12-0124_ORANGE, COUNTY OF_FY 2011 Grant Assurances •
•
•
•
California Emergency Management Agency(Cal EMA)
Fiscal Year(FY)2011 Grant Assurances
(All HSGP Applicants)
Name of Applicant: City of San Juan Capistrano
Address: 32400 Paseo Adelanto
City: San Juan Capistrano State: CA Zip Code: 92675
Telephone Number:949-443-6343 Fax Number: 949-493-1053
E-Mail Address: crussell@sanjuancapistrano.org
As the duly authorized representative of the applicant,I certify that the applicant named above:
1. 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 fusion centers must support the
development of a statewide fusion process that corresponds with the Global Justice/Homeland Security
Advisory Council (HSAC)Fusion Center Guidelines,follow the federal and state approved privacy
policies,and achieve(at a minimum)baseline level of capability as defined by the Fusion Capability
Planning Tool.
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.
Page 1 Initials(V
•
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 31.2, 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/FEMA 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.
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.
Page 2 Initials /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.
19. 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 II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (42 U.S.C. § 4601 et seq. [P.L. 91-646])which provides for
fair and equitable treatment of persons displaced or whose property is acquired as a result of federal or
federally assisted programs. These requirements apply to all interested in real property acquired for
project purposes regardless of federal participation in purchases. 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
may jeopardize 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 DHS/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.
25. Agrees any construction activities that have been initiated prior to the full environmental and historic
preservation review could result in non-compliance finding. Subgrantees must complete the FEMA EHP
Screening Form(OMB Number 1660-0115/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/government/grant/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
Page 3 Initials
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(11514).
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 3 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.
h. Applicable provisions of the Coastal Barrier Resources Act(P.L. 97-348) dated October 19, 1982
(16 USC 3501 et seq.),which prohibits the expenditure of most new federal funds within the units
of the Coastal Barrier Resources System.
28. Will comply with Standardized Emergency Management System(SEMS)requirements as stated in the
California Emergency Services Act, Government Code, Chapter 7 of Division 1 of Title 2, Section
8607.1(e)and CCR Title 19, Sections 2445,2446,2447, and 2448.
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 from FEMA's Grant Programs
Directorate, U.S. Department of Homeland Security. Points of view or opinions expressed in this
document are those of the authors and do not necessarily represent the official position or policies of
FEMA's Grant Programs Directorate or the U.S.Department of Homeland Security." The recipient also
agrees that,when practicable, any equipment purchased with grant funding shall be prominently marked
as follows: "Purchased with funds provided by the U.S.Department of Homeland Security. "
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.
Page 4 Initials 02
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 DHS/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
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 DHS/FEMA 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 c;
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(g)). 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.
Page 5 Initials CV
h. For purposes of this term:
i. "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 forms 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.
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://www.dhs.gov/xopnbiz/grants/index.shtm.
Page 6 Initials CV
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, Inc. (D&B)to uniquely identify business
entities.A DUNS number may be obtained from D&B by telephone(currently 866-705-
5711) or the Internet(currently at http://fedgov.dnb.com/webform).
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.
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.
Page 7 Initials eV
•
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-110);Part 225 Cost Principles for 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
Page 8 Initials Og
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.
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;
ii. 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.
Page 9 Initials(IV,
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 EMA.
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 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.
Page 10 Initials
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
Transparency Act, as defined at 2 CFR 170.320(and subawards); and $25,000,000 or
more in annual gross revenues from federal procurement contracts(and subcontracts),and
federal financial assistance subject to the Transparency Act(and subawards); and the
public does not have access to information about the compensation of the executives
through periodic reports filed under section 13(a)or 15(d)of the Securities Exchange Act
of 1934(15 U.S.C. 78m(a), 78o(d))or section 6104 of the Internal Revenue Code of 1986.
(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.)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 1 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.
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 17 CFR 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 123R), 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.
Page 1 I Initials l
The undersigned represents that he/she is authorized by the above named applicant to enter into this agreement for
and on behalf of the said applicant.
Signature of Authorized Agent: &A(dId 411th\til
Printed Name of Authorized Agent: Cindy Russell
Title: Chief Financial Officer/Treasurer Date: U /q I
Page 12