HomeMy WebLinkAbout07 - 2007 UASI GrantCITY OF NEWPORT BEACH
CITY COUNCIL STAFF REPORT
Agenda Item No. 7
May 13, 2008
TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM: Fire Department
Steve Lewis, Fire Chief,. 644 -3101
slewis(cDcity. newport- beach.ca.us
SUBJECT: Acceptance of the 2007 Urban Areas Security Initiative (UASI)
Grant Transfer Agreement
RECOMMENDATION:
1. Accept the 2007 UASI Grant transfer agreement training funds in the amount of
$47,315.46 to be utilized for reimbursement training costs associated with approved
Department of Homeland Security (DHS) courses for emergency response
personnel.
2. City Council approve a Budget Amendment BA' increasing revenue estimates
by $47,315.46 in 1820 - 48665, UASI Grant, and increasing expenditure
appropriations by $47,315.46 in 7014- C8002010.
DISCUSSION:
The Urban Area Security Initiative (UASI) grant was established in 2003, by the
Department Homeland Security (DHS) to provide funding for training and
equipment for emergency personnel. The urban areas are chosen by DHS
based on a formula that takes into account factors such as critical infrastructure,
population density, and credible threat information. Among other densely
populated areas, the Cities of Santa Ana and Anaheim were jointly awarded
approximately $11 million. dollars in the fiscal year 2007. Both UASI cities and
the County of Orange have teamed up to forge one of the most cohesive,
focused, and regional partnerships anywhere in the nation.
The City of Newport Beach falls within the Santa Ana UASI area, administered by the
City of Santa Ana. The Santa Ana UASI has set aside a total of $47,315.46 for the
City of Newport Beach for reimbursement costs associated with training emergency,
personnel including Fire, Police, and EOC staff. The funds for the UASI grant will
reimburse the City for any training costs incurred such as tuition, overtime, back fill,
and travel expenses for approved courses. No matching funds are required to accept
this grant.
Agenda Item No.
May 13, 2008
Page 2
Additionally, with this grant, the City is eligible to receive UASI grant funds for
preparedness and response equipment. To date, the City has already received
the following equipment with UASI funds: Personal Protection Equipment (PPE)
for all first responders, Radio Communications 800 MHz enhancements, Fire
dispatch integration (Study to integrate CAD to CAD), mobile radios, and a
Mobile Command Vehicle.
Prepared by:
Q4rLL-1 �-
4 ie Eing
Emergency Sek es Coordinator
Attachments: BudgetAmendment
Submitted by:
Steve Lewis 12
Fire Chief
FY07 Anaheim/Santa Ana UASI
Application for Project Funding
Loopy
This application should be used to request FY07 Anaheim/Santa Ana UASI project
funding and to demonstrate how the funds will be used to enhance the capabilities of the
urban area and support the National Preparedness Goal; the State's Homeland Security
Strategy and the Urban Area's Homeland Security Strategy. Each project must support
one of the Investment Justifications submitted by the urban area as part of their FY07
UASI Grant Application. (A list of the Investment Justifications and strategies can be
found in appendices of the FY2007 UASI Grant Guide)
Projects should be developed using a capabilities -based planning approach and make use
of the "Target Capabilities List", keeping in mind a capability may be delivered with any
combination of properly planned, organized, equipped, trained. and exercised.personnel
that achieve the intended outcome. Just as no single agency /jurisdiction would be
expected to perform every task, neither would they be expected to have sufficient levels
of every capability needed for a major event. Requirements that exceed a jurisdiction's
capabilities would be secured through mutual aid or formal requests for assistance from
other levels of government. This concept is the basis for strengthening regional planning,
coordination, and resource sharing to prepare for catastrophic events. A key factor in
determining if a project will receive funding is the ability of the project to achieve a
regional capability.
Using this methodology will assist the applicant in clearly defining why the capability is
needed; how the capability will be used; what functions the capability will perform; who
will need the capability; when the, capability will be available; what key performance and
other attributes comprise the capability; how the capability will be supported; what skills
will be required and how we train responders; and finally, how much will the capability.
cost.
Each application may support only one project. If an agency /jurisdiction wishes to
submit multiple projects for funding, each project will require a separate application.
Prior to completing this application the Agency /Jurisdiction should confirm they
have met all.requirements necessary to be eligible to apply for UASI funds.
(Response areas will expand to accommodate text entries)
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
I. Summary Information
Grant: Urban Areas Security Initiative (UASI)
Year: 2007
Agency(Jurisdiction City of Newport Beach
Requesting Funding:
Total Funding Discretionary Allocation: $11,828.87
R uested: Regional Training Allocation: $47,315.46
Project Description:
Enter.a summary description of the project:
(This description should onl be a ew lines which explain the overall concept of the project)
This project provides reimbursement for FEMA — National Preparedness Directorate
(formerly Grants & Training) approved homeland security related training.
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
II. Points of Contact
H. (a) Priwa .A encv /Jurisdiction Contact & Si natot.
Name:
Stcv-c Shulman
Title:
Lieutenant
Address:
870 Santa Barbara Drive
City:
Newport Beach
Zip Code:
92660
Office Phone:
1 949 -644 -3740
Cell Phone:
949 - 279 -4815
Fax:
949 - 718 -1030
E-mail:
SShutrnan nb d.or
II.
Dennis Birch
Name:
Title.
Police Sergeant
Address:
g70 Santa Barbara Drive
City-
Newport Beach, CA
Zip Code:
92660
Office Phone:
949 6443730
Cell Phone:
Cell Phone:
Fax-
949 6443740
E-mail:
DBirch b d.or
Name:
Paul Matheis
Title:
Fire Division Chief
Address.
3300 Newport Boulevard
City:
Ne ort Beach CA, P.O. Box 1768
ZiP Code.
92659 -8915
Office Phone:
(949 ) 644 -3368
Cell Phone:
949 795 -2231
Fax:
949 644 -3388
E �:
FPmatheis@NBFD.net
II.
Name:
Katie Ein
Title:
Disaster Preparedness Coordinator
Address:
3300 Newport Boulevard
City:
Newport Beach, CA, P.O. Box 1768
ZiP Code:
92658 -8915
Office Phone:
(949)644-3109
Cell Phone:
949 795 -9782
Fes-
949 6443388
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
III. Detailed Project Description
Describe the capability gap(s) this project is intended to address and why this solution
was selected over other options. Provide a detailed description of the project's goals,
objectives and expected outcomes. Description should include details on how the project
will be deployed (single jurisdiction, mutual aid zone, urban area) and the regional
impact of proiect.
This project provides reimbursement for training that will address multiple capability
gaps that exist in the Urban Area in the prevention, response, and recovery from
incidents of terrorism and catastrophic events. These capability gaps will be identified
by the individual jurisdictions throughout the Urban Area and through a committee
process that is multi jurisdictional and represents the entire Urban Area. Both individual
jurisdictions and the committee process will use a capability assessment as well as prior
after action reports to assist in the determination of capability gaps in training that exist
in the Urban Area.
This training project was selected, because training is the one of the key components in
the Department of Homeland Security's National Preparedness Guidelines. Only
through training can personnel across all disciplines become familiar with plans, policies,
and procedures that will allow them to effectively prepare for and respond to incidents of
terrorism.
This project seeks to provide training that closes capability gaps that are identified by
individual agencies and through a committee process that determines regional capability
gaps. The goal of this project is that personnel in the various disciplines and jurisdictions
have the knowledge that trains them to prepare for and respond to incidents of terrorism
and catastrophic events.
This project funds jurisdictional specific as well as regional training with a funding
emphasis on regional training projects that benefit the entire Urban Area and provide a
baseline of training to targeted disciplines and responders in the Urban Area.
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
IV. StrateEy
Explain how this project supports the Urban Area's Homeland Security Strategy and the
State's Homeland Security Strategy. Please provide relevant strategy reference numbers.
(Urban Area and State Strategy are listed in the appendices of the FY2007 ASAUA UASI Grant Guide)
This project supports the Urban Area's Homeland Security Strategy item 3.2 which seeks
to ensure that training programs are delivered to accomplish core competencies and
awareness levels among all first responders regarding terrorism and WMD events. This
project will accomplish this through the identification and implementation of training
that fills current capability gaps.
This project also supports the following California Homeland Security Strategy Goals:
1. Strengthen CBRNE Detection, Response, and Decontamination Capabilities
(Goal 3- Objective 3.4)
2. Strengthen Explosive Device Response Operations (Goal 4- Objective 4.4)
3. Strengthen Medical Surge Capabilities (Goal 6- Objective 6.4)
4. Strengthen Mass Prophylaxis Capabilities (Goal 7- Objective 7.4)
Each of these goals listed in the California Homeland Security Strategy could be
supported through the training that is implemented through this project.
IV. (a) Strategy — FY07 Investment Justifications
Explain which of the Urban Area's Investment Justificafions.(U) this project supports.
Please provide relevant IJ reference numbers.
W's are listed in the anaendiees of the FY2007 UASI ASAUA Grant Guide)
This project directly supports Investment Justification 97 by continuing and enhancing
the homeland security training program in the Anaheim / Santa Ana Urban Area.
IV. (b). Strategy - Primary Target Capability .
Provide the primary Target Capability the project is designed to support.
dr et Capabilities are listed in,the appendicesoftheFY2007ASAUA .UASI Grant Guide
Intelligence / Information Sharing and Dissemination
.AV.. .k }j PuiALUry — axigci "114UHILY 1341.14uvc.
Provide: a description of flow this project supports ti
'argeh.Capability.selected and its
This investment will leverage other grant funds to enhance and expand the Urban Area's
current Terrorism Liaison Officer (TLO) program. This investment will provide the
necessary training for TLOs, and provide awareness level training to other responders.
These responders will then understand the types of information that should be fed.to the
designated TLOs in their agencies. The TLOs become the conduit of information into
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
the information sharing and investigative process.
IV. (d) Strategy — National Priorities
Provide the National Priority(ies) this project supports. Response should include a
detailed description how the project supports the National Priority(ies) selected.
(National Priorities are listed in the aooendices of the FY2007 ASAUA UASI Grant Guide)
This project supports the following National Priorities:
I. Implement the National Incident Management System and National Response
Plan
2.. Strengthen Information Sharing and Collaboration Capabilities
3. Strengthen Chemical, Biological; Radiological, Nuclear, and Explosive
Detection, Response, and Decontamination Capabilities
4. Strengthen Planning and Citizen Preparedness Capabilities
This project supports these National Priorities through the identification of capability
gaps that are related to these priorities and the implementation of jurisdictional and
regional training programs that address these capability gaps.
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
V. Funding Plan
Provide the total estimated cost of the project. Total shall be broken down by solution
area using the following table. For each solution area selected provide a description of
the planned expenditures. (note: M&A funds should not be used by sub- recipients)
Solution Area Requested Amount
Planning
Organization
Equipment
Training
Discretionary Allocation: $11,828.87
Regional Training Allocation: $47,315.46
Exercises
M&A
Core Cities Only)
Project Total
Discretionary Allocation: $11,828.87
Regional Training Allocation: $47,315.46
Planning
(Refer to the FY07 HSGP. Grant Guide for allowable expenses under this solution area and include personnel costs
Description of planned expenditures: N/A
Organization
. Refer to FY67 HSGP Grant Guide for allowable expenses under this solution area and include personnel costs
Description of planned expenditures: N/A
Equipment
(Refer to the AEL for allowable expenses under this solution area and complete the Detailed Equipment Sheet
Include in the description section sufficient information :to demonstrate the equipment is being used in the context in
which it is on the AEL.
Description of planned expenditures: N/A
Training
efer to the FY07 HSGP Grant Guide for allowable ex es under this solution area
Description of planned expenditures:
Approved training expenses for jurisdictional specific training.
Approved training expenses for regional training projects.
Exercises
efer to the FY07 HSGP Grant Guide for allowable expenses under this solution area and include personnel co sts
Description of planned expenditures: N/A
Management, ..& Administration
-. for use.:b - core cities onl e&r to the FY07 Grant:HSGP:Guide for allowable expenses 'under this solution :aiea - .
Description of planned expenditures: N/A
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
VI. Milestones
Provide up to 10 specific milestones for the project, including a description and start and
end dates. Descriptions should include details of the activities to be performed.
Milestone #1
Title: Training Needs Assessment
Start Date: l /1/08
End Date: 3/1/08
Description: Jurisdiction identifies training gaps in homeland security related
-capabilities from sources such as After Action Reports.
Milestone #2
Title: Begin participation in training committee
Start Date: l /1/08
1 End Date: 1/31/08
Description: Jurisdiction begins to participate in Urban Area training committee
-meetings to develop regional training program options.
.Milestone #3
Title: Jurisdiction Training Plan Develo ment
Start Date: 3/1/08. End Date: 4/l/08
Description: Training plan (including vendor options, training cost estimates, etc.) is
developed.
Milestone #4. .
Title: Jurisdictional Specific Training Occurs
Start Date: 3 /1/08
1 End Date: 12 /1/09
Description:. Jurisdictional specific training occurs in accordance with the jurisdiction's
-training plan to address the training gaps identified in its needs assessment.
Milestone #5` .
Title: Regional Training Occurs
Start Date: 3/1/08
End Date: 12 /1/09
Description: Regional training occurs in accordance with the training plan developed .
and implemented by the training committee.
Milestone #6 .
Title: Final Reimbursement Documents Processed
Start Date: 12/1/09
End Date: 3/1/10.
Description: Final reimbursement documents for jurisdictional specific and regional
training expenses are processed and submitted to the Santa Ana Police Department for
reimbursement.
Milestone 47
Title:
Start Date: End Date:
'Description:
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
Milestone #8
Title:
Start Date: End Date:
Description:
Milestone #9
Title:
Start Date: End Date:
Description:
Milestone #10
Title:
Start Date: End Date:
Description:
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
VII. Proiect Management
Describe the management team that is directly responsible for the implementation of this
project. Specifically, describe any key project roles and.responsibilities, structures, and
subject matter expertise required by this project, including at least the project manager
and the contract structure. An organizational chart may be included.
This project will be managed by each jurisdiction by a maximum of two points -of-
contact representing two city departments such as Police and Fire. These points -of-
contact will be responsible for maintaining the jurisdiction's total training allocation
budget that will be reimbursed through the Urban Area Security Initiative grant funds.
These points of contact will be the only personnel who have the authority to submit
training course approvals to the State Office of Homeland Security and the only
personnel who have the authority to submit requests for reimbursement for approved
training expenses.
The Training Coordinator of the Santa Ana UASI office will be responsible for
processing reimbursement requests for all of the jurisdictions in the Urban Area for
Fiscal Year 2007.
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
VIII. Proiect Challenges
List and describe up to five potential challenges to the effective implementation of this
project. For each identified challenge, provide a brief description of how the challenge
will be mitigated and include the probability of occurrence (high, medium, low), and
level of impact should it occur (high, medium, low).
Challenge #1
Probability:
Medium
Im act:
High
Description of challenge:
Jurisdictions will not utilize all UASI training allocation funds prior to the close of the
FY07 UASI grant.
Mitigation Strategy:
Prior to the close of the grant, remaining funds that have not been budgeted for specific
classes will be reallocated to other individual jurisdictions or used to fund ongoing
re 'onal training pr9jects.
Challenge #2
Probability:
I Low
Impact:
Medium
Description of challenge:
Training will not have a regional emphasis.
Mitigation Strategy:
Through the newly formed Training, Equipment, and Exercise Committee, training
courses will be recommended to the Grant Steering Committee that will have a regional
focus.
Challenge #3.
Probabil'
Medium Ihi act:
High
Description of challenge:
Inadequate documentation to support reimbursement requests.
Mitigation. Strategy:
The Santa Ana UASI Training and Exercise Coordinator will monitor reimbursement
requests to verify that each jurisdiction supplies and maintains appropriate
documentation.
Challenge #4.
Probability:
Im act
Im acts'
Description of challenge:
Description of challenge:
Mitigation Strategy:
Chaheu a #1.
Probabffl
Im act
Description of challenge:
Mitigation Strategy:
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
IX. Impact (Performance Measures)
What outcomes will indicate this project is successful and how will the impact be
measured? Response should include details on what capability(ies), task(s) or
roficiency(ies) was established or enhanced.
This project will be measured for its success through several methods. One such
method will be to determine the numbers of multi - disciplined personnel received
training that was funded by this project. Increased numbers of personnel or increased
numbers of disciplines that receive training would indicate project success.
Exercises will also measure the success of this project. This project funds training that
will be either determined to be necessary by an individual jurisdiction or through a
committee process that determines regional training needs. Once training occurs,
exercises will be developed that test the capabilities that should have been achieved
through the training. Exercise after action reports will reveal either proficiency or
additional training needs.
Finally, this project will be measured for its success by the numbers and types of
additional capabilities that have been enhanced or created through the implementation of
this project. These capabilities could be quantified by determining the numbers of
"resource typed" capabilities that have been created or enhanced through the training
funded by this project.
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
X. Sustainability
What is the long -term approach to sustaining the capabilities developed by this project?
Response should include details on how the capability(ies) will be maintained and
sustained including what funding will be used to sustain the capability.
This project has been and continues to be leveraged with other grant funding sources.
By leveraging several grant sources to fund this project, the Anaheim / Santa Ana Urban
Area is able to increase the numbers of personnel that receive training while not relying
completely on one grant source.
The Anaheim / Santa Ana Urban Area has increased its capabilities to plan for, prevent,
and respond to incidents of terrorism and catastrophic events in part by providing multi -
agency and multi - discipline training to large numbers of personnel. Sustaimnent of this
training will not be as costly as the original implementation to large numbers of
responders, and could be funded through existing training budgets in the future.
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
XI. Attachments
Include anv attachments that may be relevant to the nroi ect.
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
XII. Sub - Recipient Representative Signature
A ent authorized to a I fo and acce t award on behalf of agency/jurisdiction
Si nature:
l�_t
Name:
Ste e Lewis
Title:
Fire Chief
Address:
3300 Ne ort Boulevard
City:
Newport Boulevard, CA
Zip Code:
92658 -8915
Office Phone:
(949 ) 644 -3382
Cell Phone:
(949) 279 -9885
Fax:
949) 644 -3120
E-mail
SLewis@NBFD.net
Project reviewed by:
UASI
Re presentative:
Santa Ana
Anaheim
Signature:
4
Title:
Name:
Carlos Rojas V
Mark C Tien
Title:
Commander
Lieutenant
Address:
60 Civic Center Plaza
8201 E. Santa Ana Canyon Rd.
City, State
Santa Ana, CA
Anaheim, CA
Zip Code:
92792
92803
Office Phone:
714 245 -8722
(714) 765 -3879
Cell Phone:
(714)
(714) 497 -6342
Fax:
714) 245 -8098
(714) 765 -3805
E -mail:
cr jas santa-ana.or
me Tien anaheim.net
Recommended for Approval: Yes ❑ No
lFundin a roved in an amount not to exceed:
Discretionary Allocation: $11,828.87
Regional Training Allocation: $47,315.46
Anaheim/Santa Ana UASI Authorized Representative
Signature:
Name:
Pau M. Walters
Title:
Chief of Police
Address:
60 Civic Center Plaza
City, State:
Santa Ana, CA
Zip Code:
92702
Office Phone:
714) 245 -8703
Cell Phone:
Fax:
(714) 245 -8098
E -mail:
pwalters @santa - ana.org
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FY07 Anaheim/Santa Ana UASI
Application for Project Funding
APPENDIX A
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Detailed Equipment Sheet
Sheet of
Extended
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AGREEMENT
SUB - RECIPIENT: CITY OF NEWPORT BEACH
City Contract Number
COPY
TABLE OF CONTENTS
Section Description Page
I
INTRODUCTION
§101. Parties to the Agreement 3
§102. Representatives of the Parties and Service of Notices 3
§103. Independent Party 4
§104. Conditions Precedent to Execution of this Agreement 4
TERM AND SERVICES TO BE PROVIDED
§201. Time of Performance 5
§202. Use of Grant Funds 5
III
PAYMENT
§301. Payment of Grant Funds and Method of Payment 8
IV
STANDARD PROVISIONS
§401.
Construction of Provisions and Titles Herein
9
§402.
Applicable Law, Interpretation and Enforcement
9
§403.
Integrated Agreement
9
§404.
Excusable Delays
9
§405.
Breach
10
§406.
Prohibition Against Assignment or, Delegation
10
§407.
Permits
10
§408.
Non Discrimination and Affirmative Action
10
§409.
Bonds
11
.3
TABLE OF CONTENTS
Section Description
Page
§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.
MBENVBE
22
V
DEFAULTS, SUSPENSION, TERMINATION AND AMENDMENTS
§501. Defaults
§502. Amendments
V
ENTIRE AGREEMENT
§601. Complete Agreement
§602. Number of Pages and Attachments
Execution (Signature) Page
EXHIBITS
Exhibit A Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transactions
Exhibit B Certification Regarding Lobbying
Exhibit C FY07 Anaheim /Santa Ana Application for Project Funding
Exhibit D Grant Assurances
Exhibit E Reimbursement Request for Grant Eicpenditures
ii
23
23
24
24
25
'C 4
Agreement Number:
AGREEMENT FOR TRANSFER OR PURCHASE OF EQUIPMENT /SERVICES OR FOR
REIMBURSEMENT OF TRAINING COSTS
FOR FY07 URBAN AREAS SECURITY INITIATIVE (UASI)
BETWEEN
THE CITY OF SANTA ANA
AND CITY OF NEWPORT BEACH
THIS AGREEMENT is made and entered into this day of , 2007, by and
between the CITY OF SANTA ANA, a municipal corporation (the "CITY, "), and CITY OF
NEWPORT BEACH, (the "SUB- RECIPIENT" or "Contractor ").
WITNESSETH
WHEREAS, CITY, acting through the Santa Ana Police Department in its
capacity as a Core City for the Anaheim /Santa Ana Urban Area under the FY07 Urban
Areas Security Initiative, has applied for, received and accepted a grant entitled "FY07
Urban Areas Security Initiative" from the federal Department Of Homeland Security —
Office of Grants and Training, through the State of California Office of Homeland
Security, to enhance countywide emergency preparedness, hereafter referred to as "the
grant', as set forth in the grant guidelines and assurances that are located at
http: / /www.homeland.ca. gov /pdftfy07_hsgp _guidance.pdf.and http:Hwww.homeland
.ca. gov /pdf /FY07_ HSGP- StateSupplemental6- 1- 07.pdf, and incorporated to this
Agreement by reference. Copies of the grant guidelines shall be retained in the
Anaheim /Santa Ana Grant Office.
WHEREAS, this financial assistance is administered by the CITY OF SANTA
ANA (CITY) and is overseen by the California Office of Homeland Security (OHS); and
WHEREAS, this financial assistance is being provided to address the unique
equipment, training, planning, and exercise needs of large urban areas, and to assist
them in building an enhanced and sustainable capacity to prevent, respond to, and
recover from threats or acts of terrorism; and
WHEREAS, the Anaheim /Santa Ana Urban Area ( "ASAUA ") consists of the City
of Santa Ana, the City of Anaheim, the unincorporated area of the County of Orange,
and 34 participating jurisdictions; and
WHEREAS, the Office of Grants and Training (G &T) awarded a FY07 UASI
Grant of $11,072,000,( "Grant Funds ") to the CITY OF SANTA ANA, as a Core City, for
use in the ASAUA; and
WHEREAS, the CITY has designated the Chief of Police and the Santa Ana
Police Department, Homeland Security Division ( "UASI Grant Office ") to provide for
A5,
terrorism prevention and emergency preparedness; and
WHEREAS, the UASI Grant Office now wishes to distribute FY07 UASI Grant
Funds throughout the ASAUA, as further detailed in this Agreement ( "Agreement ") to
CITY OF NEWPORT BEACH ,(SUB- RECIPIENT) and others;
WHEREAS, the CITY and SUB - RECIPIENT are desirous of executing this
Agreement as authorized by the City Council and the City Manager which authorizes
the CITY to prepare and execute the Agreement.
NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
2
I
INTRODUCTION
§101. Parties to the Agreement
The parties to this Agreement are:
A. The CITY, a municipal corporation, having its principal office at 20 Civic Center
Plaza, Santa Ana, CA 92702; and
B. CITY OF NEWPORT BEACH, a municipal corporation, 3300 Newport Blvd.
Newport Beach, CA 92663
§102. Representatives of the Parties and Service of Notices
A. The representatives of the respective parties who are authorized to administer
this Agreement and to whom formal notices, demands and communications
shall be given are as follows:
1. The representative of the City of Santa Ana shall be, .unless otherwise
stated in the Agreement:
Carlos Rojas, Commander
Santa Ana Police Department
Homeland Security Division
60 Civic Center Plaza
Santa Ana, CA. 92702
Phone: (714) 245 -8722
Fax: (714) 245 =8098
crojas@santa-ana.org
2. The representative of CITY OF NEWPORT BEACH shall be:
Paul Matheis
Division Chief
Newport Beach Fire Department
3300 Newport Blvd., Newport Beach, CA 92658
Phone: 949 -644 -3368
pmatheisCaD-city. newport-beach.ca. us
with a copy to:
A�
<<NAME OF 2nd RECIPIENT IF APPLICIABLE>>
B. Formal notices, demands and communications to be given hereunder by
either party shall be made in writing and may be effected by personal
delivery or by registered or certified mail, postage prepaid, return receipt
requested and shall be deemed communicated as of the date of mailing.
C. If the name of the person designated to receive the notices, demands or
communications or the address of such person is changed, written notice
shall be given, in accord with this section, within five (5) business days of
said change.
§103. Independent Party
SUB - RECIPIENT is acting hereunder as an independent party, and not as an
agent or employee of the CITY OF SANTA ANA. No employee of SUB -
RECIPIENT is, or shall be an employee of the CITY OF SANTA ANA by virtue of
this Agreement, and SUB - RECIPIENT shall so inform each employee organization
and each employee who is hired or retained under this Agreement. SUB -
RECIPIENT shall not represent or otherwise hold out itself or any of its directors,
officers, partners, employees, or agents to be an agent or employee of the CITY
OF SANTA ANA.
§104. Conditions Precedent to Execution of This Agreement
SUB - RECIPIENT shall provide copies of the following documents to the CITY OF
SANTA ANA, unless otherwise exempted.
A. Grant Assurances in accordance with section 415C of this Agreement attached
hereto as Exhibit D and made part hereof.
B. Certifications Regarding Ineligibility, Suspension and Debarment as required
by Executive Order 12549 in accordance with Section 415Al2 of this
Agreement and attached hereto as Exhibit A and made a part hereof.
C. Certifications and Disclosures Regarding Lobbying in accordance with Section
415C of this Agreement and attached hereto as Exhibit B and made a part
hereof. SUB - RECIPIENT shall also file a Disclosure Form at the end of each
calendar quarter in which there occurs any event requiring disclosure or
which materially affects the accuracy of the information contained in any
Disclosure Form previously filed by SUB - RECIPIENT.
TERM AND SERVICES TO BE PROVIDED
§201. Time of Performance
The term of this Agreement shall commence on October 3, 2007 and end on
March 31, 2010 or upon the final disbursement of all of the Grant Amount (as
defined in Section 301) and any additional period of time as is required to
complete any necessary close out activities. Said term is subject to the
provisions herein.
§202. Use of Grant Funds
A. CITY may a) transfer to SUB - RECIPIENT, equipment or services
purchased with grant funds and in accordance with grant guidelines set
forth above; or b) reimburse SUB - RECIPIENT for purchase of authorized
equipment, exercises, services or training upon receiving prior written
approval from CITY or its designee and in accordance with grant guidelines
and in full compliance with all of the SUB - RECIPIENT'S purchasing and
bidding procedures. SUB - RECIPIENT shall specify the equipment,
services, exercises and training to be purchased using the Application for
Project Funding attached hereto as Exhibit C.
B. SUB - RECIPIENT shall provide, any reports requested by the CITY regarding
the performance of the Agreement. Reports shall be in the form requested by
the CITY, and shall be provided in a timely manner..
C. The Authorized Equipment List (AEL) is a list of the allowable equipment
which may be purchased pursuant to this Agreement and is located at
https: / /www.rkb.mipt.org, and incorporated to this Agreement by reference.
A copy of the AEL shall be retained in the Anaheim /Santa Ana Grant Office.
Unless otherwise stated in program guidance any equipment acquired
pursuant to this Agreement shall meet all mandatory regulations and /or
DHS- adopted, standards to be eligible for purchase using grant funds. SUB -
RECIPIENT shall provide the CITY a copy of its most current procurement
guidelines and follow its own procurement requirements as long as they
meet the minimum federal requirements.. Federal procurement requirements.
for the FY 07 UASI Grant can be found at OMB Circular A -102, Title 28
C.F.R. Part 66.36, and the Office of G &T Financial Management Guide.
Any equipment acquired or obtained with Grant Funds:
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
OZ..9
materials response services, and law enforcement agencies within
the jurisdiction of the applicant;
2. Shall be consistent with needs as identified in the State Homeland
Security Strategy and deployed in conformance with that plan;
3. Shall be made available pursuant to applicable terms of the
California Disaster and Civil Defense Master Mutual Aid Agreement
and deployed with personnel trained in the use of such equipment in
a manner consistent with the California Law Enforcement Mutual Aid
Plan or the California Fire Services and Rescue Mutual Aid Plan;
4. Shall be subject to the requirements of Title 28, C.F.R. 66.32, 66.33
and Office of G &T Financial Management Guide. For the purposes of
this subsection, "Equipment" is defined as nonexpendable property'
that is. not consumed or does not lose its identity by being
incorporated into another item of equipment, which costs $5,000 or
more per unit, or is expected to have a useful Irfe of one (1) year or
more. Items costing less than $5,000, but falling into the following
categories are also considered Equipment: (1)electronics
communications equipment for stationary or vehicular use, including
cellular telephones acquired by lease or purchase, and (2) electronic
office equipment, including facsimile machines, copiers, electric
typewriters, personal computers (monitors and CPU's), terminals and
printers;
5. Shall be used by SUB - RECIPIENT in the program or project for
which it was acquired as long as needed, whether or not the project
or program continues to be supported by Federal funds. When no
longer useful for the original program or project, the Equipment may
be used in other activities currently or previously supported by a
Federal agency.
6. Shall be made available for use on other projects or programs
currently or previously supported by the Federal Government,
providing. such use will not interfere with the work on the projects or
program for which it was originally acquired. First preference for
other use shall be given to other programs or projects supported by
the awarding agency.
7. Shall be recorded on a ledger. This record must be updated bi-
annually and forwarded to the City. The record shall include: (a)
description of the item of Equipment, (b) manufacturer's model and
serial number, (c) Federal Stock number, national stock number, or
other identification number; (d) the source of acquisition of the
Equipment, including the award number, (e) date of acquisition; (f)
the per unit acquisition cost of the Equipment, (g) records showing
maintenance procedures to keep the Equipment in good running
order, and (h) location and condition of.Equipment. Records must be
ME
retained pursuant to 28 C.F.R. Part 66.42, and Office of G &T.
8. All equipment obtained under this Agreement shall have an ASAUA
identification decal affixed to it, and, when practical, shall be affixed
where it is readily visible.
A physical inventory of the Equipment shall be taken and the results
reconciled with the Equipment records at least once every year.
Inventory shall also be taken prior to any UASI, State or Federal
monitor visits.
10. SUB - RECIPIENT shall exercise due care to preserve and
safeguard equipment acquired with grant funds from damage or
destruction and shall provide regular maintenance and such repairs
for said equipment as necessary, in order to keep said equipment
continually in good working order. Such maintenance and servicing
shall be the sole responsibility of SUB - RECIPIENT, who shall
assume full responsibility for maintenance and repair of the
equipment throughout the life of said equipment.
D. Any training paid pursuant to this Agreement shall conform to the guidelines
as listed in FY 2007 Homeland Security Grant Program, as set forth above.
All training expenses. must be pre- authorized by OHS at
http:// www. calgLiard. ca .gov /cajs- hs/nonslgcpForm.htm. A catalogue of
Grantor approved and sponsored training courses is available at
http:/Avww.ojp.usdoj.gov/odp/training.htm.
E. Any exercise paid pursuant to this Agreement shall conform to the guidelines as
listed in FY 2007 Homeland Security Grant Program, as set forth above.
Detailed Homeland Security Exercise and Evaluation Program Guidance is
available at http: //hseep.dhs.gov.
F. Any planning paid pursuant to this Agreement shall conform to the guidelines
as listed in FY 2007 Homeland Security Grant Program, as set forth above.
G. Any organizational activities paid pursuant to this Agreement shall conform to
the guidelines as listed in FY 2007 Homeland Security Grant Program, as set
forth above.
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Ill
PAYMENT
§301. Payment of Grant Funds and Method of Payment
A. The CITY may a) transfer to SUB - RECIPIENT, equipment or services
purchased with grant funds; or b) reimburse SUB - RECIPIENT for the purchase
of authorized equipment, exercises, services or training upon receiving prior
written approval from CITY or its designee and in accordance with grant
guidelines and in full compliance with all of the SUB - RECIPIENT'S purchasing
and bidding procedures. SUB - RECIPIENT shall specify the equipment,
exercises, services or training to be purchased using the Application for Project
Funding, attached hereto as Exhibit C. Funds may be used for planning,
exercises, organizational and training activities, and the purchase of equipment
as described in Section 202 above.
B. SUB - RECIPIENT shall provide quarterly invoices to the CITY requesting
payment and all supporting documentation. Each reimbursement request shall
be accompanied by the Reimbursement Request for Grant Expenditures
(attached hereto as Exhibit E) detailing the expenditures made by SUB-
RECIPIENT as authorized by Section 202 above. For equipment for which
SUB - RECIPIENT is requesting reimbursement, all appropriate back -up
documentation must be attached to the reimbursement form, including
invoices, proof of payment and packing slips. For training reimbursements,
SUB - RECIPIENT must include a copy of any certificates issued or a copy of
the class roster verifying training attendees, proof that an OHS tracking number
has been assigned to the course, timesheets and payroll registers for all
training attendees, and receipts for travel expenses related to.the training. For
regional project reimbursements, SUB- RECIPIENT must include approval from
the lead agency for all submitted invoices.
C. Payment of final invoice shall be withheld by the CITY until the SUB -
RECIPIENT has turned in all supporting documentation and completed the
requirements of this Agreement.
D. It is understood that the CITY makes no commitment to fund this
Agreement beyond the terms set forth herein.
E. Funding for all periods of this Agreement is subject to the continuing
availability to the CITY of federal funds for this program. The Agreement may
be terminated immediately upon written notice to SUB - RECIPIENT of a loss or
reduction of federal grant funds.
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IV
STANDARD PROVISIONS
§401. Construction of Provisions and Titles Herein
All titles or subtitles appearing herein have been inserted for convenience and
shall not be deemed to affect the meaning or construction of any of the terms or
provisions hereof. The language of this Agreement shall be construed according
to its fair meaning and not strictly for or against either party. The word
"Sub- recipient" herein and in any amendments hereto includes the party or
parties identified in this Agreement. The singular shall include the plural. If
there is more than one Sub - recipient as identified herein, unless expressly
stated otherwise, their obligations and liabilities hereunder shall be joint and
several. Use of the feminine, masculine, or neuter genders shall be deemed to
include the genders not used.
§402. Applicable Law, Interpretation and Enforcement
Each party's performance hereunder shall comply with all applicable laws of the
United States of America, the State of California, and the CITY. This
Agreement shall be enforced and interpreted under the laws of the State of
California and the CITY.
If any part, term or provision of this Agreement shall be held void, illegal,
unenforceable, or in conflict with any law of a federal, state or local government
having jurisdiction over this Agreement, the validity of the remaining portions of
provisions shall not be affected thereby.
§403. Integrated Agreement .
This Agreement sets forth all of the rights and duties of the parties with respect to
the subject matter hereof, and replaces any and all previous agreements or
understandings, whether written or oral, relating thereto. This Agreement may be
amended only by a written instrument executed by both parties hereto.
§404. Excusable Delays
In the event that performance on the part of any party hereto shall be delayed or
suspended as a result of circumstances beyond the reasonable control and
without the fault and negligence of said party, none of the parties shall incur any
I iability 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
33
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 taw or equity, in the courts of law. Said rights and remedies are
cumulative of those provided for herein except that in no event shall any party
recover more than once, suffer a penalty or forfeiture, or be unjustly
compensated.
§406. Prohibition Against Assignment or Delegation
SUB - RECIPIENT may not, unless it has first obtained the written permission of
the CITY:
A. Assign or otherwise alienate any of its rights hereunder, including the right
to payment; or
B. Delegate, subcontract, or otherwise transfer any of its duties hereunder.
§407. Permits
SUB - RECIPIENT and its officers, agents and employees shall obtain and
maintain all permits and licenses necessary for SUB - RECIPIENT performance
hereunder and shall pay any fees required therefore. SUB - RECIPIENT further
certifies to immediately notify the CITY of any suspension, termination, lapses,
non renewals or restrictions of licenses, certificates, or, other documents.
§408. Nondiscrimination and Affirmative Action
SUB - RECIPIENT shall comply with the applicable nondiscrimination and
affirmative action provisions of the laws of the United States of America, the
State of California, and the CITY. In performing this Agreement, SUB -
RECIPIENT shall not discriminate in its employment practices against any
employee or applicant for employment because of such person's race;
religion, national origin, ancestry, sex, sexual orientation, age, physical
handicap, mental disability, marital status, domestic partner status or medical
condition. SUB - RECIPIENT shall comply with Executive Order 11246,
entitled "Equal Employment Opportunity;" as amended by Executive Order
11375, and as supplemented in Department of Labor regulations (41 CRF
Part 60).
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If required, SUB - RECIPIENT shall submit an Equal Employment Opportunity
Plan (`EEOP ") to the DOJ Office of Civil Rights ( "OCR ") in accordance with
guidelines listed at 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. The SUB - RECIPIENT covenants that none of its directors, officers,
employees, or agents shall participate in selecting, or administrating any
subcontract supported (in whole or in part) by Federal funds where such
person is a director, officer, employee or agent of the subcontractor; or where
the selection of subcontractors is or has the. appearance of being motivated by
a desire for personal gain for themselves or others such as family business,
etc.; or where such person knows or should have known that:
1. A member of such person's immediate family, or domestic partner
or organization has a financial, interest in the subcontract;
2. The subcontractor is someone with whom such person has or is
negotiating any prospective employment; or
3. The participation of such person would be prohibited by the
California Political Reform Act, California Government Code
§87100 et seq. if such person were a public officer, because such
person would have a "financial or other interest' in the subcontract.
11
B. Definitions:
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.
Any of the following interests in the subcontractor
ownership: partnership interest or other beneficial interest of
five percent or more; ownership of five percent or more of
the stock; employment in a managerial capacity; or
membership on the board of directors or governing body.
C._ The SUB - RECIPIENT further covenants that no officer, director, employee, or
agent shall solicit or accept gratuities, favors, anything of monetary value from
any actual or potential subcontractor, supplier, a party to a sub agreement, (or
persons who are otherwise in a position to benefit from the actions of any
officer, employee, or agent).
D. The SUB- RECIPIENT shall not subcontract with a former director, officer, or
employee within a one year period following the termination of the relationship
between said person and the Contractor.
E. Prior to obtaining the CITY'S approval of any subcontract, the SUB -
RECIPIENT shall disclose to the CITY any relationship, financial or
otherwise, direct or indirect, of the SUB- RECIPIENT or any of its officers,
directors or employees or their immediate family with the proposed
subcontractor and its officers, directors or employees.
F. For further clarification of the meaning of any of the terms used herein, the
parties agree that references shall be made to the guidelines, rules, and laws
of the SUB - RECIPIENT, State of California, and Federal regulations
regarding conflict of interest.
G. The SUB- RECIPIENT warrants that it has not paid or given and will not pay or
give to any third person any money or other consideration for obtaining this
Agreement.
H. The SUB - RECIPIENT covenants that no member, officer or employee of
SUB- RECIPIENT shall have interest, direct or indirect, in any contract or
subcontract or the proceeds thereof for work to be performed in connection
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with this project during his /her tenure as such employee, member or officer or
for one year thereafter.
I. The SUB - RECIPIENT shall incorporate the foregoing subsections of this
Section into every agreement that it enters into in connection with this project
and shall substitute the term "subcontractor" for the term "SUB- RECIPIENT'
and "sub subcontractor" for "Subcontractor".
§412. Restriction on Disclosures
Any reports, analysis, studies, drawings, information, or data generated as a
result of this Agreement are to be governed by the California Public Records Act
(California Government Code Sec. 6250 et seq.).
§413. Statutes and Regulations Applicable To All Grant Contracts
A. SUB - RECIPIENT shall comply with all applicable requirements of state, federal,
county and SUB - RECIPIENT laws, executive orders, regulations, program and
administrative requirements, policies and any other requirements governing this
Agreement. SUB- RECIPIENT shall comply with state and federal laws and.
regulations pertaining to labor, wages, hours, and other conditions of
employment. SUB- RECIPIENT shall comply with new, amended, or revised
laws, regulations,. and /or procedures that apply to the performance of this
Agreement. These requirements include, but are not limited to:
Office of Management and Budget (OMB) Circulars
SUB - RECIPIENT shall comply with OMB Circulars, as applicable:
OMB Circular A -21 (Cost Principles for Educational Institutions);
OMB Circular A -87 (Cost Principles for State, Local, and Indian
Tribal Governments); OMB Circular A-1 02 (Grants and Cooperative
Agreements with State and Local Governments); Common Rule,
Subpart C for public agencies or OMB Circular A -110 (Uniform
Administrative Requirements for Grants and Other Agreements with
Institutions of Higher Education, Hospitals and Other Non - Profit
Organizations); OMB Circular A -122 (Cost Principles for Non - Profit
Organizations); OMB Circular A -133 (Audits of States, Local
Governments, and Non - Profit Organizations.
2. Single Audit Act
If Federal funds are used in the performance of this Agreement,
SUB - RECIPIENT shall adhere to the rules and regulations of the
Single Audit Act, 31 USC Sec. 7501 et seq.; and any
administrative regulation or field memos implementing the Act.
3. Americans with Disabilities Act
SUB - RECIPIENT hereby certifies that it will comply with the
Americans with Disabilities Act 42, USC §§ 12101 et seq., and its
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37
implementing regulations. SUB - RECIPIENT will provide reasonable
accommodations to allow qualified individuals with disabilities to
have access to and to participate in its programs, services and
activities in accordance with the provisions of the Americans with
Disabilities Act. SUB - RECIPIENT will not discriminate against
persons with disabilities nor against persons due to their relationship
to or association with a person with a disability. Any subcontract
entered into by the SUB - RECIPIENT, relating to this Agreement, to
the extent allowed hereunder, shall be subject to the provisions of
this paragraph.
4. Political and Sectarian Activity Prohibited
None of the funds, materials, property or services provided directly or
indirectly under this Agreement shall be used for any partisan political
activity, or to further the election or defeat of any candidate for public
office. Neither, shall any funds provided under this Agreement be
used for any purpose designed to support or defeat any pending
legislation or administrative regulation. None of the funds provided
pursuant to this Agreement shall be used for any sectarian purpose or
to support or benefit any sectarian activity.
If this Agreement provides for more than $100,000.00 in grant funds
or more than $150,000 in loan funds, SUB - RECIPIENT shall submit
to the CITY a Certification Regarding Lobbying and a Disclosure
Form, if required, in accordance with 31 USC 1352. A copy of the
Certificate is attached hereto as Exhibit B. No funds will be released
to SUB - RECIPIENT until the Certification is filed.
SUB - RECIPIENT shall file a Disclosure Form at the end of each
calendar quarter in which there occurs any event requiring disclosure
or which materially affects the accuracy of any of the information
contained in any Disclosure Form previously filed by SUB -
RECIPIENT. SUB - RECIPIENT shall require that the language of this
Certification be included in the award documents for all sub - awards
at all tiers and that all subcontractors shall certify and disclose
accordingly.
5. Records Inspection
At anytime during normal business hours and as often as the CITY,
the U.S. Comptroller General and /or the Auditor General of the State
of California may deem necessary, SUB - RECIPIENT shall make
available for examination all of its records with respect to all matters
covered by this Agreement. The CITY, the U.S. Comptroller General
and/or the Auditor General of the State of California shall have the
authority to. audit, examine and make excerpts or transcripts from
records, including SUB-RECIPIENT'S invoices, materials, payrolls,
records of personnel, conditions of employment and other data
relating to all matters covered by this Agreement.
14
OS
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.
8. Labor
SUB - RECIPIENT shall comply with the Intergovernmental
Personnel Act of 1970 (42 U.S.C. § §4728 -4763) relating to
prescribed requirements for merit systems.for programs funded
under one of the 19 statutes or regulations specked in Appendix A
of OPM's Standards for a Merit System Personnel Administration
(5 C.F.R. 900, Subpart F).
SUB - RECIPIENT shall comply, as applicable, with the provisions of
the Davis -Bacon Act (40 U.S.C. § §276a to 276a -7), the Copeland Act
(40 U.S.C. §276c and 18 U.S.C. §874), the Contract Work Hours and
15
Safety Standards Act (40 U.S.C. § §327 -333), regarding labor
standards for federally- assisted construction subagreements, and the
Hatch Act (5 USC § §1501 -1508 and 7324 - 7328).
SUB - RECIPIENT shall comply with the Federal Fair Labor Standards
Act (29 USC § 201) regarding wages and hours of employment. None
of the funds shall be used to promote or deter Union /labor organizing
activities. CA Gov't Code Sec. 16645 et seq.
Civil Rights
SUB- RECIPIENT shall comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title VI of
the Civil Rights Act of 1964 (P.L. 88 -352) which prohibits
discrimination on the basis of race, color or national origin; (b) Title IX
of the Education Amendments of 1972, as amended (20 U.S.C.
§ §1681- 1683, and 1685 - 1686), which prohibits discrimination on the
basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as
amended (29 U.S.C. §794), which prohibits discrimination on the
basis of handicaps; (d) The Age Discrimination act of 1975, as
amended (42 U.S.C. § §6101 - 6107), which prohibits discrimination on
the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92 -255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation act of 1970
(P.L. 91 -616) as amended, relating to nondiscrimination on the basis
of alcohol abuse or alcoholism; (g) § §523 and 527 of the Public
Health Service Act of 1912 (42 U.S.C. § §290 dd -3 and 290 ee 3), as
amended, relating to confidentiality of alcohol and drug abuse patient
records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C.
§ §3601 et seq.), as amended, relating to non - discrimination in the
sale, rental or financing of housing; (i) any other nondiscrimination
provisions in the speck 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 complied, with the
requirements of Titles II and III of the Uniform relocation Assistance
and Real Property Acquisition Policies Act of 1970 (P.L. 91 -646)
which provide for fair and equitable treatment of persons displaced
or whose property is acquired as a result of Federal or federally-
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
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SUB - RECIPIENT shall comply with environmental standards which
may be prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91 -190) and Executive
Order (EO) 11514; (b) notification of violating facilities pursuant to
EO 11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved
State management program developed under the Coastal Zone
Management Act of 1972 (16 U.S.C. § §1451 et seq.); (f) conformity
of Federal actions to State (Clean Air) Implementation Plans under
Section 176(c) of the Clean Air Act of 1955, as amended (42
U.S.C. § §7401 et seq.); (g) protection of underground sources of
drinking water under the Safe Drinking Water Act of 1974, as
amended (P.L. 93 -523); (h) protection of endangered species
under the Endangered Species Act of 1973, as amended (P.L.
93205); and (i) Flood Disaster Protection Act of 1973 §102(a) (P. L.
93 -234).
SUB- RECIPIENT shall comply with the Wild and Scenic Rivers Act of
1968 (16 U.S.C. § §1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
SUB - RECIPIENT shall comply with the Lead -Based Paint Poisoning
Prevention Act (42 U.S.C. §§4801 et seq.) which prohibits the use of
lead- based paint in construction or rehabilitation of residence
structures.
SUB- RECIPIENT shall comply with the Federal Water Pollution
Control Act (33 U.S.C. § 1251 et seq.) which restores and maintains
the chemical, physical and biological integrity of the Nation's waters.
SUB - RECIPIENT shall ensure that the facilities under its ownership,
lease or supervision which shall be utilized in the accomplishment of
this project are not listed in the Environmental Protection Agency's
(EPA) list of Violating Facilities and that it will notify the Federal
Grantor agency of the receipt of any communication from the
Director of the EPA Office of Federal Activities indicating that a
facility to be used in the project is under consideration for listing by
the EPA.
By signing this Agreement, SUB - RECIPIENT ensures that it is in
compliance with the California Environmental Quality Act (CEQA),
Public Resources Code §21000 et seg. and is not impacting the
environment negatively.
SUB - RECIPIENT shall comply with the Energy Policy and
Conservation Act (P.L. 94 -163, 89 Stat. 871).
SUB - RECIPIENT shall comply, if applicable, with the provision of the
17
q1
Coastal Barrier Resources Act (P.L. 97 -348) dated October 19, 1982
(16 USC 3501 et. seq.) which prohibits the expenditure of most new
Federal funds within the units of the Coastal Barrier Resources
System.
11. Preservation
SUB- RECIPIENT shall comply with Section 106 of the National
Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO
11593 (identification and protection of historic properties), and the
Archaeological and Historic Preservation Act of 1974 (16 U.S.C.
§§469a -1 et seq.).
12. Suspension and Debarment
SUB - RECIPIENT shall comply with Federal Register, Volume 68,
Number 228, regarding Suspension and Debarment, and SUB -
RECIPIENT shall submit a Certification Regarding Debarment required
by Executive Order 12549 and any amendment thereto. Said
Certification shall be submitted to the CITY concurrent with the
execution of this Agreement and shall certify that neither SUB -
RECIPIENT nor its principals are presently debarred, suspended,
proposed for debarment, declared ineligible or voluntarily excluded
from participation in this transaction by any federal department head
or agency. SUB- RECIPIENT shall require that the language of this
Certification be included in the award documents for all sub -award at
all tiers and that all subcontractors shall certify accordingly.
13. Drug -Free Workplace
SUB - RECIPIENT shall comply with the federal Drug -Free
Workplace Act of 1988, 41 USC §701, 28 CFR Part 67; the
California Drug -Free Workplace Act of 1990, CA 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, andfor procedures that apply to the performance of this
Agreement. These requirements include, but are not limited to:
Title 28 Code of Federal Regulations (CFR) Part 66; EO 12372;
Department of Justice (DOJ) Office of Judicial Programs (OJP) Office
of the Comptroller, U.S. Department of Homeland Security,
Preparedness Directorate Financial Management Guide; U.S.
18
'T'
Department of Homeland Security, Office of Grants and Training, FY
2007 Homeland Security Grant Program — Program Guidance and
Application Kit; ODP WMD Training Course Catalogue; and DOJ Office
for Civil Rights.
Standardized Emergency Management System (SEMS)
requirements as stated in the California Emergency Services Act,
Government Code Chapter 7 of Division 1 of Title 2, § 8607.1(e) and
CCR Title 19, §§ 2445-
2448.
Provisions of 28 CFR applicable to grants and cooperative
agreements, including Part 18, Administrative Review Procedures;
Part 20, Criminal Justice Information Systems; Part 22,
Confidentiality of Identifiable Research and Statistical Information;
Part 23, Criminal Intelligence Systems Operating Policies; Part 30,
Intergovernmental Review of Department of Justice Programs and
Activities; Part 35, Nondiscrimination on the Basis of Disability in
State and Local Government Services;.Part
38, Equal Treatment of Faith -based Organizations; Part 42,
Nondiscrimination /Equal employment Opportunities Policies and
Procedures; Part 61, Procedures for Implementing the National
Environmental Policy Act; Part 63, Floodplain Management and
Weland Protection Procedures; Part 64, Floodplain Management and
Wetland
Protection Procedures; Federal laws or regulations applicable to
federal Assistance Programs; Part 69, New Restrictions on Lobbying;
Part 70, Uniform Administrative Requirements for Grants and
Cooperative Agreements (including sub - awards) with Institutions of
Higher Learning, Hospitals and other Non - Profit Organizations; and
Part 83, Government- Wide Requirements fora 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.
Travel Expenses
SUB - RECIPIENT as provided herein may be compensated for SUB -
RECIPIENTS reasonable travel expenses incurred in the
performance of this Agreement, to include travel and per diem;
unless otherwise expressed. Travel including in -State and out-of-
State travel shall not be reimbursed without prior written
19
authorization from the UASI Grant Office
SUB - RECIPIENT'S travel and per diem reimbursement costs shall
be reimbursed based on the SUB - RECIPIENT'S travel policies
and procedures. If SUB - RECIPIENT does not have established
travel policies and procedures, SUB-RECIPIENT'S reimbursement
rates shall not exceed the amounts established by the State
Department of Personnel Administration Rules and Regulations,
PML 97 -024, Section 599.619, dated July 1, 1997 and Section
599.631, and as amended from time to time.
Noncompliance
SUB - RECIPIENT understands that failure to comply with any of the
above assurances may result in suspension, termination or reduction
of grant funds, and repayment by SUB - RECIPIENT to CITY of any
unlawful expenditures.
C. Compliance With Grant Assurances
To obtain the Grant Funds, the Grantor required an authorized representative
of the CITY to sign certain promises regarding the way the Grant Funds would
be spent ( "Grant Assurances "), attached hereto as Exhibit D. By signing these
Grant Assurances, the CITY became liable to the Grantor for any funds that
are used in violation of the grant requirements. SUB - RECIPIENT shall be
liable to the Grantor for any funds the Grantor determines SUB - RECIPIENT
used in violation of these Grant Assurances. SUB - RECIPIENT shall indemnify
and hold harmless the CITY for any sums the Grantor determines SUB -
RECIPIENT used in violation of the Grant Assurances.
§414. Federal. State and Local Taxes
Federal, State and local taxes shall be the responsibility of SUB - RECIPIENT as
an independent party and not as a CITY employee.
§415. Inventions. Patents and Copyrights
A. Reporting Procedure for Inventions
If any project produces any invention or discovery (Invention) patentable or
otherwise under title 35 of the U.S. Code, including, without limitation,
processes and business methods made in the course of work under this
Agreement, the SUB - RECIPIENT shall report the fact and disclose the
Invention promptly and fully to the CITY. The CITY shall report the fact and
disclose the Invention to the Grantor. Unless there is a prior agreement
between the CITY and the Grantor, the Grantor shall determine whether.to
seek protection on the Invention. The Grantor shall determine how the rights in
the Invention, including rights under any patent issued thereon, will be
allocated and administered in order to protect the public interest consistent
with the policy ( "Policy ") embodied in the Federal Acquisition Regulations
20
144
System, which is based on Ch. 18 of title 35 U.S.C. Sections 200 et seq. (Pub.
L. 95 -517, Pub. L. 98 -620, 37 CFR part 401); Presidential Memorandum on
Government Patent Policy to the Heads of the Executive Departments and
Agencies, dated 2/18/1983); and Executive Order 12591,
4/10/87, 52 FR 13414, 3 CFR, 1987 Comp., p. 220 (as amended by
Executive Order 12618, 12/22/87, 52 FR 48661, 3 CFR, 1987 Comp., p.
262). SUB - RECIPIENT hereby agrees to be bound by the Policy, and will
contractually require its personnel to be bound by the Policy.
B. Rights to Use Inventions
CITY shall have an unencumbered right,
royalty- free license, to use, manufacture,
do so for all government purposes, any
Agreement.
C. Copyright Poiicy
and a non - exclusive, irrevocable,
improve upon, and allow others to
Invention developed under this
Unless otherwise provided by the terms of the Grantor or of this
Agreement, when copyrightable material (Material) is developed
under this Agreement, the author or the CITY, at the CITY'S
discretion, may copyright the Material. If the CITY declines to
copyright the Material, the CITY shall have an unencumbered right,
and a non - exclusive, irrevocable, royalty- free license, to use,
manufacture, improve upon, and allow others to do so.for all
.government purposes, any Material developed under this Agreement.
2. The Grantor shall have an unencumbered right, and a non - exclusive,
irrevocable, royalty-free license, to use, manufacture, improve upon,
and allow others to do so for all government purposes, any Material
developed under this Agreement or any Copyright purchased under
this Agreement.
3. SUB - RECIPIENT shall comply with 24 CFR 85.34.
D. Rights to Data
The Grantor and the CITY shall have unlimited rights or copyright license to
any data first produced or delivered under this Agreement. "Unlimited rights"
means the right to, use, disclose, reproduce, prepare derivative works,
distribute copies to the public, and perform and display publicly, or permit
others to do so; as required by 48 CFR 27.401. Where the data are not first
produced under this Agreement or are published copyrighted data with the
notice of 17 U.S.C. Section 401 or 402, the Grantor acquires the data under a
copyright license as set forth in 48 CFR 27.404(f)(2) instead of unlimited
rights. (48 CFR 27.404(a)).
E. Obligations Binding on Subcontractors
SUB - RECIPIENT shall require all subcontractors to comply with the
21
obligations of this section by incorporating the terms of this section into all
subcontracts.
§416. Minority, Women, And Other Business Enterprise Outreach Program
It is the policy of the CITY to provide _minority business enterprises (MBEs),
women business enterprises (WBEs) and all other business enterprises an equal
opportunity to participate in the performance of all SUB - RECIPIENT contracts,
including procurement, construction and personal services. This policy applies to
all Contractors and Sub - Contractors.
22 ,/
V
DEFAULTS, SUSPENSION, TERMINATION AND AMENDMENTS
§501. Defaults
Should SUB - RECIPIENT fail for any reason to comply with the contractual
obligations of this Agreement within the time specified by this Agreement, the
CITY reserves the right to terminate the Agreement, reserving all rights under
state and federal law.
§502. Amendments
Any change in the terms of this Agreement, including changes in the services to
be performed by SUB - RECIPIENT and any increase or decrease in the amount of
compensation which are agreed to by the CITY and SUB - RECIPIENT shall be
incorporated into this Agreement by a written amendment properly executed and
signed by the person authorized to bind the parties thereto.
SUB - RECIPIENT agrees to comply with all future CITY Directives, or any rules,
amendments or requirements promulgated by the CITY affecting this
Agreement.
23
47
vl
ENTIRE AGREEMENT
§601. Complete Agreement
This Agreement contains the full and complete Agreement between the two
parties. Neither verbal agreement nor conversation with any officer or employee
of either party shall affect or modify any of the terms and conditions of this
Agreement.
§602. Number of Pages and Attachments
This Agreement is executed in two (2) duplicate originals, each of which is
deemed to be an original. This Agreement includes twenty -five (25) pages and
five (5) Exhibits which constitute the entire understanding and agreement of the
parties.
24
49
IN WITNESS WHEREOF, the City and CITY OF NEWPORT BEACH have caused this
Agreement to be executed by their duly authorized representatives on the date first set
forth above.
ATTEST:
M
Patricia E. Healy
Clerk of the Council
RECOMMENDED FOR APPROVAL:
i
By
Paul M. Walters
Chief of Police
APPROVED AS TO ��FORM:
By: IK�Vd�ICr�
aula Coleman -
Assistant City Attorney
CITY OF SANTA ANA, a municipal
Corporation of the Sate of California
By.
David N. Ream
City Manager
SUB - RECIPIENT
CITY OF NEWPORT BEACH
By:
Printed Narrte �/alzaG✓Z �,��'�
Title
APPROVED AS TO FORM
By: A 'g'_ ._ C
Printed Name A o' ✓Z'v C _ C__ eld
Title /¢ S S ; S � 6k ^ •1 C . I. Y '++t o✓r < y
Printed Name IW4 A,&j Gi&(t1A.0DA)
Title lg!ny � !kK J i-
/BONNIE Hft4?k(ES"�
07Y ck�_49
G4�A��r
25 /Q
EXHIBIT A
CERTIFICATION REGARDING DEBARMENT
26
We
EXHIBIT A
CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER
RESPONSIBILITY MATTERS
Applicants should refer to the regulations cited below to determine the certification to which they are
required to attest. Applicants should also review the instructions for certification included in the regulations
before completing this form. Signature of this form provides for compliance with certification requirements
under the applicable CFR covering New Restrictions on Government -wide Debarment and Suspension
(Nonprocurement). The certification shall be treated as a material representation of fact upon which reliance
will be placed when the Agency determines to award the covered transaction or cooperative agreement.
As required by Executive Order 12549, Debarment and Suspension, and implemented under the applicable
CFR for prospective participants in covered transactions, as defined in the applicable CFR
A. The applicant certifies that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced
to a denial of Federal benefits by a State or Federal court or voluntarily excluded from covered
transactions by any Federal department or agency;
(b) Have not within a three -year period preceding this application been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection
with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction
or contract under a public transaction; violation of Federal or State antitrust statutes or
commission of embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
(c) Are not. presently indicted for or otherwise criminally or civilly charged by a.government entity
(Federal State or local) with commission of any of these offenses enumerated in paragraph (1)
(b) of this certification; and.
(d) Have not within a three -year period preceding this application had one or more public
transactions (Federal, State or local) terminated for cause or default; and
B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall
attach an explanan to this application.
y -c_ Address:
kdu,
Name
27
� l
INSTRUCTIONS FOR CERTIFICATION
1. By signing and submitting this document, the prospective recipient of Federal assistance funds is
providing the certification as set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed
when this transaction was entered into. If it is later determined that the prospective recipient of
Federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies
available to the Federal Government, the department or agency with which this transaction originated
may pursue available remedies, including suspension and /or debarment.
3. The prospective recipient of Federal assistance funds shall provide immediate written notice to the
person to which this agreement is entered, if at any time the prospective recipient of Federal
assistance funds learns that its certification was erroneous, when submitted or has become
erroneous by reason of changed circumstances.
4. The terms "covered transaction, "debarred," " suspended," "ineligible," "lower tier covered
transaction," "participant, " 'person," "primary covered transaction, "principal," "proposal," and
"voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and
Coverage sections of rules implementing Executive Order 12549.
5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that, should
the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless authorized by the department or
agency with which this transaction originated.
6. The prospective recipient of Federal assistance funds further agrees by submitting this proposal that
it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transactions," without modification, in all lower tier covered
transactions and in all solicitations for lower tier covered transactions.
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 ftom Procurement or Non
Procurement Proorams.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of records
in order to render in good faith the certification required by this clause. The knowledge and
information of a participant is not required to exceed that which is normally possessed by a prudent
person in the ordinary course of business dealings.
9. Except for transactions authorized under Paragraph 5 of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntary excluded from participation in this transaction, in
addition to other remedies available to the Federal, Government, the department or agency with which
this transaction originated may pursue available remedies, including suspension and/or debarment.
28 . 5c�—,
EXHIBIT B
CERTIFICATION REGARDING LOBBYING
29
6-3
EXHIBIT B
CERTIFICATION REGARDING LOBBYING
Certification for Contracts. Grants. Loans
and Cooyerative_Aar_eements
The undersigned certifies, to the best of his or her knowledge and belief, that:
No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or
employee of an agency, a Member of Congress, an officer or employee of Congress,
or an employee of a Member of Congress in connection with the awarding of any
Federal contract, the making of any Federal grant, the making of any Federal loan,
the entering into of any cooperative agreement, and the extension, continuation,
renewal, amendment, or modification of any Federal contract, grant, loan or
cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this Federal contract, grant,
loan, or cooperative agreement, the undersigned shall complete and submit
Standard Form LLL "Disclosure Form to Report Lobbying" in accordance with its
instructions.
3. The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants,
and contracts under grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
4. This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by Section 1352
Title 31, U.S. Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less that $10,000 and not more than $100,000 for
each such failure.
AGREEMENT NUMBER
MN-FRACTORIBORROWERIAGENCY
30
5
EXHIBIT C
FY07 Anaheim /Santa Ana UASI Application for Project Funding
31
5s
EXHIBIT D
GRANT ASSURANCES
32
sr
Office of Homeland Security
FY07 UASI Grant Assurances
By signing this agreement the SUB - RECIPIENT certifies the following:
1. Has the legal authority to apply for federal assistance, and has the institutional,
managerial and financial capability to ensure proper planning, management and
completion of the grant provided by the federal Department of Homeland
Security and sub - granted through the State of California.
2. Will assure that grant funds are only used for allowable, fair, and reasonable costs
3. Will give the federal government, the General Accounting Office, the
Comptroller General of the United States, the State of California, through any
authorized representative, access to and the right to examine all paper or
electronic records, books, papers, or documents related to the award; and will
establish a proper accounting system in accordance with generally accepted
accounting standards or awarding agency directives.
4. Will provide progress reports and such other information as may be required
by the awarding agency.
5. Will initiate and complete the work within the applicable time frame after
receipt of approval of the awarding agency.
6. Will establish safeguards to prohibit employees from using their positions for a
purpose that constitutes or presents the appearance of personal or organizational
conflict of interest, or personal gain for themselves or others, particularly those
with whom they have family, business or other ties.
Will comply, if applicable, with the Lead -Based Paint Poisoning Prevention Act
(42 U.S.C.. §§ 4801 et seq.) which prohibits the use of lead based paint in
construction or rehabilitation of residence structures. Will comply with all federal
statues relating to nondiscrimination. These include but are not limited to:
a. Title VI of the Civil Rights Act of 1964 (P.L. 88 -352), as amended,
which prohibits discrimination on the basis of race, color or national
origin;
b. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§
1681-
1683 and 1685- 1686), which prohibits discrimination on the basis of sex;
c. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794)
which prohibits discrimination on the basis of handicaps;
d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 -6107)
which prohibits discrimination on the basis of age;
e. The Drug Abuse Office and Treatment Act of 1972 (P.L. 92 -255) as
amended, relating to nondiscrimination on the basis of drug abuse;
f. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment
and Rehabilitation Act of 1970 (P.L. 91 -616), as amended, relating to
33
s7
nondiscrimination on the basis of alcohol abuse or alcoholism;
g. §§ 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd -3
and
290 ee -3), as amended, relating to confidentiality of alcohol and drug
abuse patient records;
It. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as
amended, relating to nondiscrimination in the sale, rental or financing of
housing;
i. Title 28, Code of Federal Regulations, Part 42, Subparts C, D, E and G;
j. Title 28, CFR, Part 35;
k. Any other nondiscrimination provisions in the specific statute(s) under
which application for federal assistance is being made, and
1. The requirements on any other nondiscrimination statute(s) which may
apply to the application.
8. Will comply, or has already complied, with the requirements of Titles II and III of
the Uniform Relocation Assistance and Real Property Acquisition Policies Act of
1970 (42 U.S.C. § 4601 et seq. (P.L. 91 -646) which provides for fair and equitable
treatment of persons displaced or whose property is acquired as a result of federal
or federally assisted programs. These requirements apply to all interested in real
property acquired for project purposes regardless of federal participation in
purchases.
9. Will comply, if applicable, with the flood insurance purchase requirements of
Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93 -234) which
requires recipients in a special flood hazard area to participate in the program and
to purchase flood insurance if the total cost of insurable construction and
acquisition is $101000 or more.
10. Will comply with environmental . standards which may be prescribed
.pursuant to the following:
a.. institution of environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91 -190) and Executive Order (EO)
11514;
b. notification of violating facilities pursuant to EO 11738;
c. protection of wetlands pursuant to EO 11990;
d'. evaluation of flood hazards in floodplains in accordance with EO 11988;
e. assurance of project consistency with the approved state management
program developed under the Coastal Zone Management Act of 1972 (16
U.S.C. §§ 1451 et seq.);
f. conformity of federal actions to State (Clean Air) Implementation Plans.
under.Section FY06 Homeland Security Grant Program Page 45 176(c) of the
Clean Air Act of 1955, as amended (42 U.S.C. § 7401 et seq.);
g. protection of underground sources of drinking water under the Safe Drinking
Water Act of 1974, as amended, (P.L. 93 -523); and
It. protection of endangered species under the Endangered -Species Act of
1973, as amended, (P.L. 93 -205).
i. California Environmental Quality Act (CEQA). California Public Resources
Code
Sections. 21080- 21098. California Code of Regulations, Title 14, Chapter 3
34
Section 15000- 15007.
11. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271
et.seq.) related to protecting components or potential components of the national
wild and scenic rivers system.
12. Will assist the awarding agency in assuring compliance with Section 106 of the
National Historic Preservation Act of 1966, as amended (16 U.S.C. 470), EO
11593 (identification and preservation of historic properties), and the
Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a -1 et seq).
13. Will comply with Standardized Emergency Management System (SEMS)
requirements as stated in the California Emergency Services Act, Government
Code, Chapter 7 of Division 1 of Title 2, Section 8607.1(e) and CCR Title 19,
Sections 2445, 2446, 2447 and 2448.
14. Has requested through the State of California, federal financial assistance to be
used to perform eligible work approved in the applicant's application for federal
assistance. Will, after the receipt of federal financial assistance, through the
State of California, agree to the following:
a. Promptly return to the State of California all the funds received which
exceed the approved, actual expenditures as accepted by the federal or state
government.
b. b. In the event the approved amount of the grant is reduced, the
reimbursement applicable to the amount of the reduction will be promptly
refunded to the State of California.
c. Separately account for interest earned on grant funds, and will return all
interest earned, in excess of $100 per federal fiscal year.
15. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S C.
Sections 47284763) relating to prescribed standards for merit systems for
programs funded under one of the nineteen statutes or regulations specified in
Appendix A of OPM's Standards for a Merit System of Personnel Administration
(5 C.F.R. 900, Subpart F).
16. Will comply with provisions of the Hatch Act (5 U.S.C. Sections 1501 -1508 and
7324 -7328) which limit the political activities of employees whose principal
employment activities are funded in whole or in part with federal funds.
17. Will comply with P.L. 93 -348 regarding the protection of human subjects
involved in research, development, and related activities supported by this
award of assistance.
18. Will comply, if applicable, with the Laboratory Animal Welfare Act of 1966 (P.
L. 89 -544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care, handling,
and treatment of warm blooded animals held for research, teaching, or other
activities supported by this award of assistance. FY06 Homeland Security Grant
Program Page 46
35 59
19. Will comply with the minimum wage and maximum hour provisions of the
Federal Fair Labor Standards Act (29 U.S.C. 201), as they apply to employees of
institutions of higher education, hospitals, and other non -profit organizations.
20. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40
U.S.C. Section 276a to 276a -7), the Copeland Act (40 U.S.C. Section 276c
and 18 U.S.C. Sections 874),.and the Contract Work Hours and Safety
Standards Act (40 U.S.C. Sections 327 -333), regarding labor standards for
federally assisted construction sub- agreements.
21. Will not make any award or permit any award (subgrant or contract) to any party
which is debarred or suspended or is otherwise excluded from or ineligible for
participation in Federal assistance programs under Executive Order 12549 and
12689, "Debarment and Suspension."
22. Agrees that:
a. No federal appropriated funds have been paid or will be paid, by or on
behalf of the undersigned, to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress
in connection with the making of any federal grant, the entering into of any
cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any federal grant or cooperative agreement;
b. If any other funds than federal appropriated funds have been paid or will be
paid to any person for influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or an employee
of Congress, or employee of a Member of Congress in connection with the
federal grant or cooperative agreement, the undersigned shall complete and
submit Standard Form LLL, "Disclosure of Lobbying Activities," in
accordance with its instructions;
c. The undersigned shall require that the language of this certification be
included in the award documents for all sub awards at all tiers including
subgrants, contracts under grants and cooperative agreements, and
subcontract(s) and that all sub recipients shall certify and disclose
accordingly.
d. This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this
certification is a prerequisite for making or entering into this transaction
imposed by section 1352, Title 31, U.S. Code.. Any person who fails to file
the required certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
- 23. Agrees that equipment acquired or obtained with grant funds:
a; Will be made available under the California Disaster and Civil Defense
Master Mutual Aid Agreement in consultation with representatives of the
various fire, emergency medical, hazardous materials response services, and
law enforcement agencies within the jurisdiction of the applicant.
b. Is consistent with needs as identified in the State Homeland Security Strategy
and will be deployed in conformance with that Strategy.
36
c. Will be made available pursuant to applicable terms of the Califomia 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 Califomia Fire Services
and Rescue Mutual Aid Plan.
24. Agrees that funds awarded under this grant will.be used to supplement existing
funds for program activities, and will not supplant (replace) non - federal funds.
25. Will comply with all applicable Federal statutes, regulations, policies,
guidelines and requirements, including OMB Circulars A -2.1, A -87, A102, A-
110, A -122, and A -133, E.O. 12372 and Uniform Administrative
Requirements for Grants and Cooperative Agreements contained in Title 28,
Code of Federal Regulations, Part 66 or 70, that govern the application,
acceptance and use of Federal funds for this federally - assisted project.
26. Will comply, and assure the compliance of all its subgrantees and contractors,
with the nondiscrimination requirements of the Omnibus Crime Control and
Safe Streets Act of 1968, as amended, 42 USC 3789(d), or the Juvenile
Justice and Delinquency Prevention Act, or the Victims of Crime Act, as
appropriate; the provision of the current edition of the Office of Justice
Programs Financial and Administrative Guide for Grants, M7100,1, and all
other applicable Federal laws, orders, circulars, or regulations.
27. Will comply with provisions of 28 CFR applicable to grants and cooperative
agreements, Including:
a. Part 18, Administrative Review Procedures;
b. Part 20, Criminal Justice Information Systems;
c. Part 22, Confidentiality of Identifiable Research and Statistical Information;
d. Part 23, Criminal Intelligence Systems Operating Policies;
e. Part 30, Intergovernmental Review of Department of Justice Programs and
Activities;
f. Part 35, Nondiscrimination on the Basis of Disability in State and Local
Government Services;
g. Part 38, Equal Treatment of Faith -based Organizations;
h. Part 63, Floodplain Management and Wetland Protection Procedures;
i. Part 42, Nondiscrimination/Equal Employment Opportunities Policies and
Procedures;
j. Part 61, Procedures for Implementing the National Environmental Policy Act;
k. Part 64, Floodplain Management and Wetland Protection Procedures; and
Federal laws or regulations applicable to Federal Assistance Programs.
1. Part 66, Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments.
m. Part 67, Government -Wide Debarment and Suspension (Non- Procurement)
n. Part 69, New Restrictions on Lobbying
o. Part 70, Uniform Administrative Requirements for Grants and
Cooperative Agreements (including sub - awards) with Institutions of
Higher Learning, Hospitals and other Non -Profit Organizations.
p. Part 83, Government -Wide Requirements for a Drug Free Workplace (grants)
37
69/
28. Will ensure that the facilities under its ownership, lease or supervision which
shall be utilized in the accomplishment of this project are not listed in the
Environmental Protection Agency's (EPA) list of Violating Facilities and that it
will notify the Federal Grantor agency of the receipt of any communication from
the Director of the EPA Office of Federal Activities indicating that a facility to
be used in the project is under consideration for listing by the EPA.
29. Will comply with Subtitle A, Title II of the Americans with Disabilities Act
(ADA) 1990.
30. Will, in the event a Federal or State court or Federal or State administrative
agency makes a finding of discrimination after a due process hearing on the
grounds or race, color, religion, national origin, sex, or disability against a
recipient of funds, the recipient will forward a copy of the finding to the Office
of Civil Rights, Office of Justice Programs.
31. Will provide an Equal Employment Opportunity Plan, if applicable, to the
Department of Justice Office of Civil Rights within 60 days of grant award.
32. Will comply with the financial and administrative requirements set forth in
the current edition of the Office of Justice Programs (OJP) Financial Guide.
33. Will comply; if applicable, with the provision of the Coastal Barrier Resources
Act (P.L.97 -348) dated October 19, 1982 (16 USC 3501 et seq.) which prohibits
the expenditure of most new Federal funds within the units of the Coastal Barrier
Resources System.
34. Will comply with all applicable requirements of all other federal laws, executive
orders, regulations, program and administrative requirements, policies and any
other requirements governing this program.
35. Understands that failure to comply with any of the above assurances may
result in suspension, termination or reduction of grant funds.
36. As required by Executive Order 12549, Debarment and Suspension, and
implemented at 28 CFR Part 67, for prospective participants in primary covered
transactions, as defined at 28 CFR Part 67, Section 67.510
A. The applicant certifies that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared
ineligible, sentenced to a denial of Federal benefits by a State or Federal
court, or voluntarily excluded from covered transactions by any Federal
department or agency;
(b) Have not within a three -year period preceding'this application been
convicted of or had a civil judgment rendered against them for commission of
fraud, or a criminal offense in connection with obtaining, attempting to obtain,
38
(p e2i
or performing a public (Federal, State, or local) transaction or contract under a
public transaction; violation of Federal or State antitrust statutes or
commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged
by a governmental entity (Federal, State, or local) with commission of any
of the offenses enumerated in paragraph (1)(b) of this certification; and (d)
Have not within a three -year period preceding this application had one or
more public transactions (Federal, State, or local) terminated for cause or
default; and
B. Where the applicant is unable to certify to any of the statements in this
certification, he or she shall attach an explanation to this application.
37. As required by the Drug -Free Workplace Act of 1988, and implemented at 28
CFR Part 67, Subpart F, for grantees, as defined at 28 CFR Part 67 Sections
67.615 and 67.620
A. The applicant certifies that it will or will continue to provide a drug -free
workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession, or use of a controlled
substance is prohibited in the grantee's workplace and specifying the
actions that will be taken against employees for violation of such
prohibition;
(b) Establishing an on -going drug -free awareness program to inform
employees about:
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug -free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance programs; and
(4) The penalties that may be imposed upon employees for drug
abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in the
performance of the grant be given a copy of the statement required by
paragraph (a);
(d) Notifying the employee in the statement required by paragraph (a) that,
as a condition of employment under the grant, the employee will
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing. of his or her conviction for a violation
of a criminal drug statute occurring in the workplace no later than five
calendar days after such conviction;
39 3
(e) Notifying the agency, in writing, within 10 calendar days after
receiving notice under subparagraph (d)(2) from an employee or
otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title, to:
Department of Justice, Office of Justice
Programs, ATTN: Control Desk,
633 Indiana Avenue, N.W., Washington, D.C. 20531.
Notice shall include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days of
receiving notice under subparagraph (d)(2), with respect to any
employee who is so convicted
(1) Taking appropriate personnel action against such an employee, up to
and including termination, consistent with the requirements of the
Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a drug
abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement,, or
other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug -free
workplace through implementation of paragraphs (a),. (b), (c), (d), (e),
and (f).
As the duly authorized representative of the applicant, I hereby certify that the
applicant will comply with the above certifications.
The undersigned represents that he /she is authorized by the above named applicant to
enter into this agreement for and on behalf of the said applicant.
Signature of
Authorized Agent:
Printed Name of
Authorized Agent: .0'W"
Title: . 74r ..err _ _
40 4
EXHIBIT E
REIMBURSEMENT REQUEST FOR GRANT EXPENDITURES
41
CO S
Anaheim /Santa Ana Urban Areas Security Initiative
Reimbursement Request for Grant Expenditures
Mai! Reimbursement Request to:
Anaheim Police Department
East Station — Homeland Security Bureau
Attn: Lisa Navarro, Grant Coordinator
425 S. Harbor Blvd.
Anaheim, CA 92805
Agency / City Requesting Reimbursement
❑ This is the final reimbursement request
Santa Ana Police Department
Attn: Sgt. Enrique Esparza, Grant Coordinator
60 Civic Center Plaza
P.O. Box 1981
Santa Ana, CA 92702
Total Amount Requested: $
(Attach copies of supporting invoices)
Under penalty of perjury, I certify that:
• 1 am an authorized officer of the claimant herein.
• This claim is in all respects true, correct, and all expenditures were made in
accordance with applicable laws, rules, regulations and grant conditions and
assurances.
• All attached invoices for items and/or services have been received in full.
Printed Name
Auftl�
Phone Number
E -Mail Address
Mailing Address Fax Number
City, State, Zip Code
Signature
(Please sign in blue ink.)
For Anaheim /Santa Ana UASI Grant Coordinator Use Only
Approved for
Date:
Processing:
Request Tracking Number:
Account N:
Grant:
FUASI
Grant
Project:
Solution
Year:
Area:
Special Instructions /
Comments
42
LO �
City of Newport Beach
BUDGET AMENDMENT
2007 -08
EFFECT ON BUDGETARY FUND BALANCE:
Increase Revenue Estimates
X Increase Expenditure Appropriations AND
Transfer Budget Appropriations
SOURCE:
from exisfing budget appropriations
X from additional estimated revenues
from unappropriated fund balance
FXPI ANATION:
NO. BA- 08BA -064
AMOUNT: $a7,315.as
Increase in Budgetary Fund Balance
Decrease in Budgetary Fund Balance
PX No effect on Budgetary Fund Balance
This budget amendment is requested to provide for the following:
To increase expenditure appropriations and revenue estimates to accept 2007 UASI transfer agreement training funds to be
utilized for reimbursement of training costs associated with approved Department of Homeland Security (DHS) courses for
emergency personnel.
ACCOUNTING ENTRY:
BUDGETARY FUND BALANCE Amount
Fund Account Description Debit Credit
REVENUE ESTIMATES (3601)
Signed: � // �
Fi;�;e- oval: Administ a Services Director Date
Signed: z fJ ��
y
Ad ministrative A Da
,p(roval: City Manager
Signed:
City Council Approval: City Clerk Date
Fund /Division
Account
Description
1820
48665
PD Support Svcs - 2007 UASI Training Grant $47,315.46
EXPENDITURE APPROPRIATIONS (3603)
Description
Division
Number
7014
Misc & Studies
Account
Number
C8002010
2007 UASI Training Grant $47,315.46
Division
Number
Account
Number
Division
Number
Account
Number
Division
Number
Account
Number
Division
Number
Account
Number
Signed: � // �
Fi;�;e- oval: Administ a Services Director Date
Signed: z fJ ��
y
Ad ministrative A Da
,p(roval: City Manager
Signed:
City Council Approval: City Clerk Date