required
by the awarding agency.
5. Will initiate and complete the work within the applicable time frame after
receipt of approval of the awarding agency.
6. Will establish safeguards to prohibit employees from using their positions for a
purpose that constitutes or presents the appearance of personal or organizational
conflict of interest, or personal gain for themselves or others, particularly those
with whom they have family, business or other ties.
7. Will comply, if applicable, with the Lead -Based Paint Poisoning Prevention Act
(42 U.S.C. §§ 4801 et seq.) which prohibits the use of lead based paint in
construction or rehabilitation of residence structures. Will comply with all federal
statues relating to nondiscrimination. These include but are not limited to:
a. Title VI of the Civil Rights Act of 1964 (P.L. 88 -352), as amended,
which prohibits discrimination on the basis of race, color or national
origin;
b. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§
1681-
1683 and 1685- 1686), which prohibits discrimination on the basis of sex;
c. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794)
which prohibits discrimination on the basis of handicaps;
d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 -6107)
which prohibits discrimination on the basis of age;
e. The Drug Abuse Office and Treatment Act of 1972 (P.L. 92 -255) as
amended, relating to nondiscrimination on the basis of drug abuse;
f. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment
and Rehabilitation Act of 1970 (P.L. 91 -616), as amended, relating to
33
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• •
nondiscrimination on the basis of alcohol abuse or alcoholism;
g. §§ 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd -3
and
290 ee -3), as amended, relating to confidentiality of alcohol and drug
abuse patient records;
h. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as
amended, relating to nondiscrimination in the sale, rental or financing of
housing;
i. Title 28, Code of Federal Regulations, Part 42, Subparts C, D, E and G;
j. Title 28, CFR, Part 35;
k. Any other nondiscrimination provisions in the specific statute(s) under
which application for federal assistance is being made, and
1. The requirements on any other nondiscrimination statute(s) which may
apply to the application.
8. Will comply, or has already complied, with the requirements of Titles 11 and III of
the Uniform Relocation Assistance and Real Property Acquisition Policies Act of
1970 (42 U.S.C. § 4601 et seq. (P.L. 91-646) which provides for fair and equitable
treatment of persons displaced or whose property is acquired as a result of federal
or federally assisted programs. These requirements apply to all interested in real
property acquired for project purposes regardless of federal participation in
purchases.
9. Will comply, if applicable, with the flood insurance purchase requirements of
Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93 -234) which
requires recipients in a special flood hazard area to participate in the program and
to purchase flood insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
10. Will comply with environmental standards which may be prescribed
pursuant to the following:
a. institution of environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91 -190) and Executive Order (EO)
11514;
b. notification of violating facilities pursuant to EO 11738;
c. protection of wetlands pursuant to EO 11990;
d. evaluation of flood hazards in floodplains in accordance with EO 11988;
e. assurance of project consistency with the approved state management
program developed under the Coastal Zone Management Act of 1972 (16
U.S.C. §§ 1451 et seq.);
f. conformity of federal actions to State (Clean Air) Implementation Plans.
under.Section FY06 Homeland Security Grant Program Page 45 176(c) of the
Clean Air Act of 1955, as amended (42 U.S.C. § 7401 et seq.);
g. protection of underground sources of drinking water under the Safe Drinking
Water Act of 1974, as amended, (PI. 93-523); and
h, protection of endangered species under the Endangered Species Act of
1973, as amended, (P.L. 93 -205).
i. California Environmental Quality Act (CEQA). California Public Resources
Code
Sections 21080- 21098. California Code of Regulations, Title 14, Chapter 3
34
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Section 15000- 15007.
11. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271
et.seq.) related to protecting components or potential components of the national
wild and scenic rivers system.
12. Will 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 preservation of historic properties), and the
Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a -I et seq).
13. Will comply with Standardized Emergency Management System (SEMS)
requirements as stated in the California Emergency Services Act, Government
Code, Chapter 7 of Division 1 of Title 2, Section 8607.1(e) and CCR Title 19,
Sections 2445, 2446, 2447 and 2448.
14. Has requested.through the State of California, federal financial assistance to be
used to perform eligible work approved in the applicant's application for federal
assistance. Will, after the receipt of federal financial assistance, through the
State of California, agree to the following:
a. Promptly return to the State of California all the funds received which
exceed the approved, actual expenditures as accepted by the federal or state
government.
b. b. In the event the approved amount of the grant is reduced, the
reimbursement applicable to the amount of the reduction will be promptly
refunded to the State of California.
c. Separately account for interest earned on grant funds, and will return all
interest earned, in excess of $100 per federal fiscal year.
15. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S C.
Sections 47284763) relating to prescribed standards for merit systems for
programs funded under one of the nineteen statutes or regulations specified in
Appendix A ofOPM's Standards for a Merit System of Personnel Administration
(5 C.F.R. 900, Subpart F).
16. Will comply with provisions of the Hatch Act (5 U.S.C. Sections 1501 -1508 and
7324 -7328) which limit the political activities of employees whose principal
employment activities are funded in whole or in part with federal funds.
17. Will comply with P.L. 93 -348 regarding the protection of human subjects
involved in research, development, and related activities supported by this
award of assistance.
18. Will comply, if applicable, with the Laboratory Animal Welfare Act of 1966 (P.
L. 89 -544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care, handling,
and treatment of warm blooded animals held for research, teaching, or other
activities supported by this award of assistance. FY06 Homeland Security Grant
Program Page 46
35 51
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19. Will comply with the minimum wage and maximum hour provisions of the
Federal Fair Labor Standards Act (29 U.S.C. 201), as they apply to employees of
institutions of higher education, hospitals, and other non - profit organizations.
20. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40
U.S.C. Section 276a to 276a -7), the Copeland Act (40 U.S.C. Section 276c
and 18 U.S.C. Sections 874), and the Contract Work Hours and Safety
Standards Act (40 U.S.C. Sections 327 -333), regarding labor standards for
federally assisted construction sub- agreements.
21. Will not make any award or permit any award (subgrant or contract) to any party
which is debarred or suspended or is otherwise excluded from or ineligible for
participation in Federal assistance programs under Executive Order 12549 and
12689, "Debarment and Suspension."
22. Agrees that:
a. No federal appropriated funds have been paid or will be paid, by or on
behalf of the undersigned, to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress
in connection with the making of any federal grant, the entering into of any
cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any federal grant or cooperative agreement;
b. If any other fiends than federal appropriated funds have been paid or will be
paid to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or an employee
of Congress, or employee of a Member of Congress in connection with the
federal grant or cooperative agreement, the undersigned shall complete and
submit Standard Form LLL, "Disclosure of Lobbying Activities," in
accordance with its instructions;
c. The undersigned shall require that the language of this certification be
included in the award documents for all sub awards at all tiers including
subgrants, contracts under grants and cooperative agreements, and
subcontract(s) and that all sub recipients shall certify and disclose
accordingly.
d. This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this
certification is a prerequisite for making or entering into this transaction
imposed by section 1352, Title 31, U.S. Code. Any person who fails to file
the required certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
23. Agrees that equipment acquired or obtained with grant funds:
a: Will be made available under the California Disaster and Civil Defense
Master Mutual Aid Agreement in consultation with representatives of the
various fire, emergency medical, hazardous materials response services, and
law enforcement agencies within the jurisdiction of the applicant.
b. Is consistent with needs as identified in the State Homeland Security Strategy
and will be deployed in conformance with that Strategy.
36
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•
c. Will be made available pursuant to applicable terms of the California Disaster
and Civil Defense Master Mutual Aid Agreement and deployed with
personnel trained in the use of such equipment in a manner consistent with the
California Law Enforcement Mutual Aid Plan or the California Fire Services
and Rescue Mutual Aid Plan.
24. Agrees that funds awarded under this grant will be used to supplement existing
funds for program activities, and will not supplant (replace) non - federal funds.
25. Will comply with all applicable Federal statutes, regulations, policies,
guidelines and requirements, including OMB Circulars A -21, A -87, A102, A-
110, A -122, and A -133, E.O. 12372 and Uniform Administrative
Requirements for Grants and Cooperative Agreements contained in Title 28,
Code of Federal Regulations, Part 66 or 70, that govern the application,
acceptance and use of Federal funds for this federally- assisted project.
26. Will comply, and assure the compliance of all its subgrantees and contractors,
with the nondiscrimination requirements of the Omnibus Crime Control and
Safe Streets Act of 1968, as amended, 42 USC 3789(d), or the Juvenile
Justice and Delinquency Prevention Act, or the Victims of Crime Act, as
appropriate; the provision of the current edition of the Office of Justice
Programs Financial and Administrative Guide for Grants, M7100.1, and all
other applicable Federal laws, orders, circulars, or regulations.
27. Will comply with provisions of 28 CFR applicable to grants and cooperative
agreements, Including:
a. Part 18, Administrative Review Procedures;
b. Part 20, Criminal Justice Information Systems;
c. Part 22, Confidentiality of Identifiable Research and Statistical Information;
d. Part 23, Criminal Intelligence Systems Operating Policies;
e. Part 30, Intergovernmental Review of Department of Justice Programs and
Activities;
f. Part 35, Nondiscrimination on the Basis of Disability in State and Local
Government Services;
g. Part 38, Equal Treatment of Faith -based Organizations;
h. Part 63, Floodplain Management and Wetland Protection Procedures;
i. Part 42, Nondiscrimination/Equal Employment Opportunities Policies and
Procedures;
j. Part 61, Procedures for Implementing the National Environmental Policy Act;
k. Part 64, Floodplain Management and Wetland Protection Procedures; and
Federal laws or regulations applicable to Federal Assistance Programs.
1. Part 66, Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments.
m. Part 67, Government -Wide Debarment and Suspension (Non- Procurement)
n. Part 69, New Restrictions on Lobbying
o. Part 70, Uniform Administrative Requirements for Grants and
Cooperative Agreements (including sub - awards) with Institutions of
Higher Learning, Hospitals and other Non -Profit Organizations.
p. Part 83, Government -Wide Requirements for a Drug Free Workplace (grants)
37
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• •
28. Will ensure that the facilities under its ownership, lease or supervision which
shall be utilized in the accomplishment of this project are not listed in the
Environmental Protection Agency's (EPA) list of Violating Facilities and that it
will notify the Federal Grantor agency of the receipt of any communication from
the Director of the EPA Office of Federal Activities indicating that a facility to
be used in the project is under consideration for listing by the EPA.
29. Will comply with Subtitle A, Title II of the Americans with Disabilities Act
(ADA) 1990.
30. Will, in the event a Federal or State court or Federal or State administrative
agency makes a finding of discrimination after a due process hearing on the
grounds or race, color, religion, national origin, sex, or disability against a
recipient of funds, the recipient will forward a copy of the finding to the Office
of Civil Rights, Office of Justice Programs.
31. Will provide an Equal Employment Opportunity Plan, if applicable, to the
Department of Justice Office of Civil Rights within 60 days of grant award.
32. Will comply with the financial and administrative requirements set forth in
the current edition of the Office of Justice Programs (OJP) Financial Guide.
33. Will comply, if applicable, with the provision of the Coastal Barrier Resources
Act (P.L.97 -348) dated October 19, 1982 (16 USC 3501 et seq.) which prohibits
the expenditure of most new Federal funds within the units of the Coastal Barrier
Resources System.
34. Will comply with all applicable requirements of all other federal laws, executive
orders, regulations, program and administrative requirements, policies and any
other requirements governing this program.
35. Understands that failure to comply with any of the above assurances may
result in suspension, termination or reduction of grant funds.
36. As required by Executive Order 12549, Debarment and Suspension, and
implemented at 28 CFR Part 67, for prospective participants in primary covered
transactions, as defined at 28 CFR Part 67, Section 67.510
A. The applicant certifies that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared
ineligible, sentenced to a denial of Federal benefits by a State or Federal
court, or voluntarily excluded from covered transactions by any Federal
department or agency;
(b) Have not within a three -year period preceding this application been
convicted of or had a civil judgment rendered against them for commission of
fraud or a criminal offense in connection with obtaining, attempting to obtain,
38
�D �
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 had one or
more public transactions (Federal, State, or local) terminated for cause or
default; and
B. Where the applicant is unable to certify to any of the statements in this
certification, he or she shall attach an explanation to this application.
37. As required by the Drug -Free Workplace Act of 1988, and implemented at 28
CFR Part 67, Subpart F, for grantees, as defined at 28 CFR Part 67 Sections
67.615 and 67.620
A. The applicant certifies that it will or will continue to provide a drug -free
workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession, or use of a controlled
substance is prohibited in the grantee's workplace and specifying the
actions that will be taken against employees for violation of such
prohibition;
(b) Establishing an on -going drug -free awareness program to inform
employees about:
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug -free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance programs; and
(4) The penalties that may be imposed upon employees for drug
abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in the
performance of the grant be given a copy of the statement required by
paragraph (a);
(d) Notifying the employee in the statement required by paragraph (a) that,
as a condition of employment under the grant, the employee will
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for a violation
of a criminal drug statute occurring in the workplace no later than five
calendar days after such conviction;
39 3
•
(e) Notifying the agency, in writing, within 10 calendar days after
receiving notice under subparagraph (d)(2) from an employee or
otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title, to:
Department of Justice, Office of Justice
Programs, ATTN: Control Desk,
633 Indiana Avenue, N.W., Washington, D.C. 20531.
Notice shall include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days of
receiving notice under subparagraph (d)(2), with respect to any
employee who is so convicted
(1) Taking appropriate personnel action against such an employee, up to
and including termination, consistent with the requirements of the
Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a drug
abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug -free
workplace through implementation of paragraphs (a), (b), (c), (d), (e),
and (t).
As the duly authorized representative of the applicant, I hereby certify that the
applicant will comply with the above certifications.
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: a-
Date:
40
•
EXHIBIT E
REIMBURSEMENT REQUEST FOR GRANT EXPENDITURES
41
(p s
•
u
Anaheim /Santa Ana Urban Areas Security Initiative
Reimbursement Request for Grant Expenditures
Mai[ Reirnbursenteut Request to:
Anaheim Police Department
East Station — Homeland Security Bureau
Attn: Lisa Navarro, Grunt Coordinator
425 S. Harbor Blvd.
Anaheim, CA 92805
Agency /City Requesting Reimbursement
O "is is the final reimbursement request
Santa Ana Police Department
Attn: Sgt. Enrique Cspana, Grant Coordinator
60 Civic Center Plaza
P.O. Host 1981
Santa Ana, CA 92702
Total Amount Requested: S
(Attach copies of supporting invoices)
Under penalty of perjury, 1 certify that:
• 1 am an authorized officer of the claimant herein.
• This claim is in all respects true, correct, and all expenditures were made in
accordance with applicable laws, rules, regulations and grunt conditions and
assurances.
• All attached invoices for items and /or services have been received in full.
s 4 s fiAt (lli4rticdaA�ii'��L..:w��3
Printed )Jame Number
Title E,Atdr Address
Mailint Address Far Xwnba
City. State, Gip Code
swwure nYc
(Plcasc sign in blue InQ
For Annhetm/Santo Ana UASt Crunt Coordinator Use Onl
Approved for
Procestin
pate
Request Tracking Number.
Account M:
Cront-
UASI
rant
Project:
I
Solution
Sp ecial InstructionComme
42
i0 �
C& of Newport Beach • NO. BA- OBBA -064
BUDGET AMENDMENT
2007 -08 AMOUNT: ba7,315.as
EFFECT ON BUDGETARY FUND BALANCE:
X Increase Revenue Estimates Increase in Budgetary Fund Balance
X Increase Expenditure Appropriations AND Decrease in Budgetary Fund Balance
Transfer Budget Appropriations X No effect on Budgetary Fund Balance
SOURCE:
from existing budget appropriations
X from additional estimated revenues
from unappropriated fund balance
EXPLANATION:
This budget amendment is requested to provide for the follovring:
To increase expenditure appropriations and revenue estimates to accept 2007 UASI transfer agreement training funds to be
utilized for reimbursement of training costs associated with approved Department of Homeland Security (DHS) courses for
emergency personnel.
ACCOUNTING ENTRY:
BUDGETARY FUND BALANCE
Fund Account
REVENUE ESTIMATES (3601)
Fund /Division Account
1820 48665
EXPENDITURE APPROPRIATIONS (3603)
Description
Description
PD Support Svcs - 2007 UASI Training Grant
Description
Division
Number 7014 Misc & Studies
Account
Number C8002010 2007 UASI Training Grant
Division
Number
Account
Number
Division
Number
Account
Number
Division
Number
Account
Number
Division
Number
Account
Number
Signed:
Fmanci # Approval:
Signed:
Services Director
City Manager
Amount
Debit Credit
$47,315.46
$47,315.46
Date
." 0 y
DatW
Signed:
City Council Approval: City Clerk Date