HomeMy WebLinkAbout05 MWDOC AGMT FOR TRANSFER EQUIPMENT FOR FY 2011 UASI• Agenda Item �-
1W AGENDA REPORT Reviewed
City Manager
Finance Director N/A
MEETING DATE: JUNE 4, 2013
TO: JEFFREY C. PARKER, CITY MANAGER
FROM: DOUGLAS S. STACK, DIRECTOR OF PUBLIC WORKS /CITY ENGINEER
SUBJECT: APPROVE AGREEMENT BETWEEN THE MUNICIPAL WATER DISTRICT OF
ORANGE COUNTY AND CITY FOR TRANSFER OF EQUIPMENT (POTABLE
WATER TRAILER) FOR FY2011 URBAN AREAS SECURITY INITIATIVE
(UASI)
SUMMARY
The agreement provides for the transfer of a 2,000 gallon potable water trailer with electric brakes,
engine, pump, a ten spigot manifold and lighting for nighttime operations. The trailer to be
transferred will be accompanied by a Certificate of Title and a Permanent Trailer Identification (PTI)
Card. Upon receiving the trailer, the City shall initiate action to transfer title, ownership and
financial responsibility of the trailer from the Municipal Water District of Orange County ( MWDOC)
to the City pursuant to applicable California Department of Motor Vehicles procedures.
RECOMMENDATION
It is recommended that the City Council:
1. Approve Agreement for transfer of equipment (potable water trailer) for FY2011 Urban Areas
Security Initiative (UASI) between the Municipal Water District of Orange County and City of
Tustin; and
2. Authorize the City Manager or his designee to execute all documents necessary to effectuate
transfer of title and ownership of potable water trailer to the City of Tustin.
FISCAL IMPACT
Funding for this entire purchase has been made available through a grant from the FY2011 Urban
Areas Security Initiative (UASI) from the federal Department of Homeland Security, Federal
Emergency Management Agency (FEMA) through the State of California Emergency Management
Agency (Cal EMA) to enhance countywide emergency preparedness. A total of twelve trailers are
being funded by this grant countywide.
DISCUSSION AND BACKGROUND
The Municipal Water District of Orange County ( MWDOC) applied for and was approved to receive
a $431,000 Homeland Security Urban Area Security Initiative (UASI) grant to purchase 2,000
gallon capacity potable water trailers that will be used as mutual aid equipment during disasters.
MWDOC's goal was to facilitate the purchase of as many trailers as possible through a competitive
bid process, and then to transfer ownership and responsibility for those trailers to retail water
agencies in Orange County in order to enhance the county's ability to respond to major disasters.
Tustin, in partnership with East Orange County Water District (EOCWD), has been working with
the MWDOC to receive and take ownership of one trailer. In order to do so, the City must sign the
Potable Water Trailer Transfer Agreement
June 4, 2013
Page 2
attached Transfer Agreement. Only one owner can take ownership and the City is taking the lead
in that regard. Storage will be provided by EOCWD with service and maintenance handled by the
City.
Following the Baja Earthquake, the water utilities of Orange County assessed their systems for
vulnerabilities and most probable concerns following a major disaster, natural or otherwise. It was
determined that one of the largest concerns was for water distribution capabilities to the public or
for critical infrastructures, such as hospitals or for other recovery efforts. It was identified that more
than likely the utilities will have potable water remaining in storage in numerous locations, but no
ability to distribute the water to where it is needed. A panel of several dozen water experts
representing most of the water utilities in the county determined that the acquisition and strategic
use of water distribution trailers would be the most efficient solution to this concern.
MWDOC was able to apply for and receive UASI funds for this project on behalf of the retail water
agencies in Orange County. MWDOC executed a Grant Agreement with the City of Santa Ana, as
the Grant Administrator on behalf of the Urban Area Security Initiative (UASI). In Orange County
all UASI funds are administered through either Santa Ana or Anaheim as part of the
Anaheim /Santa Ana Urban Area (ASAUA).
City Staff and legal counsel have worked with the MWDOC staff and MWDOC legal counsel to
provide input on the transfer agreement. Many of the provisions of the agreement are required by
the grant guidelines and the grant agreement that facilitated the purchase of the trailers. The
agreement has been reviewed and approved as to form by the City Attorney.
The trailer must be available for mutual aid when it is reasonable and the trailer is not otherwise in
use by either agency. City Public Works Department personnel have all the proper licensing and
tanker endorsement to operate the trailer and when the trailer is requested for mutual aid purposes
and delivery is necessary. By providing trained staff for the deployment of the trailer, the City is
ensuring the proper use of the trailer and its potable water status.
Upon delivery of the Trailers, the trailer vendor will provide training on the trailer components to the
receiving agencies. The vendor will be available for one 8 -hour day in order to provide each
receiving agency with training on the trailers and trailer components.
Additionally, the Water Emergency Response Organization of Orange County (WEROC) will be
hosting a work group of the receiving agencies and the California Department Public Health Food
and Drug Administration, as well as the Drinking Water Division to develop a standard operating
procedure (SOP) for the trailer. The goal is to make it easy for agencies to take over the trailers
and to ensure that all trailers are being maintained and operated in a way that meets the
regulations.
The following is a complete list of the agencies anticipated to receive a trailer assuming all
agreements and requirements are met:
• City of Anaheim
• City of Garden Grove
• Irvine Ranch Water District
• Laguna Beach County Water District
• Moulton Niguel Water District
• City of Orange
• Santa Margarita Water District
S: \City Council Items\2013 Council Items\Approve Equip Transfer Agreement with MWDOC.docx
Potable Water Trailer Transfer Agreement
June 4, 2013
Page 3
• City of Seal Beach
• South Coast Water District
• City of Tustin /East Orange County Water District
• Yorba Linda Water District
Stack, P.E.
Public Works /City Engineer
Attachment(s): MWDOC /CITY Agreement
SACity Council Itemst2013 Council Items\Approve Equip Transfer Agreement with MWDOC.docx
AGREEMENT FOR TRANSFER
OF EQUIPMENT (POTABLE WATER TRAILER)
FOR FY2011 URBAN AREAS SECURITY INITIATIVE (UASI)
THIS AGREEMENT is entered into this day of 2013 (dated for
identification purposes only) by and between the MUNICIPAL WATER DISTRICT OF
ORANGE COUNTY, a municipal water district ( MWDOC) and CITY OF TUSTIN, a
municipal corporation (RECIPIENT), also referred to collectively as "Parties" and individually
as "Party."
WHEREAS, the City of Santa Ana (CITY), acting through its Police Department, in its
capacity as a Core City of the MWDOC /Santa Ana Urban Area under the FY2011 Urban Areas
Security Initiative, has applied for, received and accepted a grant entitled "FY2011 Urban Areas
Security Initiative" (UASI) from the federal Department of Homeland Security, Federal
Emergency Management Agency (FEMA), through the State of California Emergency
Management Agency (Cal EMA) to enhance countywide emergency preparedness (the
GRANT); and
WHEREAS, MWDOC, acting through the Water Emergency Response Organization of
Orange County (WEROC), is eligible to receive financial assistance under the GRANT in its
capacity as the Sub - Recipient under the agreement between MWDOC and the CITY entitled
"Agreement for Transfer or Purchase of Equipment/Services or For Reimbursement of Training
Costs For FY2011 Urban Areas Security Initiative (UASI)" (GRANT AGREEMENT), a copy of
which is attached hereto as Attachment A and incorporated herein by this reference; and
WHEREAS, the terms of the GRANT AGREEMENT require that MWDOC use certain
GRANT funds to purchase authorized equipment, exercises, services or training that will be
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transferred to sub - recipients, including RECIPIENT, to be used for GRANT purposes in a
manner consistent with the GRANT, as set forth in the FY 2011 Urban Areas Security Initiative
Grant Program Anaheim/Santa Ana UASI Sub - Recipient Grant Guide Standard Operating
Procedures, Policies and Forms (GRANT GUIDELINES), a copy of which is attached hereto as
Attachment B and incorporated herein by this reference; and
WHEREAS, RECIPIENT desires to acquire a potable water trailer(s) as conditioned
herein and authorized by the GRANT.
NOW, THEREFORE, THE PARTIES MUTUALLY AGREE AS FOLLOWS:
I. As more specifically set forth herein. MWDOC shall purchase and transfer to
RECIPIENT a potable water trailer ( "TRAILER ") as specified in Attachment C, attached hereto
and incorporated herein by this reference, in accordance with the GRANT GUIDELINES and the
California Emergency Management Agency (Cal EMA) Fiscal Year (FY) 2011 Grant
Assurances (GRANT ASSURANCES), a copy of which are a component of Attachment A and
incorporated herein by this reference. When purchasing the TRAILER. MWDOC shall comply
with its purchasing and bidding procedures and applicable state laws and shall meet federal
procurement requirements for the GRANT as set forth in 2 Code of Federal Regulations (CFR)
Part 225 "Cost principles for State. Local, and Indian Tribal Governments" and 44 CFR Part 13
"Uniform Administrative Requirements for Grants and Cooperative Agreements to State and
Local Governments." Further, as required by FEMA and established by the Office of Federal
Procurement Policy in the Office of Management and Budget, this Agreement includes the
FEMA Required Provisions specified in Attachment D, attached hereto and incorporated herein
by this reference.
2. Within ten (10) days of receiving the TRAILER, RECIPIENT shall initiate action
to transfer title. ownership and financial responsibility of the TRAILER from MWDOC to
RECIPIENT pursuant to applicable California Department of Motor Vehicles procedures.
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3. Throughout its useful life, RECIPIENT shall use the TRAILER acquired with
GRANT funds only for those purposes permitted under the terms of the GRANT AGREEMENT,
and shall make the TRAILER available for mutual aid response to other governmental entities to
the maximum extent practicable and when not in use by the RECIPIENT.
4. Care of the TRAILER. Once in RECIPIENT's possession and control,
RECIPIENT shall exercise due care to preserve and safeguard the TRAILER from undue wear.
damage or destruction and shall provide such regular maintenance, service and repairs for the
TRAILER as are reasonable and consistent with responsible ownership. These shall include,
without limitation, maintenance, service and repairs recommended by any warranty or owner's
manual to keep the TRAILER continually in good working order. Such maintenance and
servicing shall be the sole responsibility of RECIPIENT, which shall assume full joint and
several responsibility for maintenance and repair of the equipment throughout the life of the
TRAILER. RECIPIENT's exercise of due care as provided in this section shall include (1) the
provision of a structure or other physical barrier to protect the TRAILER from direct sunlight,
rain and other elements, and (2) the provision of procedures, facilities and equipment to protect
the TRAILER from theft, unauthorized use and vandalism.
a. At all times RECIPIENT has possession and control of the TRAILER as
provided herein, it shall procure and maintain insurance against claims for
injuries to persons or damage to property which may arise from or in
connection with the TRAILER. The minimum scope and limits of
insurance coverage shall be:
i. CGL coverage (ISO Occurrence Form No. CG 0001, or
equivalent); $1.000,000 per occurrence of Bodily Injury, Personal
Injury and Property Damage, and $2,000,000 Aggregate Total
Bodily Injury and Property Damage.
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ii. Automobile Liability, Any Auto (ISO Form No. CA 0001, or
equivalent); $1,000,000 for Bodily Injury and Property Damage,
each accident.
b. The cost of such insurance shall be borne by the RECIPIENT. Proof of
insurance acceptable to MWDOC shall be provided prior to delivery of
TRAILER.
C. As respects the liability insurance required herein, RECIPIENT may elect
to (i) self - insure, (ii) provide coverage through a joint powers insurance
authority (JPIA) duly formed under the laws of the State of California, or
(iii) utilize a combination of self- insurance and JPIA coverage. Proof of
self insurance and /or JPIA coverage acceptable to MWDOC shall be
provided prior to delivery of TRAILER.
5. In the event of loss, damage, disposal or theft of equipment, RECIPIENT shall
notify WEROC and the CITY in writing as soon as practicable, and no later than 30 calendar
days after discovery of same. RECIPIENT shall be responsible for all costs of repair. If the
TRAILER is lost, stolen, or damaged beyond repair, the TRAILER shall be replaced by the
RECIPIENT, at its sole cost, with equipment of like kind and capability, subject to approval by
WEROC and the CITY. The RECIPIENT`s liability for repair and replacement costs shall not
be limited to insurance proceeds.
6. Permits. RECIPIENT shall obtain and maintain all permits, licenses, certificates
or other authorizations (collectively PERMITS) necessary for storing, maintaining and operating
the TRAILER as provided herein, and RECIPIENT shall pay any and all fees required for such
PERMITS. RECIPIENT shall notify MWDOC immediately of any suspension, termination,
lapse, non - renewal, or restriction, of PERMITS relative to the TRAILERS. Necessary PERMITS
include, without limitation:
a. California Department of Motor Vehicles "frailer Registration
Page 4 of 84
b. California Department of Public Health Food and Drug Branch Water
Hauler License
C. At least 1 Class A. Tanker Classification driver per Trailer received
d. At least I vehicle of appropriate size and capacity to tow the trailer when
full, per Trailer received
e. All PERMITS required by State and Federal regulation, as they may
change from time to time.
7. All equipment acquired or obtained with GRANT funds and transferred to
RECIPIENT, including without limitation the TRAILERS:
a. Shall be made available under the California Disaster and Civil Defense
Master Mutual Aid Agreement in consultation with representatives of
WEROC and the various fire, emergency medical, hazardous materials
response services, and law enforcement agencies within the Orange
County Operational Area, when not in use by the RECIPIENT:
b. 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, when not in use by the
RECIPIENT;
C. Shall be subject to the following provisions in FEMA's "Uniform
Administrative Requirements for Grants and Cooperative Agreements to
State and Local Governments ": 44 CFR 13.32 ( "Equipment ") and 13.33
( "Supplies ") regarding title to, maintenance and use of, and disposition of
equipment and supplies acquired under a federal grant.
d. Shall be made available for use on other projects or programs currently or
previously supported by the Federal Government, providing such use will
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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 Cal EMA as awarding agency under the
GRANT.
e. Shall be added to the WebEOC Resource Manager system as a mutual aid
resource that can be tracked, requested and deployed.
F. Shall be recorded on a ledger maintained by RECIPIENT. The initial
ledger shall be prepared by RECIPIENT and provided to M WDOC within
30 days of receiving the TRAILER and then biannually on a schedule set
by MWDOC. The ledger, shall include: (a) description of the TRAILER,
(b) manufacturer's model and serial number, if any, (c) Federal Stock
number, national stock number, or other identification number, if any; (d)
the source of acquisition of the TRAILER, including the award number,
(e) date of acquisition; (f) the per unit acquisition cost of the TRAILER,
(g) records showing maintenance procedures that been undertaken to keep
the TRAILER in good running order, and (h) location and condition of
TRAILER. Records constituting the ledger must be retained pursuant to
44 C.F.R. Part 13.42, and the Office of Grants & Training.
g. Shall have an Anaheim /Santa Ana Urban Area ( "ASAUA ") identification
decal affixed to it in a location where, whenever practicable, it is readily
visible. and RECIPIENT shall not remove or obscure the decal.
h. Shall have a physical inventory taken of the equipment, including the
TRAILER, by RECIPIENT at least once every year, and the inventory
results shall be reconciled by RECIPIENT against its equipment records.
In addition, inventory shall be taken prior to any UASI. State or Federal
monitor visits.
Page 6 of 84
8. If the TRAILER acquired with GRANT funds becomes obsolete or unusable,
RECIPIENT shall notify MWDOC of such condition. RECIPIENT shall transfer or dispose of
the GRANT - funded TRAILER only in accordance with the instructions of MWDOC or the
CITY in its capacity as the agency from which MWDOC received the GRANT funds.
9. RECIPIENT agrees to comply with and be fully bound by all applicable
provisions of the GRANT and Attachments A through D to this Agreement.
10. In the event MWDOC, as the result of a grant audit or other occurrence, becomes
responsible for reimbursing the CITY or FEMA some portion of the funding provided for the
TRAILERS, MWDOC will make every effort to minimize the amount of the trailer purchase for
which funding will be disallowed. If trailer purchase costs remain unfunded despite their efforts
MWDOC will look to the receiving agencies to cover these costs for the trailer(s) they receive.
11. 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 directors,
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 this above- stated
purpose, each Party indemnifies and holds harmless the other Party for liability that may be
imposed on the other Party solely by virtue of Section 895.2. The provision of Section 2778 of
the California Civil Code is made a part hereto as if fully set forth herein.
12. Public Records Act. MWDOC and RECIPIENT are public agencies subject to the
California Public Records Act (Ca. Gov. Code. § 6250 et seq.) (Act). All requests for records
related to this Agreement will be handled pursuant to the Act.
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13. Conflict Of Interest. Under the provisions of the GRANT AGREEMENT,
MWDOC and RECIPIENT are required to include the following Conflict of Interest provisions
in this Agreement.
a. The 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:
i. A member of such person's immediate family, or domestic partner
or organization has a financial interest in the subcontract;
ii. The subcontractor is someone with whom such person has or is
negotiating any prospective employment or
iii. 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.
b. Definitions:
i. 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.
ii. The term "financial or other interest' includes but is not limited to:
Page 8 of 84
(1) 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.
(2) 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 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 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 RECIPIENT.
e. Prior to obtaining MWDOC'S Approval of any subcontract. the
RECIPIENT shall disclose to MWDOC any relationship, financial or
otherwise, direct or indirect, of the 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 RECIPIENT, State of California, and Federal regulations
regarding conflict of interest.
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g. The 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 RECIPIENT covenants that no member, officer or employee of
RECIPIENT shall have interest, direct or indirect, in any contract or
subcontract or the proceeds thereof for work to be performed in
connection with the TRAILERS during his /her tenure as such employee,
member or officer or for one year thereafter.
14. Incorporation By Reference Of GRANT AGREEMENT. Pursuant to Section 7 of
the GRANT AGREEMENT (Attachment A hereto), the terms of the GRANT AGREEMENT are
hereby incorporated by reference and binding on the RECIPIENT.
15. Nondiscrimination and Affirmative Action. 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, 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. 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 C.F.R. Part 60).
a. If required, RECIPIENT shall submit an Equal Employment Opportunity
Plan ( "EF.OP ") to the DOJ Office of Civil Rights ( "OCR") in accordance
with guidelines listed at http:// www.ojp.usdoj.gov /ocr /ceop.htm.
b. Any subcontract entered into by RECIPIENT relating to this Agreement,
to the extent allowed hereunder, shall be subject to the provisions of this
section.
Page 10 of 84
16. No alteration or variation of the terms of this Agreement shall be valid unless
made in writing and signed by duly authorized representatives of MWDOC and RECIPIENT.
and no oral understanding or agreement not incorporated herein shall be binding on any of the
Patties hereto.
17. RECIPIENT may not assign this Agreement in whole or in part without the
express written consent of MWDOC.
18. For a period of three years after final delivery hereunder or until all claims related
to this Agreement are finally settled, whichever is later, RECIPIENT shall preserve and maintain
all documents, papers and records relevant to the TRAILER acquired in accordance with this
Agreement. For the same period of time, RECIPIENT shall make said documents, papers and
records available to MWDOC and the agency from which MWDOC received GRANT funds or
their duly authorized representative(s), for examination, copying, or mechanical reproduction on
or off the premises of RECIPIENT, upon request during usual working hours.
19. RECIPIENT shall provide to MWDOC all records and information requested by
MWDOC for inclusion in quarterly reports and such other reports or records as MWDOC may
be required to provide to the agency from which MWDOC received GRANT funds or other
persons or agencies.
20. MWDOC may terminate this Agreement and be relieved of the delivery of any
consideration to RECIPIENT if (a) RECIPIENT fails to perform any of the covenants contained
in this Agreement, at the time and in the matter herein provided, or (b) MWDOC loses funding
under the GRANT. If at any point WEROC / MWDOC or the CITY reasonably believes that
RECIPIENT is in breach of this Agreement, MWDOC may send a Corrective Action
Notification Letter to RECIPIENT identifying the breach and the corrective actions that are
needed. If corrective actions are not taken within the time frame stated in the letter, further
actions by MWDOC or the CITY may include repossession and reassignment of the TRAILER
in cooperation with the Anaheim /Santa Ana UASI grant office, invoicing of the CITY for costs
attributable to breach of the Agreement, and denial of participation in future UASI grant projects.
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21. RECIPIENT and its agents and employees and independent contractors shall act
in an independent capacity in the performance of this Agreement, and shall not be considered
officers, agents or employees of MWDOC or of the agency from which MWDOC received
GRANT funds.
22. In the performance of this Agreement, RECIPIENT and its governing body,
officers, agents and employees shall comply with by all applicable federal, state and local laws,
including all applicable statutes, regulations, executive orders and ordinances.
IN WITNESS HEREOF, the MUNICIPAL WATER DISTRICT OF ORANGE
COUNTY and CITY OF TUSTIN have executed this Agreement through their authorized
representatives on the date first set forth above.
MUNICIPAL WATER DISTRICT
OF ORANGE COUNTY
LE
Karl Seckel
Interim General Manager
APPROVED AS TO FORM:
BEST BEST & KRIEGER LLP
By:
Daniel J. Payne
Legal Counsel
Its:
RECIPIENT
CITY OF TUSTIN
0
Al Murray
(Printed Name)
Title: Mayor
WOODRUFF, SPRADLIN & SMART
By: a, M �
David E. Kendi
(Printed Name)
Title: City Attornev
Page 12 of 84
ATTACHMENT A
AGREEMENT FOR TRANSFER OR PURCHASE OF EQUIPMENT /SERVICES OR
FOR REIMBURSEMENT OF TRAINING COSTS FOR FY2011 URBAN AREAS
SECURITY INITIATIVE (UASI)" BETWEEN THE CITY OF SANTA ANA AND
MWDOC, DATED DECEMBER 14, 2011
Page 13 of 84
IS1,1R.Af CE
'.
r
SUB-RECIPIENT:
City Contract Number
A-2011-225-09
AGREEMENT
MUNICIPAL WATER DISTRICT OF ORANGE COUNTY
Page 14 of 84
Section Description
TABLE OF CONTENTS
Page
INTRODUCTION
§101. Parties to the Agreement
§102. Representatives of the Parties and Service of Notices
§103. Independent Party
§104. Conditions Precedent to Execution of this Agreement
11
TERM AND SERVICES TO BE PROVIDED
§201. Time of Performance
§202. Use of Grant Funds
111
PAYMENT
§301. Payment of Grant Funds and Method of Payment
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
Page 15 of 84
TABLE OF CONTENTS
Section Description
Paqe
§410.
Indemnification
11
§411.
Conflict of Interest
11
§412.
Restriction on Disclosures
13
§413.
Statutes and Regulations Applicable to All Grant Contracts
13
§414.
Federal, State, and Local Taxes
20
§415.
Inventions, Patents and Copyrights
20
§416.
MBENVBE
22
V
DEFAULTS, SUSPENSION, TERMINATION, AND AMENDMENTS
§501. Defaults 23
§502. Amendments 23
V
ENTIRE AGREEMENT
§601. Complete Agreement 24
§602. Number of Pages and Attachments 24
Execution (Signature) Page 25
EXHIBITS
Exhibit A Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transactions
Exhibit B Certification Regarding Lobbying
Exhibit C Grant Assurances
Exhibit D Reimbursement Request for Grant Expenditures
Page 16 of 84
Agreement Number:
AGREEMENT FOR TRANSFER OR PURCHASE OF EQUIPMENT /SERVICES OR FOR
REIMBURSEMENT OF TRAINING COSTS
FOR FY2011 URBAN AREAS SECURITY INITIATIVE (UASI)
BETWEEN
THE CITY OF SANTA ANA
AND MUNICIPAL WATER DISTRICT OF ORANGE COUNTY
THIS AGREEMENT is made and entered into this 14th day of December, 2011, by and
between the CITY OF SANTA ANA, a municipal corporation (the "CITY "), and MUNICIPAL
WATER DISTRICT OF ORANGE COUNTY(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 FY11 Urban
Areas Security Initiative, has applied for, received and accepted a grant entitled "FY
2011 Urban Areas Security Initiative" from the federal Department Of Homeland
Security(DHS) Federal Emergency Management Agency (FEMA), through the State of
California Emergency Management Agency (CalEMA), to enhance countywide
emergency preparedness (the "grant'), as set forth in the grant guidelines and
assurances that are incorporated to this Agreement by reference and located at:
http:llwww.fema.gov/pdf/government/grant/201 1 /fy 11 _hsgp_kit. pdf
hftp://www.calema.ca.gov/EMS-HS-
HazMat/Documents/HSGP/1 1/FY1 1 % 20CA %20Supplement %20to %20the %20Fed
eral %20 Program %20G uidance. pdf
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 Emergency Management Agency
( "Cal- EMA "); and
WHEREAS, this financial assistance is being provided to address the unique
equipment, training, planning, and exercise needs of large urban areas, and to assist
them in building an enhanced and sustainable capacity to prevent, respond to, and
recover from threats or acts of terrorism; and
WHEREAS, the Anaheim /Santa Ana Urban Area ( "ASAUA ") consists of 34 cities
in Orange County, including the City of Santa Ana and the City of Anaheim, the County
of Orange, including the unincorporated area of the County of Orange, Santa Ana
Unified School District Police, California State University, Fullerton, University of
California, Irvine, Municipal Water District of Orange County, and the Orange County
Page 17 of 84
Fire Authority; and
WHEREAS, the Office of Grants Management ( "OGM ") awarded a FY11 UASI
Grant of $7,421,142 ( "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
terrorism prevention and emergency preparedness; and
WHEREAS, the UASI Grant Office now wishes to distribute FY11 UASI Grant
Funds throughout the ASAUA, as further detailed in this Agreement ( "Agreement') to
MUNICIPAL WATER DISTRICT OF ORANGE COUNTY ( "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
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§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. MUNICIPAL WATER DISTRICT OF ORANGE COUNTY, P.O. Box 20895,
Fountain Valley, CA 92728
§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:
Kenneth Gominsky, Jr., Commander
Santa Ana Police Department
Homeland Security Division
60 Civic Center Plaza
Santa Ana, CA. 92702
Phone: (714) 245 -8040
Fax: (714) 245 -8745
kgominsky @santa - ana.org
2. The representative of MUNICIPAL WATER DISTRICT OF ORANGE
COUNTY shall be:
Kelly Hubbard, Program Manager
MUNICIPAL WATER DISTRICT OF ORANGE COUNTY
P.O. Box 20895
Fountain Valley, CA 92728
Phone: (714) 593 -5010
E -mail: khubbard @mwdoc.com
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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 C and made part hereof.
B. Certifications Regarding Ineligibility, Suspension and Debarment as required
by Executive Order 12549 in accordance with Section 415Al2 of this
Agreement and attached hereto as Exhibit A and made a part hereof.
C. Certifications and Disclosures Regarding Lobbying in accordance with Section
415C of this Agreement and attached hereto as Exhibit B and made a part
hereof. SUB - RECIPIENT shall also file a Disclosure Form at the end of each
calendar quarter in which there occurs any event requiring disclosure or
which materially affects the accuracy of the information contained in any
Disclosure Form previously filed by SUB - RECIPIENT.
Page 20 of 84
TERM AND SERVICES TO BE PROVIDED
§201. Time of Performance
The term of this Agreement shall commence on December 14, 2011 and end
on March 31, 2014 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. A paper copy of this document will be provided to SUB -
RECIPIENT by CITY. In addition, a compact disc with a copy of the
document will be provided to SUB - RECIPIENT by CITY. If additional
copies.of the document are needed, SUB - RECIPIENT may contact the
Santa Ana Grant Coordinator and it will be provided.
B. SUB- RECIPIENT shall provide any reports requested by the CITY regarding
the performance of the Agreement. Reports shall be in the form requested by
the CITY, and shall be provided in a timely manner.
C. The Authorized Equipment List (AEL) is a list of the allowable equipment
which may be purchased pursuant to this Agreement and is located at
httos: / /www.rkb.us, and incorporated to this Agreement by reference. A
copy of the AEL shall be retained in the Anaheim /Santa Ana Grant Office.
Unless otherwise stated in program guidance any equipment acquired
pursuant to this Agreement shall meet all mandatory regulations and /or
DHS- adopted standards to be eligible for purchase using grant funds. SUB -
RECIPIENT shall provide the CITY a copy of its most current procurement
guidelines and follow its own procurement requirements as long as they
meet the minimum federal requirements. Federal procurement requirements
for the FY 11 UASI Grant can be found at 2 Code of Federal Regulations
(CFR) Part 225 "Cost Principles for State, Local, and Indian Tribal
Goverments" and 44 CFR Part 13 "Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments."
Any equipment acquired or obtained with Grant Funds:
Page 21 of 84
1. Shall be made available under the California Disaster and Civil
Defense Master Mutual Aid Agreement in consultation with
representatives of the various fire, emergency medical, hazardous
materials response services, and law enforcement agencies within
the jurisdiction of the applicant;
2. Shall be consistent with needs as identified in the National Priorities
and Target Capabilities, the State Homeland Security Strategy,and
the Anaheim /Santa Ana Urban Area and Orange County
Operational Area Homeland Security Grants Strategy; and
deployed in conformance with those plans;
3. Shall be made available pursuant to applicable terms of the
California Disaster and Civil Defense Master Mutual Aid Agreement
and deployed with personnel trained in the use of such equipment in
a manner consistent with the California Law Enforcement Mutual Aid
Plan or the California Fire Services and Rescue Mutual Aid Plan;
4. Shall be subject to the requirements of Title 44 CFR Part 13.32 and
13.33 For the purposes of this subsection, "Equipment" is defined as
nonexpendable property that is not consumed or does not lose its
identity by being incorporated into another item of equipment, which
costs $5,000 or more per unit, or is expected to have a useful life of
one (1) year or more. Items costing less than $5,000, but falling into
the following categories are also considered Equipment:
(1)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.
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
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other identification number; (d) the source of acquisition of the
Equipment, including the award number, (e) date of acquisition; (f)
the per unit acquisition cost of the Equipment, (g) records showing
maintenance procedures to keep the Equipment in good running
order, and (h) location and condition of Equipment. Records must be
retained pursuant to 44 C.F.R. Part 13.42, and Office of G &T.
8. All equipment obtained under this Agreement shall have an ASAUA
identification decal affixed to it, and, when practical, shall be affixed
where it is readily visible.
9. A physical inventory of the Equipment shall be taken and the results
reconciled with the Equipment records at least once every year.
Inventory shall also be taken prior to any UASI, State or Federal
monitor visits.
10. SUB - RECIPIENT shall exercise due care to preserve and
safeguard equipment acquired with grant funds from damage or
destruction and shall provide regular maintenance and such repairs
for said equipment as necessary, in order to keep said equipment
continually in good working order. Such maintenance and servicing
shall be the sole responsibility of SUB - RECIPIENT, who shall
assume full responsibility for maintenance and repair of the
equipment throughout the life of said equipment.
D. Any training paid pursuant to this Agreement shall conform to the guidelines
as listed in FY 2011 Homeland Security Grant Program, as set forth above.
All training expenses must be pre- authorized by Cal -EMA at
http:// www. fiirstrespondertraining .gov /admin. A catalogue of Grantor
approved and sponsored training courses is available at
http://www.firstrespondertraining.gov/odp—webforms.
E. Any exercise paid pursuant to this Agreement shall conform to the guidelines as
listed in FY 2011 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 2011 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 2011 Homeland Security Grant Program, as set
forth above.
Page 23 of 84
III
PAYMENT
§301. Payment of Grant Funds and Method of Payment
A. CITY may, a) transfer to SUB - RECIPIENT, equipment or services purchased
with grant funds; or, b) reimburse SUB - RECIPIENT for the purchase of
authorized equipment, exercises, services or training upon receiving prior written
approval from CITY or its designee and in accordance with grant guidelines and
in full compliance with all of the SUB - RECIPIENT'S purchasing and bidding
procedures. SUB - RECIPIENT shall specify the equipment, exercises, services
or training to be purchased using the Application for Project Funding. A paper
copy of this document will be provided to SUB- RECIPIENT by CITY. In
addition, a compact disc with a copy of the document will be provided to SUB -
RECIPIENT by CITY. If additional copies of the document are needed, SUB -
RECIPIENT may contact the Santa Ana Grant Coordinator and it will be
provided. Funds may be used for planning, exercises, organizational and
training activities, and the purchase of equipment as described in Section 202
above.
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 D) detailing the expenditures made by SUB -
RECIPIENT as authorized by Section 202 above. Each reimbursement request
shall be submitted electronically at https://38.184.198/. For equipment for which
SUB - RECIPIENT is requesting reimbursement, all appropriate back -up
documentation must be attached to the reimbursement form, including
invoices, proof of payment, packing slips, and Equipment Reimbursement
Worksheet. For training reimbursements, SUB - RECIPIENT must include a
copy of any certificates issued or a copy of the class roster verifying training
attendees, proof that a CalEMA tracking number has been assigned to the
course, timesheets and payroll registers for all training attendees, receipts for
travel expenses related to the training, and Training Reimbursement
Worksheet. For regional project reimbursements, SUB - RECIPIENT must
include approval from the lead agency for all submitted invoices.
C. Payment of final invoice shall be withheld by the CITY until the SUB -
RECIPIENT has turned in all supporting documentation and completed the
requirements of this Agreement.
D. It is understood that the CITY makes no commitment to fund this
Agreement beyond the terms set forth herein.
E. Funding for all periods of this Agreement is subject to the continuing
availability to the CITY of federal funds for this program. The Agreement may
be terminated immediately upon written notice to SUB - RECIPIENT of a loss or
reduction of federal grant funds.
Page 24 of 84
IV
STANDARD PROVISIONS
§401. Construction of Provisions and Titles Herein
All titles or subtitles appearing herein have been inserted for convenience and
shall not be deemed to affect the meaning or construction of any of the terms or
provisions hereof. The language of this Agreement shall be construed according
to its fair meaning and not strictly for or against either party. The word
"Sub- recipient" herein and in any amendments hereto includes the party or
parties identified in this Agreement. The singular shall include the plural. If
there is more than one Sub - recipient as identified herein, unless expressly
stated otherwise, their obligations and liabilities hereunder shall be joint and
several. Use of the feminine, masculine, or neuter genders shall be deemed to
include the genders not used.
§402. Applicable Law, Interpretation and Enforcement
Each party's performance hereunder shall comply with all applicable laws of the
United States of America, the State of California, and the CITY. This
Agreement shall be enforced and interpreted under the laws of the State of
California and the CITY.
If any part, term or provision of this Agreement shall be held void, illegal,
unenforceable, or in conflict with any law of a federal, state or local government
having jurisdiction over this Agreement, the validity of the remaining portions of
provisions shall not be affected thereby.
§403. Integrated Agreement
This Agreement sets forth all of the rights and duties of the parties with respect to
the subject matter hereof, and replaces any and all previous agreements or
understandings, whether written or oral, relating thereto. This Agreement may be
amended only by a written instrument executed by both parties hereto.
§404. Excusable Delays
In the event that performance on the part of any party hereto shall be delayed or
suspended as a result of circumstances beyond the reasonable control and
without the fault and negligence of said party, none of the parties shall incur any
liability to the other parties as a result of such delay or suspension.
Circumstances deemed to be beyond the control of the parties hereunder shall
include, but not be limited to, acts of God or of the public enemy; insurrection;
acts of the Federal Government or any unit of State or Local Government in
either sovereign or contractual capacity; fires; floods; epidemics; quarantine
Page 25 of 84
restrictions; strikes, freight embargoes or delays in transportation; to the extent
that they are not caused by the party's willful or negligent acts or omissions and
to the extent that they are beyond the party's reasonable control.
§405. Breach
Except for excusable delays, if any party fails to perform, in whole or in part, any
promise, covenant, or agreement set forth herein, or should any representation
made by it be untrue, any aggrieved party may avail itself of all rights and
remedies, at law or equity, in the courts of law. Said rights and remedies are
cumulative of those provided for herein except that in no event shall any party
recover more than once, suffer a penalty or forfeiture, or be unjustly
compensated.
§406. Prohibition Against Assignment or Delegation
SUB - RECIPIENT may not, unless it has first obtained the written permission of
the CITY:
A. Assign or otherwise alienate any of its rights hereunder, including the right
to payment; or
B. Delegate, subcontract, or otherwise transfer any of its duties hereunder.
§407. Permits
SUB - RECIPIENT and its officers, agents and employees shall obtain and
maintain all permits and licenses necessary for SUB - RECIPIENT performance
hereunder and shall pay any fees required therefore. SUB - RECIPIENT further
certifies to immediately notify the CITY of any suspension, termination, lapses,
non renewals or restrictions of licenses, certificates, or other documents.
§408. Nondiscrimination and Affirmative Action
SUB - RECIPIENT shall comply with the applicable nondiscrimination and
affirmative action provisions of the laws of the United States of America, the
State of California, and the CITY. In performing this Agreement, SUB -
RECIPIENT shall not discriminate in its employment practices against any
employee or applicant for employment because of such person's race,
religion, national origin, ancestry, sex, sexual orientation, age, physical
handicap, mental disability, marital status, domestic partner status or medical
condition. SUB - RECIPIENT shall comply with Executive Order 11246,
entitled "Equal Employment Opportunity," as amended by Executive Order
11375, and as supplemented in Department of Labor regulations (41 CRF
Part 60).
iv
Page 26 of 84
If required, SUB - RECIPIENT shall submit an Equal Employment Opportunity
Plan ( "EEOP ") to the DOJ Office of Civil Rights ( "OCR ") in accordance with
guidelines listed at http:// www.ojp.usdoj.gov /ocr /eeop.htm,
Any subcontract entered into by the SUB - RICIPIENT relating to this Agreement,
to the extent allowed hereunder, shall be subject to the provisions of this § 408.
§409. Bonds
SUB - RECIPIENT must purchase a performance bond for any equipment item
over $250,000 or any vehicle (including aircraft or watercraft) financed with
homeland security funds.
§410. Indemnification
Each of the parties to this Agreement is a public entity. In contemplation of the
provisions of Section 895.2 of the Government Code of the State of California
imposing certain tort liability jointly upon public entities, solely by reason of such
entities being parties to an Agreement as defined by Section 895 of said Code, the
parties hereto, as between themselves, pursuant to the authorization contained in
Section 895.4 and 895.6 of said Code, will each assume the full liability imposed
upon it or upon any of its officers, agents, or employees by law, for injury caused
by a negligent or wrongful act or omission occurring in the performance of this
Agreement, to the same extent that such liability would be imposed in the absence
of Section 895.2 of said Code. To achieve the above- stated purpose, each party
indemnifies and holds harmless the other party solely by virtue of said Section
895.2. The provision of Section 2778 of the California Civil Code is made a part
hereto as if fully set forth herein. SUB - RECIPIENT certifies that it has adequate
self insured retention of funds to meet any obligation arising from this Agreement.
§411. Conflict of Interest
A. The SUB- RECIPIENT covenants that none of its directors, officers,
employees, or agents shall participate in selecting, or administrating any
subcontract supported (in whole or in part) by Federal funds where such
person is a director, officer, employee or agent of the subcontractor; or where
the selection of subcontractors is or has the appearance of being motivated by
a desire for personal gain for themselves or others such as family business,
etc.; or where such person knows or should have known that:
1. A member of such person's immediate family, or domestic partner
or organization has a financial interest in the subcontract;
2. The subcontractor is someone with whom such person has or is
negotiating any prospective employment; or
3. The participation of such person would be prohibited by the
California Political Reform Act, California Government Code
§87100 et seq. if such person were a public officer, because such
person would have a "financial or other interest" in the subcontract.
II
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B. Definitions:
1. The term "immediate family" includes but is not limited to domestic
partner and /or those persons related by blood or marriage, such as
husband, wife, father, mother, brother, sister, son, daughter, father
in law, mother in law, brother in law, sister in law, son in law,
daughter in law.
2. The term "financial or other interest" includes but is not limited to:
a. Any direct or indirect financial interest in the specific
contract, including a commission or fee, a share of the
proceeds, prospect of a promotion or of future employment,
a profit, or any other form of financial reward.
b. Any of the following interests in the subcontractor
ownership: partnership interest or other beneficial interest of
five percent or more; ownership of five percent or more of
the stock; employment in a managerial capacity; or
membership on the board of directors or governing body.
C. The SUB - RECIPIENT further covenants that no officer, director, employee, or
agent shall solicit or accept gratuities, favors, anything of monetary value from
any actual or potential subcontractor, supplier, a party to a sub agreement, (or
persons who are otherwise in a position to benefit from the actions of any
officer, employee, or agent).
D. The SUB - RECIPIENT shall not subcontract with a former director, officer, or
employee within a one year period following the termination of the relationship
between said person and the Contractor.
E. Prior to obtaining the CITY'S approval of any subcontract, the SUB -
RECIPIENT shall disclose to the CITY any relationship, financial or
otherwise, direct or indirect, of the SUB - RECIPIENT or any of its officers,
directors or employees or their immediate family with the proposed
subcontractor and its officers, directors or employees.
F. For further clarification of the meaning of any of the terms used herein, the
parties agree that references shall be made to the guidelines, rules, and laws
of the SUB - RECIPIENT. State of California, and Federal regulations
regarding conflict of interest.
G. The SUB - RECIPIENT warrants that it has not paid or given and will not pay or
give to any third person any money or other consideration for obtaining this
Agreement.
H. The SUB - RECIPIENT covenants that no member, officer or employee of
SUB - RECIPIENT shall have interest, direct or indirect, in any contract or
subcontract or the proceeds thereof for work to be performed in connection
with this project during his /her tenure as such employee, member or officer or
12
Page 28 of 84
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 seg.).
§413. Statutes and Regulations Applicable To All Grant Contracts
A. SUB - RECIPIENT shall comply with all applicable requirements of state, federal,
county and SUB- RECIPIENT laws, executive orders, regulations, program and
administrative requirements, policies and any other requirements governing this
Agreement. SUB - RECIPIENT shall comply with state and federal laws and
regulations pertaining to labor, wages, hours, and other conditions of
employment. SUB - RECIPIENT shall comply with new, amended, or revised
laws, regulations, and /or procedures that apply to the performance of this
Agreement. These requirements include, but are not limited to:
1. Office of Management and Budget (OMB) Circulars
SUB - RECIPIENT shall comply with OMB Circulars, as applicable:
OMB Circular A -87 (Cost Principles for State, Local, and Indian
Tribal Governments, relocated to 2 CFR Part 225); OMB Circular A-
102 (Grants and Cooperative Agreements with State and Local
Governments, found in 44 CFR Part 13 "Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and
Local Governments "); OMB Circular A -133 (Audits of States, Local
Governments, and Non - Profit Organizations.
2. Single Audit Act
If Federal funds are used in the performance of this Agreement,
SUB - RECIPIENT shall adhere to the rules and regulations of the
Single Audit Act, 31 USC Sec. 7501 et seq.; and any
administrative regulation or field memos implementing the Act.
When reporting under on the FYI UASI Grant Program under
the Single Audit Act, SUB - RECIPIENT shall use Catalog of
Federal Domestic Assistance (CFDA) Program Number 97.067
"Homeland Security Grant Program "; Grant Identification
Number 2011 -SS -0077; and Identify the City of Santa Ana as the
Pass - Through.
Americans with Disabilities Act
13
Page 29 of 84
SUB- RECIPIENT hereby certifies that it will comply with the
Americans with Disabilities Act, 42 USC §§ 12101, et seq., and its
implementing regulations. SUB - RECIPIENT will provide reasonable
accommodations to allow qualified individuals with disabilities to
have access to and to participate in its programs, services and
activities in accordance with the provisions of the Americans with
Disabilities Act. SUB- RECIPIENT will not discriminate against
persons with disabilities or against persons due to their relationship
to or association with a person with a disability. Any subcontract
entered into by the SUB - RECIPIENT, relating to this Agreement, to
the extent allowed hereunder, shall be subject to the provisions of
this paragraph.
4. Political and Sectarian Activity Prohibited
None of the funds, materials, property or services provided directly or
indirectly under this Agreement shall be used for any partisan political
activity, or to further the election or defeat of any candidate for public
office. Neither shall any funds provided under this Agreement be
used for any purpose designed to support or defeat any pending
legislation or administrative regulation. None of the funds provided
pursuant to this Agreement shall be used for any sectarian purpose or
to support or benefit any sectarian activity.
If this Agreement provides for more than $100,000 in grant funds or
more than $150,000 in loan funds, SUB - RECIPIENT shall submit to
the CITY a Certification Regarding Lobbying and a Disclosure Form,
if required, in accordance with 31 USC §1352. A copy of the
Certificate is attached hereto as Exhibit B. No funds will be released
to SUB - RECIPIENT until the Certification is filed.
SUB - RECIPIENT shall file a Disclosure Form at the end of each
calendar quarter in which there occurs any event requiring disclosure
or which materially affects the accuracy of any of the information
contained in any Disclosure Form previously filed by SUB -
RECIPIENT. SUB - RECIPIENT shall require that the language of this
Certification be included in the award documents for all sub - awards
at all tiers and that all subcontractors shall certify and disclose
accordingly.
Records Inspection
At any time during normal business hours and as often as the CITY,
the U.S. Comptroller General, and /or the Auditor General of the
State of California may deem necessary, SUB- RECIPIENT shall
make available for examination all of its records with respect to all
matters covered by this Agreement. The CITY, the U.S. Comptroller
General and /or the Auditor General of the State of California shall
have the authority to audit, examine and make excerpts or
transcripts from records, including SUB - RECIPIENT'S invoices,
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Page 30 of 84
materials, payrolls, records of personnel, conditions of employment
and other data relating to all matters covered by this Agreement.
SUB - RECIPIENT agrees to provide any reports requested by the
CITY regarding performance of the Agreement.
6. Records Maintenance
Records, in their original form, shall be maintained in accordance with
requirements prescribed by the CITY with respect to all matters
covered on file for all documents specified in this Agreement.
Original fors are to be maintained on file for all documents specified
in this Agreement. Such records shall be retained for a period of
three (3) years after termination of this Agreement and after final
disposition of all pending matters. "Pending matters" include, but are
not limited to, an audit, litigation or other actions involving records.
The CITY may, at its discretion, take possession of, retain and audit
said records. Records, in their original form pertaining to matters
covered by this Agreement, shall at all times be retained within the
County of Orange unless authorization to remove them is granted in
writing by the CITY.
7. Subcontracts and Procurement
SUB - RECIPIENT shall comply with the federal and SUB -
RECIPIENT standards in the award of any subcontracts. For
purposes of this Agreement, subcontracts shall include but not
be limited to purchase agreements, rental or lease agreements,
third party agreements, consultant service contracts and
construction subcontracts.
SUB - RECIPIENT shall ensure that the terms of this Agreement with
the CITY are incorporated into all Subcontractor Agreements. The
SUB- RECIPIENT shall submit all Subcontractor Agreements to the
CITY for review prior to the release of any funds to the
subcontractor. The SUB- RECIPIENT shall withhold funds to any
subcontractor agency that fails to comply with the terms and
conditions of this Agreement and their respective Subcontractor
Agreement.
8. Labor
SUB - RECIPIENT shall comply with the Intergovernmental
Personnel Act of 1970 (42 U.S.C. § §4728 -4763) relating to
prescribed requirements for merit systems for programs funded
under one of the 19 statutes or regulations specified in Appendix A
of OPM's Standards for a Merit System Personnel Administration
(5 C.F.R. 900, Subpart F).
SUB- RECIPIENT shall comply, as applicable, with the provisions of
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Page 31 of 84
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
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.
9. Civil Rights
SUB - RECIPIENT shall comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title VI of
the Civil Rights Act of 1964 (P.L. 88 -352) which prohibits
discrimination on the basis of race, color or national origin; (b) Title IX
of the Education Amendments of 1972, as amended (20 U.S.C.
§ §1681- 1683, and 1685- 1686), which prohibits discrimination on the
basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as
amended (29 U.S.C. §794), which prohibits discrimination on the
basis of handicaps; (d) The Age Discrimination act of 1975, as
amended (42 U.S.C. § §6101- 6107), which prohibits discrimination on
the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92 -255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation act of 1970
(P.L. 91 -616) as amended, relating to nondiscrimination on the basis
of alcohol abuse or alcoholism; (g) § §523 and 527 of the Public
Health Service Act of 1912 (42 U.S.C. § §290 dd -3 and 290 ee 3), as
amended, relating to confidentiality of alcohol and drug abuse patient
records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C.
§ §3601, et sec.), as amended, relating to non - discrimination in the
sale, rental or financing of housing; (i) any other nondiscrimination
provisions in the specific statute(s) under which application for
Federal assistance is being made; Q) the requirements of any other
nondiscrimination statute(s) which may apply to the application; and
(k) P.L. 93 -348 regarding the protection of human subjects involved
in research, development, and related activities supported by this
award of assistance.
10. Environmental
SUB - RECIPIENT shall comply, or has already complied, with the
requirements of Titles II and 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
I'D
Page 32 of 84
participation in purchases
SUB - RECIPIENT shall comply with environmental standards which
may be prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91 -190) and Executive
Order (EO) 11514; (b) notification of violating facilities pursuant to
EO 11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved
State management program developed under the Coastal Zone
Management Act of 1972 (16 U.S.C. § §1451, et seq.); (f)
conformity of Federal actions to State (Clean Air) Implementation
Plans under Section 176(c) of the Clean Air Act of 1955, as
amended (42 U.S.C. § §7401, et seq.); (g) protection of
underground sources of drinking water under the Safe Drinking
Water Act of 1974, as amended (P.L. 93 -523); (h) protection of
endangered species under the Endangered Species Act of 1973,
as amended (P.L. 93205); and (i) Flood Disaster Protection Act of
1973 §102(a) (P.L. 93 -234).
SUB - RECIPIENT shall comply with the Wild and Scenic Rivers Act of
1968 (16 U.S.C. § §1271, et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
SUB - RECIPIENT shall comply with the Lead -Based Paint Poisoning
Prevention Act (42 U.S.C. § §4801, et seq.) which prohibits the use of
lead- based paint in construction or rehabilitation of residence
structures.
SUB - RECIPIENT shall comply with the Federal Water Pollution
Control Act (33 U.S.C. § 1251, et seq.) which restores and maintains
the chemical, physical and biological integrity of the Nation's waters.
SUB - RECIPIENT shall ensure that the facilities under its ownership,
lease or supervision which shall be utilized in the accomplishment of
this project are not listed in the Environmental Protection Agency's
(EPA) list of Violating Facilities and that it will notify the Federal
Grantor agency of the receipt of any communication from the
Director of the EPA Office of Federal Activities indicating that a
facility to be used in the project is under consideration for listing by
the EPA.
By signing this Agreement, SUB - RECIPIENT ensures that it is in
compliance with the California Environmental Quality Act (CEQA),
Public Resources Code §21000, et seq. and is not impacting the
environment negatively.
SUB - RECIPIENT shall comply with the Energy Policy and
Conservation Act (P.L. 94 -163, 89 Stat. 871).
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Page 33 of 84
SUB - RECIPIENT shall 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.
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.
§ §46ga -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, 44 CFR Part 67; the
California Drug -Free Workplace Act of 1990, CA Gov't Code §§
8350 -8357.
14. Miscellaneous
SUB- RECIPIENT shall comply with the Laboratory Animal Welfare Act
of 1966, as amended (P.L. 89 -544, 7 USC § §2131, et seq.).
B. Statutes and Regulations Applicable To This Particular Grant
SUB - RECIPIENT shall comply with all applicable requirements of state and
federal laws, executive orders, regulations, program and administrative
requirements, policies and any other requirements governing this particular
grant program. SUB - RECIPIENT shall comply with new, amended, or revised
laws, regulations, and /or procedures that apply to the performance of this
Agreement. These requirements include, but are not limited to:
Title 44 Code of Federal Regulations (CFR) Part 13; EO 12372;
Department of Justice (DOJ) Office of Judicial Programs (OJP) Office
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Page 34 of 84
of the Comptroller, U.S. Department of Homeland Security,
Preparedness Directorate Financial Management Guide; U.S.
Department of Homeland Security, Office of Grants and Training, FY
2009 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 44 CFR applicable to grants and cooperative
agreements, including Part 18, Administrative Review Procedures;
Part 20, Criminal Justice Information Systems; Part 22,
Confidentiality of Identifiable Research and Statistical Information;
Part 23, Criminal Intelligence Systems Operating Policies; Part 30,
Intergovernmental Review of Department of Justice Programs and
Activities; Part 35, Nondiscrimination on the Basis of Disability in
State and Local Government Services; Part 38, Equal Treatment of
Faith -based Organizations; Part 42, Nondiscrimination /Equal
employment Opportunities Policies and Procedures; Part 61,
Procedures for Implementing the National Environmental Policy Act;
Part 63, Floodplain Management and Wetland Protection
Procedures; Part 64, Floodplain Management and Wetland
Protection Procedures; Federal laws or regulations applicable to
federal Assistance Programs; Part 69, New Restrictions on Lobbying;
Part 70, Uniform Administrative Requirements for Grants and
Cooperative Agreements (including sub - awards) with Institutions of
Higher Learning, Hospitals and other Non - Profit Organizations; and
Part 83, Government- Wide Requirements for a Drug Free
Workplace (grants).
Nondiscrimination requirements of the Omnibus Crime Control and
Safe Streets Act of 1968, as amended, 42 USC 3789(d), or the
Juvenile Justice and Delinquency Prevention Act, or the Victims of
Crime Act, as appropriate; the provisions of the current edition of the
Office of Justice Programs Financial and Administrative Guide for
Grants, M7100.1, and all other applicable federal laws, orders,
circulars, or regulations.
2. Travel Expenses
SUB - RECIPIENT as provided herein may be compensated for SUB -
RECIPIENT'S reasonable travel expenses incurred in the
performance of this Agreement, to include travel and per diem,
unless otherwise expressed. Travel including in -State and out -of-
State travel shall not be reimbursed without prior written
authorization from the UASI Grant Office.
19
Page 35 of 84
SUB - RECIPIENT'S travel and per diem reimbursement costs shall
be reimbursed based on the SUB - RECIPIENT'S travel policies
and procedures. If SUB - RECIPIENT does not have established
travel policies and procedures, SUB- RECIPIENT'S reimbursement
rates shall not exceed the amounts established by the State
Department of Personnel Administration Rules and Regulations,
PML 97 -024, Section 599.619, dated July 1, 1997 and Section
599.631, and as amended from time to time.
3. Noncompliance
SUB - RECIPIENT understands that failure to comply with any of the
above assurances may result in suspension, termination or reduction
of grant funds, and repayment by SUB - RECIPIENT to CITY of any
unlawful expenditures.
C. Compliance With Grant Assurances
To obtain the Grant Funds, the Grantor required an authorized representative
of the CITY to sign certain promises regarding the way the Grant Funds would
be spent ( "Grant Assurances "), attached hereto as Exhibit C. By signing these
Grant Assurances, the CITY became liable to the Grantor for any funds that
are used in violation of the grant requirements. SUB - RECIPIENT shall be
liable to the Grantor for any funds the Grantor determines SUB - RECIPIENT
used in violation of these Grant Assurances. SUB - RECIPIENT shall indemnify
and hold harmless the CITY for any sums the Grantor determines SUB -
RECIPIENT used in violation of the Grant Assurances.
§414. Federal. State and Local Taxes
Federal, State and local taxes shall be the responsibility of SUB - RECIPIENT as
an independent party and not as a CITY employee.
§415. Inventions. Patents and Copyrights
A. Reporting Procedure for Inventions
If any project produces any invention or discovery (Invention) patentable or
otherwise under title 35 of the U.S. Code, including, without limitation,
processes and business methods made in the course of work under this
Agreement, the SUB - RECIPIENT shall report the fact and disclose the
Invention promptly and fully to the CITY. The CITY shall report the fact and
disclose the Invention to the Grantor. Unless there is a prior agreement
between the CITY and the Grantor, the Grantor shall determine whether to
seek protection on the Invention. The Grantor shall determine how the rights in
the Invention, including rights under any patent issued thereon, will be
allocated and administered in order to protect the public interest consistent
with the policy ( "Policy ") embodied in the Federal Acquisition Regulations
System, which is based on Ch. 18 of title 35 U.S.C. Sections 200, et seq.
20
Page 36 of 84
(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, 4110/87, 52 FR
13414, 3 CFR, 1987 Comp., p. 220 (as amended by Executive Order 12618,
12/22/87, 52 FR 48661, 3 CFR, 1987 Comp., p. 262). SUB - RECIPIENT
hereby agrees to be bound by the Policy, and will contractually require its
personnel to be bound by the Policy.
B. Rights to Use Inventions
CITY shall have an unencumbered right, and a non - exclusive, irrevocable,
royalty- free license, to use, manufacture, improve upon, and allow others to
do so for all government purposes, any Invention developed under this
Agreement.
C. Copyright Policy
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
obligations of this section by incorporating the terms of this section into all
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Page 37 of 84
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.
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Page 38 of 84
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.
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Page 39 of 84
VI
ENTIRE AGREEMENT
§601. Complete Agreement
This Agreement contains the full and complete Agreement between the two
parties. Neither verbal agreement nor conversation with any officer or employee
of either party shall affect or modify any of the terms and conditions of this
Agreement.
§602. Number of Pages and Attachments
This Agreement is executed in two (2) duplicate originals, each of which is
deemed to be an original. This Agreement includes twenty -five (25) pages and
five (4) Exhibits which constitute the entire understanding and agreement of the
parties.
24
Page 40 of 84
IN WITNESS WHEREOF, the City and MUNICIPAL WATER DISTRICT OF ORANGE
COUNTY have caused this Agreement to be executed by their duly authorized
representatives on the date first set forth above.
ATTEST:
By: )17l �2.f
Maria D. Huizar
Clerk of the Council
APPROVED AS TO FORM:
I r
B'
'remssa Judd
Assistant City Atto ey
25
CITY OF SANTA ANA, a municipal
Corporation of the State of California
BY` ZL-
Paul M. Walters
City Manager
SUB - RECIPIENT
MUNICIPAL WATER DISTRICT OF
ORANGE COUNTY
By.
Printed Name
Title �_03
r,
APPROVED AS TO FORM
By: <' ✓ U �Y�// /
Printed Names _e1 1 a t✓ P
Title G e ..,.n d5, Cam, c e
Page 41 of 84
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
(Non procurement). 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. 'Fite 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
it 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 (I)
(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 his application.
/. Il
Address: \ %_ c5b —C\ •�
Authorized Agent Signature
Printed or Typed Name
r
Title
26
Page 42 of 84
I . By signing and submitting this document, the prospective recipient of Federal assistance funds is
providing the certification as set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed
when this transaction was entered into. If it is later determined that the prospective recipient of
Federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies
available to the Federal Government, the department or agency with which this transaction originated
may pursue available remedies, including suspension and/or debarment.
3. The prospective recipient of Federal assistance funds shall provide immediate written notice to the
person to whom this agreement is entered, if at any time the prospective recipient of Federal
assistance funds learns that its certification was erroneous, when submitted or has become
erroneous by reason of changed circumstances.
4. The terms "covered transaction," "debarred, "suspended," "ineligible," "lower tier covered
transaction," " participant," "person," "primary covered transaction, "principal," "proposal," and
"voluntarily excluded;" as used in this clause, have the meanings set out in the Definitions and
Coverage sections of rules implementing Executive Order 12549.
5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that, should
the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless authorized by the department or
agency with which this transaction originated.
6. The prospective recipient of Federal assistance funds further agrees by submitting this proposal that
it will include the clause titled 'Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transactions," without modification, in all lower tier covered
transactions and in all solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a
lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded
from the covered transaction, unless it knows that the certification is erroneous. A participant may
decide the method and frequency by which it determines the eligibility of its principals. Each
participant may, but is not required to, check the List of Parties Excluded from Procurement or Non
Procurement Programs.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of records
in order to render in good faith the certification required by this clause. The knowledge and
information of a participant is not required to exceed that which is normally possessed by a prudent
person in the ordinary course of business dealings.
9. Except for transactions authorized under Paragraph 5 of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntary excluded from participation in this transaction, in
addition to other remedies available to the Federal Government, the department or agency with which
this transaction originated may pursue available remedies, including suspension and /or debarment.
27
Page 43 of 84
EXHIBIT B
CERTIFICATION REGARDING LOBBYING
Certification for Contracts. Grants. Loans
and C000erabve Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or
employee of an agency, a Member of Congress, an officer or employee of Congress,
or an employee of a Member of Congress in connection with the awarding of any
Federal contract, the making of any Federal grant, the making of any Federal loan,
the entering into of any cooperative agreement, and the extension, continuation,
renewal, amendment, or modification of any Federal contract, grant, loan or
cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this Federal contract, grant,
loan, or cooperative agreement, the undersigned shall complete and submit
Standard Form LLL "Disclosure Form to Report Lobbying" in accordance with its
instructions.
3. The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants,
and contracts under grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
4. This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by Section 1352
Title 31, U.S. Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less that $10,000 and not more than $100,000 for
each such failure.
AGREEMENT NUMBER
CONTRACTOR/ ORROWER /AGENCY
AND TITkEJ OF AVTHORIZED REPRESENTA'
DATE
28
Page 44 of 84
EXHIBIT C
California Emergency Management Agency (Cal EMA)
Fiscal Year (FY) 1011 Grant Assurances
tM ( t HS�GP`Appliciants).
Name of Applicant: ��� `\ \1VLLC�C�f� �S�RtD yJ�c�rtC'Y Ct�l?h -R {
Address: `? 1
City: V State:
Telephone Number: ] Mr —. C> Fay
E -M ail Address: K�\p�
As the duly authorized representative of the applicant, I certify that the applicant named above:
I. Will assure that grant funds will support efforts related to providing an integrated
mechanism to enhance the coordination of national priority efforts to prevent, respond to,
and recover from terrorist attacks, major disasters and other emergencies.
2. Has the legal authority to apply for federal assistance and has the institutional,
managerial and financial capability to ensure proper planning, management and completion
of the grant provided by the U.S. Department of Homeland Security (DHS)/Federal
Emergency Management Agency (FEMA) and sub - granted through the State of California,
Cal EMA.
3. Will assure that grant funds are used for allowable, fair, and reasonable costs only and
will not be transferred between grant programs (for example: State Homeland Security
Program, Urban Area Security Initiative, Citizen Corps Program, and Metropolitan
Medical Response System) or fiscal years.
4. Will comply with any cost sharing commitments included in the FY 2011 Investment
Justifications submitted to DHS/FEMA and Cal EMA, where applicable.
5. Will give the federal government, the General Accounting Office, the Comptroller
General of the United States, the State of California, the Office of Inspector General,
through any authorized representative, access to, and the right to examine, all paper or
electronic records, books, or documents related to the award; and will establish a proper
accounting system in accordance with generally accepted accounting standards and /or
awarding agency directives.
6. Agrees that funds utilized to establish or enhance state and local fission centers must
support the development of a statewide fusion process that corresponds with the Global
Justice /Homeland Security Advisory Council (HSAC) Fusion Center Guidelines, follow
the federal and state approved privacy policies, and achieve (at a minimum) baseline level
of capability as defined by the Fusion Capability Planning Tool.
7. Will provide progress reports, and other such information as may be required by the
awarding agency, including the Initial Strategy Implementation Plan (ISIP) within 45 days
of the award, and update via the Grant Reporting Tool (GRT) twice each year.
8. Will initiate and complete the work within the applicable time frame after receipt of
approval from Cal EMA.
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Page 45 of 84
9. Will maintain procedures to minimize the time elapsing between the award of funds and
the disbursement of funds.
10. Will comply with all regulations applicable to DHS /FEMA grants, including, but not
limited to, 44 CFR, Part 13, Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments including, but not limited to, all
provisions relevant to the payment of interest earned on advances.
11. Will comply with all provisions of 48 CFR, Part 3 L2, Federal Acquisition Regulations
(FAR), Contracts with Commercial Organizations.
12. 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.
13. Understands and agrees that federal funds will not be used, directly or indirectly, to
support the enactment, repeal, modification or adoption of any law, regulation, or policy, at
any level of government, without the express prior written approval from DHS/FEIvtA and
Cal EMA.
14. Agrees that, to the extent contractors or subcontractors are utilized, will use small,
minority- owned, women - owned, or disadvantaged business concerns and contractors or
subcontractors to the extent practicable.
15. Will notify Cal EMA of any developments that have a significant impact on award -
supported activities, including changes to key program staff.
16. Will comply, if applicable, with the Lead -Based Paint Poisoning Prevention Act (42
U.S.C. §§ 4801 et seq.) which prohibits the use of lead based paint in construction or
rehabilitation of structures.
17. Will comply, and will assure the compliance of all agents and contractors, with all
federal and state statues relating to civil rights and nondiscrimination. These include, but
are not limited, to:
a. Title VI of the Civil Rights Act of 1964 (P.L. 88 -352), as amended, which
prohibits discrimination on the basis of race, color or national origin.
b. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§
1681 -1683 and 1685 - 1686), which prohibits discrimination on the basis of gender.
c. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794),
which prohibits discrimination against individuals with disabilities.
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. Sections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290
dd -3 and 290 ee -3), as amended, relating to confidentiality of alcohol and drug
abuse patient records.
h. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as
amended, relating to nondiscrimination in the sale, rental or financing of housing.
30
Page 46 of 84
i. Title 44 Code of Federal Regulations (CFR) Parts 7, 16, and 19 relating to
nondiscrimination.
j. The requirements of any other nondiscrimination provisions in the specific
statute(s) under which the application for federal assistance is being made.
k. The nondiscrimination requirements and all other provisions of the current
edition of the Office of Justice Programs Financial and Administrative Guide for
Grants, M7100.1.
18. In the event that a federal or state court or federal or state administrative agency makes
a finding of discrimination after a due process hearing on the grounds or race, color,
religion, national origin, gender, or disability against a recipient of funds, the recipient will
forward a copy of the finding to Cal EMA, FEMA and the U.S. Department of Justice
Office of Civil Rights, Office of Justice Programs.
t9. Will provide an Equal Employment Opportunity Plan, if applicable, to the Department
of Justice Office of Civil Rights within 60 days of grant award.
20. Will comply with the requirements of Titles 11 and III of the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. § 4601 et seq.
[P.L. 91 -646]) which provides for fair and equitable treatment of persons displaced or
whose property is acquired as a result of federal or federally assisted programs. These
requirements apply to all interested in real property acquired for project purposes
regardless of federal participation in purchases. Will also comply with Title 44 CFR, Part
25, Uniform Relocation Assistance and Real Property Acquisition for Federal and
Federally - Assisted Programs.
21. Will comply, if applicable, with the flood insurance purchase requirements of Section
102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93 -234) which requires recipients
in a special flood hazard area to participate in the program and to purchase flood insurance
if the total cost of insurable construction and acquisition is $10,000 or more.
22. Will comply with all applicable federal, state, and local environmental and historical
preservation (EHP) requirements. Failure to meet federal, state, and local EHP
requirements and obtain applicable permits mayjeopardize federal funding. Applicant will
comply with all conditions placed on any project as the result of the EHP review; any
change to the scope of work of a project will require reevaluation of compliance with these
EHP requirements.
23. Will comply with all regulations applicable to DHS /FEMA grants including, but not
limited to, 44 CFR, Part 10, Environmental Considerations. Applicant will also comply
with all state laws, including the California Environmental Quality Act.
24. Agrees not to undertake any project having the potential to impact the EHP resources
without the prior written approval of DHS /FEMA and Cal EMA including, but not limited
to, ground disturbance, construction, modification to any structure, physical security
enhancements, communications towers, any structure over 50 years old, and purchase
and /or use of any sonar equipment. The subgrantee must comply with all conditions and
restrictions placed on the project as a result of the EHP review. Any construction- related
activities initiated without the necessary EHP review and approval will result in a
noncompliance finding, and may not be eligible for reimbursement with DEIS /FEMA /Cal
EMA funding. Any change to the scope of work will require re- evaluation of compliance
with the EHP. If ground - disturbing activities occur during the project implementation, the
subgrantee must ensure monitoring of the disturbance. If any potential archeological
resources are discovered, the subgrantee will immediately cease activity in that area and
notify DHS /FEMA, Cal EMA, and the appropriate State Historic Preservation Office.
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25. Agrees any construction activities that have been initiated prior to the fill]
environmental and historic preservation review could result in non - compliance finding.
Subgrantecs must complete the FEMA EHP Screening Form (OMB Number 1660-
01 15 /FEMA Form 024 -0 -01) and submit it, with all supporting documentation, to Cal
EMA for review. The EHP Screening Form is part of an Information Bulletin available at:
www.fema.gov/doc/govemiiient/prant/bulletins/info329 final screening memo doc
Grantees should submit the FEMA EHP Screening Form for each project as soon as
possible upon receiving their grant award.
26. Will ensure that the facilities under its ownership, lease or supervision, which shall be
utilized in the accomplishment of this project, are not on the Environmental Protection
Agency's (EPAs) List of Violating Facilities, and will notify Cal EMA and FEMA of the
receipt of any communication from the Director of the EPA Office of Federal Activities
indicating if a facility to be used in the project is under consideration for listing by the
EPA.
27. Will provide any information requested by DHS /FEMA and /or Cal EMA to ensure
compliance with applicable laws, including the following:
a. Institution of environmental quality control measures under the National
Environmental Policy Act, National Historical Preservation Act, Archaeological
and Historic Preservation Act. Endangered Species Act, and Executive Orders on
Floodplains (11988), Wetlands (11990), Environmental Justice (12898), and
Environmental Quality (1 1514).
b. Notification of violating facilities pursuant to EO 11738.
c. Assurance of project consistency with the approved state management program
developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 et
seq.).
d. Conformity of Federal actions to State (Clean Air) Implementation Plans under
Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. § 7401 et
seq.).
e. Protection of underground sources of drinking water under the Safe Drinking
Water Act of 1974, as amended (P.L. 93 -523).
f. California Environmental Quality Act (CEQA), California Public Resources
Code Sections 21080 - 21098: California Code of Regulations (CCR), Title 14,
Chapter Sections 15000- 15007.
g. Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.) related to
protecting components or potential components of the national wild and scenic
rivers system.
It. Applicable provisions of the Coastal Barrier Resources Act (P.L. 97 -348) dated
October 19, 1982 (16 USC 3501 et seq.), which prohibits the expenditure of most
new federal funds within the units of the Coastal Barrier Resources System.
28. Will comply with Standardized Emergency Management System (SEMS) requirements
as stated in the California Emergency Services Act, Government Code, Chapter 7 of
Division I of Title 2, Section 8607.1 le) and CCR Title 19, Sections 2445, 2446, 2447, and
2448.
29. Agrees that all publications created or published with funding under this grant shall
prominently contain the following statement: "This document was prepared under a grant
front FEMA's Grant Programs Directorate, U.S. Department of Homeland Security. Points
of view or opinions erpressed in this clocuuent are those of the authors and do trot
necessarily represent the ajfrcial position or policies ofFEMA's Grant Programs
Directorate a• the U.S. Department of Homeland Security. "The recipient also agrees that,
when practicable, any equipment purchased with grant funding shall be prominently
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marked as follows: "Purchased withjwtds provided by the U.S. Department ojHomeland
Security. "
30. Acknowledges that DHS /FEMA reserves a royalty -free, nonexclusive, and irrevocable
license to reproduce, publish, or otherwise use, and authorize others to use, for federal
government purposes: a) the copyright in any work developed under an award or sub -
award; and b) any rights of copyright to which a recipient or sub - recipient purchases
ownership with federal support.
31. The recipient agrees to consult with DHS /FEMA and Cal EMA regarding the allocation
of any patent rights that arise from, or are purchased with, this funding.
32. Has requested through the State of California, federal financial assistance to be used to
perform eligible work approved in the submitted application for federal assistance and after
the receipt of federal financial assistance, through the State of California, agrees to the
following:
a. Promptly return to the State of California all the funds received, which exceed
the approved, actual expenditures as accepted by the federal or state government.
b. In the event the approved amount of the grant is reduced, the reimbursement
applicable to the amount of the reduction will be promptly refunded to the State of
California.
c. Separately account for interest earned on grant funds, and will return all interest
earned, in excess of $100 per Federal Fiscal Year.
33. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S C. Sections
4728 -4763) relating to prescribed standards for merit systems for programs funded under
one of the 19 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).
34. 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.
35. Will comply, if applicable, with P.L. 93 -348 regarding the protection of human subjects
involved in research, development, and related activities supported by this award of
assistance.
36. Understands and agrees that the applicant, grantees, subgrantees, recipients, sub -
recipients, employees of the applicant, grantees, subgrantees, recipients and subrecipients,
may not:
a. Engage in severe forms of trafficking in persons during the period of time that
the award is in effect;
b. Procure a commercial sex act during the period of time that the award is in
effect; or
c. Use forced labor in the performance of the award or subawards under the award.
Applicant understands and agrees that Cal EMA and/or DI-IS /FEMA may
unilaterally terminate any award, without penalty, if the subgrantee that is a private
entity:
d. Is determined to have violated a prohibition identified in paragraph 35,
subsections a, b, or c; or
e. Has an employee who is determined by the agency official authorized to
terminate the award to have violated a prohibition in paragraph 35 subsection a, b,
or c through conduct that is either:
i. associated with performance under this award; or
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ii. imputed to the authorized agent or subrecipient using the standards and
due process for imputing the conduct of an individual to an organization
provided in 2 CFR Part 180, "OMB Guidelines to Agencies on
Government wide Department and Suspension (Non - procurement)," as
implemented by DHSIFEMA at 2 CFR, Part 3000.
And further understands that subgrantees and subrecipients must:
f. Inform Cal EMA immediately of any information received from any source
alleging a violation of a prohibition in paragraph 35 subsection a, b, or e;
g. FEMA's right to terminate unilaterally as described in paragraph 35 implements
section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as
amended (22 USC 7104(8)). The right of FEMA and Cal EMA to terminate this
award unilaterally is in addition to all other remedies for noncompliance that are
available under this award.
h. For purposes of this term:
"Employee" means either-
i. an individual employed by the subgrantee or subrecipient who is
engaged in the performance of the project or program under this award; or
ii. another person engaged in the performance of the project or program
under this award and not compensated by the subgrantee or subrecipient,
including, but not limited to, a volunteer or individual whose services are
contributed by a third party as an in -kind contribution toward cost sharing
or matching requirements.
ii. "Forced labor" means labor obtained by any of the following methods:
the recruitment, harboring, transportation, provision, or obtaining of a
person for labor or services, through the use of force, fraud, or coercion for
the purpose of subjection to involuntary servitude, peonage, debt bondage
or slavery.
iii. "Private entity" means any entity other than a state, local government,
Indian Tribe, or foreign public entity, as those terms are defined in 2 CFR
175.25, and includes non - profit organizations, including any non -profit
institution of higher education, hospital, or tribal organization other than
one included in the definition of Indian Tribe at 2 CFR 175.25(b), and for -
profit organizations.
iv. "Severe fortes of trafficking in persons," "commercial sex act," and
"coercion" have the meanings given at section 103 of the TVPA, as
amended (22 USC 7102).
37. 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.
38. 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.
39. Agrees that "Classified national security information," as defined in Executive Order
(EO) 12958, as amended, means information that has been determined pursuant to EO
12958 or any predecessor order to require protection against unauthorized disclosure and is
marked to indicate its classified status when in documentary form.
40. Agrees that no funding under this award shall be used to support a contract, subaward,
or other agreement for goods or services that will include access to classified national
security information if the award recipient has not been approved for and has access to
such information.
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41. Agrees that where an award recipient, grantee, subrecipient, or subgrantee has been
approved for and has access to classified national security information, no funding under
this award shall be used to support a contract, subaward, or other agreement for goods or
services that will include access to classified national security information by the
contractor, subawardee, or other entity without prior written approval from the DHS Office
of Security, Industrial Security Program Branch (ISPB), or, an appropriate official within
the federal department or agency with whom the classified effort will be performed. Such
contracts, subawards, or other agreements shall be processed and administered in
accordance with the DHS "Standard Operating Procedures, Classified Contracting by
States and Local Entities," dated July 7, 2008; EOs 12829, 12958, 12968, as amended; the
National Industrial Security Program Operating Manual (NISPOM); and/or other
applicable implementing directives or instructions. All security requirement documents are
located at: http: / /ww v.dhs.gov /xopnbiz/grants /index.shtin.
42. Understands that immediately upon determination by the award recipient that funding
under this award will be used to support such a contract, subaward, or other agreement, and
prior to execution of any actions to facilitate the acquisition of such a contract, subaward,
or other agreement, the award recipient shall contact ISPB, or the applicable federal
department or agency, for approval and processing instructions.
DHS Office of Security ISPB contact information:
Telephone: 202 -447 -5346
E -mail: DD254AdministrativeSecurity @dhs.gov
Mail: Department of Homeland Security
Office of the Chief Security Officer
ATTN: ASD /Industrial Security Program Branch
Washington, DC 20528
43. Agrees with the requirements regarding Data Universal Numbering System (DUNS)
Numbers, meaning if recipients are authorized to make subawards under this award, they
must notify potential subrecipients that no entity (see definition in paragraph C of this
award term) may receive or make a subaward to any entity unless the entity has provided
its DUNS number.
a. For purposes of this award term, the following definitions will apply:
i. "Data Universal Numbering System (DUNS)" number means the nine
digit number established and assigned by Dun and Bradstreet, [tic. (D &B)
to uniquely identify business entities. A DUNS number may be obtained
from D &B by telephone (currently 866-705-5711) or the Internet
(currently at http : / /fedgov.dnb.conV%vebform).
ii. "Entity", as it is used in this award term, means all of the following, as
defined at 2 CFR part 25, subpart C, as a Governmental organization,
which is a state, local government, or Indian Tribe; or a foreign public
entity; or a domestic or foreign nonprofit organization; or a domestic or
foreign for -profit organization; or a federal agency, but only as a sub-
recipient under an award or subaward to a non - federal entity.
iii. "subaward" means a legal instrument to provide support for the
performance of any portion of the substantive project or program for which
you received this award and that you as the recipient award to an eligible
subrecipient. It does not include your procurement of property and services
needed to carry out the project or program (for further explanation, see
Sec. 210 of the attachment to OMB Circular A -133, "Audits of States,
Local Governments, and Non -Profit Organizations ") and may be provided
through any legal agreement, including an agreement that you consider a
contract.
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iv. "Subrecipient" means an entity that receives a subaward from you
under this award; and is accountable to you for the use of the federal funds
provided by the subaward.
44. 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.
45. 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.
46. Agrees that equipment acquired or obtained with grant funds:
a. Will be made available pursuant to applicable terms of the California Disaster
and Civil Defense Master Mutual Aid Agreement in consultation with
representatives of the various fire, emergency medical, hazardous materials
response services, and law enforcement agencies within the jurisdiction of the
applicant, and deployed with personnel trained in the use of such equipment in a
manner consistent with the California Law Enforcement Mutual Aid Plan or the
California Fire Services and Rescue Mutual Aid Plan.
b. Is consistent with needs as identified in the State Homeland Security Strategy
and will be deployed in conformance with that Strategy.
47. 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.
48. Will comply with all applicable federal statutes, regulations, policies, guidelines and
requirements, including OMB Circulars A102 and A -133, E.O. 12372 and the current
Administrative Requirements, Cost Principles, and Audit Requirements.
49. Will comply with all provisions of 2 CFR, including: Part 215 Uniform Administrative
Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals,
and Other Non -Profit Organizations (OMB Circular A -1 10); Part 225 Cost Principles for
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State, Local and Indian Tribal Governments (OMB Circular A -87); Part 220 Cost
Principles for Educational Institutions (OMB Circular A -21); Part 230 Cost Principles for
Non - Profit Organizations (OMB Circular A -122).
50. Will comply with Subtitle A, Title II of the Americans with Disabilities Act (ADA)
1990.
51. Agrees to cooperate with any assessments, national evaluation efforts, or information or
data collection requests, including, but not limited to, the provision of any information
required for the assessment or evaluation of any activities within this agreement.
52. Will comply with Federal Acquisition Regulations (FAR), part 31.2 Contract Cost
Principles and Procedures, Contracts with Commercial Organizations.
53. Will comply with the financial and administrative requirements set forth in the current
edition of the DHS Financial Management Guide.
54. Agrees that all allocations and use of funds under this grant will be in accordance with
the FY 2011 Homeland Security Grant Program Guidance and Application Kit, and the
California Supplement to the FY 2011 Homeland Security Grant Program Guidance and
Application Kit. All allocations and use of funds under this grant will be in accordance
with the Allocations, and use of grant funding must support the goals and objectives
included in the state and /or Urban Area Homeland Security Strategies as well as the
investments identified in the Investment Justifications which were submitted as part of the
California FY 2011 Homeland Security Grant Program application. Further, use of FY
2011 funds is limited to those investments included in the California FY 2011 Investment
Justifications submitted to DHS /FEMA and Cal EMA and evaluated through the peer
review process.
55. Will not make any award or permit any award (subgrant or contract) to any party that is
debarred or suspended or is otherwise excluded from or ineligible for participation in
federal assistance programs under EOs 12549 and 12689, "Debarment and Suspension'.
56. As required by EO 12549, Debarment and Suspension, and implemented at 44 CFR
Part 17, for prospective participants in primary covered transactions, 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
governmental entity (federal, state, or local) with commission of any of the
offenses enumerated in paragraph (1)(b) of this certification; and have not within a
three -year period preceding this application had one or more public transactions
(federal, state, or local) terminated for cause or default; and 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.
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57. Agrees to comply with the Drug -Free Workplace Act of 1988, and certifies that it will
or will continue to provide a drug -free workplace by:
a. Publishing a statement notifying employees that the unlawful manufacture,
distribution, dispensing, possession, or use of a controlled substance is prohibited
in the grantee's workplace and specifying the actions that will be taken against
employees for violation of such prohibition.
b. Establishing an ongoing drug -free awareness program to inform employees
about:
i. The dangers of drug abuse in the workplace;
it. The grantee's policy of maintaining a drug -free workplace;
iii. Any available drug counseling, rehabilitation, and employee assistance
programs; and
iv. The penalties that may be imposed upon employees for drug abuse violations
occurring in the workplace.
c. Making it a requirement that each employee 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:
i. Abide by the terms of the statement; and
ii. Notify the employer in writing of his or her conviction for a violation of
a criminal drug statute occurring in the workplace no later than five
calendar days after such conviction.
e. Notifying Cal EMA, in writing, within 10 calendar days after receiving notice
under subparagraph (d)(ii) 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, DC 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)(ii), with respect to any employee who is so convicted.
i. 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
ii. 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 paragraph 57 subsections (a), (b), (c), (d), (e), and (f).
58. Will comply with all applicable requirements of all other federal and state laws, EOs,
regulations, program and administrative requirements, policies and any other requirements
governing this program.
59. Understands the reporting of subawards and executive compensation rules, including
first tier subawards to Cal ENIA.
a. Applicability: unless you are exempt as provided in subsection (d) of this
paragraph, subrecipient must report each action that obligates $25,000 or more in
Federal funds that does not include Recovery funds (as defined in section
1512(a)(2) of the American Recovery and Reinvestment Act of 2009.
b. Where and when to report: you must report each obligating action described in
the following paragraphs to Cal EMA. For subaward information, report no later
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than the end of the month following the month in which the obligation was made.
(For example, if the obligation was made on November 7, 2011, the obligation
must be reported by no later than December 31, 2011.)
c. What to report: You must report the information about each obligating action
that the submission instructions posted in Information Bulletin 350, to Cal EMA.
d. Reporting Total Compensation of Recipient Executives: You must report total
compensation for each of your five most highly compensated executives for the
preceding completed fiscal year, if:
i. The total federal funding authorized to date under this award is $25,000
or more;
ii. In the preceding fiscal year, you received 80 percent or more of your
annual gross revenues from federal procurement contracts (and
subcontracts) and federal financial assistance subject to the Transparency
Act, as defined at 2 CFR 170.320 (and subawards); and $25,000,000 or
more in annual gross revenues from federal procurement contracts (and
subcontracts) and federal financial assistance subject to the Transparency
Act, as defined at 2 CFR 170.320 (and subawards); and
iii. The public does not have access to information about the compensation
of the executives through periodic reports filed under section 13(a) or
15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d))
or section 6104 of the Internal Revenue Code of 1986. (To determine if the
public has access to the compensation information, see the U.S. Security
and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp,htm,)
iv. Subrecipient Executives. Unless you are exempt as provided above, for
each first -tier subrecipient under this award, you shall report the names and
total compensation of each of the subrecipient's five most highly
compensated executives for the subrecipient's preceding completed fiscal
year, if in the subrecipient's preceding fiscal year, the subrecipient received
80 percent or more of its annual gross revenues from federal procurement
contracts (and subcontracts) and federal financial assistance subject to the
Transparencv Act, as defined at 2 CFR 170.320 (and subawards); and
$25,000,000 or more in annual gross revenues from federal procurement
contracts (and subcontracts), and federal financial assistance subject to the
Transparency Act (and subawards); and the public does not have access to
information about the compensation of the executives through periodic
reports filed under section 13(a) or 15(d) of the Securities Exchange Act of
1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue
Code of 1986. (To determine if the public has access to the compensation
information, see the U.S. Security and Exchange Commission total
compensation filings at http: / /%"m. sec .gov /answers /execomp.htm.)You
must report subrecipient executive total compensation to Cal EMA by the
end of the month following the month during which you make the
subaward. For example, if a subaward is obligated on any date during the
month of October of a given year (i.e., between October l and 31), you
must report any required compensation information of the subrecipient by
November 30 of that year.
60. Exemptions to Paragraph 59 include: If, in the previous tax year, you had gross income,
from all sources, under $300,000, you are exempt from the requirements to report on
subawards, and the total compensation of the five most highly compensated executives of
any subrecipient.
a. Definitions associated with paragraph 59 include:
i. "Executive" means officers, managing partners, or any other employees
in management positions.
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ii. "Total compensation" means the cash and noncash dollar value earned
by the executive during the recipient's or subrecipient's preceding fiscal
year and includes the following (for more information see t7 CPR
229.402(c)(2)):
• Salary and bonus.
• Awards of stock, stock options, and stock appreciation rights. Use the
dollar amount recognized for financial statement reporting purposes with
respect to the fiscal year in accordance with the Statement of Financial
Accounting Standards No. 123 (Revised 2004) (FAS 1238), Shared Based
Payments.
• Earnings for services under non -equity incentive plans. This does not
include group life, health, hospitalization or medical reimbursement plans
that do not discriminate in favor of executives, and are available generally
to all salaried employees.
• Change in pension value. This is the change in present value of defined
benefit and actuarial pension plans.
• Above- market earnings on deferred compensation which is not tax -
qualified.
Other compensation, if the aggregate value of all such other
compensation (e.g., severance, termination payments, value of life
insurance paid on behalf of the employee, perquisites or property) for the
executive exceeds $10,000.
61. Understands that failure to comply with any of the above assurances may result in
suspension, termination, or reduction of grant funds.
The undersigned represents that he /she is authorized by the above n applicant to enter into this
agreement for and on behalf of the said a plica�.
1
Signature of Authorized Agent:
Printed Name of Authorized Agent:
Title:t>� Date:o� ?J'
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ATTACHMENT B
FY 2011 Urban Areas Security Initiative Grant Program Anaheim /Santa Ana UASI Sub-
Recipient Grant Guide Standard Operating Procedures, Policies and Forms
Page 57 of 84
FY2011 Urban Areas Security Initiative Grant Program
Anaheim / Santa Ana UASI Sub - Recipient Grant Guide
Standard Operating Procedures, Policies, and Forms
December 2011
Version 1
Page 58 of 84
FY2011 Anaheim /Santa Ana UASI Sub - Recipient Grant Guide
PURPOSE AND ORGANIZATION OF THIS GUIDE
The FY2011 Urban Areas Security Initiative Grant Program is a reference for agencies receiving
federal funds through the Anaheim /Santa Ana UASI Offices. The Guide will help sub - recipients
understand and meet the financial, administrative, and audit requirements for the use of these
funds. The primary source documentation for these requirements is the U.S. Department of
Homeland Security "Fiscal Year 2011 Homeland Security Grant Program Guidance and
Application Kit" (http: / /www.fema.gov /pdf /government /grant /2011 /full hsgp kit.pdf), the
California Emergency Management Agency "FY2011 Homeland Security Grant Program:
California Supplement to Federal Program Guidance and Application Kit"
(http: / /www.ca le ma. ca.gov /EMS -HS-
Haz M at /Docume nts /H SG P /11 /FY11 %20CA %20Su pp le me nt %20to %20the %20Federa I %20Progra
m %20Guidance.pdf), 44 Code of Federal Regulation Part 13 "Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments"
( http:// www .calema.ca.gov /GrantsMonitoring /Documents /CFR %20Regs /44CFRPartl3.pdf),
and 2 Code of Federal Regulations Part 225 "Cost Principles for State, Local, and Indian Tribal
Governments (OMB Circular A -87)"
(http: / /www.whitehouse.gov/ sites / default /files /omb /fedreg /2005/083105 a87.pdf).
Other reference documents in this guide can be found at
http: / /www.dhs.gov /xprepresp /publications.
Sub- recipients must meet certain requirements to receive funding from federally funded grant
programs. The requirements contained in this Guide are not all- inclusive. In addition, other
source materials will be referenced. Sub - recipients are encouraged to contact the Anaheim/
Santa Ana UASI Offices for clarification of any requirements.
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11
TABLE OF CONTENTS
11
Part 1- FY11 UASI Grant Overview
12
Overview
4
FY11 HSGP Priorities
5
FY11 Anaheim /Santa Ana UASI Investment Justifications
5
Urban Area Working Group (UAWG) Overview
6
Grant Performance Period & Grant Identification
6
Federal and State Guidelines
6
Anaheim /Santa Ana UASI Regions
7
Part 2 - Pre -Award Guidelines
20
Agreements /Eligibility Packets
8
Deadline to Submit Completed Packets
8
Part 3 - Proiect Application Guidelines
Overview
9
Supplanting
9
Project Application Process
9
Environmental and Historic Preservation Requirements
9
Notification of Awards
10
Project Modifications
10
Part _4- Reporting Requirements, Procurement, and Reimbursements
Quarterly Reporting Requirements
11
Procurement Standards and Methods
11
Reasonableness, Conflict of Interest, and Required State Approvals
12
Documentation and Performance Bonds
12
Training Program Overview, Process, & Guidelines
13
Exercise Overview
15
Reimbursement Guidelines & Deadline
15
New Website Instructions
17
Part 5 - Financial and Equipment Monitoring Requirements
Monitoring Overview
20
Site Visits
20
Maintenance and Disposal
21
Part 6 — Conclusion 23
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Anaheim /Santa Ana UASI Grant Office Contact Information
Mailing Addresses:
Santa Ana Police Department Anaheim Police Department
Homeland Security Division Homeland Security Bureau, East Station
60 Civic Center Plaza 425 S. Harbor Boulevard
Santa Ana, CA 92702 Anaheim, CA 92805
Fax (714) 245 -8118 Fax (714) 765 -3880
UASI Grant Office Contact Information
Cmdr. Kenneth Gominsky, Jr.
Lt. Tim Miller
Office (714) 245 -8040
Office (714) 765 -3879
Cell (714) 720 -2650
Cell (714) 497 -6442
kgominsky @santa - ana.org
tmiller @anaheim.net
Sgt. Brad Hadley
Sgt. Darrin Lee
Office (714) 245 -8720
Office (714) 765 -3833
Cell (714) 471 -2039
Cell (714) 497 -6761
bhadley @santa - ana.org
darrinlee @anaheim.net
Cpt. Steve Snyder (Fire /Emg Mgmt)
BC Alan Long (Fire)
Office (714) 245 -8748
Office (714) 765 -3822
Cell (714) 323 -4028
Cell (714) 493 -6367
ssnyder @santa - ana.org
along @anaheim.net
Jocelyn Tingley (Fiscal)
Kerrstyn Vega (Fiscal)
Office (714) 245 -8739
Office (714) 765 -
jtingley @santa - ana.org
kvega @anaheim.net
Rosa Ponce de Leon (Training /Exercises)
Ryan Tisdale (Equipment)
Office (714) 245 -8672
Office (714) 765 -3838
rponcedeleon @santa - ana.org
rtisdale @anaheim.net
Otto Laufer (Equipment)
Trace Gallagher (Equipment)
Office (714) 245 -8737
Office (714) 765 -3855
olaufer @santa - ana.org
tgallagher @anaheim.net
Robert Perez (Monitoring)
Erika Garcia (Monitoring)
Office (714) 245 -8723
Office (714) 765 -
Robertperez5 @santa - ana.org
egarcia @anaheim.net
Lauren Leslie (Fiscal /Training)
Sara Garcia - Zarate (Clerical)
Office (714) 245 -8671
Office (714) 765 -3825
Ileslie @ santa - ana.org
sgarcia- zarate @anaheim.net
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Part 1 —FY11 UASI Grant Overview
Overview
The Homeland Security Grant Program (HSGP) is comprised of four interconnected grant
programs.
• State Homeland Security Program (SHSP)
• Urban Areas Security Initiative (UASI)
• Metropolitan Medical Response System (MMRS)
• Citizen Corps Program (CCP)
The HSGP is one tool among a comprehensive set of measures authorized by Congress and
implemented by the Administration to help strengthen the nation against risks associated with
potential terrorist attacks. Under the HSGP the cities of Anaheim and Santa Ana were selected
as core cities for the Orange County Metropolitan Area and are responsible for the
management and administration of the UASI Grant Program.
The UASI grant program is designed to address the unique planning, equipment, training and
exercise needs of high- threat, high- density Urban Areas, and assist them in building an
enhanced and sustainable capacity to prevent, protect against, respond to, and recover from
acts of terrorism. The UASI grant program, as part of the HSGP, is meant to support the Federal
government's larger, coordinated effort to strengthen homeland security preparedness. The
HSGP implements objectives addressed in a series of post 9/11 laws, strategy documents, plans,
and Homeland Security Presidential Directives (HSPDs). Of particular significances are the
National Preparedness Guidelines (Guidelines) and its associated work products. The Guidelines
are an all- hazards vision regarding the nation's four core preparedness objectives: to prevent,
protect, respond to and recover from terrorist attacks and catastrophic natural disasters.
The Guidelines define a vision of what to accomplish and a set of tools — including HSGP grant
investments —to forge a unified national consensus about what to do and how to work
together at the Federal, State, local, and tribal levels. It outlines 15 scenarios of terrorist attacks
or natural disasters that form the basis of much of the Federal, State and local responder's
exercises and training system. In addition, it identifies 37 critical target capabilities that DHS is
making the focus of key investments with State and local partners. The 37 target capabilities
are further broken down in to 1600 unique tasks which are found in the Universal Task List.
These tools form a framework that first responders can use to establish a capabilities -based
approach to preparedness. DHS expects its State, local, and tribal partners to be familiar with
this federal preparedness architecture and to incorporate elements of this architecture into
their planning, operations and investments.
Projects funded through the Anaheim /Santa Ana UASI 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
an entity'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
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FY2011 Anaheim /Santa Ana UASI Sub- Recipient Grant Guide
determining what projects will be funded is the ability of the project to achieve a regional
capability.
The FY 2011 UASI program is intended to enhance regional preparedness efforts. Urban Areas
must use these funds to employ regional approaches to overall preparedness and are
encouraged to adopt regional response structures whenever appropriate. UASI program
implementation and governance must include regional partners and should have balanced
representation among entities with operational responsibilities for prevention, protection,
response, and recovery activities within the region.
In an effort to assist the urban area's sub - recipients in understanding how to apply for funding
and seek reimbursement for approved expenditures the Anaheim /Santa Ana UASI grant office
has developed a guide. The purpose of the Anaheim / Santa Ana Sub- Recipient Grant Guide is
to provide: (1) an overview of the UASI grant program; (2) pre -award guidelines; (3) project
application process; (4) reporting, procurement, and reimbursement requirements; (S) financial
and equipment monitoring guidelines.
FY11 Homeland Security Grant Program Priorities
• Priority 1: Advance "Whole Community' Security and Emergency Management
• Objective 1 : Threat & Hazard Identification Risk Assessment (THIRA)
• Objective 2: Emergency Operation Plans (EDP)
• Objective 3: Organization — Typing of Equipment and Training
• Priority 2: Building Prevention and Protection Capabilities
o Objective 1: The Nationwide Suspicious Activity Reporting Initiative (NSI) Training
• Priority 3: Maturation and Enhancement of State and Major Urban Area Fusion Centers
• Objective 1: Baseline Capabilities
• Objective 2: Analytic Capabilities
To access priorities, refer to the FY11 Homeland Security Grant Program Guidance and
Application Kit.
FY11 Anaheim /Santa Ana UASI Projects
In accordance with the ongoing projects, HSGP Guidance, National Preparedness Guidance, and
the Anaheim /Santa Ana UASI Grants Strategy, the following are tentative projects proposed in
the FY11 Investment Justifications:
+ Proiect A - Strengthen Interoperable Communications Install RACES UHF Repeater Stations (4)
and Upgrade 700 MHz Repeater Stations (3).
+ Project C - Strengthen CBRNE Detection Response and Decontamination Capability Purchase
Environmental Health Hazmat Monitors and Anaheim Urban Search & Rescue Trailer.
+ Proiect F - Enhance Catastrophic Incident Planning Response and Recovery Purchase Water
Distribution Trailers (9) and Hire Contractor for Special Needs Emergency Management Plans.
+ Project G - Citizen Preparedness and Participation Enhance the Ready OC Preparedness
Campaign through 2012 and Start "If You See Something, Say Something" Citizen Preparedness
Campaign.
+ Project H - Homeland Security Training Program Continue Conducting Regional Homeland
Security Training Program, not limited to but including: National Wildland ICS Training, Low
Angle Rope Rescue, Mass Casualty, ICS 300/400, Hazmat Specialist, Immediate Action Teams,
Tactical Casualty Care, and Public Information Officer.
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FY2011 Anaheim /Santa Ana UASI Sub- Recipient Grant Guide
+ Project I — Homeland Security Exercise Program Continue Conducting Regional Homeland
Security Exercise Program, not limited to, but including: Warm Zone Tabletop, Mass
Fatality/ Forensics Drill, OCIAC Full Scale Exercise, Mass Casualty Hospital Full Scale, Citizen
Preparedness Drill, Management Level On -Scene Operations Tabletop, CBRNE Mass Casualty
Incident Drill, and EOC Resource Management Drill.
+ Proiect J - Enhance Regional Intelligence and Counter Terrorism Efforts Continue expanding
Terrorism Liaison Officer Program, Fund Full -Time Analyst Salaries at OCIAC, Procure
Surveillance Kits and Analytical Research System.
+ Project L — Management & Administration Cover salaries, meeting costs, and travel
expenditures related to grant management and administration.
+ Proiect M - Strengthen Medical Surge and Mass Prophylaxis Capabilities Procure 150 Mobile
Data Collection Devices and Conduct Training for the OC -MEDS Patient Tracking System.
Anaheim/ Santa Ana Urban Area Working Group (UAWG)
Homeland Security grants guidelines specifically require the formation of an Urban Area
Working Group to "coordinate the development and implementation of all program initiatives ".
The Grant Guidance requires the use of existing working groups and committees to plan and
implement grant related activities and to coordinate grant resources. In order to accomplish
this task, the Urban Area Working Group (UAWG) functions as the primary advisory body to the
Anaheim / Santa Ana Urban Area Steering Committee.
The mission of the UAWG is to provide recommendations to the Steering Committee through
the identification, prioritization and development of a standardized, regional, all- hazards
approach to increase preparedness, prevention, protection, response, and recovery capabilities
through the coordinated, collaborative efforts of multi - jurisdictional, multi - disciplined
representatives from the Orange County Operational Area. The UAWG will be responsible for
coordinating the development and implementation of all program initiatives and act in an
advisory capacity to the Steering Committee regarding activities related to the Urban Areas
Security Initiative (UASI).
FY11 UASI Grant Performance Period
The California Emergency Management Performance Period for the Anaheim/ Santa Ana Urban
Area is November 18, 2011 to April 30, 2014. However, the Sub - Recipient Performance Period
for the FY11 UASI Grant Program is December 14. 2011 to March 31, 2014.
UASI Grant CFDA #: 97.067 UASI Grant #: 2011 -SS -0077 FIPS #: 059 -95010
FY11 Anaheim /Santa Ana UASI Award: $7,421,142
Federal Grant Guidance:
• FY2011 Homeland Security Grant Program Guidance and Application Kit
(http: / /www.fema.gov /pdf /government /grant /2011 /fyll hsgp kit .pd
California State Grant Guidance:
• California Emergency Management Agency (Cal -EMA) FY11 Homeland Security Grant
Program California Supplemental (http: / /www.calema.ca.gov /EMS -HS-
HazMat /Documents /HSG P/ 11/ FY1l% 20CA% 20Supplement %20to %20the %20Federal %2
OProgram %20G uida nce.pdf)
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FY2011 Anaheim /Santa Ana UASI Sub - Recipient Grant Guide
Administrative, Cost Principles, and Audit Guidelines, including but not limited to:
* 44 CFR part 13, Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments, 44 CFR part 17, Government -Wide
Debarment and Suspension (Non - Procurement) and Government -Wide Requirements
for Drug -Free Workplace (Grants), 44 CFR part 18, New Restrictions on Lobbying
(http: / /www.access.gpo.gov /nara /cfr /`waisidx 07 /44cfrvl 07.html)
* 2 CFR Part 225, Cost Principles for State, Local, and Indian Tribal Governments (OMB
Circular A -87)
(http: / /www.whitehouse. gov/ sites / default /files /omb /fedreg /2005/083105 a87 pdf)
* Federal Acquisition Regulations (FAR), Part 31.2 Contract Cost Principles and
Procedures, Contracts with Commercial Organizations
(https://www.acquisition.gov/far/`htmi/Subpart%2031 2.html)
* OMB Circular A -102, Grants Cooperative Agreements with States and Local
Governments, OMB Circular A -133, Audits of States, Local Governments, and Non - Profit
Organizations (http://www.whitehouse.gov/omb/circulars/index.htmi)
Agencies Covered by the FY11 UASI Grant Program*
Santa Ana (Lead) Irvine
Aliso Viejo
Anaheim
Brea
Buena Park
Calif. State University, Fullerton
Costa Mesa
Cypress
Dana Point
Fountain Valley
Fullerton
Garden Grove
Huntington Beach
La Habra
La Palma
Laguna Beach
Laguna Hills
Laguna Niguel
Laguna Woods
Lake Forest
Los Alamitos
Mission Viejo
Municipal Wati
Orange County Fire Authority
Placentia
Rancho Santa Margarita
San Clemente
San Juan Capistrano
Santa Ana Unified School District
Seal Beach
Stanton
Tustin
University of California, Irvine
,r District of Orange County
Newport Beach
Villa Park
Orange
Westminster
Orange County
Yorba Linda
*In FY04 and FY05 UASI Grants, Santa Ana and Anaheim each had their own UASI Grant award.
DHS combined cities starting with the FY06 UASI Grant. In even years (06, 08, 10) Anaheim is
the lead fiscal agent and in odd years (07, 09, 11) Santa Ana is the lead fiscal agent.
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FY2011 Anaheim /Santa Ana UASI Sub- Recipient Grant Guide
Part 2 — Pre -Award Guidelines
All members of the Anaheim /Santa Ana Urban Area are considered sub - recipients and are
eligible to submit an application for project funding to the Anaheim / Santa Ana UASI for grant
funds. Prior to submitting an application each sub - recipient must establish their eligibility to
receive grant funds by submitting an eligibility package. The eligibility packet must include:
• The FY11 Anaheim /Santa Ana UASI Agreement
• Signed Grant Assurances
• Signed Certifications Regarding Lobbying; Debarment, Suspension and Other
Responsibility Matters; And Drug -Free Workplace Requirements
• Copy of Sub - Recipient's NIMSCAST to Certify NIMS Compliance (to the level established
by DHS for fiscal year 2011)
• Copy of Sub- Recipient's Procurement Policy
• Copy Sub - Recipient's Travel Policy
• Copy of Sub - Recipient's Equipment Control and Disposition Policy
• Copy of 2010/2011 Single Audit Report (If the sub - recipient expends more than
$500,000 in federal assistance they must perform a single audit and provide a copy of
the audit results to the Anaheim /Santa Ana UASI Grant Office. The $500,000 threshold
in federal assistance is an aggregate total and is not limited only to UASI funds. Refer to
OMB Circular A -133)
Sub- recipients may not sub -award Anaheim /Santa Ana UASI funds awarded to them. UASI
funds may only be used to reimburse sub - recipients for allowable grant expenditures that have
received prior approval from the Anaheim /Santa Ana grant office.
Deadline to Submit Eligibility Packet and Agreement:
A completed packet, including all of the above listed documentation, MUST be turned into the
Santa Ana UASI Grant Office, no later than Friday, March 30.2012.
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FY2011 Anaheim /Santa Ana UASI Sub - Recipient Grant Guide
Part 3 — Proiect Application Guidelines
Overview
In an effort to gather the information required to document the allocation of UASI grant funds
and to collect the information necessary to accurately document how the funds will be utilized,
all sub - recipients are required to submit an "Application for Project Funding" prior to being
authorized to expend funds for which they will be reimbursed. A copy of the "Application for
Project Funding" can be found in the Forms section of this guide.
The Application for Project Funding is comprised of 12 sections designed to collect the
information necessary to determine:
1) what capability(ies) the project is designed to establish or enhance;
2) if the project supports the urban areas strategy;
3) how much the project will cost;
4) how the project will be implemented; and
5) how the project will be sustained.
Supplanting
Grant funds must be used to supplement existing funds, not replace (supplant) funds that have
been appropriated for the same purpose.
Project Application Process
The project funding application process is outlined below:
• Sub - recipients must complete a Preliminary Homeland Security Grant Project Funding
Request (refer to Forms), and present their project to the Urban Area Working Group
(UAWG). The UAWG will recommend approval or denial to the Steering Committee.
• After project is presented to UAWG, Sub- Recipient completes the "Application for
Project Funding" and submits it to the Anaheim / Santa Ana UASI Grant Office for review
and approval (refer to Forms).
• Sub- Recipient completes the Environmental and Historic Preservation Screening Memo,
Coversheet, and required back -up (maps, pictures, descriptions, etc) and attaches to the
Application for Project Funding (refer to Forms).
• The Grant Steering Committee will review the applications to determine projects
approved for funding.
• Sub- recipients that have their applications approved for funding will receive an "Award
Letter" which will detail the amount of funding that has been approved.
Environmental and Historic Preservation Requirements
At the time of the project application submission, sub - recipients will be required to submit the
Environmental and Historic Preservation (EHP) Screening Memo, Coversheet, and required
back -up (maps, pictures, descriptions, etc). Refer to the attachments in the back of the Guide.
The EHP will be required for all projects that have AEL numbers with the following green
disclaimer (refer to https: / /www.rkb.us):
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FY2011 Anaheim /Santa Ana UASI Sub - Recipient Grant Guide
FEMA Preparedness Grants Authorized .Equipment List
Surveillance, Warning, Access /Intrusion Control »General »Systems, Video Assessment, Security
GEIIERAL
AEL number. U&N -01 -VIDA
Title: Systems. Video - ssessment, Security
Description: Camera -based securitf systems utilang
standard, Io�N light, or infrared technology.
Notification of Award
For those projects that are approved for FY11 UASI funding, the sub - recipient will receive an
award letter indicating the project has been approved for funding, the amount of funding that
has been approved, and the time frame in which the project must be completed.
Project Modifications
Sub - recipients must complete the Request for Project Modification (refer to Forms), and
contact the Anaheim / Santa Ana UASI grant office and request approval prior to modifying any
of the terms of the project or funding amounts. Refer to the "New Website Instructions" on
how to upload all Project Modification Requests.
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FY2011 Anaheim /Santa Ana UASI Sub - Recipient Grant Guide
Part 4 — Reporting Requirements, Procurement, and Reimbursements
Quarterly Progress Reporting
Project managers will be required to submit the Quarterly Project Status Report (refer to
Forms) in order to improve grant management. The designated project manager will be
required to submit on the overall status, the project milestones (both planned and completed),
accomplishments and goals, as well as any issues or concerns that may arise. Quarterly reports
are required for all approved projects. Attachments are encouraged, such as procurement
paperwork or meeting agendas. Refer to the "New Website Instructions" on how to upload
completed Quarterly Progress Reports.
Calendar Quarters Reporting Due Dates
January 1— March 31 April 10th
April 1— June 30
July 1— September 30
October 1— December 31
July 10th
October 10th
January 10th
Procurement
Sub- recipients shall use their own procurement procedures and regulations, provided their
procurement procedures and regulations conform to applicable Federal law and standards.
The sub - recipient shall obtain signed Certification of Debarment (refer to Forms) from parties
involved in all transactions. The sub - recipient shall also use the Excluded Parties List System
(EPLS) located at http: / /epls.gov to verify the parties involved in the transaction have not been
debarred or suspended from receiving federal funds. Sub- recipients shall obtain a signed
Certification Regarding Lobbying from all parties that are involved in transactions with the sub -
recipient and sub- recipient shall ensure language regarding this requirement is included in all
agreements and contracts entered into by the sub - recipient.
Selection of Procurement Method
Sub- recipients should follow their own established procurement policies. These policies should
detail the following procurement methods and when it is permissible to use them:
• Small purchase— Must obtain price or rate quotations from an adequate number of qualified
sources; procurement must be competitive.
• Sealed bids— Must make a firm fixed -price award to the bidder whose bid is the most
advantageous to the grantee. If factors other than price are considered in determining the
winning bid, the invitation for bids must describe clearly these other factors and how they will
be applied in calculating the bids.
• Competitive proposals— Fixed -price or cost - reimbursement type contract. Must identify all
evaluation factors and their relative importance, considering price and other factors.
• Sole- source procurements - Used only when the small purchase, sealed -bid or competitive
proposals methods are not feasible, and one of the following circumstances exists:
• The item is only available from one source
• There is a public exigency or emergency need for the item that will not permit the delay
associated with competitive solicitation
• After solicitation of a number of sources, competition is determined inadequate.
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FY2011 Anaheim /Santa Ana UASI Sub- Recipient Grant Guide
The awarding agency (Cal -EMA) must authorize ALL noncompetitive proposals; send sole source
requests to the Santa Ana Grant Coordinator for approval.
Reasonableness of Cost /Price
Sub- recipients are required to perform some form of price or cost analysis to determine the
reasonableness of the proposal's cost. Not necessary if the sealed bid method is used, as the
market of competitive bidding brings forth the most reasonable prices. Without performing a
proper analysis, there is simply no certainty that fair and reasonable prices are being charged.
The single overriding requirement is that a sub - recipient must examine every cost element
listed in an offer. To do so, the contractor must have an accounting system that properly tracks
costs and allocates them to the proper categories. Through a cost analysis, determinations are
made on which costs are real and reasonable, allowable under grantee regulations or rules, and
properly allocated to the work to be performed under proposed contracts.
Conflicts of Interest
No official or employee of local government shall participate personally through decisions,
approval, recommendation, or otherwise in any application, contract, award, agreement with
federal funds, in which he /she or immediate family, partners, organization in which they
participate or prospective employment, has a financial interest, or has less than an arms - length
transaction. Violations may result in criminal, civil, or administrative penalties.
State EOC, Aviation, and Sole Source Pre - Approval Requirements
For all UASI projects that establish or enhance an Emergency Operation Center (EOC), project
managers must submit the Cal -EMA Establish /Enhance Emergency Operations Center (EOC)
Request Form (See Forms) to the Santa Ana UASI Grant Coordinator for pre - approval.
Any and all Aviation Equipment projects, must also be pre- approved by Cal -EMA before
purchases begin. The Cal -EMA Aviation Request Form (See Forms) once completed, must be
forwarded to the Santa Ana UASI Grant Coordinator.
Finally, all Sole Source purchases require pre - approval from Cal -EMA, before any purchases are
made. Once completed, the Request for Sole Source Procurement Authorization Form (See
Forms) must be forwarded to the Santa Ana UASI Grant Coordinator for approval.
Documentation
Sub - recipients are required to maintain records sufficient to detail the history of procurement:
• The rationale for the method of procurement (small purchase, sealed bid, etc.)
• The selection of contract type (fixed - price, cost reimbursement, etc.)
• Contractor selection or rejection; and
• The basis of the contract price.
If procurement exceeds the small purchase amount, the sub - recipient must include in its
procurement records and files:
• The basis for contractor selection
• Justification for lack of competition when competitive bids or offers were not obtained
• The basis for the award cost or price
Performance Bonds
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FY2011 Anaheim /Santa Ana UASI Sub- Recipient Grant Guide
Sub- recipients are required to purchase performance bonds for any equipment items that
exceed $250,000 or for any vehicles including aircraft or watercraft that are financed with
homeland security funds. The cost of the performance bond is an allowable expense under the
UASI grant program.
Training Program Overview
The Anaheim /Santa Ana Urban Areas allocates training funds to applicable Orange County
jurisdictions based proportionately on each jurisdiction's number of first responders.
Although no longer a DHS requirement, ASAUASI will continue to dedicate 10% of the total
grant allocation to eligible training expenses as set forth by the Urban Area Working Group
(UAWG). The UAWG makes recommendations that will enhance regional preparedness, ensure
standardization within Orange County, avoid duplication of efforts, and maximize the use of
grant funds. The UAWG also considers the Urban Area's multi -year Training and Exercise plan.
The UAWG will determine training needs based on an evaluation of the region's gap in
capabilities and the Urban Area's Multi -year Training and Exercise Plan. The UAWG will
maintain a current list of eligible training courses to meet regional training needs. A total of
30% of each jurisdiction's allocated amount will be deemed "Discretionary". This amount can
be used on eligible training that specifically meets the needs of that jurisdiction, but may not be
on the regional training list. Eligible costs for training under the FY 11 UASI allocation will be
reimbursed through the Santa Ana Police Department Office. The following is a list of websites
and links to aid you in your search for eligible training:
Cal -EMA: http://www.calema.ca.gov/, click on "Training" tab. The "Training Bulletin" link
contains a list of training by the following providers:
Cal -EMA
• Adaptive Cyber- Security Training (ACT) Online
• California Specialized Training Institute (CSTI)
• California Commission on Peace Officer Standards and Training (POST)
• California State Fire Marshall
• Emergency Management Institute (EMI)
• National Center for Biomedical Research and Training (NCBRT)
• Texas Engineering Extension Service (TEEX)
• New Mexico Tech /Energetic Materials Research and Testing Center (EMRTC)
• Center for Domestic Preparedness (CDP)
Orange County Training and Exercise Schedule (www.PrepareOC.org) Sub - recipients can
request access to the secure portal via the link on this website. Once access is granted, sub -
recipients can login and view the training calendar.
US DOJ Training Site (http: / /oio.usdoi.gov /training /training.htm)
Riverside County Homeland Security Regional Training Program
(http: / /regiona ltrainingprogram.org /)
Congressman Rohrabacher's website (http://rohrabacher.house.gov
Training
This section will address training course selection for jurisdictions seeking to fund training
needs with their "discretionary" reimbursement allocations.
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FY2011 Anaheim /Santa Ana UASI Sub - Recipient Grant Guide
There are FEMA approved courses conducted on an ongoing basis throughout the country.
Many of these courses are instructed within California and locally in Orange County. (Refer to
attached list of references and links to become aware of available training.) Other courses that
have not been FEMA approved will be evaluated on a case -by -case basis through the Approval
Process outlined below. All classes, including FEMA approved classes must adhere to the
Approval Process outlined below prior to attendance of any training for which UASI
reimbursement will be requested.
In searching for available classes, remember that training should continue to focus on
enhancing capabilities to prevent, protect against, respond to, or recover from Chemical,
Biological, Radiological, Nuclear, Explosive (CBRNE), agricultural, and cyber- terrorism incidents.
As the result of several recently added national planning scenarios, UASI reimbursable training
expenses now also include training related to catastrophic events, provided that these activities
also build capabilities that relate to terrorism.
Approved classes will qualify for reimbursement for the following expenses: Tuition, Overtime,
Backfill, and Travel Costs (e.g. airfare, mileage, per diem, hotel). Reimbursement guidelines and
the process for seeking reimbursement are outlined below.
Regional Training
Once core training classes have been selected by the committee process as part of a regional
training project by filling out the UAWG Training Presentation Form (see Forms), attendance for
these classes will be coordinated through the Anaheim /Santa Ana Training and Exercise
Coordinators, or a designated point -of- contact from the jurisdiction hosting the training.
Jurisdictions must adhere to the Approval Process outlined below prior to attendance by
personnel in a regional training project class. Approved classes will qualify for reimbursement
for the following expenses: Tuition, Overtime, Backfill, and Travel Costs (e.g. airfare, mileage,
per diem, hotel). Reimbursement guidelines are listed below. Please note, for regional training
courses provided locally, one tracking request number will be requested for all participating
jurisdictions; contact the UASI Training Coordinators for confirmation.
Approval Process for both Discretionary and Regional Training Courses
Jurisdictions must seek approval from Cal -EMA prior to attendance of all training in which UASI
reimbursement will be requested. To obtain State approval for a course, the jurisdiction's UASI
training point -of- contact will contact the UASI Training Coordinator with a cost estimate and
course details.
Reimbursement Guidelines
Training expenses that are submitted for reimbursement must adhere to the FY11 State and
Federal Homeland Security Grant Program Guides, and applicable Code of Federal Regulation
(CFR). In accordance with this guidance, several regulations are highlighted below:
• Reimbursable training costs for approved training includes: Tuition, Overtime and Backfill,
and Travel Costs (i.e. airfare, mileage, per diem, hotel, etc.). All expenses must comply
with each jurisdiction's established policies.
• Overtime and backfill are reimbursable expenses, but at NO time is dual compensation
(overtime and backfill) allowable during the some training day. In order to pay for backfill,
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FY2011 Anaheim /Santa Ana UASI Sub- Recipient Grant Guide
agencies must have incurred the expense of paying overtime to fill a position vacated by
the employee on the day of the training.
• Personnel costs for employees who attend training on a normal work day are not
reimbursable.
• For agencies that have extended shifts (12 -24 hours) please note that backfill can only be
reimbursed for the time that the employee was not able to work their normal shift due to
the training.
• Reimbursement for "Fringe Benefits' in overtime and backfill is limited only to Federal
Insurance Contributions Act (FICA), Workers' Compensation, and Unemployment
Insurance.
• Tips, alcohol, and entertainment are not reimbursable expenses.
• Agencies must retain expense related documentation for three years past the grant
performance period.
To submit for reimbursement, complete the Training Reimbursement Application Worksheet
(see Forms) for each completed course. The Training Reimbursement Application Worksheet
must include the State Tracking Number for the class in order to receive reimbursement.
Payroll documentation must include a tmesheet, overtime sheet, or some other form of
documentation that has the following information: employee signature, grant year (11), grant
(UASI), date(s), hours, and purpose (ex. course title attended or Backfill for employee). If the
sub - recipient does not have this document, the employee must complete the Functional
Timesheet (refer to Forms). All Overtime / Backfill expenses must be supported by copies of a
payroll or other similar system that supports the overtime rate and number of overtime / backfill
hours that submitted for reimbursement.
In addition to the Training Reimbursement Application Worksheet, also complete one
Reimbursement Request for Grant Expenditures form for the total amount listed on each of the
Training Reimbursement Applications and Worksheets. An invoice must also be included that
bills the City of Santa Ana for the total amount.
Exercise Program Overview
UASI Funded exercises will occur on an ongoing basis, according to the Urban Area's Multi -year
Training and Exercise Plan. Some of these exercises may have funding available for expenses
incurred by jurisdictions as a result of participation in or the development of UASI funded
exercises. All expenses that will be reimbursed through UASI must receive prior approval from
the Anaheim /Santa Ana UASI Grant Office. This prior approval will be granted through the
completion of the Application for Project Funding which will be signed by the jurisdiction and
the UASI grant office. Any questions regarding the Exercise Program, contact the Santa Ana
Training /Exercise Coordinator.
SEEKING REIMBURSEMENT
The UASI grant is both a reimbursement grant program and a cash advance program. Both the
State (grantee) and the Anaheim /Santa Ana UASI (sub - grantee) are allowed to seek cash
advances. In order to help expedite the reimbursement process for the local jurisdictions (sub -
recipients), the Anaheim /Santa Ana UASI Grant Office recommends e- mailing a copy of a
Purchase Order or Invoice to the UASI Fiscal Coordinator and the UA5i Grant Coordinator 30
days before submitting the reimbursement request. This will allow the UASI Grant Fiscal
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FY2011 Anaheim /Santa Ana UASI Sub - Recipient Grant Guide
Coordinator to seek funding from the State, which will then be received and readily available
upon receipt /review of the completed reimbursement request. The following documentation is
required for reimbursement:
Equipment Reimbursement Documentation:
• City /Agency Invoice billing the City of Santa Ana for Reimbursable charges
• Reimbursement Request for Grant Expenditures Form (refer to Forms)
• Copies of Invoices Received and Paid by Sub - Recipient
• Copies of Payments (Checks Issued)
• Copies of Requisitions and Purchase Orders
• Packing Slip with Itemized Equipment Purchases
• Equipment Reimbursement Worksheet ( *NEW refer to Forms)
Training Reimbursements Documentation:
• City /Agency Invoice billing the City of Santa Ana for Reimbursable charges
• Reimbursement Request for Grant Expenditures Form (refer to Forms)
• 2011 Travel Reimbursement Worksheet (refer to Forms)
• Copies of Invoices Received and Paid by Sub - Recipient
• Copies of Payments (Checks Issued)
• Documentation of payroll records verifying hourly rate and overtime /backfill rate, as
well as proof of total overtime cost paid for each employee.
• Copies of signed employee documentation or UASI Functional Timesheets for
overtime /backfill (Refer to Forms)
• Copy of the Tracking Number confirmation e -mail from Cal -EMA
• Certification (or a copy) of course completion. If certificate is unavailable, proof of
attendance such as a sign in sheet and class roster must be submitted.
• Copies of all receipts for tuition, travel, lodging and per diem. If the sub - recipient's
travel policy indicates actual costs will be reimbursed, the sub - recipient must submit
all receipts. If the sub - recipient's travel policy is to provide a daily Per Diem, then
records must be provided that document the amount of Per Diem provided.
• DEADLINE to submit final training reimbursement packet: November 29, 2013.
Other Approved Personnel Cost (Planning, M &A, and Organization) Reimbursement:
• City /Agency Invoice billing the City of Santa Ana for Reimbursable charges
• Reimbursement Request for Grant Expenditures (refer to Attachments)
• Copies of Employee Job Descriptions /Duties Related to the Grant
• Copies of payroll records verifying hourly rate and overtime /backfill rate, as well as
proof of total overall payroll costs.
• Copies of signed employee payroll documentation or UASI Functional Timesheets for
overtime /backfill or approved UASI salaries (refer to Forms)
All completed reimbursement packets can now be uploaded to the Anaheim/ Santa Ana UASI
Grant Office website. This will allow for better communication and record keeping. Refer to
"New Website Instructions" for details.
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FY2011 Anaheim /Santa Ana UASI Sub - Recipient Grant Guide
Quarterly Reimbursement Requests
The Anaheim /Santa Ana UASI Grant Office is requesting Sub - Recipients turn in invoices on a
quarterly basis. We prefer one invoice for all expenditures that occurred during any given
quarter. This will help to organize the roughly 400 training packets received during the
performance period, as well as better keep track of payments to sub - recipients and more
timely submissions of cash advances and request to the State. The Grant Office realizes that
financially this might not be feasible for all sub - recipients. If that is the case, we ask a single
submission on a monthly basis for all expenditures that occurred during that month.
Deadline to Submit for Reimbursement
Sub - Recipients are encouraged to seek reimbursement throughout the grant cycle, as funds are
expended. Final Reimbursement Packets (for all other projects outside of Training) are to be
turned in NO LATER THAN March 31, 2014.
Final training reimbursement packets must be submitted no later than November 29. 2013 in
order for unspent training funds to be reallocated.
NEW WEBSITE INSTRUCTIONS
In order to help file share with sub - recipients, and keep better track of reimbursement packets,
quarterly reports, and grant modifications, the Anaheim /Santa Ana Grant Office will have a
portion of the new OCIAC website dedicated to the FY11 UASI Grant Program and its designated
projects. Project managers and sub - recipient representatives will be able to login to the website
and upload files (reimbursement packets, etc.), review the project application, modifications,
submitted quarterly reports, monitoring documentation, etc. In addition, sub - recipients can
review submitted reimbursement packets, if they have been reviewed, as well as when they have
been paid. The website will help to create electronic files for each project, that both the
Anaheim /Santa Ana Grant Office and Sub - Recipients can view.
Logging into the System
1. Go to https://38.184.1.98
2. Click on the "Log In" link and this will
open a new window.
3. Enter your user name and password
then click the "Log In" button.
4. If you forget your password, click the
"Forgot password" link and a temporary
password will be e- mailed to you.
Note: As a new user you will be issued a
user name and a temporary password which
you will need to change upon logging into
the system for the first time.
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R
' 7siI6
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FY2011 Anaheim /Santa Ana UASI Sub - Recipient Grant Guide
Changing Your Password
1. Click "Tools" and select "My
Preferences'
2. This will open a new window. Under
the heading of "My Password" enter
your old password and then enter a
new password. Retype the new
password and click the "Apply
Preferences" button.
Note: When picking a new password there
are several things to keep in mind,-
• The password should be at least 8
characters long.
• The password should not be a word
that can be found in a dictionary.
• Avoid easy to guess passwords like;
Password, 12345678, 1111111, etc.
• Your password should contain at
least one upper case letter, one
number, and one special character.
(e.g. H @rd2Gu3$s)
Attaching a File to a Page
My Password O
Ola Password
f leev Pass'rvora
I
Retype flew' Passwara
I
AFF�S' Preferences
1. Navigate to the "Project Files" page
Z
2
of your project.
2. Towards the bottom of the page you
(ZE)
will see a link titled "Attach File."
Click the link to open the file
Attached by
attachment window.
3. Click the "Browse" button and
navigate to the file you wish to
attach to the page. If you wish to
attach more than 3 files, click the
green dot and another line should
appear.
4. Once you have all of the files
selected, click on the "Attach Files"
button to complete the process.
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FY2011 Anaheim /Santa Ana UASI Sub - Recipient Grant Guide
S. The files should now appear on FFes 1 ' '
the page.
6. To enter a detailed description of the
file click on the pencil. When you are
finished entering the description press
"enter" on your keyboard and the
dialogue box will close. The text will
automatically wrap with in the box as
you type.
Files 5
FIM SI
Fe =u11 .SGP ,IUO: G.IC>nm Or
3]
rVC;, PSG ?GCr: G�Caro cCt
N. Uesc,IpYan • q� 6
IiC C¢5'tICJC11, �
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FY2011 Anaheim /Santa Ana UASI Sub - Recipient Grant Guide
Part 5 — Financial and Equipment Monitoring: Requirements
Monitoring Program Overview
In an effort to ensure the Anaheim /Santa Ana UASI is compliant with all federal, state and
local laws and requirements and to make certain all activities carried out under the Anaheim /
Santa Ana UASI grant program are both reasonable and allowable, every sub - recipient who
receives funding will be monitored by staff from the Anaheim / Santa Ana UASI grant offices. It
is through a comprehensive application process and monitoring that the Anaheim /Santa Ana
UASI hopes to achieve its goal of performing effective grants management.
Procurements
For purposes of this guide, "Equipment" is defined as follows: "An article of nonexpendable,
tangible personal property having a useful life of more than one year and an acquisition cost
which equals or exceeds the lesser of the capitalization level established by the governmental
unit for financial statement purpose, or $5,000." [OMB Circular A -87 -B 8(a)2]
Sub - recipients shall use their own procurement procedures and regulations, provided their
procurement procedures and regulations conform to applicable Federal law and standards.
Equipment
Refer to the DHS FY11 Homeland Security Grant Program — Program Guidance and Application
Kit and the Authorized Equipment List (AEL) for allowable equipment expenses. The 21
allowable equipment categories for the FY11 HSGP are listed on the web -based AEL on the
Responder Knowledge Base (RKB), which is sponsored by Grants & Training and the National
Memorial Institute for the Prevention of Terrorism (MIPT) at https://www.rkb.mipt.org/
Unless otherwise stated in program guidance, equipment must meet all mandatory regulatory
and / or DHS- adopted standards to be eligible for purchase using UASI funds. Sub - recipients
will be responsible for obtaining and maintaining all necessary certifications and licenses for the
purchased equipment. A list of mandatory standards for each equipment item can be found at
the following website: https: / /www.rkb.mipt.org/
Site Visits
As noted above, the purpose of the monitoring visit whether formal or informal, is to oversee
and ensure that sub - recipients are expending and using funds on projects that have been pre -
approved. Furthermore, once the projects are completed, that the resulting equipment is being
used in a manner consistent with the original intent and request.
To that end, and in compliance with federal, state, and local grant guidelines, strategies, and
policies, a representative from the Anaheim / Santa Ana grant offices will be required to
physically inspect and inventory all UASI funded equipment. Although the Cal -EMA requires
that this process take place at least once every two years, the Anaheim / Santa Ana UASI grant
offices will conduct a monitoring visit of all Operational Area UASI funded equipment a
minimum of once per year. These visits can continue up to three years after the close of the
given grant year's performance period. Any questions regarding equipment and logistical
monitoring, contact the Santa Ana or Anaheim Equipment contact.
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FY2011 Anaheim /Santa Ana UASI Sub - Recipient Grant Guide
During a visit, verification will be made that the following conditions do, or do not exist:
• There is a regional (operational area) application to the equipment.
• There is an established and documented Point of Contact /Custodian (POC) who is
responsible for the providing all requested documentation to the monitor, as well as
upkeep and care for the equipment.
There is an established and documented process for inventorying equipment and
tracking its use, maintenance, and training /exercising.
• Current and accurate Equipment records are kept including: description, serial number,
source of equipment, title holder, acquisition date, cost of equipment, percentage of
federal participation in the cost, location kept, use of and condition of equipment, date
of disposal (if applicable), and sale price (if applicable).
• Quality Control guidelines exist to ensure adequate safeguards to prevent loss, damage,
or theft of equipment. Any of the aforementioned circumstances shall be investigated
by the Anaheim/ Santa Ana UASI grant office, and findings reported to the California
Office of Homeland Security.
• If there is a case of loss, damage, disposal, or theft of equipment, the custodial agency
must notify the Anaheim /Santa Ana UASI grant office in writing as soon as practical, no
later than 30 day calendar days. If lost, stolen, or damaged beyond repair, the
equipment shall be replaced with that of like kind and capability, at the custodial
agency's own expense.
• Equipment is being adequately maintained and exercised to ensure functionality and
readiness. Furthermore, that there are personnel from the custodial agency who are
properly trained in the use of the equipment.
• Complete financial records are on hand, to include a full procurement /purchasing
packet (quotes, bids, etc.), purchase orders and /or contracts, invoices, payments,
packing slips, and any other documentation the sub - recipient deems necessary to show
grant funds have been used according to the grant, administrative, and financial
guidelines mentioned in Chapter 1 of this guide. Refer any financial recordkeeping
questions to the Santa Ana or Anaheim Grant Fiscal Coordinator.
All findings concluded during a monitoring visit will be documented and typically classified as
"verified" or "negative finding" (meaning that one or all of the aforementioned conditions
either do not exist, or are not adequately enforced by the custodial agency).
Negative findings during a monitoring visit will result in Corrective Action Notification
Letter. The letter will detail each finding and the required action necessary to correct each
deficiency. There will be a given time frame in which to take the corrective action. If not
corrected, further action including penalties may be assessed upon the custodial agency.
Penalties are not limited to, but may include: re- possession of the funded equipment by the
Anaheim /Santa Ana UASI Grant Offices, future denial of project requests, etc.
Maintenance & Disposal
The custodial agency will be responsible for all maintenance or repair related to UASI funded
equipment, outside those covered by a manufacturer's warranty. When original or
replacement equipment acquired under a grant or sub -grant is no longer needed for the
intended use, or original project or program, disposition will be made as follows:
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FY2011 Anaheim /Santa Ana UASI Sub - Recipient Grant Guide
• Equipment with a current per -unit fair market value less than $5,000 may be retained,
sold, or otherwise disposed of with no further obligation to the awarding agency.
• Equipment with a current per -unit fair market value in excess of $5,000 may be retained
or sold, and the awarding agency (Cal -EMA) shall have a right to an amount calculated
by multiplying the current market value or proceeds from sale by the awarding agency's
share of the equipment.
If not sold or retained, the equipment shall be returned to the Sub - Grantee
(Anaheim /Santa Ana UASI grant office).
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FY2011 Anaheim /Santa Ana UASI Sub - Recipient Grant Guide
Part 6 — Conclusion
It is critical that sub - recipients become familiar with the guidelines as set forth in this
document, as well as the others referred to in this guide. With the overlap of grant cycles and
nuances found within in each, the grant administrators and coordinators will rely on sub -
recipients to provide timely, accurate information and documentation for a successful
implementation of the UASI Grant Program.
FY11 UASI Grant Timeline
Anaheim /Santa Ana UASI Grant Award November 18, 2011
Anaheim /Santa Ana UASI Sub - Recipient Performance Period Begins December 14, 2011
Urban Area Working Group (UAWG) Rollout Meeting December 14, 2011
Sub - Recipient Agreement & Eligibility Packet Due March 30, 2012
Quarterly Project Status Report #1 Due July 10, 2012
Quarterly Project Status Report #2 Due October 10, 2012
Quarterly Project Status Report #3 Due January 10, 2013
Quarterly Project Status Report #4 Due April 10, 2013
Quarterly Project Status Report #5 Due July 10, 2013
Quarterly Project Status Report #6 Due October 10, 2013
Deadline to Submit Completed Training Reimbursement Packets November 29, 2013
Quarterly Project Status Report #7 Due January 10, 2014
Final Reimbursement Packets Due /Performance Period Ends March 31, 2014
Anaheim /Santa Ana UASI Grant Performance Period Ends April 30, 2014
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ATTACHMENT C
Trailer to be Transferred
The equipment to be transferred is a 2,000 gallon potable water trailer with electric brakes, a
Honda GX 160 engine [4.8 hp] coupled to a BANJO PB205 poly pump, a ten spigot manifold and
lighting for nighttime operations. The trailer to be transferred will be accompanied by a
Certificate of Title and a Permanent Trailer Identification (PTI) Card. The following chart
provides a listing of the mailers being transferred and the associated agency receiving each.
CERTIFICATE OF
SERIAL NUMBER I TITLE NUMBER I PTI NUMBER
LZ
55401.00009A7896945.1
Page 82 of 84
ATTACHMENT D
FEMA REQUIRED PROVISIONS
a. Audit Records - With respect to all matters covered by this agreement all records
shall be made available for audit and inspection by M WDOC, the grant agency and /or their duly
authorized representatives for a period of three (3) years from the termination of this Agreement.
For a period of three years after final delivery hereunder or until all claims related to this
Agreement are finally settled, whichever is later, RECIPIENT shall preserve and maintain all
documents, papers and records relevant to the services provided in accordance with this
Agreement, including the Attachments hereto. For the same time period, RECIPIENT shall
make said documents, papers and records available to City and the agency from which City
received grant funds or their duly authorized representative(s), for examination, copying, or
mechanical reproduction on or off the premises of RECIPIENT, upon request during usual
working hours.
b. RECIPIENT shall provide to City all records and information requested by City
for inclusion in quarterly reports and such other reports or records as City may be required to
provide to the agency from which City received grant funds or other persons or agencies.
C. Section 504 of the Rehabilitation Act of 1973 (Handicapped) - All RECIPIENTS
of federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act).
Therefore, the federal funds RECIPIENT pursuant to the requirements of The Act hereby gives
assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be
excluded from the participation in, be denied the benefits of or be subject to discrimination,
including discrimination in employment, in any program or activity that receives or benefits from
federal financial assistance. The RECIPIENT agrees it will ensure that requirements of The Act
shall be included in the agreements with and be binding on all of its contractors, subcontractors,
assignees or successors.
d. Americans with Disabilities Act of 1990 - (ADA) RECIPIENT must comply with
all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable.
e. Political Activitv - 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, or otherwise in violation of the
provisions of the "Hatch Act" (see 5 U.S.C. 1501 -1508 and 7324 - 7326).
f. Civil Rights Compliance and Notification of Findings - RECIPIENT will
comply, and all its contractors (or subrecipients) will comply, with the nondiscrimination
requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42
U.S.C. 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights At of
1964. as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A. Title
Il of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments
of 1972; the Age Discrimination Act of 1975; Department of Justice Non - Discrimination
Regulations, 28 CFR Part 42, Subparts C. D. E. and G; and Department of.lustice regulations on
disability discrimination. 28 CFR Part 35 and 39. In the event a Federal or State court. Federal
Page 83 of 84
or State administrative agency, or the RECIPIENT makes a finding of discrimination after a due
process hearing on the grounds of race, color, religion, national origin, sex, or disability against a
RECIPIENT of funds. the RECIPIENT will forward a copy of the findings to MWDOC which
will, in turn, submit the findings to the Off-ice of Civil Rights, Office of Justice Programs, U.S.
Department of Justice.
g. RECIPIENT will comply, and all its contractors (or subrecipients) will comply.
with all requirements of the Copeland "Anti- Kickback' Act (18 U.S.C. 874) as supplemented
in Department of Labor regulations (29 CFR Part 3), as applicable.
h. RECIPIENT will comply, and all its contractors (or subrecipients) will comply,
with all requirements of the Davis -Bacon Act (40 U.S.C. 276a to 276a -7) as supplemented by
Department of Labor regulations (29 CFR Part 5), as applicable.
i. RECIPIENT will comply, and all its contractors (or subrecipients) will comply,
with all requirements of Sections 103 and 107 of the Contract Work and Safety Standards Act
(40 U.S.C. 327 -330) as supplemented by Department of Labor regulations (29 CFR Part 5), as
applicable.
j. RECIPIENT will comply, and all its contractors (or subrecipients) will comply,
with all applicable standards, orders or requirements issued under Section 306 of the Clean Air
Act (42 U.S.C. 1857(h)), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive
Order 11738, and the Environmental Protection Agency regulations (40 CFR part 15), as
applicable.
k. RECIPIENT will comply, and all its contractors (or subrecipients) will comply,
with all requirements of the Energy Policy and Conservation Act (Pub. L. 94 -163, 89 Stat.
871), (53 FR 8078, 8087, Mar. I I, 1988, as amended at 60 FR 19639, 19645, Apr. 19, 1995),
as applicable.
I. RECIPIENT agrees that the Department of Homeland Security shall have the
authority to seek patent rights for any process, product. invention or discovery developed and
paid for with funding through this Agreement.
M. RECIPIENT may copyright any books, publications or other copyrightable
materials developed in the course of or under this Agreement. However, the federal awarding
agency. State Administrative Agency (SAA) and City reserve a royalty -free, non - exclusive, and
irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for
federal government. SAA and /or City purpose:
(1) the copyright in any work developed through this Agreement: and
(2) any rights of copyright to which the subcontractor purchases ownership with support
through this grant. The Federal government's, SAA's and City's rights identified
above must be conveyed to the publisher and the language of the publisher's release
form must ensure the preservation of these rights.
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