19-0128_ORANGE, COUNTY OF_ Standard AssurancesCal OES
GOVERNOR'S OFFICE
OF EMERGENCY SERVICES
Standard Assurances
For All Cal OES Federal Grant Programs
As the duly authorized representative of the Applicant, I hereby certify that the Applicant has the
legal authority to apply for federal assistance and the institutional, managerial and financial capability
(including funds sufficient to pay any non-federal share of project cost) to ensure proper planning,
management and completion of the project described in this application, within prescribed timelines.
I further acknowledge that the Applicant is responsible for reviewing and adhering to all
requirements within the:
(a) Applicable Federal Regulations (see below);
(b) Federal Program Notice of Funding Opportunity (NOFO);
(c) California Supplement to the NOFO; and
(d) Federal and State Grant Program Guidelines.
Federal Regulations
Government cost principles, uniform administrative requirements and audit requirements for federal
grant programs are set forth in Title 2, Part 200 of the Code of Federal Regulations (CFR) and updates
are issued by the Office of Management and Budget (OMB) and can be found at
http://www.whitehouse.gov/omb/.
Significant state and federal grant award requirements (some of which appear in the documents
listed above) are set forth below. The Applicant hereby agrees to comply with the following:
1. Proof of Authority
The Applicant will obtain written authorization from the city council, governing board or authorized
body in support of this project. This written authorization must specify that the Applicant and the city
council, governing board, or authorized body agree:
(a) To provide all matching funds required for the grant project and that any cash match will be
appropriated as required.
(b) Any liability arising out of the performance of this agreement shall be the responsibility of the
Applicant and the city council, governing board or authorized body.
(c) Grant funds shall not be used to supplant expenditures controlled by the city council,
governing board or authorized body.
(d) The official executing this agreement is, in fact, authorized to do so.
This Proof of Authority must be maintained on file and readily available upon request.
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2. Period of Performance
The Applicant will initiate work after approval of the award and complete all work within the period of
performance specified in the grant.
3. Lobbying and Political Activities
As required by Section 1352, Title 31 of the U.S. Code (U.S.C.), for persons entering into a
contract, grant, loan or cooperative agreement from an agency or requests or receives from an
agency a commitment providing for the United States to insure or guarantee a loan, the Applicant
certifies 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 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.
(b) 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.
(c) 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.
The Applicant will also comply with provisions of the Hatch Act (5 U.S.C. §§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.
Finally, the Applicant 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 without the express
written approval from the California Governor's Office of Emergency Services (Cal OES) or the
federal awarding agency.
4. Debarment and Suspension
As required by Executive Orders 12549 and 12689, and 2 CFR §200.212 and codified in 2 CFR
Part 180, Debarment and Suspension, the Applicant will provide protection against waste, fraud,
and abuse by debarring or suspending those persons deemed irresponsible in their dealings with
the federal government. The Applicant certifies that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any federal department or agency;
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(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 (2)(b) of this certification; and
(d) Have not within a three-year period preceding this application had one or more public
transaction (federal, state, or local) terminated for cause or default.
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.
5. Non -Discrimination and Equal Employment Opportunity
The Applicant will comply with all federal statutes relating to non-discrimination. These include, but
are not limited to, the following:
(a) Title VI of the Civil Rights Act of 1964 (Public Law (P.L.) 88-352 and 42 U.S.C. §2000d et.
seq.) which prohibits discrimination on the basis of race, color, or national origin and
requires that recipients of federal financial assistance take reasonable steps to provide
meaningful access to persons with limited English proficiency (LEP) to their programs and
services;
(b) Title IX of the Education Amendments of 1972, (20 U.S.C. §§1681-1683, and 1685-1686),
which prohibits discrimination on the basis of sex in any federally funded educational
program or activity;
(c) Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. §794), which prohibits
discrimination against those with disabilities or access and functional needs;
(d) Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of
disability and requires buildings and structures be accessible to those with disabilities and
access and functional needs;(42 U.S.C. §§ 12101-12213.);
(e) Age Discrimination Act of 1975, (42 U.S.C. §§ 6101-6107), which prohibits discrimination on
the basis of age;
(f) Public Health Service Act of 1912 (42 U.S.C. §§ 290), relating to confidentiality of patient
records regarding substance abuse treatment;
(g) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §3601 et seq.), relating to
nondiscrimination in the sale, rental or financing of housing;
(h) Executive Order 11246, which prohibits federal contractors and federally assisted
construction contractors and subcontractors, who do over $10,000 in Government business
in one year from discriminating in employment decisions on the basis of race, color, religion,
sex, sexual orientation, gender identification, or national origin;
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(i) Executive Order 11375, which bans discrimination on the basis of race, color, religion, sex,
sexual orientation, gender identification, or national origin in hiring and employment in both
the United States federal workforce and on the part of government contractors;
Q) California Public Contract Code §10295.3, which prohibits discrimination based on domestic
partnerships and those in same sex marriages;
(k) Any other nondiscrimination provisions in the specific statute(s) under which application for
federal assistance is being made; and
(1) The requirements of any other nondiscrimination statute(s) which may apply to the
application.
In addition to the items listed in (a) through (n), the Applicant will comply with California's Fair
Employment and Housing Act (FEHA). FEHA prohibits harassment and discrimination in
employment because of ancestry, race, color, religious creed (including religious dress and
grooming practices), sex (which includes pregnancy, childbirth, breastfeeding and medical
conditions related to pregnancy, childbirth, or breastfeeding), gender, gender identity, gender
expression, sexual orientation, marital status, national origin, ancestry, mental and physical
disability, genetic information, medical condition, age, pregnancy, denial of medical and family care
leave, or pregnancy disability leave (California Government Code §§ 12940, 12945, 12945.2),
military and veteran status, and/or retaliation for protesting illegal discrimination related to one of
these categories, or for reporting patient abuse in tax supported institutions.
6. Drug -Free Workplace
As required by the Drug -Free Workplace Act of 1988 (41 U.S.C. §701 et seq.), the Applicant
certifies that it will maintain a drug-free workplace and a drug-free awareness program as outlined
in the Act.
7. Environmental Standards
The Applicant will comply with state and federal environmental standards, which may be prescribed
pursuant to the following, as applicable:
(a) California Environmental Quality Act (CEQA) (California Public Resources Code §§ 21000-
21177), to include coordination with the city or county planning agency;
(b) CEQA Guidelines (California Code of Regulations, Title 14, Division 6, Chapter 3, §§ 15000-
15387)1-
(c)
5000 -
15387);(c) Federal Clean Water Act (CWA) (33 U.S.C. § 1251 et seq.), which establishes the basic
structure for regulating discharges of pollutants into the waters of the United States and
regulating quality standards for surface waters;
(d) Federal Clean Air Act of 1955 (42 U.S.C. § 7401) which regulates air emissions from
stationary and mobile sources;
(e) Institution of environmental quality control measures under the National Environmental
Policy Act of 1969 (P.L. 91-190) and Executive Order 12898 on the Environmental Justice
Act, and Executive Order 11514 on Environmental Quality;
(f) Notification of Environmental Protection Agency (EPA) violating facilities pursuant to
Executive Order 11738;
(g) Protection of wetlands pursuant to Executive Order 11990;
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(h) Evaluation of flood hazards in floodplains in accordance with Executive Order 11988;
(i) 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.);
Q) 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.);
(k) Executive Order 11738 instituted to assure that each federal agency empowered to enter
into contracts for the procurement of goods, materials, or services and each federal agency
empowered to extend federal assistance by way of grant, loan, or contract shall undertake
such procurement and -assistance activities in a manner that will result in effective
enforcement of the Clean Air Act and the Federal Water Pollution Control Act Executive
Order Executive Order 11990 which requires preservation of wetlands;
(1) The Safe Drinking Water Act of 1974, P.L. 93-523);
(m)The Endangered Species Act of 1973, (P.L. 93-205);
(n) 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.
The Applicant shall not be: 1) in violation of any order or resolution promulgated by the State Air
Resources Board or an air pollution district; 2) subject to a cease and desist order pursuant to §
13301 of the California Water Code for violation of waste discharge requirements or discharge
prohibitions; or 3) determined to be in violation of federal law relating to air or water pollution.
8. Audits
For subrecipients expending $750,000 or more in federal grant funds annually, the Applicant will
cause to be performed the required financial and compliance audits in accordance with the Single
Audit Act Amendments of 1996 and Title 2 of the Code of Federal Regulations, Part 200, Subpart F
Audit Requirements.
9. Access to Records
In accordance with 2 CFR §200.336, the Applicant will give the awarding agency, the Comptroller
General of the United States and, if appropriate, the state, through any authorized representative,
access to and the right to examine all records, books, papers, or documents related to the award.
The Applicant will require any subrecipients, contractors, successors, transferees and assignees to
acknowledge and agree to comply with this provision.
10. Conflict of Interest
The Applicant 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.
11. Financial Management
False Claims for Payment The Applicant will comply with 31 U.S.0 §3729 which sets forth that no
subgrantee, recipient or subrecipient shall submit a false claim for payment, reimbursement or
advance.
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12. Reporting -Accountability
The Applicant agrees to comply with applicable provisions of the Federal Funding Accountability
and Transparency Act (FFATA) (P.L. 109-282), specifically (a) the reporting of subawards obligating
$25,000 or more in federal funds and (b) executive compensation data for first-tier subawards. This
includes the provisions of FFATA, which includes requirements for executive compensation, and
also requirements implementing the Act for the non-federal entity at 2 CFR part 25 Financial
Assistance Use of Universal Identifier and Central Contractor Registration and 2 CFR part 170
Reporting Subaward and Executive Compensation Information.
13. Whistleblower Protections
The Applicant also must comply with statutory requirements for whistleblower protections at 10
U.S.C. § 2409, 41 U.S.C. § 4712, and 10 U.S.C. § 2324, 41 U.S.C. § 4304 and § 4310.
14. Human Trafficking
The Applicant will comply with the requirements of Section 106(g) of the Trafficking Victims
Protection Act of 2000, as amended (22 U.S.C. § 7104) which prohibits grant award recipients or a
subrecipient from: (1) engaging in trafficking in persons during the period of time that the award is in
effect: (2) procuring a commercial sex act during the period of time that the award is in effect: or (3)
using forced labor in the performance of the award or subawards under the award.
15. Labor Standards
The Applicant will comply with the following federal labor standards:
(a) Comply with the provisions of the Davis -Bacon Act (40 U.S.C. §§ 276a to 276a-7), as
applicable, and the Copeland Act (40 U.S.C. § 3145 and 18 U.S.C. § 874) and the Contract
Work Hours and Safety Standards Act (40 U.S.C. §§ 327-333), regarding labor standards
for federally -assisted construction contracts or subcontracts.
(b) Comply with the Federal Fair Labor Standards Act (29 U.S.C. § 201 et al.) as they apply to
employees of institutes of higher learning ([HE), hospitals and other non-profit organizations.
16. Worker's Compensation
The Applicant must comply with provisions which require every employer to be insured to protect
workers who may be injured on the job before commencing performance of the work of this
Agreement, as per the workers compensation laws set forth in California Labor Code §§ 3700 et
seq.
17. Property -Related
If applicable to the type of project funded by this federal award, the Applicant will:
(a) Comply with the requirements of Titles II and III of the Uniform Relocation Assistance and
Real Property Ac ulsitlon Policies Act of 1970 (P.L. 91-646) which provide for fair and
equitable treatment of persons displaced or whose property is acquired as a result of
Federal or federally -assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal participation in purchase.
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(b) Comply with flood insurance purchase requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) which requires subrecipients 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.
(c) Assist the awarding agency in assuring compliance with Section 106 of the National Historic
Preservation Act of 1966, as amended (16 U.S.C. § 470), Executive Order 11593
(identification and protection of historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. § 469a-1 et seq.).
(d) Comply with the Lead -Based Paint Poisoninq Prevention Act (42 U.S.C. § 4831 and 24 CFR
Part 35) which prohibits the use of lead-based paint in construction or rehabilitation of
residence structures.
18. Certifications Applicable Only to Federally -Funded Construction Projects
For all construction projects, the Applicant will:
(a) Not dispose of, modify the use of, or change the terms of the real property title or other
interest in the site and facilities without permission and instructions from the awarding
agency. Will record the federal awarding agency directives and will include a covenant in the
title of real property acquired in whole or in part with federal assistance funds to assure
nondiscrimination during the useful life of the project.
(b) Comply with the requirements of the awarding agency with regard to the drafting, review and
approval of construction plans and specifications.
(c) Provide and maintain competent and adequate engineering supervision at the construction
site to ensure that the complete work conforms with the approved plans and specifications
and will furnish progressive reports and such other information as may be required by the
assistance awarding agency or State.
19. Use of Cellular Device While Driving is Prohibited
Applicants are required to comply with California Vehicle Code sections 23123 and 23123.5. These
laws prohibit driving a motor vehicle while using an electronic wireless communications device to
write, send, or read a text -based communication. Drivers are also prohibited from the use of a
wireless telephone without hands-free listening and talking, unless to make an emergency call to
911, law enforcement, or similar services.
20. Freedom of Information Act
The Applicant acknowledges that all information submitted in the course of applying for funding
under this program, or provided in the course of an entity's grant management activities that are
under Federal control, is subject to the Freedom of Information Act (FOIA), 5 U.S.C. § 552, and the
California Public Records Rights Act, California Government Code section 6250 et seq. The
Applicant should consider these laws and consult its own State and local laws and regulations
regarding the release of information when reporting sensitive matters in the grant application, needs
assessment, and strategic planning process.
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HOMELAND SECURITY GRANT PROGRAM - PROGRAM SPECIFIC ASSURANCES /
CERTIFICATIONS
21. Reporting Accusations and Findings of Discrimination
If during the past three years the recipient has been accused of discrimination on any basis the
recipient must provide a list of all such proceedings, pending or completed, including outcome and
copies of settlement agreements to the DHS financial assistance office and the DHS Office of Civil
Rights and Civil Liberties (CRCL) by e-mail at c 161 hg.dhs.gov or by mail at U.S. Department of
Homeland Security Office for Civil Rights and Civil Liberties Building 410, Mail Stop #0190
Washington, D.C. 20528.
In the event any court or administrative agency makes a finding of discrimination against the
recipient, or the recipient settles a case or matter alleging such discrimination, recipients must
forward a copy of the complaint and findings to the DHS Component financial assistance office and
the CRCL office by e-mail or mail at the addresses listed above.
The United States has the right to seek judicial enforcement of these obligations.
22. Acknowledgment of Federal Funding from DHS
All recipients must acknowledge their use of federal funding when issuing statements, press
releases, requests for proposals, bid invitations, and other documents describing projects or
programs funded in whole or in part with federal funds.
23. Activities Conducted Abroad
All recipients must ensure that project activities carried on outside the United States are
coordinated as necessary with appropriate government authorities and that appropriate licenses,
permits, or approvals are obtained.
24. Best Practices for Collection and Use of Personally Identifiable Information (PII)
DHS defines personally identifiable information (PII) as any information that permits the identity of
an individual to be directly or indirectly inferred, including any information that is linked or linkable to
that individual. All recipients who collect PII are required to have a publically-available privacy policy
that describes standards on the usage and maintenance of PII they collect. Award recipients may
also find as a useful resource the DHS Privacy Impact Assessments: Privacy Guidance and Privacy
template respectively.
25. Copyright
All recipients must affix the applicable copyright notices of 17 U.S.C. §§ 401 or 402 and an
acknowledgement of Government sponsorship (including award number) to any work first produced
under federal financial assistance awards.
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26. Energy Policy and Conservation Act
All recipients must comply with the requirements of 42 U.S.C. § 6201 which contain policies relating
to energy efficiency that are defined in the state energy conservation plan issued in compliance with
this Act.
27. Federal Debt Status
All recipients are required to be non -delinquent in their repayment of any federal debt. Examples of
relevant debt include delinquent payroll and other taxes, audit disallowances, and benefit
overpayments. See OMB Circular A-129.
28. Fly America Act of 1974
All recipients must comply with Preference for U.S. Flag Air Carriers: (air carriers holding certificates
under 49 U.S.C. § 41102) for international air transportation of people and property to the extent
that such service is available, in accordance with the International Air Transportation Fair
Competitive Practices Act of 1974 (49 U.S.C. § 40118) and the interpretative guidelines issued by
the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller
General Decision B-138942
29. Hotel and Motel Fire Safety Act of 1990
In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, all recipients must
ensure that all conference, meeting, convention, or training space funded in whole or in part with
federal funds complies with the fire prevention and control guidelines of the Federal Fire Prevention
and Control Act of 1974, as amended, 15 U.S.C. § 2225a.
30. Non -supplanting Requirements
All Applicants who receive awards made under programs that prohibit supplanting by law must
ensure that federal funds do not replace (supplant) funds that have been budgeted for the same
purpose through non-federal sources.
32. Patents and Intellectual Property Rights
Unless otherwise provided by law, recipients are subject to the Bayh-Dole Act, Pub. L. No. 96-517,
as amended, and codified in 35 U.S.C. § 200 et seq. All recipients are subject to the specific
requirements governing the development, reporting, and disposition of rights to inventions and
patents resulting from financial assistance awards located at 37 C.F.R. Part 401 and the standard
patent rights clause located at 37 C.F.R. § 401.14.
33. SAFECOM
All Applicants who receive awards made under programs that provide emergency communication
equipment and its related activities must comply with the SAFECOM Guidance for Emergency
Communication Grants, including provisions on technical standards that ensure and enhance
interoperable communications.
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34. Terrorist Financing
All Applicants must comply with Executive Order 13224 and U.S. law that prohibit transactions with,
and the provisions of resources and support to, individuals and organizations associated with
terrorism. It is the legal responsibility of recipients to ensure compliance with the Order and laws.
35. Reporting of Matters Related to Recipient Integrity and Performance
If the total value of the Applicant's currently active grants, cooperative agreements, and
procurement contracts from all federal assistance office exceeds $10,000,000 for any period of time
during the period of performance of this federal award, the Applicant must comply with the
requirements set forth in the government -wide Award Term and Condition for Recipient Integrity
and Performance Matters located at 2 C.F.R. Part 200, Appendix XII, the full text of which is
incorporated here by reference in the terms and conditions of your award.
36. USA Patriot Act of 2001
All recipients must comply with requirements of the Uniting and Strengthening America by Providing
Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which
amends 18 U.S.C. §§ 175-175c.
IMPORTANT
The purpose of the assurance is to obtain federal and state financial assistance, including any and all
federal and state grants, loans, reimbursement, contracts, etc. The Applicant recognizes and agrees
that state financial assistance will be extended based on the representations made in this assurance.
This assurance is binding on the Applicant, its successors, transferees, assignees, etc. Failure to
comply with any of the above assurances may result in suspension, termination, or reduction of grant
funds.
All appropriate documentation, as outlined above, must be maintained on file by the Applicant and
available for Cal OES or public scrutiny upon request. Failure to comply with these requirements may
result in suspension of payments under the grant or termination of the grant or both and the
subrecipient may be ineligible for award of any future grants if the Cal OES determines that any of the
following has occurred: (1) the recipient has made false certification, or (2) violates the certification by
failing to carry out the requirements as noted above.
All of the language contained within this document must be included in the award documents for all
subawards at all tiers, including contracts under grants and cooperative agreements and subcontracts.
All recipients are bound by the Department of Homeland Security Standard Terms and Conditions
2016, Version 6.0, hereby incorporated by reference, which can be found at:
https://www.dhs.gov/sites/default/files/publications/Fiscal%20Year%202016%20DHS%2OGeneral%20T
erms%20and%20Conditions. pdf
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The undersigned represents that he/she is authorized to enter into this agreement for and on behalf of
the said Applicant.
Applicant:
City of San Juan Capistrano
Signature of Authorized Agent:
Printed Name of Authorized Agent:
rl� &J5
Title: City Manager Date: Janualry28,2019
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