HomeMy WebLinkAbout2023-03-07; City Council; ; Urban Area Security Initiative Grant for SWAT TrainingCA Review __AF__
Meeting Date: March 7, 2023
To: Mayor and City Council
From: Scott Chadwick, City Manager
Staff Contact: Amanda Baker, Management Analyst
amanda.baker@carlsbadca.gov, 442-339-5054
Subject: Urban Area Security Initiative Grant for SWAT Training
District: All
Recommended Action
Adopt a resolution authorizing the City Manager to amend an agreement with the City of San
Diego to receive an additional $40,000 in 2021 Urban Area Security Initiative Grant Funds and
authorize the Deputy City Manager of Administrative Services to appropriate $40,000 to the
Public Safety Grant Special Revenue Fund.
Executive Summary
The City Council’s approval is required for the city to accept an additional $40,000 federal
homeland security grant that will allow Police Department personnel assigned to SWAT to
attend specialized training in clearing close quarter areas in the event of a crisis. The training is
intended to help standardize how regional police agencies with SWAT teams respond to such
events.
This U.S. Department of Homeland Security grant comes through the Urban Area Security
Initiative, which provides funding to enhance regional terrorism preparedness and capabilities
in designated high-threat, high-density urban areas, such as San Diego County.
Explanation & Analysis
The City of San Diego’s Office of Emergency Services applies for, receives, and locally
administers grant funds to all public safety agencies in San Diego County. The City of Carlsbad
was awarded almost $65,000 in grants for public safety training programs in the last fiscal year.
(Exhibit 2).
The Carlsbad Police Department was awarded an additional $40,000 in October 2022 to allow
personnel assigned to SWAT to attend a baseline close quarters clearance course. To accept this
grant, the city must approve a subaward amendment to the agreement it approved when it
accepted the previous grants.
This grant is available because, during the application process for the Urban Area Security
Initiative grants, the Chula Vista Police Department applied to have regional funds distributed
March 7, 2023 Item #1 Page 1 of 38
to law enforcement agencies in the county that have SWAT teams so that they could all take
part in this close quarters clearing training. The goal is to ensure all of the region’s SWAT teams
are uniformly trained. Since agencies frequently need to work together, it is important that
they have understanding and confidence in each other’s tactics and capabilities. All of the
agencies have been approved for this funding.
The close quarters clearing training will be tailored to prepare personnel to deal with threats
specific to terrorism and events vulnerable to terrorist threats, in keeping with the goals of the
Urban Area Security Initiative Grant Program. The training will be geared toward protecting soft
targets, defeating hardened positions and responding to other incidents likely to warrant a
tactical response, all while integrating with neighboring agencies. Such incidents include active
shooter attacks, school assaults, mass casualty events and hostage rescue scenarios.
While much of the training will focus on tactical skills and techniques, it will also help develop
our personnel so that they can then construct and deliver training to the rest of the department
as well as to the community at large. The course will be used to create future lesson plans and
instructional materials designed to improve Carlsbad’s ability to respond, mitigate and recover
from a critical incident. The close quarters clearing course will further enhance the instructor-
officers’ capabilities and credibility as they continue to provide training to other departments
within the city, the four unified school districts, and to community members through projects
such as the Citizens Police Academy, Public Safety Open House and Parent University.
Fiscal Analysis
No matching funds are required for the security initiative grant program.
Next Steps
The City Manager will accept the grant funds, sign the grant subaward amendment, and the
Deputy City Manager of Administrative Services or designee will appropriate $40,000 to the
Public Safety Grants Special Revenue Fund. Police personnel will attend the specified training
course and will submit reimbursement requests to the San Diego Office of Emergency Services.
Environmental Evaluation
This action does not require environmental review because it does not constitute a project
within the meaning of the California Environmental Quality Act under California Public
Resources Code Section 21065 in that it has no potential to cause either a direct physical
change or a reasonably foreseeable indirect physical change in the environment.
Exhibits
1. City Council resolution
2. FY 2021 UASI Grant Agreement
March 7, 2023 Item #1 Page 2 of 38
RESOLUTION NO. 2023-065
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD,
CALIFORNIA, APPROVING ADDITIONAL FUNDS FOR FISCAL YEAR 2021
URBAN AREA SECURITY INITIATIVE GRANT PROGRAM, AUTHORIZING THE
CITY MANAGER TO EXECUTE AN AGREEMENT WITH THE CITY OF SAN DIEGO
FOR THE DISTRIBUTION OF ADDITIONAL 2021 URBAN AREA SECURITY
INITIATIVE GRANT FUNDS, AND AUTHORIZING THE DEPUTY CITY MANAGER
OF ADMINISTRATIVE SERVICES TO APPROPRIATE AN ADDITIONAL $40,000
TO THE PUBLIC SAFETY SPECIAL REVENUE FUND
WHEREAS, the City Council of the City of Carlsbad, California has determined that the City of
Carlsbad was invited to participate in the Fiscal Year 2021 Urban Area Security Grant Program; and
WHEREAS, the program will provide up to $40,000 in additional funds for training courses to
help the Police department respond to incidents of terrorism; and
WHEREAS, the City Council of the City of Carlsbad, California desires to authorize the city
manager to take all necessary action to accept the additional funding, appropriate, and expend said
additional grant funds and to make the findings required by the terms of the grant program.
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Carlsbad, California, as
follows:
1.That the above recitations are true and correct.
2.That the City Manager of the City of Carlsbad is hereby authorized and directed to accept
said additional award from the Urban Area Security Initiative for receipt of the subject
additional grant funds, and to prepare and submit any reports and final statements
required by the agreement.
3.That the City Manager, or designee, is authorized to execute the agreement with the
City of San Diego for the distribution of FY 2021 UASI Grant Subaward Amendment
(Attachment A).
4.That the City Manager, or designee, is authorized to accept additional funding from the
FY 2021 Urban Area Security Initiate Grant Program if awarded.
5.That the Deputy City Manager of Administrative Services is authorized to appropriate
$40,000 to the Public Safety Special Revenue Fund for Fiscal Year 2021 Urban Area
Security Initiative Grant Program.
Exhibit 1
March 7, 2023 Item #1 Page 3 of 38
6.That the City Council of the City of Carlsbad hereby provides its written authorization in
support of the project and agrees:
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 body, 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.
PASSED, APPROVED AND ADOPTED at a Regular Meeting of the City Council of the City of
Carlsbad on the 7th day of March, 2023, by the following vote, to wit:
AYES:
NAYS:
ABSTAIN:
ABSENT:
Blackburn, Bhat-Patel, Acosta, Burkholder, Luna.
None.
None.
None.
KEITH BLACKBURN, Mayor &Y l / SHERRY FREISINGER, City Clerk Tu-(SEAL)
March 7, 2023 Item #1 Page 4 of 38
Attachment A
City of San Diego Office of Homeland Security
m;1u.,1g,w1◄;J.ZSMA@MM1a -L:8:....-..:.1.:8-=-2::2=----_____ lol[ .. "''~.:Ul, .. tLl•■~ll~ll!).u•.mi-F_Y_2_1_u_A_s_1 __ _
Federal Grant# 2021-0081 CalOES#073-66000 Amendment# 1 ----
Project# 003 UEI # LR6NGYMWXXJ5 Final Claim Due Date 1213112023 ----
This amendment is between the City of San Diego Office of Homeland Security, hearafter called OHS, and the Grant
Subrecipient: City of Carlsbad ----------------------------------
Increase Project 003 -Law Enforcement Training -$40,000. The new project 003 total is
$40,000.
Subrecipient (Certification and Signature of Authorized Agent)
By (Authorized Signature) Date
Printed ame
Addres
Title
Mail Original Signed form to OHS: 9601 Ridgebaven Court, MS lJOIC, San Diego, CA 92123
For OHS use only
pon my own personal knowledge that budgeted funds are available for the period and purpose of the
a dabove
March 7, 2023 Item #1 Page 5 of 38
Exhibit 2
March 7, 2023 Item #1 Page 6 of 38
AGREEMENT BETWEEN THE CITY OF
SAN DIEGO OFFICE OF EMERGENCY SERVICES AND THE
CITY OF CARLSBAD
FOR THE DISTRIBUTION OF FY 2021 UASI GRANT FUNDS
THIS AGREEMENT is made this day of Qci-ohe,r '3. , 20t-2-in the City and County of San
Diego, State of California, by and between the QITY OF CARLSBAD ("SUBRECIPIENT")
and the CITY OF SAN DIEGO, a municipal corporation ("San Diego" or "City"), in its capacity as fiscal
agent for the Approval Authority, as defined below, acting by and through the San Diego Office of
Emergency Services ("SD OES"), also referred to as the San Diego Office of Emergency Services ("SD
OES").
RECITALS
WHEREAS, The United States Department of Homeland Security ("DHS") designated San Diego as an
eligible high risk urban area through an analysis ofrelative risk of terrorism , the San Diego Urban Area
("SDUA") was establi shed for the purpose of application for and allocation and distribution of federal
Urban Areas Security Initiative ("UASI") program grant funds; and
WHEREAS, The Urban Area Working Group ("UA WG"), a collaborative subcommittee established by
the San Diego County Unified Disaster Council, was established as the Approval Authority for the
SDUA, to provide overall governance of the homeland security grant program across the SDUA, to
coordinate development and implementation of all UASI program initiatives, and to ensure compliance
with all UASI program requirements; and
WHEREAS, The City of San Diego Office of Emergency Services ("SD OES"), as the "core city" for the
SDUA, will serve as the chair and the UASI Grant Administrator, and SD OES Program Manager is
responsible for implementing and managing the policy and program decisions of the Approval Authority,
directing the work of the UASI Management Team personnel, and perfonning other duties as determined
and directed by the Approval Authority, and
WHEREAS, San Diego has been designated as the grantee for UASI funds granted by the DHS through
the California Office of Emergency Services ("Cal OES") to the SDUA, with responsibility to establish
procedures and execute subgrant agreements for the distribution ofUASI program grant funds to
jurisdictions selected by the Approval Authority to receive grant funding; and
WHEREAS, San Diego has been designated to serve as the fiscal agent for the Approval Authority, and
to establish procedures and provide all financial services for distribution ofUASI program grant funds
within the SDUA; and
WHEREAS, Pursuant to grant allocation decisions by the Approval Authority, the UASI Management
Team has asked San Diego to distribute a portion of the regional UASI grant funds to SUBRECIPIENT
on the terms and conditions set forth herein;
NOW, THEREFORE, in consideration of the premises and the mutual covenants contained in this
Agreement and for other good and valuable consideration, the receipt and adequacy of which is hereby
acknowledged, the parties hereto agree as follows:
FY 2 1 UASI -SUBRECIPIENT Page I of20 September l, 202 1
March 7, 2023 Item #1 Page 7 of 38
ARTICLE 1
DEFINITIONS
1.1 Specific Terms. Unless the context requires otherwise, the following capitalized terms (whether
singular or plural) shall have the meanings set forth below:
(a) "ADA" shall mean the Americans with Disabilities Act (including all rules and
regulations there under) and all other applicable federal, state and local disability rights legislation, as the
same may be amended, modified or supplemented from time to time.
(b) "Authorized Expenditures" shall mean expenditures for those purposes identified and
budgeted in the SUBRECIPIENT Award Letter (Appendix A) and/or approved modification.
(c) "Event of Default" shall have the meaning set forth in Section 7.1.
(d) "Fiscal Quarter" shall mean each period of three calendar months commencing on July
1, October l, January I, and April I, respectively.
(e) "Grant Funds" shall mean any and all funds allocated or disbursed to SUBRECIPIENT
(UEI #:LR6NGYMWXXJ5) under this Agreement. This Agreement shall specifically cover funds
allocated or disbursed from Cal OES Grant No. 2021-0081, Cal OES ID No. 073-66000, CFDA No.
97.067, per Cal OES award notice dated October 27, 2021.
(f) "Grant Plan" shall mean the plans, performances, events, exhibitions, acquisitions or
other activities or matter, and the budget and requirements, described in the approved Financial
Management Forms Workbook (FMFW). IfSUBRECIPIENT requests any modification to the Grant
Plan, SUBRECIPIENT shall submit a written request to the SD OES Program Manager with the
following inf01mation: Scope of change requested, reason for change, proposed plan for change,
summary of approved and requested modifications to the Grant Plan, and any necessa1y approvals in
support of change ( e.g., EHP).
(g) "Indemnified Parties" shall mean: (i) San Diego, including all commissions,
departments including OES, agencies, and other subdivisions of San Diego; (ii) San Diego's elected
officials, directors, officers, employees, agents, successors, and assigns; and (iii) all persons or entities
acting on behalf of the foregoing.
(h) "Losses" shall mean any and all liabilities, obligations, losses, damages, penalties,
claims, actions, suits,judgments, fees, expenses and costs of whatsoever kind and nature (including legal
fees and expenses and costs of investigation, of prosecuting or defending any Loss described above)
whether or not such Loss be founded or unfounded, of whatsoever kind and nature.
(i) "Reimbursement Request" shall have the meaning set forth in Section 3.I0(a).
G) "Simplified Acquisition Threshold" means the dollar amount below which a non-
Federal entity may purchase property or services using small purchase methods.
(k) "UASI Management Team" shall mean The SD OES Program Manager, Program
Coordinator, as well as project, grant, and administrative staff. The Program Manager appoints members
to the Management Team to implement the policies of the UAWG.
(l) "Pass-through entity" shall mean a non-Federal entity that provides a sub award to a
subrecipient to carry out part of a Federal Program.
FY 21 UASI-SUBRECIPIENT Page 2 of20 September 1, 2021
March 7, 2023 Item #1 Page 8 of 38
1.2 Additional Terms. The terms "as directed," "as required" or "as permitted" and similar terms
shall refer to the direction, requirement, or permission of City. The terms "sufficient," "necessary" or
"proper" and similar terms shall mean sufficient, necessary or proper in the sole judgment of City. The
terms "approval," "acceptable" or "satisfactory" or similar terms shall mean approved by, or acceptable or
satisfactory to, City. The terms "include," "included" or "including" and similar terms shall be deemed to
be followed by the words "without limitation." The use of the term "subcontractor," "successor" or
"assign" herein refers only to a subcontractor, successor or assign expressly permitted under Article 8.
1.3 References to this Agreement. References to this Agreement include: (a) any and all
appendices, exhibits, schedules, and attachments hereto; (b) any and a ll statutes, ordinances, regulations
or other documents expressly incorporated by reference herein; and (c) any and all amendments,
modifications or supplements hereto made in accordance with Section 10.2. References to articles,
sections, subsections or appendices refer to articles, sections or subsections of or appendices to this
Agreement, unless otherwise expressly stated. Terms such as "hereunder," "herein" or "hereto" refer to
this Agreement as a whole.
1.4 Reference to laws. Any reference in this Agreement to a federal or state statute, regulation,
executive order, requirement, policy, guide, guideline, information bulletin, or instruction shall mean that
statute, regulation, executive order, requirement, policy, guide, guideline, information bulletin, or
instruction as is currently in effect and as may be amended, modified or supplemented from time to time.
ARTICLE2
ALLOCATION AND CERTIFICATION OF GRANT FUNDS;
LIMITATIONS ON SAN DIEGO'S OBLIGATIONS
2.1 Risk of Non-Allocation of Grant Funds. This Agreement is subject to all federal and state grant
requirements and guidelines, including OHS and Cal OES requirements, guidelines, infonnation bulletins,
and instructions, the decision-making of the Cal OES and the Approval Authority, the terms and
conditions of the grant award; the approved application, and to the extent applicable the budget and fiscal
provisions of the San Diego City Charter. The Approval Authority shall have no obligation to allocate or
direct disbursement of funds for this Agreement in lieu of allocations for new or other agreements.
SUBRECIPIENT acknowledges and agrees that grant decisions are subject to the discretion of the Cal
OES and Approval Authority. Further, SUBRECIPIENT acknowledges and agrees that the City shall
have no obligation to disburse grant funds to SUB RECIPIENT until City and SUBRECIPIENT have fully
and finally executed this Agreement. SUB RECIPIENT acknowledges and agrees that if it takes any
action, informal or formal, to appropriate, encumber or expend Grant Funds before final allocation
decisions by Cal OES and the Approval Authority, and before this Agreement is fully and finally
executed, it assumes all risk of possible non-allocation or non-reimbursement of funds, and such
acknowledgement and agreement is part of the consideration of this Agreement.
2.2 Certification of Controller; Guaranteed Maximum Costs. No funds shall be available under
this Agreement without prior written authorization certified by the San Diego Chief Financial Officer as
set forth in Section 39 of the City of San Diego City Charter:
"No contract, agreement, or other obligation for the expenditure of public funds shall be entered
into by any officer of the City and no such contract shall be valid unless the Chief Financial
Officer shall certify in writing that there has been made an appropriation to cover the expenditure
and that there remains a sufficient balance to meet the demand thereof."
FY 21 UAS I -SUBRECIPIENT Page 3 of20 September I, 2021
March 7, 2023 Item #1 Page 9 of 38
ARTICLE3
PERFORMANCE OF THE AGREEMENT
3.1 Duration of Term. The term of this Agreement shall commence on SEPTEMBER 1, 2021
and shall end at 11 :59 p.m. San Diego time on MAY 31, 2024.
3.2 Maximum Amount of Funds. In no event shall the amount of Grant Funds disbursed hereunder
exceed the amount awarded under the SUBRECIPIENT A ward letter (Appendix A), Training and
Exercise Participation Award Letter and/or approved modification. The City will not automatically
transfer Grant Funds to SUBRECIPIENT upon execution of this Agreement. SUBRECIPIENT must
submit a Reimbursement Request under Section 3.10 of this Agreement, approved by the UASI
Management Team and City, before the City will disburse Grant Funds to SUBRECIPIENT.
3.3 Use of Funds.
(a) General Requirements. SUB RECIPIENT shall use the Grant Funds received under this
Agreement for the purposes and in the amounts set forth in the Grant Plan. SUBRECIPIENT shall not
use or expend Grant Funds for any other purpose, including but not limited to, for matching funds for
other federal grants/cooperative agreements, lobbying or intervention in federal regulatory or adjudicatory
proceedings, or to sue the federal government or any other government entity. SUBRECIPIENT shall not
permit any federal employee to receive Grant Funds.
(b) Modification of Grant Plan. Under Sections 1.l(f) and 10.2 ofthis Agreement,
SUBRECIPIENT may submit a written request to modify the Grant Plan. SUBRECIPIENT shall not
appropriate, encumber or expend any additional or reallocated Grant Funds pursuant to such a request for
modification until the SD OES Program Manager or designee has provided written approval for the
request. In addition, if the modification request requires approval from the Approval Authority and/or
Cal OES, as determined by the SD OES Program Manager, SUB RECIPIENT shall not appropriate,
encumber or expend any additional or reallocated Grant Funds pursuant to the modification request
without approval from the Approval Authority and/or Cal OES.
(c) No Supplanting. SUBRECIPIENT shall use Grant Funds to supplement existing funds,
and not replace (supplant) funds that have been appropriated for the same purpose.
(d) Obligations. SUBRECIPIENT must expend Grant Funds in a timely manner consistent
with the grant milestones, guidance and assurances; and make satisfactory progress toward the goals,
objectives, milestones and deliverables in this Agreement.
(e) Subawards. SUBRECIPENT is not an authorized pass-through entity and is not
authorized to make any subawards of Grant Funds.
3.4 Grant Assurances; Other Requirements; Cooperation with Monitoring.
(a) SUBRECIPIENT shall comply with all Grant Assurances included in Appendix B,
attached hereto and incorporated by reference as though fully set forth herein.
(b) In addition to complying with all Grant Assurances, SUBRECIPIENT shall comply with
all applicable statutes, regulations, executive orders, req uirements, policies, guides, guidelines,
information bulletins, Cal OES grant management memos, and instructions; the terms and conditions of
the grant award; the approved application, and any conditions imposed by Cal OES or the Approval
Authority. SUBRECIPIENT shall require and ensure that all contractors and other entities receiving
Grant Funds from SUBRECIPIENT comply with all applicable statutes, regulations, executive orders,
FY 21 UASl -SUBRECTPTENT Page 4 of20 September 1, 2021
March 7, 2023 Item #1 Page 10 of 38
requirements, policies, guides, guidelines, information bulletins, Cal OES grant management memos, and
instructions; the terms and conditions of the grant award; the approved application, and any conditions
imposed by Cal OES or the Approval Authority.
(c) SUBRECIPIENT shall promptly comply with all standards, specifications and formats of
San Diego and the UASI Management Team, as they may from time to time exist, related to evaluation,
planning and monitoring of the Grant Plan and compliance with this Agreement. SUBRECIPIENT shall
cooperate in good faith with San Diego and the UASI Management Team in any evaluation, inspection,
planning or monitoring activities conducted or authorized by DHS, Cal OES, San Diego or the UASI
Management Team. For ensuring compliance with non-supplanting requirements, upon request by City
or the UASI Management Team, SUB RECIPIENT shall supply documentation certifying that a reduction
of non-federal resources occurred for reasons other than the receipt or expected receipt of Grant Funds.
3.5 Administrative, Programmatic and Financial Management Requirements. SUBRECIPIENT
shall establish and maintain administrative, programmatic and financial management systems and records
in accordance with federal and State of California requirements. This provision requires, at a minimum,
that SUB RECIPIENT comply with the following non-exclusive list of regulations commonly applicable
to DHS grants, as appli cable to this Agreement and the Grant Plan:
3.6
(a) Administrative Requirements:
I. 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards (formerly 44 CFR Part 13, 0MB Circulars A-21,
A-87, A-89, A-102, A-110, A-122, and A-133).
(b) Cost Principles:
1. 2 CFR Part 200, Subpart E -Uniform Administrative Requirements, Cost Principles,
and Audit Requirements for Federal Awards (formerly 44 CFR Part 13, 0MB
Circulars A-21, A-87, A-89, A-102, A-110, A-122, and A-133);
2. Federal Acquisition Regulations (FAR), Part 31.2 Contract Principles and
Procedures, Contracts with Commercial Organizations.
(c) Audit Requirements:
I. 2 CFR Pmt 200 Subpart F -Uniform Administrative Requirements, Cost Principles,
and Audit Requirements for Federal Awards (formerly 44 CFR Part 13, 0MB
Circulars A-21, A-87, A-89, A-102, A-110, A-122, and A-133).
Technology Requirements.
(a) National Information Exchange Model ("NIEM"). SUBRECIPIENT shall use the latest
N IEM specifications and guidelines regarding the use of Extensible Markup Language ("XML") for all
awards of Grant Funds.
(b) Geospatial Guidance. SUBRECIPIENT is encouraged to use Geospatial technologies,
which can capture, store, analyze, transmit and/or display location-based infonnation (i.e., information
linked to a latitude and longitude), and to align any geospatial activities with the guidance available on the
Federal Emergency Management Agency ("FEMA") website.
(c) Criminal Jntelligence Systems Operating Policies. Any infonnation technology system
funded or supported by Grant Funds shall comply with 28 CFR Part 23, Criminal Intelligence Systems
Operating Policies, if applicable.
FY 21 UASI -SUBRECIPlENT Page 5 of20 September l, 2021
March 7, 2023 Item #1 Page 11 of 38
( d) S UBRECIPIENT is encouraged to use the DHS guidance in Best Practices for
Government Use of CCTV: Implementing the Fair Information Practice Principles, if Grant Funds are
used to purchase or install closed circuit television (CCTV) systems or to supp01t operational CCTV
systems.
3.7 Procurement Requirements.
(a) General Requirements. SUBRECIPIENT shall follow its own procurement requirements
as long as those requirements comply with all applicable federal and State of California statutes,
regulations, requirements, policies, guides, guidelines and instructions.
(b) Contract Provisions. All contracts made by the SUBRECIPIENT using Grant Funds must
contain the applicable contract clauses described in Appendix II to the Uniform Rules (Contract
Provisions for non-Federal Entity Contract Under Federal Awards). 2C.F.R. § 200.326.
(b) Specific Purchases. If S UBRECIPIENT is using Grant Funds to purchase interoperable
communication equipment, SUBRECIPIENT shall consult DHS's SAFECOM's coordinated grant
guidance, which outlines standards and equipment information to enJ1ance interoperable communication.
If SUB RECIPIENT is using Grant Funds to acquire critical emergency supplies, prior to expending any
Grant Funds, SUBRECIPIENT shall submit to the UASI Management Team for approval by Cal OES a
viable inventory management plan, an effective distribution strategy, sustaimnent costs for such an effort,
and logistics expertise to avoid situations where funds are wasted because supplies are rendered
ineffective due to lack of planning.
(c) Bond Requirement. SUBRECIPIENT shall obtain a performance bond for any
equipment items over the simplified acquisition threshold (2C.F.R. § 200.88) or any vehicle, aircraft or
watercraft financed with Grant Funds.
(d) Non-Competitive Procurement Requirements. UASI Management Team prior approval is
required for any procurement made without advertisement or a competitive process or single response to a
request for proposal/bid, regardless of dollar amount, this includes sole source procurements.
SUBRECIPIENT shall submit a Non-Competitive Procurement Authorization request to the UASI
Management Team for approval prior to expending any grant funds. Additionally, SUBRECIPT shall
submit a Non-Competitive Procurement Request to the UASI Management Team for CalOES approval
for any non-competitive procurement over the simplified acquisition threshold (2C.F.R. § 200.88).
(e) Federal Schedules. SUBRECIPENT shall submit a Federal Schedule Procurement
Authorization request to the UASI Management Team for approval to procure using the Federal supply
schedule, prior to expending any grant funds .
3.8 Contractor Requirements.
(a) SUBRECIPIENT shall ensure and independently verify that any contractor or other entity
receiving Grant Funds from SUBRECIPIENT is not debarred, suspended, or otherwise excluded from or
ineligible for participation in federal assistance programs, under Executive Orders 12549 and 12689, as
implemented at 2 CFR Part 3000. SUB RECIPIENT shall obtain documentation of eligibility before
disbursing Grant Funds to any contractor or other entity. SUBRECIPIENT shall maintain documentary
proof of this verification in its files. SUBRECIPIENT shall establish procedures for the effective use of
the "Excluded Parti es List System," to assure that it does not provide Grant Funds to excluded parties.
SUBRECIPIENT shall also establish procedures to provide for effective use and/or dissemination of the
list to assure that its contractors, at any tier do not make awards in violation of the non-procurement
debarm ent and suspension common rule.
FY 21 UASI -SUBRECIPIENT Page 6 of 20 September I, 2021
March 7, 2023 Item #1 Page 12 of 38
(b) SUBRECIPIENT shall ensure that any contractor or other entity receiving Grant Funds
from SUBRECIPIENT complies with the requirements of 44 CFR Pait 18, New Restrictions on Lobbying;
and
(c) SUBRECIPIENT shall ensure that any contractor or other entity receiving Grant Funds
from SUBRECJPIENT complies with the requirements of2 CFR Part 3001, Requirements for Drug-Free
Workplace (Financial Assistance).
3.9 Monitoring Grant Performance.
(a) City and the UASI Management Team are both authorized to perform periodic
monitoring reviews of SUBRECIPIENT's perfo1mance under this Agreement, to ensure that the Grant
Plan goals, objectives, performance requirements, timelines, milestone completion, budgets and other
criteria are being met. Prograinmatic monitoring may include the Regional Federal Preparedness
Coordinators, or other federal or state personnel, when appropriate. Monitoring may involve a
combination of desk-based reviews and on-site monitoring visits, inspection ofrecords, and verifications
of grant activities. These reviews will involve a review and analysis of the financial, programmatic,
performance and administrative issues relative to each program and will identify areas where technical
assistance and other support may be needed. The reviews may include, but are not limited to:
I. Evaluating eligibility of expenditures;
2. Comparing actual grant activities to those approved by the Approval Authority and
specified in the Grant Plan;
3. Ensuring that any advances have been deposited in an interest bearing account and
disbursed in accordance with applicable guidelines; and
4. Confinning compliance with: Grant Assurances; information provided on
performance reports and payment requests; and needs and threat assessments and
strategies.
(b) SUB RECIPIENT is responsible for monitoring and auditing the grant activities of any
contractor or other entity receiving Grant Funds through or from SUBRECIPIENT. This requirement
includes but is not limited to mandatory on-site verification visits.
(c) If after any monitoring review, the DHS or Cal OES makes findings that require a
Corrective Action Plan by SUBRECIPIENT, the City shall place a hold on all Reimbursement Requests
from SUBRECIPIENT until the findings are resolved.
3.10 Disbursement Procedures. San Diego shall disburse Grant Funds to SUB RECIPIENT as
follows:
(a) SUBRECIPIENT shall submit to the UASI Management Team, in the manner specified
for notices pursuant to Article 9, a document ("Reimbursement Request") substantially in the form
attached as Appendix C, attached hereto and incorporated by reference as though fully set forth herein.
The UASI Management Team shall serve as the primary contact for SUB RECIPIENT regarding any
Reimbursement Request.
(b) The UASI Management Team will review all Reimbursement Requests for compliance
with this Agreement and all applicable guidelines and requirements. The UASI Management Team will
return to SUB RECIPIENT any Reimbursement Request that is submitted and not approved by the UASI
Management Team, with a brief statement of the reason for the rejection of the Reimbursement Request.
FY 21 UASI -SUBRECIPIENT Page 7 of20 September 1, 2021
March 7, 2023 Item #1 Page 13 of 38
(d) If a rejection relates only to a portion of the expenditures itemized in any Reimbursement
Request, City shall have no obligation to disburse any Grant Funds for any other expenditures itemized in
such Reimbursement Request unless and until SUBRECIPIENT submits a Reimbursement Request that is
in all respects acceptable to the UASI Management Team.
(e) If SUBRECIPIENT is not in compliance with any provision ofthis Agreement, City may
withhold disbursement of Grant Funds until SUB RECIPIENT has taken coITective action and currently
complies with all terms and conditions of the Agreement.
3.11 Disallowance. SUBRECIPIENT agrees that if it claims or receives reimbursement from City for
an expenditure that is later disallowed by the State of Californ ia or the federal government,
SUB RECIPIENT shall promptly refund the disallowed amount to City upon City's written request. At its
option, City may offset all or any portion of the disallowed amount against any other payment due to
SUBRECIPIENT hereunder or under any other Agreement with SUBRECIPIENT. Any such offset with
respect to a portion of the disallowed amount shall not release SUBRECIPIENT from SUBRECIPIENT's
obligation hereunder to refund the remainder of the disallowed amount.
3.1 2 Sustainability. Grant Funded programs that contain continuing personnel and operating
expenses, over and above planning and implementation costs, must be sustained once the Grant Funding
ends. If Equipment is purchased with grant funds the equipment must be sustained through the useful life
of equipment. By executing this Agreement, SUBRECIPIENT acknowledges its responsibility and agrees
to sustain continuing programs beyond the Grant Funding period. SUBRECIPIENT acknowledges and
agrees that this sustainability requirement is a material term of the Agreement.
3. I 3 EHP Requirements.
(a) Grant Funded projects must comply with the federal Environmental and Historic
Preservation ("EHP") program. SUBRECIPIENT shall not initiate any project with the potential to impact
environmental or historic properties or resources until Cal OES and FEMA have completed EHP reviews
and approved the project. Examples of projects that may impact EHP resources include: communications
towers, physical security enhancements, new construction, and modifications to buildings, structures and
objects that are 50 years old or greater. SUBRECIPIENT shall notify the UASI Management Team of
any project that may require an EHP review. SUBRECIPIENT agrees to provide detailed project
information to FEMA, Cal OES and/or the UASI Management Team, to cooperate fully in the review,
and to prepare any documents requested for the review. SUBRECIPIENT shall comply with all
conditions placed on the project as the result of the EHP review, and implement any treatment or
mitigation measures deemed necessary to address potential adverse impacts. With prior approval of the
UASI Management Team, SUBRECIPIENT may use Grant Funds toward the costs of preparing
documents and/or implementing treatment or mitigation measures. Any change to the approved project
scope of work will require re-evaluation for compliance with EHP requirements. If ground disturbing
activities occur during proj ect implementation, SUBRECIPIENT shall notify the UASI Management
Team and ensure monitoring of ground disturbance. If any potential archeological resources are
discovered, SUBRECIPIENT shall immediately cease construction in that area and notify the UASI
Management Team, which will notify the appropriate State Historic Preservation Office. If
SUB RECIPIENT is using Grant Funds for a communication tower project, SUBRECIPIENT shall
complete its Federal Communication Commission ("FCC") EHP process before preparing its Cal
OES/FEMA EHP materials, and shall include the FCC EHP materials in the Cal OES/FEMA submission.
(b) Any construction or other project that SUBRECIPIENT initiates without the necessary
EHP review and approval will not be eligible for reimbursement. Failure ofSUBRECIPIENT to meet
federal, State, and local EHP requirements, obtain applicable permits, or comply with any conditions that
FY 2 1 UASI -SUBRECI.PIENT Page 8 of20 September 1, 2021
March 7, 2023 Item #1 Page 14 of 38
may be placed on the project as the result ofFEMA's and/or Cal OES's EHP review will result in the
denial of Reimbursement Requests.
3.14 National Energy Conservation Policy and Energy Policy Acts. SUBRECIPIENT shall
comply with the following requirements:
(a) Grant Funds may not be used in contravention of the Federal buildings performance and
reporting requirements of Executive Order 13123, part 3 of Title V of the National Energy Conservation
Policy Act (42 USC §8251 et seq.), or Subtitle A of Title I of the Energy Policy Act of2005; and
(b) Grant Funds may not be used in contravention of Section 303 of the Energy Policy Act of
1992 (42 USC §13212).
3 .15 Royalty-Free License. S UBRECIPIENT understands and agrees that FEMA reserves a royalty-
free, non-exclusive 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 using Grant Funds; and (b)
any rights of copyright that SUBRECIPI ENT purchases or acquires using Grant Funds. SUBRECIPIENT
shall consult with the UASI Management Team and FEMA regarding the allocation of any patent rights
that arise from, or are purchased with, Grant Funds.
3.16 Publication Statements. SUBRECIPIENT shall ensure that all publications created or
developed under this Agreement prominently contain the following statement: "This document was
prepared under a grant from the Federal Emergency Management Agencies Grant Programs Directorate
(FEMA/GPD) within the US 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/GPD or the US Department of Homeland Security."
3.17 Performance Period. SUBRECIPIENT shall ensure that hard copies of all reimbursement
requests and supporting documentation will be submitted to the UASI Management Team postmarked no
later than the Reimbursement Claim Due Date identified in the Subrecipient A ward Letter (Attachment
A). Extension requests may be granted based on extenuating circumstances beyond the control of the
subrecipient and must be made via the Performance Period Extension Request Form (Appendix D).
Requests must contain specific and compelling justifi cations as to why an extension is required and must
be submitted 30 days prior to the current deadline.
ARTICLE4
REPORTING REQUIREMENTS; AUDITS
4.1 Regular Reports. SUBRECIPIENT shall provide, in a prompt and timely manner, fi nancial,
operational and other reports, as requested by the UASI Management Team, in fonn and substance
satisfactory to the UASI Management Team. Such repo1ts, including any copies, shall be submitted on
recycled paper and printed on double-sided pages, to the maximum extent possible.
4.2 Notification of Defaults or Changes in Circumstances. SUBRECIPIENT shall notify the
UASI Management Team and City immediately of (a) any Event of Default or event that, with the
passage of time, would constitute an Event of Default; (b) any change of circumstances that would cause
any of the representations or warranties contained in Article 5 to be false or misleading at any time during
the term of this Agreement; and (c) any change of circumstances or events that would cause
SUB RECIPIENT to be out of compli ance with the Grant Assurances in Appendix B.
4.3 Books and Records. SUBRECIPlENT shall establish and maintain accurate files and records of
all aspects of the Grant Plan and the matters funded in whole or in part with Grant Funds. Without
FY 21 UASJ -SUBRECJPTENT Page 9 of20 September I, 2021
March 7, 2023 Item #1 Page 15 of 38
limiting the scope of the foregoing, SUBRECIPIENT shall establish and maintain accurate financial
books and accounting records relating to Authorized Expenditures and to Grant Funds received and
expended under this Agreement, together with all invoices, documents, payrolls, time records and other
data related to the matters covered by this Agreement, whether funded in whole or in part with Grant
Funds. SUBRECIPIENT shall maintain all of the files, records, books, invoices, documents, payrolls and
other data required to be maintained under this Section in a readily accessible location and condition for a
period of not less than three (3) years after expiration of this Agreement or until any final audit by Cal
OES has been fully completed, whichever is later.
4.4 Inspection and Audit. SUB RECIPIENT shall make available to the UASI Management Team,
and to UASI Management Team and City employees and authorized representatives, during regular
business hours, all of the files, records, books, invoices, documents, payrolls and other data required to be
established and maintained by SUBRECIPIENT under Section 4.3, and allow access and the right to
examine those items. SUBRECIPIENT shall permit the UASI Management Team and City, and UASI
Management Team and City employees and authorized representatives, to inspect, audit, examine and
make excerpts and transcripts from any of the foregoing. The rights of the UASI Management Team and
City pursuant to this Section shall remain in effect so long as SUBRECIPIENT has the obligation to
maintain such files, records, books, invoices, documents, payrolls and other data under this A11icle 4. The
OHS, the Comptroller General of the United States or designee, and Cal OES shall have the same
inspection and audit rights as the City and UASI Management Team. SUBRECIPIENT shall cooperate
with any federal or state audit.
4.5 Audit Report. If the amount specified in Section 3.2 of this agreement is $750,000 or more,
SUBRECIPIENT shall submit an organization-wide financial and compliance audit report. The audit
must be performed in accordance with GAO's Government Auditing Standards, and 2 CFR Part 200
Subpart F -Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal
Awards. SUBRECIPIENT shall submit its audit repot1 to the UASI Management Team no later than six
months after the end of SUB RECIPIENT' s fiscal year.
ARTICLE 5
REPRESENTATIONS AND WARRANTIES
SUBRECIPIENT represents and warrants each of the following as of the date of this Agreement and at all
times throughout the term of this Agreement:
5.1 No Misstatements. No document furnished or to be furnished by SUBRECIPIENT to the UASI
Management Team in connection with this Agreement, any Reimbursement Request or any other
document relating to any of the foregoing, contains or will contain any untrue statement of material fact
or omits or will omit a material fact necessary to make the statements contained therein not misleading,
under the circumstances under which any such statement shall have been made.
5.2 Eligibility to Receive Federal Funds. By executing this Agreement, SUBRECIPIENT certifies
that it is eligible to receive federal funds, and specifically ce11ifies as follows:
(a) SUBREClPIENT is not suspended, debarred or otherwise excluded from participation in
federal assistance programs, as required by Executive Order 12549 and 12689, "Debarment and
Suspension" and implemented at 2 CFR Part 3000.
(b) SUB RECIPIENT complies with 31 U.S.C. §1352, Limitation on use of appropriated
funds to influence federal contracting and financial transactions, as implemented at 44 CFR Part 18 and 6
CFRPart 9.
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(c) SUBRECIPIENT complies with the Drug-Free Workplace Act of 1988, as amended, 41
U.S.C. §701 et seq., as implemented in 2 CFR Part 3001, and will continue to provide a drug-free
workplace as required under that Act and implementing regulations.
(d) SUBRECJPIENT is not delinquent in the repayment of any federal debt. See 0MB
Circular A-129.
SUB RECIPIENT acknowledges that these ce11ifications of eligibility to receive federal funds are material
terms of the Agreement.
5.3 NIMS Compliance. To be eligible to receive Grant Funds, SUBRECIPIENT must meet National
Incident Management System ("NIMS") compliance requirements. By executing this Agreement,
SUBRECIPIENT certifies that it is in full NIMS compliance. SUB RECIPIENT acknowledges that this
certification is a material term of the Agreement.
ARTICLE 6
INDEMNIFICATION AND GENERAL LIABILITY
6.1 Indemnification. SUBRECIPIENT shall indemnify, protect, defend and hold harmless each of
the Indemnified Parties from and against any and all Losses arising from, in connection with or caused by
SUBRECIPIENT's performance of this Agreement, including, but not limited to, the following: (a) a
material breach of this Agreement by SUBRECIPIENT; (b) a material breach of any representation or
warranty of SUBRECTPIENT contained in this Agreement; (c) any personal injury or death caused,
directly or indirectly, by any act or omission ofSUBRECIPIENT or its employees or agents; (d) any loss
of or damage to property caused, directly or indirectly, by any act or omission of SUBRECIPIENT or its
employees or agents; (e) the use, misuse or failure of any equipment or facility used by SUB RECIPIENT,
or by any of its employees or agents, regardless of whether such equipment or facility is furnished, rented
or loaned to SUB RECIPIENT by an Indemnified Party; (t) any tax, fee, assessment or other charge for
which SUBRECIPIENT is responsible under Section 10.4; or (g) any infringement of patent rights,
copyright, trade secret or any other proprietary right or trademark of any person or entity in consequence
of the use by any Indemnified Party of any goods or services furnished by SUBRECIPIENT or its
employees or agents to such Indemnified Party in connection with this Agreement. The foregoing
indemnity shall include, without limitation, reasonable fees of attorneys, consultants and experts and
related costs and San Diego's costs of investigating any claims against San Diego.
6.2 Duty to Defend; Notice of Loss. SUB RECIPIENT acknowledges and agrees that its obligation
to defend the Indemnified Parties under Section 6.1: (a) is an immediate obligation, independent of its
other obligations hereunder; (b) applies to any Loss which actually or potentially falls within the scope of
Section 6.1, regardless of whether the allegations asserted in connection with such Loss are or may be
groundless, false or fraudulent; and (c) arises at the time the Loss is tendered to SUBRECIPIENT by the
Indemnified Party and continues at all times thereafter. The Indemnified Pai1y shall give
SUB RECIPIENT prompt notice of any Loss under Section 6.1 and SUBRECIPIENT shall have the right
to defend, settle and compromise any such Loss; provided. however, that the Indemnified Party shall have
the right to retain its own counsel at the expense of SUB RECIPIENT if representation of such
Indemnified Party by the counsel retained by SUBRECIPIENT would be inappropriate due to conflicts of
interest between such Indemnified Party and SUBRECIPIENT. An Indemnified Party's failure to notify
SUBRECJPIENT promptly of any Loss shall not relieve SUBRECIPIENT of any liability to such
Indemnified Party pursuant to Section 6.1, unless such failure materially impairs SUBRECIPIENT's
ability to defend such Loss. SUBRECIPIENT shall seek the Indemnified Party's prior written consent to
settle or compromise any Loss if SUB RECIPIENT contends that such Indemnified Party shares in
liability with respect thereto.
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6.3 Incidental and Consequential Damages. Losses covered under this A1ticle 6 shall include any
and all incidental and consequential damages resulting in whole or in part from SUBRECIPIENT's acts
or omissions. Nothing in this Agreement shall constitute a waiver or limitation of any rights that any
Indemnified Party may have under applicable law with respect to such damages.
6.4 LIMITATION ON LIABILITY OF SAN DIEGO. CITY'S OBLIGATIONS UNDER THIS
AGREEMENT SHALL BE LIMITED TO THE AGGREGATE AMOUNT OF GRANT FUNDS
ACTUALLY DISBURSED HEREUNDER. NOTWITHSTANDING ANY OTHER PROVISION
CONTAINED IN THIS AGREEMENT OR ANY OTHER DOCUMENT OR COMMUNICATION
RELATING TO THIS AGREEMENT, IN NO EVENT SHALL CITY BE LIABLE, REGARDLESS OF
WHETHER ANY CLAIM IS BASED ON CONTRACT OR TORT, FOR ANY SPECIAL,
CONSEQUENTIAL, INDIRECT OR INCIDENTAL DAMAGES, INCLUDING LOST PROFITS,
ARISING OUT OF OR IN CONNECTION WITH THIS AGREEMENT, THE GRANT FUNDS, THE
GRANT PLAN OR ANY ACTIVITIES PERFORMED IN CONNECTION WITH THIS AGREEMENT.
ARTICLE7
EVENTS OF DEFAULT AND REMEDIES; TERMINATION FOR CONVENIENCE
7.1 Events of Default. The occurrence of any one or more of the following events shall constitute an
"Event of Default" under this Agreement:
(a) False Statement. Any statement, representation, certification or warranty contained in
this Agreement, in any Reimbursement Request, or in any other document submitted to the UASI
Management Team or to City under this Agreement is found by the UASI Management Team or by City
to be false or misleading.
(b) Failure to Perform Other Covenants. SUBRECIPIENT fails to perform or breaches
any provision or covenant of this Agreement to be performed or observed by SUBRECIPIENT as and
when perfonnance or observance is due and such failure or breach continues for a period often (10) days
after the date on which such performance or observance is due.
(c) Failure to Comply with Applicable Laws. SUBRECIPIENT fails to perform or
breaches any of the terms or provisions of Article 12.
(d) Voluntary Insolvency. SUBRECIPIENT(i) is generally not paying its debts as they
become due, (ii) files, or consents by answer or otherwise to the filing against it of, a petition for relief or
reorganization or arrangement or any other petition in bankruptcy or for liquidation or to take advantage
of any bankruptcy, insolvency or other debtors' relief law of any jurisdiction, (iii) makes an assignment
for the benefit of its creditors, (iv) consents to the appointment of a custodian, receiver, trustee or other
officer with similar powers ofSUBRECIPIENT or of any substantial part ofSUBRECIPlENT's property
or ( v) takes action for the purpose of any of the foregoing.
(e) Involuntary Insolvency. Without consent by SUBRECIPIENT, a court or government
authority enters an order, and such order is not vacated within ten (10) days, (i) appointing a custodian,
receiver, trustee or other officer with similar powers with respect to SUB RECIPIENT or with respect to
any substantial part ofSUBRECIPIENT's prope1ty, (ii) constituting an order for reliefor approving a
petition for relief or reorganization or arrangement or any other petition in bankruptcy or for liquidation
or to take advantage of any bankruptcy, insolvency or other debtors' relief law of any jurisdiction or
(iii) ordering the dissolution, winding-up or liquidation ofSUBRECIPIENT.
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7 .2 Remedies upon Event of Default. Upon and during the continuance of an Event of Default, City
may do any of the following, individually or in combination with any other remedy:
(a) Termination. City may terminate this Agreement by giving a written termination notice
to SUBRECIPIENT and, on the date specified in such notice, this Agreement shall terminate and all
rights of SUB RECIPIENT hereunder shall be extinguished. In the event of such termination, City will
pay SUBRECIPIENT for Authorized Expenditures in any Reimbursement Request that was submitted
and approved by the UASI Management Team and by City prior to the date of termination specified in
such notice.
(b) Withholding of Grant Funds. City may withhold all or any portion of Grant Funds not
yet disbursed hereunder, regardless of whether SUBRECfPIENT has previously submitted a
Reimbursement Request or whether the UASI Management Team and/or City has approved the
disbursement of the Grant Funds requested in any Reimbursement Request. Any Grant Funds withheld
pursuant to this Section and subsequently disbursed to SUBRECIPIENT after cure of applicable Events
of Default shall be disbursed without interest.
(c) Return of Grant Funds. City may demand the immediate return of any previously
disbursed Grant Funds that have been claimed or expended by SUBRECIPIENT in breach of the terms of
this Agreement, together with interest thereon from the date of disbursement at the maximum rate
permitted under applicable law.
7.3 Termination for Convenience.
(a) City shall have the option, in its sole discretion, to terminate this Agreement, at any time
during the tenn hereof, for convenience and without cause. City shall exercise this option by giving
SUBREClPIENT written notice of termination. The notice shall specify the date on which termination
shall become effective.
(b) Upon receipt of the notice, SUBRECIPIENT shall commence and perform, with
diligence, all actions necessary on the part of SUB RECIPIENT to effect the termination of this
Agreement on the date specified by City and to minimize the liability ofSUBRECIPIENT and City to
third parties as a result of termination. All such actions shall be subject to the prior approval of the UASI
Management Team.
(c) Within 30 days after the specified termination date, SUBREClPlENT shall submit to the
UASI Management Team an invoice for all Authorized Expenses incurred through the tennination date.
For Authorized Expenses incurred after receipt of the notice oftennination, City will only reimburse
SUBRECIPIENT if the Authorized Expenses received prior approval from the UASI Management Team
as specified in subparagraph (b ).
(d) In no event shall City be liable for costs incurred by SUBRECIPIENT or any of its
contractors after the termination date specified by City.
(e) City's payment obligation under this Section shall survive termination of this Agreement.
7.4 Remedies Nonexclusive. Each of the remedies provided for in this Agreement may be exercised
individually or in combination with any other remedy available hereunder or under applicable laws, rules
and regulations. The remedies contained herein are in addition to all other remedies available to City at
law or in equity by statute or otherwise and the exercise of any such remedy shall not preclude or in any
way be deemed to waive any other remedy.
FY 21 UASI -SUBRECIPIENT Page 13 of20 September 1, 2021
March 7, 2023 Item #1 Page 19 of 38
ARTICLE 8
ASSIGNMENTS
8.1 No Assignment by SUBRECIPIENT. SUBRECIPIENT shall not, either directly or indirectly,
assign, transfer, hypothecate, subcontract or delegate all or any portion of this Agreement or any rights,
duties or obligations of SUBRECIPIENT hereunder without the prior written consent of the UASl
Management Team. This Agreement shall not, nor shall any interest herein, be assignable as to the
interest of SUB RECIPIENT involuntarily or by operation of law without the prior written consent of
City. A change of ownership or control of SUB RECIPIENT or a sale or transfer of substantially all of the
assets ofSUBRECIPIENT shall be deemed an assignment for purposes of this Agreement.
8.2 Agreement Made in Violation of this Article. Any agreement made in violation of Section 8.1
shall confer no rights on any person or entity and shall automatically be null and void.
8.3 SUBRECIPIENT Retains Responsibility. SUBRECIPIENT shall in all events remain liable for
the performance by any contractor, or assignee of all of the covenants, terms and conditions in this
Agreement.
ARTICLE 9
NOTICES AND OTHER COMMUNICATIONS
9.1 Requirements. Unless otherwise specifically provided herein, all notices, consents, directions,
approvals, instructions, requests and other communications hereunder shall be in writing, shall be
addressed to the person and address set forth below and shall be (a) deposited in the U.S. mail, first class,
certified with return receipt requested and with appropriate postage, (b) hand delivered or (c) sent via
facsimile (if a facsimile number is provided below):
Ifto City of San Diego Office of Emergency Services UASI Management Team:
San Diego Office of Emergency Services
960 I Ridgehaven Court, MS 1101 C
San Diego, CA 92123
Attn: Megan Beall, Program Manager
Facsimile No.: (619) 533-6786
lfto SUBRECIPIENT:
OFFICE City of Carlsbad
ADDRESS 2560 Orion Way
CITY, STATE, ZIP Carlsbad, CA 92010
ATTN Jennie Marinov
FACSIMILE (760) 929-0256
9.2 Effective Date. All communications sent in accordance with Section 9.1 shall become effective
on the date of receipt. Such date of receipt shall be determined by: (a) if mailed, the return receipt,
completed by the U.S. postal service; (b) if sent via hand delivery, a receipt executed by a duly authorized
agent of the party to whom the notice was sent; or (c) if sent via facsimile, the date of telephonic
confirmation of receipt by a duly authorized agent of the party to whom the notice was sent or, if such
confirmation is not reasonably practicable, the date indicated in the facsimile machine transmission report
of the party giving such notice.
FY 21 UASI-SUBRECIPIENT Page 14 of20 September I, 2021
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9.3 Change of Address. From time to time any party hereto may designate a new address or
recipient for notice for purposes of this A1ticle 9 by written notice to the other party and the UASI
Management Team.
ARTICLE 10
MISCELLANEOUS
I 0.1 No Waiver. No waiver by San Diego of any default or breach of this Agreement shall be implied
from any failure by the UASI Management Team or San Diego to take action on account of such default
if such default persists or is repeated. No express waiver by San Diego shall affect any default other than
the default specified in the waiver and shall be operative only for the time and to the extent therein stated.
Waivers by San Diego of any covenant, term or condition contained herein shall not be construed as a
waiver of any subsequent breach of the same covenant, term or condition. The consent or approval by the
UASI Management Team of any action requiring further consent or approval shall not be deemed to
waive or render unnecessary the consent or approval to or of any subsequent similar act.
I 0.2 Modification. This Agreement may not be modified, nor may compliance with any of its tenns
be waived, except by written instrument executed and approved in the same manner as this Agreement;
provided, however, that the Program Manager or designee may establish alternate procedures for
modification of the Grant Plan.
10.3 Governing Law; Venue. The formation, interpretation and performance of this Agreement shall
be governed by the laws of the State of California, w ithout regard to its confli ct of laws principles. Venue
for all litigation relative to the fonnation, interpretation and performance of this Agreement shall be in
San Diego.
10.4 SUBRECIPIENT to Pay All Taxes. SUBRECIPIENT shall pay to the appropriate
governmental authority, as and when due, any and all taxes, fees, assessments or other governmental
charges, including possessory interest taxes and California sales and use taxes, levied upon or in
connection with this Agreement, the Grant Plan, the Grant Funds or any of the activities contemplated by
this Agreement.
10.5 Headings. All article and section headings and captions contained in this Agreement are for
reference only and shall not be considered in construing this Agreement.
10.6 Entire Agreement. This Agreement sets forth the entire Agreement between the parties, and
supersedes all other oral or written provisions. The following Appendices are attached to and a pa1t of
this Agreement:
• Appendix A, SUBRECIPIENT Award Letter
• Appendix B, Grant Assurances
• Appendix C, Form of Reimbursement Request
• Appendix D, Performance Period Extension Request
10.7 Certified Resolution of Signatory Authority. Upon request of San Diego, SUB RECIPIENT
shall deliver to San Diego a copy of the corporate resolution(s) authorizing the execution, delivery and
performance of this Agreement, certified as true, accurate and complete by the appropriate authorized
representative of SUB RECIPIENT.
10.8 Severability. Should the application of any provision of this Agreement to any particular facts or
circumstances be found by a court of competent jurisdiction to be invalid or unenforceable, then (a) the
FY 21 UASI -SUBRECTPTENT Page 15 of20 September I, 2021
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validity ofother provisions of this Agreement shall not be affected or impaired thereby, and (b) such
provision shall be enforced to the maximum extent possible so as to effect the intent of the pa1iies and
shall be reformed without fu1iher action by the parties to the extent necessary to make such provision
valid and enforceable.
10.9 Successors; No Third-Party Beneficiaries. Subject to the terms of Article 8, the terms of this
Agreement shall be binding upon, and inure to the benefit of, the parties hereto and their successors and
assigns. Nothing in this Agreement, whether express or implied, shall be construed to give any person or
entity ( other than the parties hereto and their respective successors and assigns and, in the case of
Article 6, the Indemnified Paiiies) any legal or equitable right, remedy or claim under or in respect of this
Agreement or any covenants, conditions or provisions contained herein.
10.10 Survival of Terms. The obligations of SUB RECIPIENT and the terms of the following
provisions of this Agreement shall survive and continue following expiration or termination of this
Agreement: Sections 4.3 and 4.4, Article 6, this Article 10, and the Grant Assurances of Appendix B.
10.11 Further Assurances. From and after the date of this Agreement, S UBRECIPI ENT agrees to do
such things, perform such acts, and make, execute, acknowledge and deliver such documents as may be
reasonably necessary or proper and usual to complete the transactions contemplated by this Agreement
and to carry out the purpose of this Agreement in accordance with this Agreement.
10.12 Disclosure of Subawards and Executive Compensation. Pursuant to the Federal Funding
Accountability and Transparency Act (FFATA) (P.L. 109-282) as amended by Section 6202(a) of the
Government Funding Transparency Act of 2008 (P.L. 110-252), full disclosure to the public of entities or
organizations receiving federal funds is now required. As defined by the Office of Management and
Budget (0MB), all new Federal awards of $25,000 or more as of October I, 20 I 0, are subject to FF ATA
reporting requirements. The Transparency Act definition of"Federal awards" includes not only prime
awards for grantees, cooperators, and contractors, but also awards to sub-recipients. If applicable,
SUBRECIPIENT must provide the following infonnation on SUBRECIPIENT letterhead within 30 days
of receipt of this Agreement.
10.13
1. The Total compensation and names of the top five executives if:
a) 80% or more of annual gross revenues are from Federal awards ( contracts, sub-contracts
and Federal financial assistance), and $25,000,000 or more in annual gross revenues from
Federal awards; and,
b) Compensation information is not already available through repo1iing to the Securities and
Exchange Commission.
Cooperation with UASI Programs and Activities.
(a) Subject to reasonable terms and conditions, SUBRECIPIENT agrees to participate in
UASI-sponsored exercises, and to make available equipment acquired with Grant Funds for use as part of
such exercises.
(b) To the extent permitted by law, SUBRECIPIENT agrees to share with the Approval
Authority infonnational work products (such as plans, reports, data, etc.) created or acquired using Grant
Funds.
FY 21 UASI -SUBRECIPIENT Page 16 of20 September I, 2021
March 7, 2023 Item #1 Page 22 of 38
(c) To appropriately recognize the regional collaborative nature of grant funded planning
projects, all groups, individuals and jurisdictions who contributed to and/or paiticipated in the planning
process shall be properly and clearly acknowledged in the final deliverable.
ARTICLE 11
INSURANCE
11 .1 Types and Amounts of Coverage. Without limiting SUBRECIPIENT's liability pursuant to
Article 6 of this Agreement, SUBRECIPIENT shall maintain in force, during the full term of the
Agreement, insurance in the following amounts and coverages:
(a) Workers' Compensation, i:i statutory amounts, with Employers' Liability Limits
not less than $1,000,000 each accident, injury, or illness; and
(b) Commercial General Liabili ty Insurance with limits not less than $1,000,000 each
occurrence Combined Single Limit for Bodily Injury and Property Damage, including Contractual Liability,
Personal Injury, Products and Completed Operations; and
(c) Commercial Automobile Liability Insurance with limits not less than $1 ,000,000
each occurrence Combined Single Limit for Bodily Injury and Property Damage, including Owned, Non-
Owned and Hired auto coverage, as applicable.
11.2 Additional Requirements for General and Automobile Coverage. Commercial General
Liability and Commercial Automobile Liability Insurance policies must be endorsed to provide:
(a) Name as Additional Insured the City and County of San Diego, its Officers,
Agents, and Employees.
(b) That such policies are primary insurance to any other insurance available to the
Additional Insureds, with respect to any claims arising out of this Agreement, and that insurance applies
separately to each insured against whom claim is made or suit is brought.
11.3 Additional Requirements Regarding Workers' Compensation. Regarding Workers'
Compensation, SUBRECIPIENT hereby agrees to waive subrogation which any insurer of
SUB RECIPI ENT may acquire from SUB RECIPIENT by virtue of the payment of any loss.
SUBRECIPIENT agrees to obtain any endorsement that may be necessary to effect this waiver of
subrogation. The Workers' Compensation policy shall be endorsed with a waiver of subrogation in favor of
the City for all work performed by the SUB RECIPIENT, its employees, agents and subcontractors.
11.4 Additional Requirements for All Policies. All policies shall provide thirty days' advance written
notice to the City of reduction or nomenewal of coverages or cancellation of coverages for any reason.
Notices shall be sent to the City address in Article 9, Notices and Other Communications.
11.5 Required Post-Expiration Coverage. Should any of the required insurance be provided under a
claims-made fonn, SUBRECIPIENT shall maintain such coverage continuously throughout the term of this
Agreement and, without lapse, for a period of three years beyond the expiration of this Agreement, to the
effect that, should occurrences during the Agreement term give rise to claims made after expiration of the
Agreement, such claims shall be covered by such claims-made policies.
FY 21 UASI -SUBREClPIENT Page 17 of20 September I, 2021
March 7, 2023 Item #1 Page 23 of 38
11.6 General Annual Aggregate Limit/Inclusion of Claims Investigation or Legal Defense Costs.
Should any of the required insurance be provided under a form of coverage that includes a general annual
aggregate limit or provides that claims investigation or legal defense costs be included in such general
annual aggregate limit, such general annual aggregate limit shall be double the occurrence or claims limits
specified above.
11.7 Lapse in Insurance. Should any required insurance lapse during the te1m of this Agreement,
requests for reimbursement originating after such lapse may not be processed, in the City's sole discretion,
until the City receives satisfactory evidence of reinstated coverage as required by this Agreement, effective
as of the lapse date. If insurance is not reinstated, the City may, at its sole option, terminate this Agreement
effective on the date of such lapse of insurance.
11.8 Evidence of Insurance. Before commencing any operations or expending any Grant Funds under
this Agreement, SVBRECIPIENT shall furnish to City certificates of insurance and additional insured
policy endorsements with insurers with ratings comparable to A-, VIII or higher, that are authorized to do
business in the State of California, and that are satisfactory to City, in form evidencing all coverages set
forth above. Failure to maintain insurance shall constitute a material breach of this Agreement.
11.9 Effect of Approval. Approval of the insurance by City shall not relieve or decrease the liability of
SUBRECIPIENT hereunder.
11.10 Insurance for Subcontractors and Evidence of this Insurance. If a subcontractor will be used to
complete any portion of this Agreement, SUBRECIPIENT shall ensure that the subcontractor shall provide
all necessary insurance and shall name the City and County of San Diego, its officers, agents and employees
and the SUBRECIPIENT as additional insureds.
11.1 1 Authority to Self-Insure. Nothing in this Agreement shall preclude SUBRECIPIENT from self-
insuring all or part of the insurance requirement in this Article. However, SUBRECIPIENT shall provide
proof of self-insurance, in a form acceptable to San Diego, in the amounts of each line of self-insurance.
ARTICLE 12
COMPLIANCE
12. l Nondiscrimination. In the performance of this Agreement, SUB RECIPIENT agrees not to
discriminate against any employee, San Diego employee working with SUBRECIPIENT, applicant for
employment with SUBRECIPIENT, or against any person seeking accommodations, advantages,
facilities, privileges, services, or membership in all business, social, or other establishments or
organizations, on the basis of the fact or perception ofa person's race, color, creed, religion, national
origin, ancestry, age, height, weight, sex, sexual orientation, gender identity, domestic partner status,
marital status, disabil ity or Acquired Immune Deficiency Syndrome or HIV status (A IDS/HIV status), or
association with members of such protected classes, or in retaliation for opposition to di scrimination
against such classes.
12.2 Conflict of Interest. Through its execution of this Agreement, SUB RECIPIENT acknowledges
that it is familiar with the provisions of Section 87 I 00 et seq. and Section I 090 et seq. of the Government
Code of the State of California, and certifies that it does not know of any facts which constitutes a
violation of said provisions and agrees that it will immediately notify City if it becomes aware of any
such fact during the term of this Agreement. SUBRECIPIENT agrees that it will promptly notify City in
writing of al l violations of State or Federal criminal law involving fraud, bribery, or gratuities affecting or
involving the use of Grant Funds.
FY 21 UASI -SUBRECfPIENT Page 18 of20 September I, 2021
March 7, 2023 Item #1 Page 24 of 38
12.3 Compliance with ADA. SUBRECIPIENT acknowledges that, pursuant to the ADA, programs,
services and other activities provided by a public entity to the public, whether directly or through a
grantee or contractor, must be accessible to the disabled public. SUBRECIPIENT shall not discriminate
against any person protected under the ADA in connection with all or any portion of the Grant Plan and
shall comply at all times with the provisions of the ADA.
12.4 Compliance with Assembly Bill 481 Assembly Bill 481 (AB-481), codified in California
Government Code sections 7070 -7075, requires law enforcement agencies to obtain approval of the
applicable governing body (Mayor, City Council, Board of Supervisors, etc.) by adoption of a military
equipment use policy, prior to acquiring, seeking funding for, continuing to use, or collaborating with
another law enforcement agency in the use of military equipment, as defined. AB-48 1 also requires
publication of a military equipment use procedure and the annual military equipment report on the
Agency's website.
By accepting grant funds, SUBRECIPIENT acknowledges and certifies compliance with AB-481.
FY 21 UASl -SUBRECJPIENT Page 19 of20 September I, 2021
March 7, 2023 Item #1 Page 25 of 38
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be duly executed as of the
date first specified herein.
CITY OF SAN DIEGO:
By: ~~ PROGRAM MAN ~
OFFICE OF EMERGENCY SER VICES
Approved as to Form:
Mara W. Elliott
City Attorney
By:~ ~
FY 21 UASI -SUBRECIPIENT
Federal Tax ID #: 95-6004793
Page 20 of20
APPROVED AS TO FORM
Celia A. rewer, City Attorney
By:.,.· ~~~~~~"'.Tj~
Ci ,
September I, 202 1
March 7, 2023 Item #1 Page 26 of 38
Appendix A-SUBRECIPIENT Award Letter
sAJl DIEGO~
Office of Emergency Services
April 8, 2022
Scutt Chadwick
City Manager
City of Carlsbad
1200 Carlsbad Vi llage Dr
Carlsbad, CA 92008
SUBJECT: NOTIFICATION OF SU8REC lP1ENT AWARD APPROVAL
FY 2021 I lomcland Security Grant Program
Grant# 2021-0081 Cal OES ID# 073-66000
Subrecipient Performance Period: September I. 202 1 to December 31, 2023
Subrecipient:
The San Diego Office of Emergency Services (SD OES) has approved your FY2 I Urban Area Security
Initiative (UAS!) award.
Activities:
Al.I Projects
Project 003 Law Enforcement Training'
Project 02 1 Goal 3 Training. Exercises and Cunferences2
Amount:
S 64,924
$ 1,45-1
£ 63.470
Reimbursement Claim
Due Date:
December 15. 2023
December 15. 2023
1 All Projects 001 throL1gh 011 are National Priority projects. National Priority Projects cannot be modified
or changed in any way from the approved allocation.
' Training Conduct and Participation funds are limited to approved courses (sec Attachment A).
During the application process, the Regional Technology Partnership (RTP) vetted and the Urban Area
Working Group (UA WG) approved your project(s). Throughout the grant cycle, SD OES will use
performance milestones set in the Homeland Security Grant Program (HSGP) application as indicators of
performance and this in formation may be used in assessing future competitive grant applications. All
activities funded with this award must be completed within the subrecipient pe1for111ance period.
You are required to comply with all applicable federal. state, and local environmental and historic
preservation (El-IP) requirements. Additional ly, A viation/Watcreraft request~, projects requi ring EHP
review, federal schedule and sole source procurement requests. regardless of dollar amount. require prior
approval from SD OES and the California Governor's Office of Emergency Services (Cal OES).
Subrecipients must obtain written approval for these activities prior to incurring any costs, in order to be
reimbursed for any related costs under th is grani. Subrecipients are required to obtain a pcrfonnance bond
9601 Ridgehaven Court. MS 1 l01C
Sa11 Diego, CA 92i23
FY 2 1 UAS! -SUBREClPlENT A-I September 1, 2021
March 7, 2023 Item #1 Page 27 of 38
April 8, 2022
Page 2
for any equipment item over $250,000 or any vchidc, ain:n1ft, ur watercraft that has been paid with HSGP
funds prior to receiving the final product(s). IJerforrnance bonds must be submitted to your UASf Program
Representative no later than the time of reimbursement. Additionally. Cal OES prior approval is required
for all HSGP-funded 11011co111pct iti ve procurements of training, regardless of the dollar amount, per GMM
20[7-01-A.
Fo llowing acceptance of this award, you must sign and return the SD OES Memorandum ofUndt:rstanding
(MOU) as well as the Cal OES standard assurances. Once your completed MOU and standard assurances
are signed and received by our office. you may request reim bursement of eligible grant expenditures.
Your agency must coordinate with S D OES to prepare and submit qua,lerly projections and milestone
reporting via email so that SD OES can comply with the semi-ann ual BSTR reporting for the
duratio n of the grant period or until you complete all activities and the grant is formally closed. Failure
to submit req uired reports could result in grant reduction, suspension, or termin ation.
Th is grant is subject to all provisions of 2 CFR Part 200. Any funds received in excess of ClllTent needs,
approved amounts, or those found owed as a result of a final review or audit, must be refunded to SD
OES within 30 days upon receipt of an invoice from SD OES.
Your dated signature is required on this lette r. Please sign and return the original to your Ut\SI Program
Representative at 9601 Ridgehaven Court, San Diego CA 92123 within 20 days of receipt and
keep a copy for your fi les.
F'or runher assistance, please feel free to contact your SD OES UAS I Program Representative at
(619) 533-6758.
Sincerely,
Megan Beall
Program Manager
City of San Diego Office of Emergency Services
Scott Chadwick, City i\fanager
City or Carlsbad
FY 21 UASI-SUBRECIPTENT A-2 September 1, 2021
March 7, 2023 Item #1 Page 28 of 38
Appendix B-HSGP Standard Assurances
Name of Jurisdi ction: City of Carlsbad
Name of Authorized Agent: Scott ChadwickA.ddress: 1200 Carlsbad Village Dr.
City: Carlsbad State: California Zip Code: ~9~2~0~0~8 ___ _
Telephone Number: 442-339-2820
Fax Number: 760-720-9461 E-Mail Address: scott.chadwick@carlsbadca.gov
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) Federal Preparedness Grants Manual;
(ct) California Supplement to the NOFO; and
(e) 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 (C.F.R.). Updates are
issued by the Office of Management and Budget (0MB) 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 suppo1t 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;and
(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.
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.
FY 21 UASI -SUBRECJPIENT B-3 September 1, 2021 ~
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March 7, 2023 Item #1 Page 29 of 38
3. Lobbying and Political Activities
As required by Section 1352, Title 31 of the United States 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 C.F.R. § 200.213 and codified in 2 C.F.R. Part
180, Debarment and Suspension, the Applicant will provide protection against waste, fraud, and abuse
by debarring or suspending those persons deemed in-esponsible in their dealings with the federal
government. The Applicant certifies that it and its principals, recipients, or subrecipients:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, 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
j udgment 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 prope,ty;
(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.
FY 21 UASI -SUBRECJPIENT B-4 September I, 2021 t1.IJ
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March 7, 2023 Item #1 Page 30 of 38
Where the Applicant is unable to certify to any of the statements in this ce1tification, 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 -1 683, 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 disabiliti es 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 dd-2), 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 as implemented by the Department
of Housing and Urban Development at 24 C.F.R. Part 100. The prohibition on disability
discrimination includes the requirement that new multifamily housing with four or more
dwell ing units-i.e., the public and common use areas and individual apartment units (all units
in buildings with elevators and ground-floor units in buildings without elevators)-be designed
and constructed with certain accessible features (See 24 C.F.R. § 100.201);
(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;
(i) Executive Order 11375, which bans discrimination on the basis ofrace, 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;
U) California Public Contract Code § 10295.3, which prohibits discrimination based on domestic
partnerships and those in same sex marriages;
(k) DHS policy to ensure the equal treatment of faith-based organizations, under which all
applicants and recipients must comply with equal treatment policies and requirements contained
in 6 C.F .R. Part l 9;
(I) Any other nondiscrimination provisions in the specific statute(s) under which appli cation for
federal assistance is being made; and
(m) The requirements of any other nondiscrimination statute(s) which may apply to the application.
In addition to the items listed in (a) through (m), the Applicant will comply with California's Fair
Employment and Housing Act (FEHA). FEHA prohibits harassment and discrimination in employment
because of ancestry, familial status, 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,
FY 21 UASI -SUBRECIPIENT B-5 September I, 2021 ~
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March 7, 2023 Item #1 Page 31 of 38
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§§ 2 1000-
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);
(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 (NEPA) of 1969 (P.L. 91-190); the Council on Environmental Quality Regulations for
Implementing the Procedural Provisions of NEPA; and Executive Order 12898 which focuses on
the environmental and human health effects of federal actions on minority and low-income
populations with the goal of achieving environmental protection for all communities;
(f) Evaluation of flood hazards in floodplains in accordance with Executive Order 11988;
(g) Executive Order 11514 which sets forth national environmental standards;
(h) 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 11990 which
requires preservation of wetlands;
(i) The Safe Drinking Water Act of 1974, (P.L. 93-523);
U) The Endangered Species Act of 1973, (P.L. 93-205);
(k) 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.);
(I) Conformity of Federal Actions to State (Clear Air) Implementation Plans under Section 176(c)
of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401 et seq.);
(m) 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.
FY 21 UASI -SUBRECIPIENT B-6 September I, 2021 Lil\
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March 7, 2023 Item #1 Page 32 of 38
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 C.F.R. § 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.C §§ 3729-3733 which sets forth that
no subrecipient, recipient, or subrecipient shall submit a false claim for payment, reimbursement or
advance.
12. Reporting -Accountability
The Applicant agrees to comply with applicable provisions of the Federal Funding Accountability and
Transparency Act (FF A TA) (P.L. 109-282), specifically (a) the reporting of subawards obligating
$25,000 or more in federal funds and (b) executive compensation data for fi rst-tier subawards. This
includes the provisions ofFFATA, which includes requirements for executive compensation, and also
requirements implementing the Act for the non-federal entity at 2 C.F.R. Pait 25 Financial Assistance Use
of Universal Identifier and Central Contractor Registration and 2 C.F.R. Pait 170 Reporting Subaward and
Executive Compensation Information.
13. Whistleblower Protections
The Applicant also must comply with statutory requirements for whistleblower protections at JO U.S.C. §
2409, 41 U.S.C. § 4712, and IO 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: (I) 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 fo llowing federal labor standards:
(a) 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, and
FY 21 UASJ -SUBRECTPIENT B-7 September I, 2021 LJ /1
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March 7, 2023 Item #1 Page 33 of 38
(b) The Federal Fair Labor Standards Act (29 U.S.C. § 201 et al.) as they apply to employees of
institutes of higher learning (IHE), 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 at all times during the performance of the work of this
Agreement, as per the workers compensation laws set fo1th 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 Ill of the Uniform Relocation Assistance and Real
Prope1ty Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable
treatment of persons displaced or whose property is acquired as a result of federal or federally-
assisted programs. These requirements apply to all interests in real property acquired for
project purposes regardless of federal participation in purchase;
(b) Comply with flood insurance purchase requirements of Section 102(a) ofthe 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)
(d) Assist the awarding agency in assuring compliance with Section 106 of the
(e) National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470), Executive Order
11593 (identification and protection of hi storic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. §469a-1 et seq.); and
(f) Comply with the Lead-Based Paint Poisoning 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 tenns 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 pait 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; and
( 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 motor vehicle whil e 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 9 11 , law enforcement, or similar
services.
FY 21 UASl -SUBRECJPTENT B-8 September I, 2021 ,4.../\
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20. California Public Records Act and 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 (FOlA), 5 U.S.C. § 552, and the California Public
Records Act, California Government Code section 6250 et seq. The Applicant should consider these laws
and cons ult its own State and local laws and regul ations regarding the release of information when
reporting sensitive matters in the grant application, needs assessment, and strategic planning process.
HOMELAND SECURITY GRANT PROGRAM fHSGP} -PROGRAM SPECIFIC
ASSURANCES t 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 for Civil Rights and
Civil Liberties (CRCL) by e-mail at CRCL@hq.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 courts or administrative agencies make a finding of discrimination on grounds of race, color,
national origin (including LEP), sex, age, disability, religion, or familial status against the recipient, or the
recipients settle a case or matter alleging such discrimination, recipients must forward a copy of the
complaint and findings to the DHS Financial Assistance Office and the CRCL 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 offederal funding when issui ng statements, press releases,
requests for proposals, bid invitations, and other documents describing projects or programs funded in
whole or in pmt 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 (PID
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. A ll recipients who collectPII
are required to have a publically-available privacy policy that describes standards on the usage and
maintenm1ce of Pll they collect. Recipients may also find the OHS Privacy Impact Assessments: Privacy
Guidance and Privacy template a useful resource respectively.
25. Copyright
All recipients must affix the applicable copyright notices of 17 U.S.C. §§ 40 I or 402 and an
acknow ledgement of U.S. Government sponsorship (including the award number) to any work first
produced under federal financial assistance awm·ds.
FY 21 UASI -SUBRECIPTENT 8-9 September 1, 2021 .. 4 11
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March 7, 2023 Item #1 Page 35 of 38
26. Duplication of Benefits
Any cost allocable to a patticular federal financial assistance award provided for in 2 C.F.R. Patt 200,
Subpart E may not be charged to other federal financial assistance awards to overcome fund deficiencies,
to avoid restrictions imposed by federal statutes, regulations, or federal financial assistance award terms
and conditions, or for other reasons. However, these prohibitions would not preclude recipients from
shifting costs that are allowable under two or more awat·ds in accordance with existing federal statutes,
regulations, or the federal financial assistance award terms and conditions.
27. 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.
28. 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 0MB Circular A-129.
29. 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. § 41 102) for international air transportation of people and prope1ty 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, I 981 , amendment to Comptroller General Decision B-138942.
30. Hotel and Motel Fire Safety Act of 1990
In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, all Applicants 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.
31. Non-supplanting Requirement
All recipients who receive federal financial assistance 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 tlu·ough 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 recipients who receive federal financial assistance awat·ds 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
at1d enhance interoperable communications.
FY 21 UASI -SUBRECIPIENT B-10 September I, 2021 d../1
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March 7, 2023 Item #1 Page 36 of 38
34. Terrorist Financing
All recipients must comply with Executive Order 13224 and U.S. law that prohibit transactions with, and
the provisions ofresources and support to, individuals and organizations associated with terrorism.
Recipients are legally responsible to ensure compliance with the Order and laws.
35. Reporting of Matters Related to Recipient Integrity and Performance
If the total value of the recipient's currently active grants, cooperative agreements, and procurement
contracts from all federal assistance offices exceeds $10,000,000 for any period of time during the period
of performance of this federal financial assistance award, you must comply with the requirements set fo11h
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
award terms and conditions.
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. §§ I 75-l 75c.
37. Use of DHS Seal, Logo, and Flags
All recipients must obtain permission from their DHS Financial Assistance Office, prior to using the DHS
seal(s), logos, crests or reproductions of flags or likenesses ofDHS agency officials, including use of the
United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard
officials.
FY 21 UASI -SUBRECIPIENT B-11 September I, 2021 L/J
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March 7, 2023 Item #1 Page 37 of 38
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 ofany future grants if the Cal OES determines that any of the following has
occurred: (l) 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. All recipients are bound by the Department of Homeland Security Standard
Terms and Conditions 2018, Version 8. I, hereby incorporated by reference, which can be found at:
htt s://www.dhs. ov/ ublication/ 15-dhs-__standard-terms-and-conditions.
The undersigned represents that he/ thorized to enter into this agreement for and on behalf
of the Applicant.
Printed Name of Authorized Agent: __ S_c_o_t_t_C_h_a_d_w_ic_k _____________ _
Title: City Manager
FY 21 UASI -SUBRECfPTENT B-12
Date: Z~'"3DL2]
September 1, 2021 A.I)
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March 7, 2023 Item #1 Page 38 of 38The City of SAN DIEGO.) Office of Emergency Services Signature Authorization Form FY 2021 Homeland Security Grant Programs Jurisdiction: City of Carlsbad Date Signed: l / ;;;s-/:J-?-The below named personnel are authorized to sign for the following Homeland Security Grant Programs: Urban Area Security Initiative (UASI). NAME TELEPHONE E-MAIL ADDRESS (TYPED/PRINTED) SIGNATURE NUMBER Michael Calderwood ~/~~r---. 442-339-2141 michael.calderwood@carlsbadca.gov Mickey Williams ~~ ~ ft6 442-339-2197 mickey. williams@carlsbadca.gov This form supersede all otl ers for above indicated jurisdiction. Requests for reimbursement signed by staff not identified in this form will not be processed. ~.fit-Scott Chadwick 442-339-2820 Authorized A ent Printe's-~e and Si nature g g Phone No. Mail form to City of San Diego, Office of Emergency Services, 9601 Ridgehaven Ct, MS 1101 C, San Diego, CA 92123 Or Email to rcoleman@sandiego.gov