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HomeMy WebLinkAbout2014-23 - Approving the Transfer Agreement for Fiscal Year 2013 Urban Area Security Initiative Grant Program Purposes Between the City of Newport Beach and the City of Santa AnaRESOLUTION NO. 2014 -23 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF NEWPORT BEACH APPROVING THE TRANSFER AGREEMENT FOR FISCAL YEAR 2013 URBAN AREA SECURITY INITIATIVE GRANT PROGRAM PURPOSES BETWEEN THE CITY OF NEWPORT BEACH AND THE CITY OF SANTA ANA WHEREAS, the Federal Urban Areas Security Initiative (UASI) Grant Program dedicates funding support to select high - threat, high - density urban areas in order to address their unique multi - discipline planning, organization, equipment,' training, and exercise needs to prevent, protect against, respond to, and recover from threats or acts of terrorism. WHEREAS, the City of Santa Ana, acting through the Santa Ana Police Department in its capacity as a Core City for the Anaheim /Santa Ana Urban Area under the Fiscal Year 2013 UASI, has applied for, received and accepted a grant entitled "Fiscal Year 2013 Urban Areas Security Initiative" from the Federal Department of Homeland Security (DHS) Federal Emergency Management Agency (FEMA), through the State of California Governor's Office of Emergency Services (Cal OES), to enhance countywide emergency preparedness. WHEREAS, the City of Newport Beach ("City ") has partnered with the City of Santa Ana to participate in the Fiscal Year 2013 UASI Grant Program. The City will request training under this grant that will be used for the public safety of its citizens. WHEREAS, the City of Santa Ana is the administrator of the Fiscal Year 2013 UASI Grant Program. The City is required to sign a Transfer Agreement and the California Emergency Management Agency Grant Assurances. The City of Santa Ana requires the naming of two authorized agents from within the City to sign these documents on behalf of the City. NOW, THEREFORE, the City Council of the City of Newport Beach resolves as follows: Section 1: Approve the Transfer Agreement for Fiscal Year 2013 UASI Grant Program purposes ( "Transfer Agreement ") between the City and the City of Santa Ana attached hereto as Exhibit 1. Section 2: Authorize the City Manager and the Fire Chief to act as the "Authorized Agents" to execute for, and on behalf of, the City any actions necessary to implement the Transfer Agreement and obtain federal financial assistance provided by the Federal Department of Homeland Security and sub - granted through the Governor's Office of Emergency Services (Cal OES). Section 3: This resolution shall take effect immediately upon its adoption by the City Council, and the City Clerk shall certify the vote adopting the resolution. ADOPTED this 11th day of March, 2014. ATTEST: Feilani I. Brown, City Clerk Rush N. Hill, II, Mayor Exhibit 1: Agreement for Transfer or Purchase of Equipment/Services or for Reimbursement of Training Costs For FY 2013 Urban Areas Security Initiative (UASI) EXHIBIT 1 AGREEMENT SUB - RECIPIENT: CITY OF NEWPORT BEACH City Contract Number 13UASII12613 TABLE OF CONTENTS Section Description Paqe 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 11 TERM AND SERVICES TO BE PROVIDED §201. Time of Performance §202. Use of Grant Funds 5 5 III PAYMENT §301. Payment of Grant Funds and Method of Payment 8 IV STANDARD PROVISIONS §401. Construction of Provisions and Titles Herein 9 §402. Applicable Law, Interpretation and Enforcement 9 §403. Integrated Agreement 9 §404. Excusable Delays 9 §405. Breach 10 §406. Prohibition Against Assignment or Delegation 10 §407. Permits 10 §408. Non Discrimination and Affirmative Action 10 §409. Bonds 11 13UASIl12613 TABLE OF CONTENTS Section Description Paqe §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 23 §502. Amendments 23 V ENTIRE AGREEMENT §601. Complete Agreement 24 §602. Number of Pages and Attachments 24 Execution (Signature) Page 25 EXHIBITS Exhibit A Certification Regarding Debarment, Suspension, ineligibility and Voluntary Exclusion Lower Tier Covered Transactions Exhibit B Certification Regarding Lobbying Exhibit C Grant Assurances 13UASII 12613 ii Agreement Number: AGREEMENT FOR TRANSFER OR PURCHASE OF EQUIPMENT /SERVICES OR FOR REIMBURSEMENT OF TRAINING COSTS FOR FY2013 URBAN AREAS SECURITY INITIATIVE (UASI) BETWEEN THE CITY OF SANTA ANA AND CITY OF NEWPORT BEACH THIS AGREEMENT is made and entered into this 11"' day of December, 2013, 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 FY13 Urban Areas Security Initiative, has applied for, received and accepted a grant entitled "FY 2013 Urban Areas Security Initiative" from the federal Department Of Homeland Secudty(DHS) Federal Emergency Management Agency (FEMA), through the State of California Governor's Office of Emergency Services (CalOES), to enhance countywide emergency preparedness (the "grant "), as set forth in the grant guidelines and assurances that are incorporated to this Agreement by reference and located at: "U.S. Department of Homeland Security "Fiscal Year 2013 Homeland Security Grant Program (HSGP) Funding Opportunity Announcement (FOA)" http: / /www.fema.goy/ media - library- data/20130726- 1916 - 25045- 61761fy 2013 hsep faa.ndf California Governor's Office of Emergency Services "FY2013 Homeland Security Grant Program: California Supplement to Federal Program Guidance and Application Kit" http: / /www.CalOES.ca.gov /EMS- HS- HazMat/Pages /Homeland - Security- Grant- Progra m- Documents.aspx Copies of the grant guidelines shall be retained in the Anaheim /Santa Ana Grant Office. WHEREAS, this financial assistance is administered by the CITY OF SANTA ANA ( "CITY') and is overseen by the California Governor's Office of Emergency Services ( "Cal- OES'); and WHEREAS, this financial assistance is being provided to address the unique equipment, training, planning, and exercise needs of large urban areas, and to assist them in building an enhanced and sustainable capacity to prevent, respond to, and recover from threats or acts of terrorism; and WHEREAS, the Anaheim /Santa Ana Urban Area ( "ASAUA ") consists of 34 cities 13UAS1112613 1 in Orange County, Including the City of Santa Ana and the City of Anaheim, the County of Orange, including the unincorporated area of the County of Orange, Santa Ana Unified School District Police, California State University, Fullerton, University of California, Irvine, Municipal Water District of Orange County, and the Orange County Fire Authority; and WHEREAS, the Office of Grants Management ("OGM ") awarded a FY13 UASI Grant of $2,490,000 ("Grant Funds ") to the CITY OF SANTA ANA, as a Core City, for use in the ASAUA; and WHEREAS, the CITY has designated the Chief of Police, or his designee and the Santa Ana Police Department, Homeland Security Division ("UASI Grant Office ") to provide for terrorism prevention and emergency preparedness; and WHEREAS, the UASI Grant Office now wishes to distribute FY13 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: 13UASII12613 I INTRODUCTION §101. Parties to the Aoreement 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 Beach, Building B, Newport Beach, CA 92663 §102. Representatives of the Parties and Service of Notioes A. The representatives of the respective parties who are authorized to administer this Agreement and to whom formal notices, demands and communications shall be given are as follows: 1. The representative of the CITY OF SANTA ANA shall be, unless otherwise stated in the Agreement: Kenneth Gominsky, Jr., Commander Santa Ana Police Department Homeland Security Division 60 Civic Center Plaza Santa Ana, CA 92702 Phone: (714) 245 -8040 Fax: (714) 245 -8098 kgominsky @santa - ana.org 2. The representative of CITY OF NEWPORT BEACH shall be: Katie Eing, Emergency Services Coordinator CITY OF NEWPORT BEACH 100 Civic Center Drive Newport Beach, CA 92660 Phone: (949) 644 -3109 E -mail: keing @nbfd.net I3UASII 12613 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. §143. 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 C and made part hereof. B. Certifications Regarding Ineligibility, Suspension and Debarment as required by Executive Order 12549 in accordance with Section 415Al2 of this Agreement and attached hereto as Exhibit A and made a part hereof. C. Certifications and Disclosures Regarding Lobbying in accordance with Section 415C of this Agreement and attached hereto as Exhibit B and made a part hereof. SUB - RECIPIENT shall also file a Disclosure Form at the end of each calendar quarter in which there occurs any event requiring disclosure or which materially affects the accuracy of the information contained in any Disclosure Form previously filed by SUB - RECIPIENT. 13UASI112613 4 II TERM AND SERVICES TO BE PROVIDED §201. Time of Performance The term of this Agreement shall commence on December 11, 2013 and end on April 30, 2015 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 - RECIPIENTS purchasing and bidding procedures. SUB - RECIPIENT shall specify the equipment, services, exercises and training to be purchased using the Application for Project Funding. A paper copy of this document will be provided to SUB - RECIPIENT by CITY. In addition, a compact disc with a copy of the document will be provided to SUB - RECIPIENT by CITY. If additional copies of the document are needed, SUB - RECIPIENT may contact the Santa Ana Grant Coordinator and it will be provided. B. SUB - RECIPIENT shall provide any reports requested by the CITY regarding the performance of the Agreement Reports shall be in the form requested by the CITY, and shall be provided in a timely manner. C. The Authorized Equipment List (AEL) is a list of the allowable equipment which may be purchased pursuant to this Agreement and is located at hfti)s: / /www.rkb.us, 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 13 UASI Grant can be found at 2 Code of Federal Regulations (CFR) Part 225 "Cost Principles for State, Local, and Indian Tribal Governments" and 44 CFR Part 13 "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments." 13UASI112613 Any equipment acquired or obtained with Grant Funds: 1. Shall be made available under the California Disaster and Civil Defense Master Mutual Aid Agreement in consultation with representatives of the various fire, emergency medical, hazardous materials response services, and law enforcement agencies within the jurisdiction of the applicant; 2. Shall be consistent with needs as Identified in the National Priorities and Core Capabilities, the State Homeland Security Strategy and the Anaheim /Santa Ana Urban Area and Orange County Operational Area Homeland Security Grants Strategy; and deployed in conformance with those plans; 3. Shall be made available pursuant to applicable terms of the California Disaster and Civil Defense Master Mutual Aid Agreement and deployed with personnel trained in the use of such equipment in a manner consistent with the California Law Enforcement Mutual Aid Plan or the California Fire Services and Rescue Mutual Aid Plan; 4. Shall be subject to the requirements of Title 44 CFR Part 13.32 and 13.33 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 falling into the following categories are also considered Equipment (1)electronles 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) 13UAS1112613 6 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 retained pursuant to 44 C.F.R. Part 13.42, 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 2013 Homeland Security Grant Program, as set forth above. All training expenses must be pre-authorized by Cal -OES at http: //www.firstresponderftaining .gov /admin. A catalogue of Grantor approved and sponsored training courses is available at http:// www. firstrespondertraining .govlodp_webforms. E. Any exercise paid pursuant to this Agreement shall conform to the guidelines as listed in FY 2013 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 2013 Homeland Security Grant Program, as set forth above. G. Any organizational actiuitles paid pursuant to this Agreement shall conform to the guidelines as listed in FY 2013 Homeland Security Grant Program, as set forth above. 13UASII 12613 111 PAYMENT §301. Payment of Grant Funds and Method of Payment A. CITY may, a) transfer to SUB- RECIPIENT, equipment or services purchased with grant funds; or, b) reimburse SUB - RECIPIENT for the purchase of authorized equipment, exercises, services or training upon receiving prior written approval from CITY or its designee and in accordance with grant guidelines and in full compliance with all of the SUB-RECIPIENT'S purchasing and bidding procedures. SUB- RECIPIENT shall specify the equipment, exercises, services or training to be purchased using the Application for Project Funding. A paper copy of this document will be provided to SUB - RECIPIENT by CITY. In addition, a compact disc with a copy of the document will be provided to SUB - RECIPIENT by CITY. If additional copies of the document are needed, SUB - RECIPIENT may contact the Santa Ana Grant Coordinator and it will be provided. Funds may be used for planning, exercises, organizational and training activities, and the purchase of equipment as described in Section 202 above. B. SUB - RECIPIENT shall provide quarterly invoices to the CITY requesting payment and all supporting documentation. Each reimbursement request shall be accompanied by the Reimbursement Request for Grant Expenditures detailing the expenditures made by SUB - RECIPIENT as authorized by Section 202 above. Each reimbursement request shall be submitted electronically at https: /Iociac.org. For equipment for which SUB - RECIPIENT is requesting reimbursement, all appropriate back -up documentation must be attached to the reimbursement form, including invoices, proof of payment, packing slips, and Equipment Reimbursement Worksheet. For training reimbursements, SUB - RECIPIENT must include a copy of any certificates issued or a copy of the class roster verifying training attendees, proof that a CalOES tracking number has been assigned to the course, timesheets and payroll registers for all training attendees, receipts for travel expenses related to the training, and Training Reimbursement Worksheet. For regional project reimbursements, SUB - RECIPIENT must Include approval from the lead agency for all submitted invoices. C. Payment of final invoice shall be withheld by the CITY until the SUB - RECIPIENT has turned in all supporting documentation and completed the requirements of this Agreement. D. It is understood that the CITY makes no commitment to fund this Agreement beyond the terms set forth herein. E. Funding for all periods of this Agreement is subject to the continuing availability to the CITY of federal funds for this program. The Agreement may be terminated immediately upon written notice to SUB- RECIPIENT of a loss or reduction of federal grant funds. 13UASII 12613 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 13UASII12613 9 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 Asainst 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 Calffomia, 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 CRF Part 60). 13UAS1112613 to If required, SUB - RECIPIENT shall submit an Equal Employment Opportunity Plan ( "EEOP ") to the DOJ Office of Civil Rights ( "OCR ") in accordance with guidelines listed at hftp:// www.ojp.usdoj.gov /ocr /eeop.htm, Any subcontract entered into by the SUB- RICiPIENT relating to this Agreement, to the extent allowed hereunder, shall be subject to the provisions of this § 408. 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. 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 131JAS1112613 11 person would have a "financial or other interest" In the subcontract. B. Definitions: 1. The term "immediate family" includes but is not limited to domestic partner and/or those persons related by blood or marriage, such as husband, wife, father, mother, brother, sister, son, daughter, father in law, mother in law, brother in law, sister in law, son in law, daughter in law. 2. The term "financial or other interest" includes but is not limited to: a. Any direct or indirect financial Interest in the specific contract, including a commission or fee, a share of the proceeds, prospect of a promotion or of future employment, a profit, or any other form of financial reward. b. Any of the following interests in the subcontractor ownership: partnership interest or other beneficial interest of five percent or more; ownership of five percent or more of the stock; employment in a managerial capacity; or membership on the board of directors or governing body. C. The SUB - RECIPIENT further covenants that no officer, director, employee, or agent shall solicit or accept gratuities, favors, anything of monetary value from any actual or potential subcontractor, supplier, a party to a sub agreement, (or persons who are otherwise In a position to benefit from the actions of any officer, employee, or agent). D. The SUB - RECIPIENT shall not subcontract with a former director, officer, or employee within a one year period following the termination of the relationship between said person and the Contractor. E. Prior to obtaining the CITY'S approval of any subcontract, the SUB RECIPIENT shall disclose to the CITY any relationship, financial or otherwise, direct or indirect, of the SUB - RECIPIENT or any of its officers, directors or employees or their immediate family with the proposed subcontractor and its officers, directors or employees. F. For further clarification of the meaning of any of the terms used herein, the parties agree that references shall be made to the guidelines, rules, and laws of the SUB - RECIPIENT, State of California, and Federal regulations regarding conflict of interest. G. The SUB-RECIPIENT warrants that it has not paid or given and will not pay or give to any third person any money or other consideration for obtaining this Agreement. H. The SUB - RECIPIENT covenants that no member, officer or employee of SUB - RECIPIENT shall have Interest, direct or indirect, in any contract or 13UASII12613 12 subcontract or the proceeds thereof for work to be performed in connection with this project during his/her tenure as such employee, member or officer or for one year thereafter. I. The SUB- RECIPIENT shall incorporate the foregoing subsections of this Section into every agreement that it enters into in connection with this project and shall substitute the term "subcontractor" for the term "SUB- RECIPIENT" and "sub subcontractor" for "Subcontractor ". §412. Restriction on Disclosures Any reports, analysis, studies, drawings, information, or data generated as a result of this Agreement are to be governed by the California Public Records Act (California Government Code Sec. 6250, et seq.). §413. Statutes and Regulations Applicable To All Grant Contracts A. SUB- RECIPIENT shall comply with all applicable requirements of state, federal, county and SUB - RECIPIENT laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this Agreement. SUB - RECIPIENT shall comply with state and federal laws and regulations pertaining to labor, wages, hours, and other conditions of employment. SUB - RECIPIENT shall comply with new, amended, or revised laws, regulations, and /or procedures that apply to the performance of this Agreement. These requirements include, but are not limited to: 1. Office of Management and Budget (OMB) Circulars SUB - RECIPIENT shall comply with OMB Circulars, as applicable: OMB Circular A-87 (Cost Principles for State, Local, and Indian Tribal Governments, relocated to 2 CFR Part 225); OMB Circular A- 102 (Grants and Cooperative Agreements with State and Local Governments, found in 44 CFR Part 13 "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments "); 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. When reporting under on the FY13 UASI Grant Program under the Single Audit Act, SUB - RECIPIENT shall use Catalog of Federal Domestic Assistance (CFDA) Program Number 97.067 "Homeland Security Grant Program "; Grant Identification Number 2013- 00110; and Identify the CITY OF SANTA ANA as the Pass - Through. 13UASII12613 13 3. Americans with Disabilities Act SUB - RECIPIENT hereby certifies that it will comply with the Americans with Disabilities Act, 42 USC §§ 12101, et seq., and Its Implementing regulations. SUB - RECIPIENT will provide reasonable accommodations to allow qualified individuals with disabilities to have access to and to participate in its programs, services and activities in accordance with the provisions of the Americans with Disabilities Act. SUB - RECIPIENT will not discriminate against persons with disabilities or against persons due to their relationship to or association with a person with a disability. Any subcontract entered Into by the SUB - RECIPIENT, relating to this Agreement, to the extent allowed hereunder, shall be subject to the provisions of this paragraph. 4. Political and Sectarian Activity Prohibited None of the funds, materials, property or services provided directly or Indirectly under this Agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office. Neither shall any funds provided under this Agreement be used for any purpose designed to support or defeat any pending legislation or administrative regulation. None of the funds provided pursuant to this Agreement shall be used for any sectarian purpose or to support or benefit any sectarian activity. If this Agreement provides for more than $100,000 in grant funds or more than $150,000 in loan funds, SUB - RECIPIENT shall submit to the CITY a Certification Regarding Lobbying and a Disclosure Form, if required, in accordance with 31 USC §1352. A copy of the Certificate is attached hereto as Exhibit B. No funds will be released to SUB- RECIPIENT until the Certification is filed. SUB - RECIPIENT shall file a Disclosure Form at the end of each calendar quarter in which there occurs any event requiring disclosure or which materially affects the accuracy of any of the information contained in any Disclosure Form previously filed by SUB - RECIPIENT. SUB - RECIPIENT shall require that the language of this Certification be'included in the award documents for all sub - awards at all tiers and that all subcontractors shall certify and disclose accordingly. 5. Records Inspection 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 13UAS1112613 14 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 - RECIPIENTS invoices, materials, payrolls, records of personnel, conditions of employment and other data relating to all matters covered by this Agreement. SUB - RECIPIENT agrees to provide any reports requested by the CITY regarding performance of the Agreement. 6. Records Maintenance Records, in their original form, shall be maintained in accordance with requirements prescribed by the CITY with respect to all matters covered on file for all documents specified in this Agreement. Original forms are to be maintained on file for all documents 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. SUB- RECIPIENT shall comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. § §472$ -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 13UASII 12613 15 (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.G. §874), the Contract Work Hours and Safety Standards Act (40 U.S.C. § §327 -333), regarding labor standards for federally - assisted construction subagreements, and the Hatch Act (5 USC § §1501 -1508 and 7324 - 7328). 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, at seq. 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 Drag 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, at 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; 0) 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 compiled, with the requirements of Titles 11 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 federaliy- 13UAS1112613 16 assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. SUB - RECIPIENT shall comply with environmental standards which may be prescribed pursuant to the following; (a) institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91 -190) 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 seq. and is not impacting the environment negatively. 13UAS1112613 17 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 Coastal Barrier Resources Act (P.L. 97 -348) dated October 19, 1982 0 6 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, etseq.). 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. SUB - RECIPIENT shall comply with the federal Drug -Free Workplace Act of 1988, 41 USC §701, 44 CFR Part 67; the California Drug -Free Workplace Act of 1990, CA Gov't Code §§ 8350 -8357. 14. 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: 13UASI112613 18 Title 44 Code of Federal Regulations (CFR) Part 13; ED 12372; Department of Justice (DOJ) Office of Judicial Programs (OJP) Office of the Comptroller, U.S. Department of Homeland Security, Preparedness Directorate Financial Management Guide; U.S. Department of Homeland Security, Office of Grants and Training, FY 2013 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(a) and CCR Title 19, §§ 2445 -2448. Provisions of 44 CFR applicable to grants and cooperative agreements, including Part 18, Administrative Review Procedures; Part 20, Criminal Justice Information Systems; Part 22, Confidentiality of Identifiable Research and Statistical Information; Part 23, Criminal Intelligence Systems Operating Policies; Part 30, Intergovernmental Review of Department of Justice Programs and Activities; Part 35, Nondiscrimination on the Basis of Disability In State and Local Government Services; Part 38, Equal Treatment of Faith -based Organizations; Part 42, Nondiscrimination/Equal employment Opportunities Policies and Procedures; Part 61, Procedures for Implementing the National Environmental Policy Act; Part 63, Floodplain Management and Wetland Protection Procedures; Part 64, Floodplain Management and Wetland Protection Procedures; Federal laws or regulations applicable to federal Assistance Programs; Part 69, New Restrictions on Lobbying; Part 70, Uniform Administrative Requirements for Grants and Cooperative Agreements (including sub - awards) with Institutions of Higher Learning, Hospitals and other Nan -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- 13UASII12613 19 State travel shall not be reimbursed without prior written authorization from the UASI Grant Office, SUB - RECIPIENT'S travel and per diem reimbursement costs shall be reimbursed based on the SUB - RECIPIENT'S travel policies and procedures. If SUB - RECIPIENT does not have established travel policies and procedures, SUB-RECIPIENTS 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 C. By signing these Grant Assurances, the CITY became liable to the Grantor for any funds that are used in violation of the grant requirements. SUB - RECIPIENT shall be liable to the Grantor for any funds the Grantor determines SUB - RECIPIENT used In violation of these Grant Assurances. SUB - RECIPIENT shall indemnify and hold harmless the CITY for any sums the Grantor determines SUB - RECIPIENT used in violation of the Grant Assurances. §414. Federal State and Local Taxes Federal, State and local taxes shall be the responsibility of SUB- RECIPIENT as an independent party and not as a CITY employee. §415. Inventions. Patents and Copyrights A. Reporting Procedure for Inventions If any project produces any invention or discovery (Invention) patentable or otherwise under title 35 of the U.S. Code, including, without limitation, processes and business methods made in the course of work under this Agreement, the SUB - RECIPIENT shall report the fact and disclose the Invention promptly and fully to the CITY. The CITY shall report the fact and disclose the Invention to the Grantor. Unless there Is a prior agreement between the CITY and the Grantor, the Grantor shall determine whether to seek protection on the Invention. The Grantor shall determine how the rights in the Invention, including rights under any patent issued thereon, will be 13UAS1112613 20 allocated and administered in order to protect the public interest consistent with the policy ( "Policy ") embodied in the Federal Acquisition Regulations System, which is based on Ch. 18 of title 35 U.S.C. Sections 200, et seq. (Pub. L. 95 -517, Pub. L. 98 -620, 37 CFR part 401); Presidential Memorandum on Government Patent Policy to the Heads of the Executive Departments and Agencies, dated 2/18/1983); and Executive Carder 12591, 4110187, 52 FR 13414,3 CFR, 1987 Comp., p. 220 (as amended by Executive Order 12618, 12/22/87, 52 FR 48661, 3 CFR, 1987 Camp„ 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. .. . -. A 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(fx2) instead of unlimited rights. (48 CFR 27.404(a)). 13UASII 12613 21 E. Obligations Binding on Subcontractors SUB - RECIPIENT shall require all subcontractors to comply with the obligations of this section by incorporating the terms of this section into all subcontracts. §496. 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. 13UASI112613 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. 13UASII 12613 23 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. 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 three (3) Exhibits which constitute the entire understanding and agreement of the parties. 13UASI112613 24 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: iA- Maria D. Huizar Clerk of the Council W 0Ii7iT1 d T(: a 0us] A 673i] 7.1NN 0XV /0>� By: Carlos Rojas Chief of Police APPROVED AS TO FORM: Laura Sheedy Assistant City Attorney 13UASI112613 25 CITY OF SANTA ANA, a municipal Corporation of the State of California In David Cavazos City Manager SUB - RECIPIENT CITY OF NEWPORT BEACH By: Printed Name Title --• • •-T By: _V4A_4'' Zr Printed Name &J N f Title 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 C'.FR 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 CFE, for prospective participants in covered transactions, as defined in the applicable CFR A. The applicant certifies that it and its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three -year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a government entity (Federal State or local) with commission of any of these offenses enumerated in paragraph (1) (b) of this certification; and (d) Have not within a three -year period preceding this application had one or more public transactions (Federal, State or local) terminated for cause or default; and B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. Address: Authorized Agent Signature Printed or Typed Name Title 13UASII 12613 26 1. By signing and submitting this document, the prospective recipient of Federal assistance funds is providing the certification as set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. if it is later determined that the prospective recipient of Federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 3. The prospective recipient of Federal assistance funds shall provide immediate written notice to the person to whom this agreement is entered, If at any time the prospective recipient of Federal assistance funds learns that its certification was erroneous, when submitted or has become erroneous by reason of changed circumstances. 4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," " participant," "person," 'primary covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. 5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. 6. The prospective recipient of Federal assistance funds further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions," without modification, In all lower tier covered transactions and in all solicitations for lower tier covered transactions. 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the List of Parties Excluded from Procurement or Non Procurement Programs. 8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under Paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntary excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and /or debarment. 13UASI112613 27 i i is C. -116M ! "II. "3.. The undersigned certifies, to the best of his or her knowledge and belief, that: 1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Feder-at 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 subreciplents shall certify and disclose accordingly. 4. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered Into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352 Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $140,000 for each such failure. AGREEMENT NUMBER CONTRACTOWBORROW ER/AGENCY NAME AND TITLE OF AUTHORIZED REPRESENTATIVE SIGNATURE DATE 13UAS1112613 28 Name of Applicant: Address: City: Telephone Number: E -Mail Address: EXHIBIT C California Governor's Office of Emergency Services FY2013 Grant Assurances (All HSGP Applicants) rte: Zip Code: Fax Number: As the duly authorized representative of the applicant, I certify that the applicant named above: 1. Will assure that all allocations and use of funds under this grant will be in accordance with the Fiscal Year 2013 FISGP Funding Opportunity Announcement. 2. Will assure that grant funds will support efforts related to providing an integrated mechanism to enhance the coordination of national priority efforts to prevent, respond to, and recover from terrorist attacks, major disasters and other emergencies. 3. 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 U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA) and sub - granted through the State of California, California Governor's Office of Emergency Services (Cal OES). 4. Will assure that grant funds are used for allowable, fair, and reasonable costs only and will not be transferred between grant programs (for example: State Homeland Security Program and Urban Area Security Initiative) or fiscal years. 5. Will comply with any cost sharing commitments included in the FY2013 Investment Justifications submitted to DHS/FEMA/Cal OES, where applicable. 6. Will establish a proper accounting system in accordance with generally accepted accounting standards and awarding agency directives. 7. Will give the DHS/FEMA, the General Accounting Office, the Comptroller General of the United States, the Cal OES, the Office of Inspector General, through any authorized representative, access to, and the right to examine, all paper or electronic records, books, and documents related to the award, and will permit access to its facilities, personnel and other individuals and information as may be necessary, as required by DHS/FEMA or Cal OES, through any authorized representative, with regard to examination of grant related records, accounts, documents, information and staff. 8. Will require any subrecipients contractors, successors, transferees, and assignees to acknowledge and agree to comply with applicable provisions governing DHS/FEMA access to records, accounts, documents, information, facilities, and staff. a. Recipients must cooperate with any compliance review or complaint investigation conducted by DHS/FEMA or Cal OES. b. Recipients must give DHS/FEMA and Cal OES access to and the right to examine and copy records, accounts, and other documents and sources of information related to the grant and permit access to facilities, personnel, and other individuals and information as may be necessary, as required by DHS/FEMA and Cal OES program guidance, requirements, and applicable laws. 13UASII 12613 29 c. Recipients must submit timely, complete, and accurate reports to the appropriate DHS/FEMA and Cal OES officials and maintain appropriate documentation to support these reports. d. Recipients must comply with all other special reporting, data collection, and evaluations requirements, as prescribed by law or detailed in program guidance. e. If, during the past three years, the Recipient has been accused of discrimination on the grounds of race, color, national origin (including limited English proficiency), sex, age, disability, religion, or familial status, the Recipient must provide a list of all such proceedings, pending or completed, including outcome and copies of settlement agreements to the DIIS/FEMA/Cal OES awarding office and the DHS Office of Civil Rights and Civil Liberties. f. In the event any court or administrative agency makes a finding of discrimination on grounds of race, color, national origin (including limited English proficiency), sex, age, disability, religion, or familial status against the Recipient, or the Recipient settles a case or matter alleging such discrimination, Recipients must forward a copy of the complaint and findings to the DHS/FEMA Component and/or awarding office. The United States has the right to seek judicial enforcement of these obligations. 9. Will comply with any other special reporting, assessments, national evaluation efforts, or information or data collection requests, including, but not limited to, the provision of any information required the assessment or evaluation of any activities within this agreement, or detailed in the program guidance. 10. Agrees that funds utilized to establish or enhance State and Local fusion centers must support the development of a statewide fusion process that corresponds with the Global Justice/Homeland Security Advisory Council (HSAC) Fusion Center Guidelines, follow the Federal and State approved privacy policies, and achieve (at a minimum) baseline level of capability as defined by the Fusion Capability Planning Tool. 11. Will initiate and complete the work within the applicable timeframe, in accordance with grant award terms and requirements, after receipt of approval from Cal OES, and will maintain procedures to minimize the amount of time elapsing between the award of funds and the disbursement of finds. 12. Will provide timely, complete and accurate progress reports, and maintain appropriate documentation to support the reports, and other such information as may be required by the awarding agency, including the Initial Strategy Implementation Plan (ISIP), within 45 (forty -five) days of the award, and update these reports and related documentation via the Grant Reporting Tool (GRT) twice each year. 13. Will provide timely notifications to Cal OES of any developments that have a significant impact on award - supported activities, including changes to key program staff. 14. Agrees to be non - delinquent in the repayment of any federal debt. Examples of relevant debt may be found in OMB Circulat A -129, form SF424, item #17, and include delinquent payroll and other taxes, audit disallowances, and benefit overpayments. 15. Will comply with the requirement of 31 U.S.C. Section 3729, which sets forth that no subgramee, Recipient or subrecipient of federal payments shall submit a false claim for payment, reimbursement or advance, Administrative remedies may be found in 38 U.S.0 Section 3801 -3812, addressing false claims and statements made. 16. Will comply with all federal and state laws, executive orders, regulations, program and administrative requirements, cost principles, audit requirements, policies and any other terms and conditions applicable to this award. 13UASII 12613 30 17. Will comply with all applicable provisions of DHS /FEMA's regulations, including Title 44 of the Code of Federal Regulations, Part 13, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and local Governments, including the payment of interest earned on advances. 18. Will comply with the Office of Management and Budget (OMB) Circular A -102, Uniform Administrative Requirements for Grants and Cooperative Agreements to Stae and local Governments (also known as the "A -102 Common Rule "), found under FEMA regulations at Title 44, Code of Federal Regulations (CFR) Part 13, "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments ", OMB Circular A -110, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non -Profit Organizations, relocated to 2 CFR Part 215; requirements for allowable costs /cost principles in the A -102 Common Rule, OMB Circular A -110 (2 CFR § 215.27); OMB Circular A -21, Cost Principles for Educational Institutions, relocated to 2 CFR Part 220; OMB Circular A -87, Cost Principles for State, Local, and Indian Tribal Governments, relocated to 2 CFR Part 225; OMB Circular A -I22, Cost Principles for Non -Profit Organizations, relocated to 2 CFR Part 230; and OMB Circular A -133, Audits of States, Local Governments and Non - Profit Organizations, as applicable. 14, Will comply with all provisions of the Federal Acquisition Regulations including, but not limited to, Title 48 CFR, 31.2, Contracts with Commercial Organizations. 20. Will comply with provisions of the Hatch Act (5 U.S.C. §§ 1501 -1508 and 7324- 7328), which limits the political activities of employees whose principal employment activities are funded in whole or in part with federal funds. 21. 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 connections. 22. Understands and agrees that Federal funds will not be used, directly or indirectly, to support the enactment, repeal, modification or adoption of any law, regulation, or policy, at any level of government, without the express prior written approval from DHS/FEMA and Cal OES, 23. Will comply with all applicable lobbying prohibitions and laws, including those found in United States Code Title 31, § 1352, et seq., and agrees that none of the funds provided under this award may be expended by the Recipient to pay any person to influence, or attempt 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 any federal action concerning the award or renewal of any federal contract, grant, loan, or cooperative agreement. 24. Agrees that, to the extent contractors or subcontractors are utilized, will use small, minority- owned, women - owned, or disadvantaged business concerns and contractors or subcontractors to the extent practicable. 25. Will comply with Title 2 of the Code of Federal Regulations regarding duplication of benefits, whereby any cost allocable to a particular federal award or cost objective under the principles provided for in this agreement may not be charged to other federal awards to overcome fund deficiencies. 13UASIl 12613 31 26. Will ensure that federal finds do not replace (supplant) funds that have been budgeted for the same purpose through non - federal sources. Subgrantees and subrecipients may be required to demonstrate and document that a reduction in non - federal resources occurred for reasons other than the receipt or expected receipt of federal funds. 27. 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 structures. 28, Will comply with all federal and state laws and regulations relating to civil rights and protections 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. e. The Americans with Disabilities Act, as amended, which prohibits Recipients from discriminating on the basis of disability (42 U.S.C. § 12101 et seq.). d. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits discrimination on the basis of disability in any program receiving federal financial assistance. e. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 - 6107), which prohibits discrimination on the basis of age. f. The Drug Abuse Office and Treatment Act of 1972 (P.L. 92 -255), as amended, relating to nondiscrimination on the basis of drug abuse. g. 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. h. Section 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd -3 and 290 ec -3), as amended, relating to confidentiality of alcohol and drug abuse patient records. i. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 of seq., as implemented by 24 CFR Part 100), as amended, relating to nondiscrimination in the sale, rental or financing of housing. j. Title 44 Code of Federal Regulations (CFR) Parts 7, 16, and 19 relating to nondiscrimination. k. The requirements on any other nondiscritnination provisions in the specific statute(s) under which the application for federal assistance is being made and any other applicable statues. 1. Will, in the event that 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 finds, the Recipient will forward a copy of the finding to the Office of Civil Rights, Office of Justice Programs. m. Will provide an Equal Employment Opportunity Plan, if applicable, to the Department of Justice Office of Civil Rights within 60 days of grant award, n. Will comply, and assure the compliance of all its subgrantees and contractors, with the nondiscrimination requirements and all other provisions of the current edition of the Office of Justice Programs Financial and Administrative Guide for Grants, M7100.1. 29. Will comply with the requirements of Titles 11 and Ill 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 13UASII 12613 32 requirements apply to all interested in real property acquired for project purposes regardless of federal participation in purchases. Will also comply with Title 44 CFR, Part 25, Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted programs. 30. Will comply with all provisions of DHS /FEMA's regulation 44 CFR Part 10, Environmental Considerations. 31. Will comply with all applicable federal, state, and local environmental and historical preservation (EHP) requirements. Failure to meet Federal, State, and Local EHP requirements and obtain applicable permits may jeopardize Federal funding. Agrees not to undertake any project having the potential to impact the EHP resources without the prior written approval of DHS/FEMA and Cal OES, including, but not limited to, ground disturbance, construction, modification to any structure, physical security enhancements, communications towers, any structure over 50 years old, and purchase and/or use of any sonar equipment. The subgrantee must comply with all conditions and restrictions placed on the project as a result of the EHP review. Any construction- related activities initiated without the necessary EHP review and approval will result in a noncompliance finding, and may not be eligible for reimbursement with DHS/FEMA and Cal OES funding. Any change to the scope of work will require re- evaluation of compliance with the EHP. If ground- disturbing activities occur during the project implementation, the subgrantee must ensure monitoring of the disturbance. If any potential archeological resources are discovered, the subgrantee will immediately cease activity in that area and notify DHS/FEMA and Cal OES and the appropriate State Historic Preservation Office. 32. Any construction activities that have been initiated prior to the full environmental and historic preservation review could result in non - compliance finding. grantees must complete the FEMA EHP Screening Form (OMB Number 1660- 0115/FEMA Form 024 -0- 01) and submit it, with all supporting documentation, to their Cal OES program representative, for processing by the DHS /FEMA Grants Program Directorate EHP, 33. Grantees should submit the FEMA EHP Screening Form for each project as soon as possible upon receiving their grant award. The Screening From for these types of projects is available at: www.fema.gov /doc/ government / grant / bulletins /info329_final_screening_ nemo.doc 34. Will ensure that the facilities under its ownership, lease or supervision, which shall be utilized in the accomplishment of this project, are not on the Environmental Protection Agency's (EPAs) List of Violating Facilities, and will notify Cal OES and the DHS/FEMA of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating if a facility to be used in the project is under consideration for listing by the EPA. 35. Will provide any information requested by DHS/FEMA and Cal OES to ensure compliance with applicable laws, including the following: a. Institution of environmental quality control measures under the Archaeological and Historic Preservation Act, Endangered Species Act, and Executive Orders on Floodplains (11988), and Environmental Justice (EO12898) and Environmental Quality (EO11514). b. Notification of violating facilities pursuant to EO 11738. c. 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). d. 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.). 13UASII 12613 33 e. Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93 -523). f. California Environmental Quality Act (CEQA), California Public Resources Code Sections 21080 - 21098. California Code of Regulations, Title 14, Chapter 3 Section 15000 - 15007, g. 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. h. 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. 36. 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, 37. Agrees that subgrantees and subrecipients collecting Personally Identifiable Information (PII) must have a publically- available privacy policy that describes what PH they collect, how they plan to use the PTT, whether they share PH with third parties, and how individuals may have their PH corrected where appropriate. Subgrantees and subrecipients may also find DHS Privacy Impact Assessments, guidance and templates online at http://v,ww.dhs.gov/xbbrarylassets/Pnvacylprivacy_pi� fuidancA june2010.pdf and at http: / /www- dhs.gov /xtibrary/ assets / privacy /privacy„pia_template.pdf; respectively. 38. Agrees that all DHS/FEMA- funded project activities carried on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses, permits, and approvals are obtained. 39. Will comply with Section 6 of the Hotel and Motel Fire Safety Act of 1990, 15 U.S.C. § 2225(a), whereby all subgrantees, recipients, and subrocipients must ensure that all conference, meeting, convention, or training space, funded in whole or in part with federal funds, complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974,15 U.S.C. § 2225. 40. Agrees that all publications created or published with funding under this grant shall prominently contain the following statement: "Yhis document was prepared under a grant from FEMA'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 ofFE'MA'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. " 41. Acknowledges that DHS/FEMA reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish, or otherwise use, and authorize others to use, for Federal government purposes: a) the copyright in any work developed under an award or sub - award; and b) any rights of copyright to which a recipient or sub - recipient purchases ownership with Federal support. The recipient agrees to consult with DHS/FEMA and Cal OES regarding the allocation of any patent rights that arise from, or are purchased with, this funding and 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, agrees to the following: 13UASIl 12613 34 a. Promptly return to the State of California all the funds received which exceed the approved, actual expenditures determined 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. Property /equipment purchased under the HSGP reverts to Cal OES if the grant funds are deobligated or disallowed and not promptly repaid. d. HSGP funds used for the improvement of real property must be promptly repaid following deobligation or disallowment of costs, and Cal OES reserves the right to place a lien on the property for the amount owed. e. Separately account for interest earned on grant funds, and will return all interest earned, in excess of $100 per Federal Fiscal Year. 42. 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 or regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F). 43. 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. 44. 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. 45. Agrees that "Classified national security information," as defined in Executive Order (EO) 12958, as amended or updated via later executive order(s), means information that has been determined pursuant to EO 12958 to require protection against unauthorized disclosure and is marked to indicate its classified status when in documentary form. No funding under this award shall be used to support a contract, subaward, or other agreement for goods or services that will include access to classified national security information if the Award Recipient has not been approved for and granted access to such information by appropriate authorities. 46. Agrees that where an Award Recipient has been approved for and has access to classified national security information, no funding under this award shall be used to support a contract, subaward, or other agreement for goods or services that will include access to classified national security information by the contractor, subrecipient, or other entity without prior written approval from the DHS Office of Security, Industrial Security Program Branch (ISPB), or, an appropriate official within the Federal department or agency with whom the classified effort will be performed. Such contracts, subawards, or other agreements shall be processed and administered in accordance with the DHS "Standard Operating Procedures, Classified Contracting by States and Local Entities," dated July 7, 2008; EOs 12829, 12958, 12968, and other applicable executive orders; the National Industrial Security Program Operating Manual (NISPOM); and other applicable implementing directives or instructions. Security requirement documents may be located at: hitp:// www. dhs .gov /xopnbiz/grants /index.shtm 47. Immediately upon determination by the Award Recipient that funding under this award will be used to support a contract, subaward, or other agreement involving access to classified national security information pursuant to paragraph 47, and prior to execution of any actions to facilitate the acquisition of such a contract, subaward, or other agreement, the 13UASII 12613 35 award recipient shall contact ISPB, and the applicable federal department or agency, for approval and processing instructions. DHS Office of Security ISPB contact information: Telephone: 202 - 447 -5346 Email: DD254AdministrativeSecurity @dhs,gov Mail: Department of Homeland Security Office of the Chief Security Officer ATTN: ASD/hndustrial Security Program Branch Washington, D.C. 20528 48. Will comply with the requirements regarding Data Universal Numbering System (DUNS) numbers. If recipients are authorized to make subwards under this award, they must notify potential subrecipients that no entity may receive or make a subaward to any entity unless the entity has provided a DUNS number. 49. For purposes of this award term, the following definitions will apply: a. "Data Universal Numbering System (DUNS)" number means the nine digit number established and assigned by Dun and Bradstreet, Inc. (D &B) to uniquely identify business entities. A DUNS number may be obtained from D &B by telephone (currently 866- 705 -5711) or the Internet, currently at http: / /fedgov.dnb,com/webform b. "Entity", as it is used in this award term, means all of the following, as defined at 2 CFR Part 25, Subpart C, as a Governmental organization, which is a state, local government, or Indian Tribe; or a foreign public entity; or a domestic or foreign nonprofit organization; or a domestic or foreign for -profit organization; or a federal agency, but only as a sub recipient under an award or subaward to a non - federal entity. c. " Subaward" means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the Recipient award to an eligible subrecipient. It does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec. 210 of the attachment to OMB Circular A -133, "Audits of States, Local Governments, and Non Profit Organizations") and may be provided through any legal agreement, including an agreement that you consider a contract. d. "Subrecipient" means an entity that receives a subaward from you under this award; and is accountable to you for the use of the Federal funds provided by the subaward. 50. 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. 51. Agrees that equipment acquired or obtained with grant funds: a. Will be made available pursuant to applicable terms of 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, and deployed with personnel trained in the use of such equipment ina 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. 13UAS1112613 36 52. Will comply with the financial administrative requirements set forth in the current edition of the DHS Financial Management Guide. 53. Agrees that all allocations and use of funds under this grant will be in accordance with the FY 2013 Homeland Security Grant Program Funding Opportunity Announcement, and the California Supplement to the FY 2013 Homeland Security Grant Program Funding Opportunity Announcement. All allocations and use of funds under this grant will be in accordance with the Allocations, and use of grant funding must support the goals and objectives included in the State and/or Urban Area Homeland Security Strategies as well as the investments identified in the Investment Justifications which were submitted as part of the California FY2013 Homeland Security Grant Program application. Further, use of FYI fiords is limited to those investments included in the California FYI Investment Justifications submitted to DHS/FEMA and Cal OES and evaluated through the peer review process. 54. Will comply with Homeland Security Presidential Directive (HSPD) -5, Management of Domestic Incidents. The adoption of the National Incident Management System (NIMS) is a requirement to receive federal preparedness assistance, through grants, contracts, and other activities. The NIMS provides a consistent nationwide template to enable all levels of government, tribal nations, nongovernmental organizations, and private sector partners to work together to prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or complexity. 55. Will comply with OMB Standard Form 424B Assurances — Non - construction Programs, whereby the awarding agency may require subgrantees and subreeipients to certify to additional assurances. 56. 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 ". As required by Executive Order 12549, Debarment and Suspension, and implemented at 44 CFR Part 17, for prospective participants in primary covered transactions, the Applicant will provide protection against waste, fraud and abuse, by debarring or suspending those deemed irresponsible in their dealings with the federal government. 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 governmental entity (federal, state, or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and 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 d. 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. 13UASII 12613 37 57. Will comply with requirements to acknowledge federal funding when issuing statements, press releases, requests for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part with federal funds. 58. Will comply with requirements that publications or other exercise of copyright for any work first produced under federal financial assistance awards hereto related unless the work includes any information that is otherwise controlled by the government (e,g., classified information or other information subject to national security or export control laws or regulations). For any scientific, technical, or other copyright work based on or containing data first produced under this award, including those works published in academic, technical or professional journals, symposia proceedings, or similar works, the recipient grants the goverment a royalty -free, nonexclusive and irrevocable license to reproduce, display, distribute copies, perform, disseminate, or prepare derivative works, and to authorize others to do so, for government purposes in all such copyrighted works, The Recipient shall affix the applicable copyright notices of 17 U,S.C, § 401 or 402 and an acknowledgement of government sponsorship (including award number) to any work first produced under an award. 59. Will obtain, via Cal OES, the prior approval from DHS on any use of the DHS scal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials. 60. Will comply with the requirements of the Preference for U.S. Flag Air Carriers: Travel supported by U.S. Government funds requirement, which states preference for the use of U.S. flag air carriers (air carriers holding certificates under 49 U.S.C. § 41102) for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. § 40118) and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision 8138942. 61. Will comply with the requirements of the Dig -Free Workplace Act of 1988 (41 U.S.C. § 701 et seq.), which requires that all organizations receiving grants from any federal agency agree to maintain a drug -free workplace. The Recipient must notify the awarding office if an employee of the recipient is convicted of violating a criminal drug statute, Failure to comply with these requirements maybe cause for debarment. These regulations are codified at 2 CFR 3001, 62. Will comply with the requirements of the government -wide award term which implements § 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104), located at 2 CFR Part 175. This is implemented in accordance with OMB Interim Final Guidance, Federal Register, Volume 72, No. 218, November 13, 2007. in accordance with Section 106(g) of the TVPA, as amended, requires the agency to include a condition that authorizes the agency to terminate the award, without penalty, if the Recipient or a subrecipient engages in severe forms of trafficking in persons during the period of time that the award is in effect, procures a commercial sex act during the period of time that the award is in effect; or uses forced labor in the performance of the award or subawards under the award. Full text of the award term is provided at 2 CFR § 175.15. 63. Will comply with the requirements of Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, and resulting agency guidance; national origin discrimination includes discrimination on the basis of limited English proficiency (LEP). To ensure compliance with Title VI, Recipients must take reasonable steps to ensure that LEP persons have meaningful access to your programs. Meaningful 13UASII 12613 38 access may entail providing language assistance services, including oral and written translation, where necessary. Recipients are encouraged to consider the need for language services for LEP persons served or encountered both in developing budgets and in conducting programs and activities. For assistance and information regarding LEP obligations, go to http: / /www.lep.gov. 64. Will comply with the requirements of 42 U.S.C. § 7401 et seq. and Executive Order 11738, which provides for the protection and enhancement of the quality of the nation's air resources to promote public health and welfare and for restoring and maintaining the chemical, physical, and biological integrity of the nation's waters is considered research for other purposes. 65. Will comply with the requirements of the federal regulations at 45 CFR Part 46 and the requirements in DHS Management Directive 026 -04, Protection of Human Subjects, prior to implementing any work with human subjects. The regulations specify additional protections for research involving human fetuses, pregnant women, and neonates (Subpart B); prisoners (Subpart C); and children (Subpart D). The use of autopsy materials is governed by applicable state and local law and is not directly regulated by 45 CFR Part 46. 66. Will comply with the requirements of the National Environmental Policy Act (NEPA), as amended, 42 U.S.C. § 4331 et seq., which establishes national policy goals and procedures to protect and enhance the environment, including protection against natural disasters. To comply with NEPA for its grant- supported activities, DHS requires the environmental aspects of construction grants (and certain non - construction projects as specified by the Component and awarding office) to be reviewed and evaluated before final action on the application. 67. Will comply with the requirements of § 1306(c) of the National Flood Insurance Act, as amended, which provides for benefit payments under the Standard Flood Insurance Policy for demolition or relocation of a structure insured under the Act that is located along the shore of a lake or other body of water and that is certified by an appropriate state or local land use authority to be subject to imminent collapse or subsidence as a result of erosion or undermining caused by waves or currents of water exceeding anticipated cyclical levels. These regulations are codified at 44 CFR Part 63. 68. Will comply with the requirements of the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. § 4001 et seq.), which provides that no federal financial assistance to acquire, modernize, or construct property may be provided in identified flood -prone communities in the United States, unless the community participates in the National Flood Insurance Program and flood insurance is purchased within one year of the identification. The flood insurance purchase requirement applies to both public and private applicants for DHS support. Lists of flood -prone areas that are eligible for flood insurance are published in the Federal Register by FEMA. 69. Will comply with the requirements of Executive Order 11990, which provides that federally funded construction and improvements minimize the destruction, loss, or degradation of wetlands. The Executive Order provides that, in furtherance of § 101(b)(3) of NEPA (42 U.S.C. § 4331(b)(3)), federal agencies, to the extent permitted by law, must avoid undertaking or assisting with new construction located in wetlands unless the head of the agency fords that there is no practicable alternative to such construction, and that the proposed action includes all practicable measures to minimize harm to wetlands that may result from such use. In making this finding, the head of the agency may take into account economic, environmental, and other pertinent factors. The public disclosure requirement described above also pertains to early public review of any plans or proposals for new construction in wetlands. This is codified at 44 CFR Part 9. 13UASI112613 39 X Will comply with the requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175 -175c. Among other things, it prescribes criminal penalties for possession of any biological agent, toxin, or delivery system of a type or in a quantity that is not reasonably justified by a prophylactic, protective, bona fide research, or other peaceful purpose. The act also establishes restrictions on access to specified materials. "Restricted persons," as defined by the act, may not possess, ship, transport, or receive any biological agent or toxin that is listed as a select agent. 71. Understands that failure to comply with any of the above assurances may result in suspension, termination, or reduction of grant fiords. a. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, b. Where and when to report: you must report on each obligating action described in the following paragraphs to Cal OES. For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2011, the obligation must be reported by no later than December 31, 2011,) c. What to report: You must report the information about each obligating action that the submission instructions posted in Information Bulletin 350, to Cal OES. To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http: / /www,sec.gov /answers /oxecomp.htm. Subgrantees must report subrecipient executive total compensation to Cal OES by the end of the month following the month during which you make the subaward. Exemptions include: If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report on subawards, and the total compensation of the five most highly compensated executives of any subrecipient. d. Reporting Total Compensation of Recipient Executives: You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if L the total Federal funding authorized to date under this award is $25,000 or more; ii, in the preceding fiscal year, you received 80 percent or more of your annual gross revenues from federal procurement contracts (and subcontracts) and federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and $25,000,000 or more in annual gross revenues from federal procurement contracts (and subcontracts) and federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and iii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http:// www .see.gov /answas/execomp.htm.) iv. Subrecipient Executives. Unless you are exempt as provided above, for each first -tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipienfs preceding completed fiscal year, if in the subrecipierifs preceding fiscal year, the subrecipient received 80 percent or 13UASI112613 40 more of its annual gross revenues from federal procurement contracts (and subcontracts) and federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and federal financial assistance subject to the Transparency Act (and subawards); and the public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. 72. Understands that failure to comply with any of the above assurances may result in suspension, termination, or reduction of grant funds. 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: 13UASII 12613 41 STATE OF CALIFORNIA } COUNTY OF ORANGE CITY OF NEWPORT BEACH } 1, Leilani 1. Brown, City Clerk of the City of Newport Beach, California, do hereby certify that the whole number of members of the City Council is seven; that the foregoing resolution, being Resolution No. 2014 -23 was duly and regularly introduced before and adopted by the City Council of said City at a regular meeting of said Council, duly and regularly held on the 11i° day of March, 2014, and that the same was so passed and adopted by the following vote, to wit: Ayes: Gardner, Petros, Selich, Curry, Henn, Daigle, Mayor Hill Nays: None IN WITNESS WHEREOF, I have hereunto subscribed my name and affixed the official seal of said City this 12�h day of March, 2014. aw- Lwv City Clerk Newport Beach, California (Seal)