0093

County of Santa CruzGENERAL SERVICES DEPARTMENT

701 OCEAN STREET, SUITE 330, SANTA CRUZ, CA 95060-4073

(831) 45-2210 FAX: (831) 45-2710 Too: (831) 4542123

NANCY GORDON - DIRECTOR

September 11, 2013 Agenda: September 24, 2013

Board of SupervisorsCounty of Santa Cruz701 Ocean StreetSanta Cruz, CA 95060

Appropriation of 2011 Urban Area Security Initiative (UASI) Grant Funds

Members of the Board:

We are very pleased to inform your Board that the County's grant application to the Urban AreaSecurity Initiative group (UASI) has been modified to now include funding for a previouslyintroduced project. This project addition has been approved in the amount of $43,618 forevacuation shelter specialized equipment and supplies for people with access and functionalneeds, stocked in four trailers for rapid deployment. This acquisition meets a long standingemergency planning objective for addressing the needs of the disabled community during timesof emergency. As required under all UASI grant awards, the assets will be available for regionaluse in times of need. Operational deployment wil be managed by the County Ofce ofEmergency Services and Red Cross - Santa Cruz County Chapter.

At this time, it is necessary to accept and appropriate these approved grant funds into the FY2013/14 Health Services Agency budget and to approve the attached fixed asset list to allowexpedited purchase of these items by the Health Services Agency, who is the original projectgrant applicant.

It is therefore RECOMMENDED that your Board:

1. Adopt the attached Resolution Accepting and Appropriating $43,618 from the 2011 UASIgrant program; and

2. Approve the fixed assets purchase by the Health Services Agency.Sin~~ ...Na~General Services Director

SUSAN A. MAURIELLOCounty Administrative Officer

NCG/PH/CJ

cc: Emergency Services, Health Services Agency

Attachments: Resolution accepting and appropriating revenue; HSA fixed asset list; grant agreement

19

19

0094

2011 UASI GRANTHSA FIXED ASSET LIST

4 Trailers stocked with specialized cots and supplies for disabled and mobility impaired shelteroccupants.

0095

BEFORE THE BOARD OF SUPERVISORS

Of The County Of Santa Cruz, State Of California

Resolution No.

On the motion of SupervisorDuly seconded by SupervisorThe following resolution is adopted:

Resolution Accepting Unanticipated Revenue

Whereas, the County of Santa Cruz is a recipient of funds from the Urban Area Security InitiativeProgram in the amount of $43,618; and

WHEREAS, the County is recipient of funds in the amount of $43,618 which are either in excess ofthose anticipated or are not specifically set forth in the current fiscal year budget of the County; and

WHEREAS, pursuant to Government Code Section 29130(b) / 29064(b)(2), such funds may bemade available for specific appropriation by four-fifths vote of the Board of Supervisors;

NOW, THEREFORE, BE IT RESOLVED AND ORDERED that the Santa Cruz County Auditor-Controller accept funds in the amount of $43,618 into the following Department budget

TIC Index NumberRevenue

Sub-Object Numb.Er_ Account Name Amount

001 362010 1163 $43,618Aid, Other Govt Anti-Terr Appr Auth

and that such funds be and are hereby appropriated as follows:

Expenditure

TICIndex Sub-Object PRJ/UCD Account Name Amount

Number Number

021 362010 3432 Other Medical Material 13,618& Supplies

021 362010 8409 Mobile Equipment 30,000

DEPARTMENT HEAD: I hereby certify that the fiscal provisions have been researched and that

the Revenue(s) (has been) (wil be) received within the current fiscal year.

~ Që ñt Head

= -~Date Q-IL--17r/

AUD60 (Rev 06/02) Page 1 üf219

0096

COUNTV ADMINISTRATIVE OFFICER /( Recommended to Board

/ / Not Recommended to Board

PASSED AND ADOPTED by the Board of Supervisors of the County of Santa Cruz, State of

California, this day of , _ by the following vote(requires four-fifths vote for approval):

AVES: SUPERVISORS

NOES: SUPERVISORS

ASSENT: SUPERVISORS

Chairperson of the Board

ATTEST:

Clerk of the Board

ApPROVED As To FORM:

.~~ q /l?-jI3County Counsel r r Date

ApPROVED ~O ACCOUNTING DETAI..L. :

~l?1 ~, 11fjAuditor-Controifer Datß

Distribution:Auditor-ControllerCounty CounselCounty Administrative OfficerGeneral Services/Office of Emergency ServicesHealth Services Agency

i 9 AUD60 (Rev 06/02) Page 2 of2

0097

2011 UASI GRANTHSA FIXED ASSET LIST

4 Trailers used to transport cots and blankets

19

0098

AGHEEMENT BETvVEEN THE CITY AND COUNTY OFSAN FHANCISCO AND THE COUNTY OF SANTA CHUZ

FOH THE DISTRIBUTION OF FY 2011 UASI GRANT FUNDS

SECOND ArVIENDMENT

THIS AMENDMENT (this "Amendment") is as of AUGUST 1,2013, in San Francisco,California, by and between the COUNTY OF A CRUZ ("SANTA CRUZ") and the Cityand County of San Francisco, a municipal corpol"iiiol1 ("City"), in its capacity as fiscal agent forthe UASI Approval Authority, acting by the San Francisco Department ofEmergency Management.

RFCTI¡\ ,5

WHEREAS, City and SANTA CRUZ have entered into Agreement (as defined below); and

WHEREAS, City and SANTA CRUZ desire to modi the Agreement on the terms andconditions set forth hercin;

NOW, TI:¡EREFORE, SANTA CRUZ and Cit) as follows:

1. Definitions. The following defîiiilions sliaii apply to this Amendment:

a. Agreement. The termand County of San Francisco and the County 0UASI Grant Funds" dated May 1,2012,

mean the "Agreement between the CityCRUZ for the Distribution ofFY 2011

;\ CRUZ and City, as amended by the:

o First Amendment. December 1,2012.

b. Other Terms. Terms used and not del~l1ed in this Amendment shal1 have the

meanings assigned to such terms in the Agreement.

2. Modifications to the Agreement. The ,\grccllcnL is hereby modified as follows:

a. Section 3.2, Maximum amount of ods. Section 3.2 of the Agreementcurrently reads as foiiows:

In no event shall the amount of Grant Funds dishui.scd hereunder exceed THREE HUNDRED'iWO THOUSAND DOLLAHS (S302,OOO). The C will not automatically transfer GrantFunds to SANTA CRUZ upon execution this !\greement. SANTA CRUZ must submit aReimbursement Request under Section 3.1 () 01"(1115 \greeinent, approved by the UASIManagement Team ancl City, before the C . I disburse Grant Funds to SANTA CRUZ.

Such Section is hereby amended in its entirety to n'ad as follows:

19 FY J I UASI ~SANT;\ CRUZ

Amendment " August 1,2013

0099

In no event shatl the amount of Grant Funds . hcrcunder exceed THREE HUNDREDFonTY-FIVE ITIOUSAND, six HUNDRED EIGHTEEN DOLLARS ($345,618). TheCity witl not automatically transfer Grant Funds \0 SANTA CRUZ upon execution of thisAgreement. SANTA CRUZ must submit a ¡~cimblirsct1cnt Request under Section 3.10 of thisAgreement, approved by the UASI Managcmcnt and City, before the City will disburseGrant Funds to SANTA CRUZ.

b. Appendix A, Authorized Expenditures and Timelines. Appendix A includes

project descriptions, de!iverables, not to exceed amounts, anddeadlíncs fordeliverabJes.

Such Appendix is hereby amended to reflect the following:

i) Extend the equipment del' to i 1130/20 i 3, for Tactical Robots forProject D; and

ii) Add equipment funds, in the aniOunt of $43,618, for Access and FunctionalNeeds for Project F.

A revised Appendix A is attached to this Anicnclmcnl and incorporated by reference as thoughfully set fOlth herein. crhe attached Appcndix "\ s all prior versions of Appendix A.

e. Appendix 13, Grant Assurances.

assurances. Appendix B is not amendedcxecuting this Amendment, to certify its CUtTen:

"\ díx B contains the applicable grant

/\ CR UZ is re-signing Appendix B iniance \\lith all applicable grant assuranccs.

d. Appendix C, Form of Rcimbursciiicnt Hcquest dated August 1,2013. A

revised Appendix C is attached to this Anicndincnt and incorporated by reference as though fullyset forth herein. The attached Appendix C all prior versions of Appendix C.

3. Effective Date. Each of the mod i

after the date of this Amendment.set f~)rih in Section 2 shall be effective on and

4. Legal Effect Except as expressly

conditions of the Agrecment shall remaîn

this Amendment, all of the terms andin full force and effect.

FY i. ¡ UAS I -SANT A CRUZ Amendment 'J August 1,2013

19

Û 1 00

IN WITNESS WlIEREOF, the parties hereto h~1\Cof the date tìrst speeitìed hei'ein.

this Agreement to be duly executed as

CITY AND COUNTY OF SAN FRANC! UNTY OF SANTA CRUZ:

SAN FRANCISCO DEPARTMEN"T OFEMERGENCY MANAGEMENT

By:

ANJ . B G .~EXECUTIVE DIRECTOR/

Federal Tax ID #: 94-6000534

Approved as to Form:Dennis J. HerreraCity Attorney

By: f3 v:

ny:Risk Managementi,

Appendices:Amended Appendix A, Authorized Expenditures andAmended Appendix 13, Chant Assurances, datldAmended Appendix C, Form ofReinibursenicnt ¡~cq

llelines, dated August 1,20131,2013

cst, dated August 1, 2013

19FY 11 UASI -SANTA CRUZ 2nd Amendment of August 1, 2013

Appendix A - Authorized Expenditures and Timelines

ENTITY: SANTA CRUZ

Total allocation to be spent on the following_solution areas

~ UASI Project

iiette,and Title

Project C

StrengthenCommunications

andInteroperable

Communications

SolutionArea

010'

ProjectedMilestone

Dates (to becompleted

_ Prograrn Description .. on or about) iFunds for first ResoonLier Radiü-----¡ i, iSystem Enhancements. I

AEL#s:06CP-01-REPí06CP-02-BRDG06CP-03-TOWR06CP-01-VOíR

SANTA CRUZ rnust inventory, type,organize and track all equipmentpurchased in order to facilitate thedispatch deployment and recovery ofresources before d and after anincident

Reimbursement for 1t:11lpurchases require. An approved FHP niemo, if

applicable._. ¡ 11 A perforniance bond is required for

Equipment any equipment iterTI that exceeds$250,000,0' for any vehicle,aircraft, or. watercraft

. As allowable under Federal

guidelines, procurement ofequipment must follow localpolicies and procedures forcompeWive ourchasìng (providedthey are not in conflict with Federalregulations which supersede them).If sole source ,I is needed,SANíA CRUZ must transmit therequest to the UA.31 foi request to

the State. Prior to reimbursement, SANTA

CRUZ must submit all invoices,AEL numbers and a list of allequipment ID numbers and thedeployed locatioiis

. Final deadline for submittal of

claims is 1/03/2014.

Issuance ofpo:

Within 14

Days ofProject Start

Date

ReceiveEquipment:

45 daysThereafter

SiteInstallation

60 daysThereafter

TestEquipment:

30 daysThereafter

ProjectCompletion:

30 daysThereafter

DeliverableDates Amount

11/30/2013Not to

Exceed:$200,000

FY 11 UASI -SANíA CRUZ 2nd Amendment 1\-1 August 1, 2013

19

Project D

StrengthenCBRNE

Detection,Response and

Decontamination

Equipment

I Funds tõ-purc~~ase-iaclicâ!Robots.---.I remote controis and robot upgradei equipment in order. for first responders, to operate remoteiy in hazardoussituations (Sheriff's Of Lee)

AEL#: 030E-07-F~OBTAEL#: 02EX-02-RBTL

SANTA CRUZ must inventory, type,organize and track ali equipmentpurchased in order to faciiitate thedispatch, and recovery ofresources cefme, and after anincident.

Reimbursement for equipmentpurchases requireo An approved EHf:J menio, if

applicable.o A performance bond is required for

any equipment item that exceeds$250,000, or for any vehicle,aircraft, or watercraft.

o As allowable under Federal

guidelines, procurement ofequipment must follow iocalpolicies and procedures forcom petitive (providedthey are not in conflict \¡vith Federalregulations which supersede them).If sole source is needed,SANTA CRUZ must transmit therequest to the UASI for request tothe State,o Prior to SANTACRUZ must submit ali invoices,AEL numbers, and a list of allequipment ID numbers and thedeployed locations

. Final deadline for submittal of

claims is 01/0312014.

0102

PurchaseEquipment: i05/01/2013

ReceiveEquipment:07/01/2013

Train onEquipment:09/02/2013

DeployEquipment:11130/2013

11/30/2013 Not toExceed:$50,000

19FY 11 UASI -SANTA CRUZ 2nd Amendment 1,-2 August 1, 2013

0103

Project F

StrengthenEmergencyPlanning and

CitizenPreparedness

Equipment

Funds for equipment that willstrengthen IIU"fJIlOI capabilities torespond to a of terrorist events.

AEL#s:

01 AR-03-PAPCCanister. CBRN. Pt'\R01AR-03-PAPARespirator, Powered Air-rJurifying01 SP-01-ENS,"JEnsemble, Spiash-fJrotective,Non-Encapsulating01 SP-02-FTWI:.Footwear, SfJIO" rlroiectìve,Non-Encapsulating06CP-01-MO BLRadio, Mobile

07CD-01-CLASStrips, Classifier Waste Water,

I Chemical)01AR-03-PAPBBattery Pack. PN'R

SANTA CRUZ must inventory, type,organize and ttack all equipmentpurchased in order to facilitate thedispatch, \."'fJiUY' ¡""'l and recovery ofresources before, d and after an

incident.

Reimbursement for equipmentpurchases reqUire. An approved EHP memo. if

applicable. A performance bond is required for

any equipment item that exceeds$250,000 or for any vehicle,aircraft. or wateruaft

. As allowable nder Federal

guidelines, fJl ueu,,,1 ,''' ie ofequipment must follow iocalpolicies and procedures forcompetitive purchasing (provided

they are not in conflict with Federalregulations which supersede them).If sole source approval is needed,SANTA CRUZ must transmit therequest to the UASI for request tothe State.

. Prior to reimbursement. SANTA

CRUZ must submit all invoices,AEL numbers, and a íist of allequipment 10 numbers and thedeployed locations.

PurchaseDate:

04/01/2013

DeliveryDate:

06/01/2013

06/30/2013Not to

Exceed:$35,000

FY 11 UASI -SANTA CRUZ 2nd Amendment A.3 August 1, 2013

19

. Final deadline for submltta

claims is 0813112013

Project F

StrengthenEmergency

Planning andCitizen

Preparedness

,. ~_. - ----~,---

Funds for Disaster Medical SeFacilities plan.

. Personnel- Prior to anyexpenditures for pNsonnelCRUZ must submit campledescriptions to the UASI dethe planning actiVities thepersonnel will complete andeliverables to be pmduceoto reimbursement, SANTAmust submit thefunctional time sheets, paydocumentation pasalaries and benefis, or cachecks; work product orcertification that work wascompleted including a statecompleted activities

. Contracts - Ai contracts m

pre-approved the UASIexecution In addition, SANCRUZ must satisfy the foiloguidelineso Procurement of contrac

Planning services must follow locapolieies and u rescompetitive pu rchasing

(provided are not inwith Fedelai reguiations

supersede If soleapproval is needed, SANCRUZ must transmit a ssource to the UAsubmission to the State.

n The contmct must have

clearly stated scope of wdellverables. deadlines fcompletion of work, andschedule of contract pay

o All services must be peii

and paid within the grantpeiiormance penod

. Trave!. travel ror oianning a

must be pre-approved inaccordance with the Bay ArUASI Travel Policy (adoptedApproval on Augu2011) prim tofor al! travei expenses mustsubmittegJ2.Y.~CJl§ter ~han 1

19 FY 11 UASI -SANTA CRUZ 2nd Amendment A-4

0104

lof

."'-"

rvices

, SANTAted jobtailing

d the. Prior

CRUZall

roll

yment ofncelled

ment of

List beprior toTAwing

tLIal Not toI 11/30/13 11/30/2013 Exceed:

for $10,000

conflictwhichsourceTA

oleSI for

aark and

01'

amentsarmed

ctivities

eaby the

st 1,

nvoicesbe103/14.

August 1, 2013

0105

I

Invoices must include all h::f'kiil"documentation includingconference agendas, programs,

brochures, lodqirig receipts, perdiem calculatío iS, airfarereceipts/board passes, mileage

calculations, other transportationreceipts, ano p, oof of payment.

. Final deadiTe for submittal of finalclaims is 01/03/14.

I Funds for Disaster IVied :al =~,. ~~"

I Facilities program

Project F

StrengthenEmergencyPlanning and

II CitizenPreparedness

Training

Project F

StrengthenEmergency

Planning andCitizen

Preparedness

Equipment

i

i

. All training courses require an

approved Environmentai andHistoric Prese vatìon ("EHP")memo.

. All expenses must be pre-

approved by the Regional Trainingand Exercise Manager ordesignee prior to scheduling.

. Training course expenses may

include backfill/overtime, travel,tuition, per diem or other granteligible expenses Giant eligibletraining expenses are published inthe FY 2011 Homeiand SecurityGrant Prograrn Guidance

. When seeking reimbursement for

grant eligible Ii ::111111!l expenses,SANTA CRUZ must submitcompleted ledger page indicatingcourse title. feedback number, subcategory (eg OT BF, CourseDevelopment)

G Provide registraTion receipts andagendas.

. Provide copies of sign in sheets

(must have supervisor'ssignature).

. Fina! deadline or submittal of

claims is 01/03 14

I Funds for Access and f:LlnctionalNeeds Sheltering Equí¡., 'c;i iL

Scope ofWork:

06/01/2013

ExerciseCompleted:11/30/2013

11130/2013Not to

Exceed:$7,000

12TR-OO-TEOP09ME-01-COTS08D3-01-BLKT21 GN-OO-SHIP21 G N-OO-ST AX

SANTA CRUZ mus. inventory, type,organize and track 111 equipment

purchased in order 0 facilitate thedispatch._~_EijJioynient.Clrld recovery of

FY 11 UASI -SANTA CRUZ Amendment /\-5

Not to11/30/2013 Exceed:

$43,618

I IAugust 1, 2013

19

0106

! resources before dWi and after anincident.

Reimbursement for equipmentpurchases require. An approved l=.HP memo, if

applicable. A performance bond is required for

any equipment item that exceeds$250,000, or for any vehicle,aircraft, or watercraft.

. As allowable under Federal

guidelines, procurement ofequipment must follow localpolicies and procedures forcompetitive ~ i i~ (providedthey are not confiict with Federal i'.regulations WhiC": supersede them)If sale source is needed,SANTA CRUZ ¡TiUS! transmit therequest to the UAS! for request tothe State

. Prior to reimbursemerit, SANTACRUZ must sunrnrt ali invoices,AEL numbers and a list of allequipment 10 numbers and thedeployed iocations

. Final deadline for submittal of

claims is 01/03/2014NOT TO

EXCEED:$345,618

I

TOTAL ALLOCATION

.. All requests for reimbursements must be submitted by January 3,2014 unless an

earlier deadline is set in this Appendix. There will be NO EXTENSIONS. SANTACRUZ should submit reimbursement requests on a quarterly basis, as applicable.

It Authorized expenditures must fall into one of the following categories: Planning,Organization, Equipment, Training, or Exercises. Descriptions of authorizedexpenditures are in the following documents:

It FY 2011 Homeland Security Grant Pror¡ram Guidance and Appfication Kit dated May,2011 http./www.femagov/pdf/governnU:lJt/Qrant/2011/fY11 hsgp kit. pdf

It California Supplement to Federal Program Guidance and Appfication Kit:http://www.calema.ca. gov/E MS-f-f S-liazNLa UP a qes/Homeland-Securitv-G rant-Proqram-Documents. aspx

It Authorized Equipment List: wwwl:IfJ.us

" Office of Justice Programs Financial and A cJrlJin is trative Guìde for Grants:http://www.oip.usdoj.gov/financiafqUlc!f¿l

" Anv equipment purchased under this Aareement must match the VASI 2011 GrantApplication Workbook. Any modification to the inventory list in that Workbook mustreceive prior writen approval from by the Bay Area VASI Proqram Manager.

19FY 11 UASI -SANTA CRUZ 2nd Amendment A.6 August 1, 2013

0107

.. No Management and Administration expenses are allowed, unless expresslyidentified and authorized in this Appendix.

.. Sustainability reguirements may applv to some or all of the grant funded protects orprograms authorized in this Appendix. See Agreement, iIiI3.12.

" All EHP documentation must be stibmitted and approved prior to any expenditure offunds reguiring EHP submission.

FY 11 UASI -SANTA CRUZ 2nd Amendment A-i August 1, 2013

19

0108

Appendix B-- Grant Assurances

Name of Jurisdiction: Santa Cruz County

Name of Authorized Agent: Nancy Gordon, Genera! Services Director

Address: 701 Ocean Street Room 330

City: Santa Cruz State: CA Zip Code 95060Telephone Number (831) 454-2714

Fax Number: (831) 454-4488

E-Mail Address: Q.sd001@cosanta-cflJ7c8lici

As the duly authorized representative of the S;\NT /\ CRUZ, I certify that SANTA CRUZ:

1. Will assure that grant funds will support effoiis related to providing an integrated

mechanism to enhance the coordination of national priority efforts to prevent, respond to,and recover from terrorist attacks, major disasters and other emergencies.

2. Has the legal authority to apply for Federal assistance and has the institutional, managerialand financial capability to ensure proper planning, management and completion of the grantprovided by the U.S. Department of Homeland Security (DHS)/Federal EmergencyManagement Agency (FEMA) and sub-granted through the State of California, CaliforniaEmergency Management Agency (Cal EiV1A)

3. Will assure that grant funds are used for allowable, fair, and reasonable costs only and wìll

not be transferred between grant programs (for example: State Homeland Security Program,Urban Area Security Initiative, Citizen Corps Program, and Metropolitan Medical ResponseSystem) or fiscal years.

4. Will comply with any cost sharing commitments included in the FY2011 Investment

Justifications submitted to DHS/FEMA/Cal EMA, where applicable.

5. Will give the Federal government, the General Accounting Office, the Comptroller General of

the United States, the State of California, the Office of Inspector General, through anyauthorized representative, access to, and the right to examine, all paper or electronicrecords, books, or documents related to the award; and will establish a proper accountingsystem in accordance with generally accepted accounting standards andlor awardingagency directives.

6. Agrees that funds utilized to establish or enhance State and Local fusion centers mustsupport the development of a statewide fusion process that corresponds with the GlobalJustice/Homeland Security Advisory Council (HSAC) Fusion Center Guidelines, follow theFederal and State approved privacy policies, and achieve (at a minimum) baseline level ofcapability as defined by the Fusion Capability Planning TooL.

FY 11 UASI-SANTA CRUZ 2nd Amendment B~ 1 August 1, 2013

initiai~19

0109

7. Will provide progress reports, and other such information as may be required by the

awarding agency, including the Initial Strategy Implementation Plan (ISIP) within 45 (forty-five) days of the award, and update via the Grant Reporting Tool (GRT) twice each year.

8. Will initiate and complete the work within the applicable time frame after receipt of

approval from Cal EMA.

9 Will maintain procedures to minimize the time eiapsing between the award of funds and

the disbursement of funds.

10. Wil comply with all regulations applicable to DHS/FEMA grants, including, but not limitedto, 44 CFR, Part 13, Uniform Administrative Requirements for Grants and CooperativeAgreements to State and Local Governments including, but not limited to, all provisionsrelevant to the payment of interest earned on advances.

11. Will comply with all provisions of 48 CrR, Part 31.2, Federal Acquisition Regulations(FAR), contracts with Commercial Organizations.

12. Will establish safeguards to prohibit employees from using their positions for a purpose thatconstitutes, or presents the appearance of. personal or organizational conflict of interest, orpersonal gain for themselves or others. particularly those with whom they have family,business, or other ties.

13. Understands and agrees that Federal funds will not be used, directly or indirectly, to supportthe enactment, repeal, modification or adoption of any law, regulation, or policy, at any levelof government, without the express prior written approval from DHS/FEMA/Cal EMA.

14. Agrees that, to the extent contractors or subcontractors are utilized, will use small, minoríty-owned, women-owned, or disadvantaged business concerns and contractors orsubcontractors to the extent practicable.

15. Will notify Cal EMA of any developments that have a significant impact on award-supportedactivities, including changes to key program staff.

16. Will comply, if applicable, with the Lead-E3ased Paint Poisoning Prevention Act (42 U.S.C. §§4801 et seq.) which prohibits the use of lead based paint in construction or rehabilitation ofstructures.

17. Will comply with all Federal and State Statues relating to Civil Rights and Nondiscrimination.These include, but me not limited to.

a. Title Vi of the Civil Rights Act of 1964 (P L. 88-352), as amended, which prohibitsdiscrimination on the basis of race, coior or national origin.

b. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681-1683 and 1685-1686), which prohibits discrimination on the basis of gender.

c. Section 504 of trie Rehabilitation Act of 1973, as amended (29 U.S.C. § 794),which prohibits discrimination against individuals with disabilities.

FY 11 UASI -SANTA CRUZ 2nd Amendment B-2 August 1, 201~Initials: ¡)

19

0110

d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101-6107), whichprohibits discrimination on the basis of age

e. The Drug Abuse Office and Treatment !\ct of 1972 (P.L. 92-255), as amended, relatingto nondiscrimination on the basis of drug abuse.

f. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and

Rehabilitation Act of 1970 (P. L 91-616), as amended, relating to nondiscriminationon the basis of alcohol abuse or alcoholism.

g. Sections 523 and 527 of the FJublic Health Service Act of 1912 (42 U.S.C. 290 dd-3and 290 ee-3), as amended, relat:n~J to confidentiality of alcohol and drug abusepatient records.

h. Title Viii of the Civil Rights Act of 1968 (42 USC. § 3601 et seq.), as amended,relating to nondiscrimination in the sale rental orfinancing of housing.

i. Title 44 Code of Federal RegulaUons (Cr=R) Parts 7, 16, and 19 relating tonondiscrimination.

j. The requirements on any other nondiscrimination provisions in the specificstatute(s) under which the application for Federal assistance is being made.

k. Ttie nondiscrimination requirements and all other provisions of the current edition ofthe Office of Justice Programs r=inancial and Administrative Guide for Grants,M7100.1

18. In the event that a Federal or State court or Federal or State Administrative agency makes afinding of discrimination after a due process hearing on the grounds of race, color, religion,national origin, gender, or disability against a recipient of funds, the recipient will forward acopy of the finding to Cal EMA, FEMA and the U.S. Department of Justice Office of CivilRights, Office of Justice Programs.

19. Will provide an Equal Employment Opportunity F)lan, if applicable, to the Department ofJustice Office of Civil Rights within 60 days of grant award.

20. Will comply with the requirements of Titles II and ILL of the Uniform Relocation Assistance andReal Property Acquisition Policies Act of 1970 (42 U.S.C. § 4601 et seq. (p.L. 91-646)) whichprovides for fair and equitable treatment of persons displaced or whose property is acquiredas a result of Federal or Federally assisted programs. These requirements apply to allinterested in real property acquired for project pUlposes regardless of Federal participation inpurchases. Will also comply with Title 44 CFF~, Part 25, Uniform Relocation Assistance andReal Property Acquisition for Federal and erally-Assisted programs.

21. Will comply, if applicable, with the flood insurance purchase requirements of Section 102(a) ofthe Flood Disaster Protection Act of 973 (P L. 93-234) which requires recipients in a specialflood hazard area to participate in the program and to purchase flood insurance if the totalcost of insurable construction and acquisition is ten thousand dollars ($10,000) or more.

22. Will comply with all applicable Federal, State, and Local environmental and historicalpreservation (EHP) requirements Failure to meet Federal, State, and Local EHPrequirements and obtain applicable permits Ilay jeopardize Federal funding. Applicant Willcomply with all conditions placed on any project as the result of the EHP review; any change

Initials

FY 11 UASI -SANTA CRUZ 2nd Amendment B-3 August 1, 2013

19

0111

to the scope of work of a project will requiie reevaluation of compliance with these EHPrequirements.

23. Will comply with all regulations applicable to DHS/FEMA grants including, but not limited to,44 CFR, Part 10, Environmental Considerations. Applicant will also comply with all Statelaws, including the California Environmental Quality Act.

24. Agrees not to undertake any project having the potential to impact the EHP resources withoutthe prior written approval of DHS/FEMA/Cal EMA, including, but not limited to, grounddisturbance, construction, modification to any structure, physical security enhancements,communications towers, any structure over 50 years old, and purchase andlor use of anysonar equipment. The subgrantee must comply with all conditions and restrictions placed onthe project as a result of the EHP review Any construction- related activities initiated withoutthe necessary EHP review and approval will result in a noncompliance finding, and may notbe eligible for reimbursement with OHSWErv1A!Cai EMA funding. Any change to the scope ofwork wíll require re-evaluation of compliance with the EHP. If ground-disturbing activitiesoccur during the project implementation, tiie subgrantee must ensure monitoring of thedisturbance. If any potential archeological resources are discovered, the subgrantee willimmediately cease activity in that area and notify OHS/FEMA/Cal EMA and the appropriateState Historic Preservation Office

25 Agrees any construction activities triat have been initiated prior to the full environmental andhistoric preservation review could result in non-compliance finding. Subgrantees mustcomplete the FEMA EHP Screening Form (OrvB Number 1660-0115/FEMA form 024-0-01)and submit it, with all supporting documentation, to Cal EMA for review. The EHPScreening Form is part of an Information Bulletin available at:www.fema.gov/doc/goverment/grantlbull.e_tuis(info329 final screening memo.doc.Grantees should submit the FEMA EHfl Screening Form for each project as soon aspossible upon receiving their grant award

26. Will ensure that the facilities under its ownership, lease or supervision, which shall beutilized in the accomplishment of tiiis project, are not on the Environmental ProtectionAgency's (EPAs) List of Violating Facilities, and will notify Cal EMA and FEMA of the receiptof any communication from the Directol of the EPA Offce of Federal Activities indicating if afacility to be used in the project is under consideration for listing by the EPA.

27. Will provide any information requested by DHS/FEMA and/or Cal EMA to ensure compliancewith applicable laws, including the following:

a. Institution of environmental quality control measures under the NationalEnvironmental Policy Act, National Historical Preservation Act, Archaeological andHistoric Preservation Act, Endangered Species Act, and Executive Orders onFloodplains (11988), Wetlands (11990) and Environmental Justice (12898) andEnvironmental Quality (11514).

b. Notification of violating facilities pursuant to EO 11738.c. Assurance of project consistency with the approved state management program

developed undel the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 etseq.).

FY 11 UASI -SANTA CRUZ 2nd Amendment B-4 August 1, 2013

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d. Conformity of Federal actions to State (Clean Air) Implementation Plans underSection 176(c) of the Clean Air Act of 1955. as amended (42 U.S.C. § 7401 et seq.).

e Protection of undelground sources of drinking water under the Safe Drinking Water

Act of 1974, as amended, (PL 93-523)f. Califomia Environmental Ouality Act (CEQA). California Public Resources Code

Sections 21080-21098. California Code of Regulations (CCR), Title 14, Chapter 3Section 15000-15007.

g. Wild and Scenic Rivers Act of 1968 (16 USC. §§ 1271 et.seq.) related toprotecting components or potential components of the national wild and scenicrivers system.

h. Applicable provisions of the Coastal Barrer Resources Act (P.L. 97-348) dated

October 19, 1982 (16 USC 3501 et seq.) which prohibits the expenditure of most newFederal funds within the units of the Coastal Barrier Resources System.

28. Will comply with Standardized Emergency Management System (SEMS) requirements asstated in the California Emergency Services Act, Government Code, Chapter 7 of Division1 of Title 2, Section 8607.1 (e) and CCR Titie 19, Sections 2445, 2446, 2447, and 2448.

29. Agrees that all publications created or published with funding under this grant shallprominently contain the following statement. 'This document was prepared under a grantfrom FEMA's Grant Programs Directorate, US Department of Homeland Security. Points ofview or opinions expressed in this document are those of the authors and do not necessarilyrepresent the official position or policies of FEMA IS Grant Programs Directorate or the US.Department of Homeland Security" The recipient also agrees that, when practicable, anyequipment purchased with grant funding shall be prominently marked as follows: "Purchasedwith funds provided by the US Department of Homeland Security. II

30. Acknowledges that DHS/FEMA reserves a royalty-free, nonexclusive, and irrevocable licenseto reproduce, publish, or otherwise use, and authorize others to use, for Federal governmentpurposes: a) the copyright in any work developed under an award or sub-award; and b) anyrights of copyright to which a recipient or sub-recipient purchases ownership with Federalsupport.

31. The recipient agrees to consult with DHS/FEMA and Cal EMA regarding the allocation of anypatent rights that arise from, or are purchased with, this funding.

32. Has requested through the State of California, Federal financial assistance to be used toperform eligible work approved in the submitted application for Federal assistance and afterthe receipt of Federal financial assistance, through the State of California, agrees to thefollowing:

a. Promptly return to the State of California ail the funds received which exceed theapproved, actual expenditures as accepted by the Federal or State government.

b. in the event the approved amount of the grant is reduced, the reimbursementapplicable to the amount of the reduction will be promptly refunded to the State ofCalifornia.

FY 11 UASI -SANTA CRUZ 2"'1 Amendment 85 August 1, 2013 ~Initíals:Ú

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c. Separately account for interest earned on grant funds, and will return all interestearned, in excess of $100 per Federal F:¡scal Year.

33. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. Sections 4728-

4763) relating to prescribed standards for merit systems for programs funded under one ofthe nineteen statutes or regulations specified in Appendix A of OPM's Standards for aMerit System of Personnel Administration (5 CF R. 900, Subpart F).

34. Will comply with provisions of the Hatch ¡\ct (5 US C. Sections 1501-1508 and 7324-7328) which limit the political activities of employees whose principal employment activitiesare funded in whole or in part witli Federal fUlids

35. Will comply, if applicable, with P.L. 93-348 regarding the protection of human subjectsinvolved in research, development, and related activities supported by this award ofassistance.

36. Understands and agrees that the applicaiit, grantees, subgrantees, recipients, sub-recipients, employees of the applicant, grantees, subgrantees, recipients and sub-recipients, may not:

a. Engage in severe forms of trafficking in persons during the period of time that theaward is in effect;

b. Procure a commercial sex act during the period of time that the award is in effect; orc. Use forced labor in the performance of the award or subawards under the award.

Applicant understands and agrees that Cal EMA andlor DHS/FEMA may unilaterallyterminate any award, without penalty, if the subgrantee that is a private entitiy:

d. Is determined to have violated a prohibition identified in paragraph 35, subsectionsaib, or c;

ore. Has an employee who is determined by the agency official authorized to terminate

the award to have violated a prohibition in paragraph 35 subsection a, b, or c throughconduct that is either:

ì. associated with performance under this award; or

ii. imputed to the authorized agent or sub-recipient using the standards and dueprocess for imputing the conduct of an individual to an organization providedin 2 CFR Part 180, "OMI3 Guidelines to Agencies on Government wideDepartment and Suspension (Non-procurement)", as implemented byDHS/FEMA at 2 CFR, Part 3000.

And further understand that subgrantees and sub-recipients must:

f. Inform Cal EMA immediately of any information received from any source alleging aviolation of a prohibition in paragraph 35 subsection a, b, or c;

g. FEMA,s right to terminate unilaterally as described in paragraph 35 implementssection 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended(22 USC 71 04(g)). The right of FEMA and Cal EMA to terminate this award

FY 11 UASi -SANTA CRUZ 2nd Amendment B.6 A"g"st1,201~ ~ ~Initials: U

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unilaterally is in addition to all other remedies for noncompliance that are availableunder this award.

h. For purposes of this term:

i. "Employee" means either

i. an individual employed by the subgrantee or sub-recipient who is

engaged in the performance of the project or program under thisaward; or

II. another person engaDed in the performance of the project or programunder this award aiid not compensated by the subgrantee or sub-recipient, including, but not limited to, a volunteer or individual whoseservices are contributed by a third party as an in-kind contributiontoward cost sharing or matching requirements.

ii. "Foi.ced labor" means labor obtained by any of the following methods; therecruitment, harboring, transportation, provision, or obtaining of a person forlabor or services, through the use of force, fraud, or coercion for the purposeof subjection to involuntary servitude, peonage, debt bondage or slavery.

iii. "Private entity" means any entity other than a state, local government, IndianTribe, or foreign public entiy, as those terms are defined in 2 CFR 17525,and includes non-profit organizations, including any non-profit institution ofhigher education, hospital, or tribal organization other than one included inthe definition of Indian Tribe at 2 CFR 175.25(b), and for-profit organizations.

iv 'Severe forms of traffcking in persons," "commercial sex act," and "coercion"have the meanings given at section 103 of the TVPA, as amended (22 USC7102).

37. Will comply, if applicable, with the Laboratory Animal Welfare Act of 1966 (P. L. 89-544, asamended, 7 US.C 2131 et seq.) pertaining to the care, handling, and treatment of warmblooded animals held for research, teaching, or other activities supported by this award ofassistance.

38. Will comply with the minimum wage and maximum hour provisions of the Federal FairLabor Standards Act (29 US.C 201), as they apply to employees of institutions of highereducation, hospitals, and other non-profit organizations.

39. Agrees that "Classified national security information," as defined in Executive Order (EO)12958, as amended, means information that has been determined pursuant to EO 12958 orany predecessor order to require protection against unauthorized disclosure and is markedto indicate its classified status when in documentary form.

40. Agrees that no funding under this award shall be used to support a contract, subaward, orother agreement for goods or services that will include access to classified national securityinformation if the award recipient has not been approved for and has access to suchinformation.

41. Agrees that where an award recipient, grantee, sub-recipient, or subgrantee has beenapproved for and has access to classified national security information, no funding underthis award shall be used to support a contract, subaward, or other agreement for goods or

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services that will include access to classified national security information by the contractor,subawardee, or other entity without prior written approval from the DHS Office of Security,Industrial Security Program Branch (ISF'B), or, an appropriate offcial within the Federaldepartment or agency with whom the classified effort will be performed. Such contracts,subawards, or other agreements shall be processed and administered in accordance withthe DHS "Standard Operating Procedures, Classified Contracting by States and LocalEntities," dated July 7, 2008; EOs 12829, 12958, 12968, as amended; the NationalIndustrial Security Program Operating Manual (NISPOM); and/or other applicableimplementing directives or instructions /\11 security requirement documents are located athttp://www.dhs.gov/xopnbiz/grants/index s hJ1ìl

42. Understand that immediately upon detelTnination by the award recipient that funding underthis award will be used to support such a contract, subaward, or other agreement, and priorto execution of any actions to facilitate the acquisition of such a contract, subaward, orother agreement, the award recipient shall contact ¡SPB, or the applicable Federaldepartment or agency, for approval and processing instructions.

DHS Office of Security ¡SPB contact information:Telephone: 202-447-5346

E-mail: D D254Ad mi n isl!3til¿eSecurity@dhs.gov

Mail: Department of Homeland SecurityOffice of the Chief Security OfficerATTN: ASD/lndustria! Security Program BranchWashington, DC 20528

43. Agrees with the requirements regarding Data Universal Numbering System (DUNS)Numbers, meaning if recipients are authorized to make subawards under this award, theymust notify potential sub-recipìents that no entity (see definition in paragraph C ofthisaward term) may receive or make a subaward to any entity unless the entity has providedits DUNS number.

a. For purposes of this award term. the following definitions will apply:

í. 'Data Universal Numbering Systems (DUNS)" number means the nine digitnumber established and assigned by Dun and Bradstreet, Inc (D&B) touniquely identify business entítíes. A DUNS number may be obtained fromD&B by telephone (currently 866-705-5711) or the Internet (currently athttp://fedgov . d n b. co m/we J2fQCm).

Ii "Entity", as it is used in this award term, means all of the following, as defined

at 2 CFR part 25, subpart C, as a Governmental organization, which is aState, Local government, or Indian Tribe; or a foreign public entity; or adomestic or foreign nonprofit organization; or a domestic or foreign for-profitorganization; or a federal agency, but only as a sub-recipient under an awardor subaward to a non-federal entity.

iii. "Subaward" means a legai instrument to provide support for the performanceof any portion of the substantive project or program for which you receivedthis award and that you as the recipient award to an eligible sub-recipient. It

FY 11 UASI -SANTA CRUZ 2nd Amendment 8-8

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does not include youi. pmcurement of property and services needed to carryout the project or program (for further explanation, see Sec, 210 of theattachment to OMB Circular t'\-133, 'Audits of States, Local Governments,and Non-Profit Organizations") and may be provided through any legalagreement, including an agreement that you consider a contract.

iv. "Sub-recipient" means an entity that receives a subaward from you under this

award; and is accountable to you for the use of the Federal funds provided bythe subaward.

44. Will comply, as applicable, with the provisions of the Davis-Bacon Act (40 U.S.C. Section276a to 276a-7), the Copeland Act (40 USC Section 276c and 18 U.sC. Sections 874),and the Contract Work Hours and Safety Standards Act (40 U.S.C. Sections 327-333),regarding labor standards for Federally-assisted construction sub-agreements.

45. Agrees that:

a. No Federal appropriated funds have been paid or will be paid, by or on behalf of theundersigned, to any person for infiuericing or attempting to influence an officer oremployee of any agency, a Member of Congress, an officer or employee ofCongress, or an employee of a Member of Congress in connection with the makingof any Federal grant, the entering into of any cooperative agreement, and theextension, continuation, renewal, amendment, or modification of any Federal grant orcooperative ag reement.

b. If any other funds than Federal appropriated funds have been paid or will be paid toany person for influencing or attempting to influence an officer or employee of anyagency, a Member of Congress, an offcer or an employee of Congress, or employeeof a Member of Congress in connection with the Federal grant or cooperativeagreement, the undersigned shalf complete and submit Standard Form LLL,"Disclosure of Lobbying Activities," in accordance with its instructions,

c. The undersigned shall require that the language of this certification be included inthe award documents for all sub awards at all tiers including subgrants, contractsunder grants and cooperative agreements, and subcontract(s) and that all subrecipients shall certify and disclose accordingly.

d. This certification is a material representation of fact upon which reliance was placedwhen this transaction was made or entered into. Submission of this certification is aprerequisite for making or entering into this transaction imposed by section 1352,Title 31, U.S. Code, Any person who fails to file therequired certification shall besubject to a civil penalty of not less than $10,000 and not more than $100,000 foreach such failure.

46. Agrees that equipment acquired or obtained with grant funds:

a Will be made available pursuant to applicable terms of the California Disaster andCivil Defense Master Mutual Aid Aweement in consultation with representatives ofthe various fire, emergency medical, hazardous materials response services, andlaw enforcement agencies within the jurisdiction of the applicant, and deployed withpersonnel trained in the use of such equipment in a manner consistent with the

FY 11 UASI -SANTA CRUZ 2nd Amendment B-9 August 1., 2013

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California Law Enforcement Mutual Aid Plan or the California Fire Services andRescue Mutual Aid Plan.

b. Is consistent with needs as identified in the State Homeland Security Strategy andwill be deployed in conformance with that Strategy.

47. Agrees that funds awarded under this grant will be used to supplement existing funds forprogram activities, and will not supplant (replace) non-Federal funds.

48. Will comply with all applicable Federal statutes, regulations, policies, guidelines andrequirements, including OMB Circulars A 102 and A-133, E.O. 12372 and the currentAdministrative Requirements, Cost Principles, and Audit Requirements.

49. Will comply with all provisions of 2 CFR, including: Part 215 Uniform AdministrativeRequirements for Grants and Agreements with Institutions of Higher Education, Hospitals,and Other Non-ProW Organizations (OMB Circular A-110); Part 225 Cost Principles for State,Local and Indian Tribal Governments (OMB Circular A-8?) Part 220 Cost Principles forEducational Institutions (OMB Circular A-21); Part 230 Cost Princíples for Non-ProfitOrganizations (OMB Circular A-122)

50. Will comply with Subtitle A, Title i of the !\mericans with Disabilities Act (ADA) 1990.

51. Agrees to cooperate with any assessments, national evaluation efforts, or information or datacollection requests, including, but not limited to, the provision of any information required forthe assessment or evaluation of any activities within this agreement.

52. Will comply with Federal Acquisition F\egulations (FAR), part 31.2 Contract Cost Principies

and Procedures, Contracts with Commercial Organizations.

53. Will comply with the financial and administrative requirements set forth in the current editìonof the DHS Financial Management Guide

54, Agrees that all allocations and use of funds under this grant will be in accordance with theFY 2011 Homeland Security Grant Program Guidance and Application Kit, and theCalifornia Supplement to the FY 201 Homeland Security Grant Program Guidance andApplication Kit. All allocations and use of funds under this grant will be in accordance withthe Allocations, and use of grant funding must support the goals and objectives included inthe State andlor Urban Area Homeland Security Strategies as well as the investmentsidentified in the Investment Justifications which were submitted as part of the California FY2011 Homeland Security Grant Program application. Further, use of FY 2011 funds islimited to those investments included in the California FY 2011 Investment Justificationssubmitted to DHS/FEMA and Cal EMA and evaluated through the peer review process.

55. Will not make any award or permit any aWaíd (subgrant or contract) to any party that isdebarred or suspended or is otherwise excluded from or ineligible for participation inFederal assistance programs under EOs 12549 and 12689, "Debarment and Suspension".

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56. As required by EO 12549, Debarment and Suspension, and implemented at 44 CFR Part17, for prospective participants in primary covered transactions, the applicant certifies that itand its principals:

a. Are not presently debarred, suspended, proposed for debarment, declared ineligible,sentenced to a denial of Federal benefits by a State or Federal court, or voluntarilyexcluded from covered transactions by any Federal department or agency.

b. Have not within a three-year period preceding this application been convicted of orhad a civil judgment rendered against them for commission of fraud or a criminaloffense in connection with obtaining, attempting to obtain, or performing a public(Federal, State, or local) transaction or contract under a public transaction; violationof Federal or State antitrust statutes or commission of embezzlement, theft, forgery,bribery, falsification or destruction of records, making false statements, or receivingstolen property.

c. Are not presently indicted for or otherwise criminally or civilly charged by agovernmental entity (Federal, State, or local) with commission of any of the offensesenumerated in paragraph (1 )(b) of this certification; and have not within a three-yearperiod preceding this application had one or more public transactions (Federal, State,or local) terminated for cause or default and where the applicant is unable to certify toany of the statements in this cerNication, he or she shall attach an explanation to thisapplication.

57. Agrees to comply with the Drug-Free Workplace Act of 1988, and certifies that it will orwill continue to provide a drug-free workplace by:

a. Publishing a statement notifying employees that the unlawful manufacture,

distribution, dispensing, possessioii, or use of a controlled substance is prohibited inthe grantee's workplace and specifying the actions that will be taken againstemployees for violation of such pmhibition.

b. Establishing an on-going drug.free awareness program to inform employees about:

i. The dangers of drug abuse in the workplace;

ii. The grantee's policy of maintaining a drug-free workplace;

iii. Any available drug counseling rehabilitation, and employee assistanceprograms; and

iv. The penalties that may be imposed upon employees for drug abuseviolations occurring in the workplace.

c. Making it a requirement that each employee to be engaged in the performance of

the grant be given a copy of the statement required by paragraph (a).d. Notifying the employee in the statement required by paragraph (a) that, as a

condition of employment under tiie grant, the employee will

i. Abide by the terms of the statement; and

ii. Notify the employer in writing of his or her conviction for a violation of acriminal drug statute occurring in the workplace no later than five calendardays after such conviction

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e. Notifying Cal EMA, in writing, within 10 calendar days after receiving notice undersubparagraph (d)(ii) from an employee or otherwise receiving actual notice of suchconviction. Employers of convicted employees must provide notice, includingposition title, to:

Department of Justice, Office of Justice ProgramsATTN: Control Desk633 Indiana Avenue, NW.Washington, D.C, 20531

Notice shall include the identification number(s) of each affected grant.

f. Taking one of the following actions, within 30 calendar days of receiving noticeunder subparagraph (d)(ii), with respect to any employee who is so convicted.

i. Taking appropriate personnel action against such an employee, up to and

including termination, consistent with the requirements of the RehabilitationAct of 1973, as amended, or

ii. Requiring such employee to participate satisfactorily in a drug abuseassistance or rehabilitation program approved for such purposes by aFederal, State, or local health, law enforcement, or other appropriate agency.

g Making a good faith effort to continue to maintain a drug-free workplace throughimplementation of paragraphs (a), (b), (c), (d), (e), and (f).

58 Will comply with all applicable requirements of all other Federal and State laws, executiveorders, regulations, program and administrative requirements, policies and any otherrequirements governing this program.

59. Understands the reporting of subawards and executive compensation rules, including firsttier subawards to Cal EMA.

a. Applicability: unless you are exempt as provided in subsection (d) of thisparagraph, sub-recipient must report each action that obligates $25,000 or more inFederal funds that does not include Recovery funds (as defined in section1512(a)(2) of the American Recoveiy and Reinvestment Act of 2009.

b. Where and when to report: you must report each obligating action described in thefollowing paragraphs to Cal EMA, r:or subaward information, report no later thanthe end of the month following the month in which the obligation was made, (Forexample, if the obligation was made on November 7,2011, the obligation must bereported by no later than December 31, 2011.)

c. What to report: You must report the information about each obligating action thatthe submission instructions posted in Information Bulletin 350, to Cal EMA.

d. Reporting Total Compensation of r';ecipient Executives: You must report totalcompensation for each of your five most highly compensated executives for thepreceding completed fiscal year, if

Initials:

FY 11 UASI -SANTA CRUZ 2nd Amendment B- 2 August 1, 2013.

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i. The total Federal funding authorized to date under this award is $25,000 or

more:ii. In the preceding fiscal year, you received 80 percent or more of your annual

gross revenues from Federal procurement contracts (and subcontracts) andFederal financial assistance subject to the Transparency Act, as defined at2 CFR 170,320 (and subawards); and $25,000,000 or more in annual grossrevenues from Federal procurement contracts (and subcontracts) andFederal financial assistance subject to the Transparency Act, as defined at2 CFR 170.320 (and subawards); and

iii. The public does not have access to information about the compensation of

the executives through periodic reports filed under section 13(a) or 15(d) ofthe Securities Exchange Act of 1934 (15 U.S,C, 78m(a), 78o(d)) or section6104 of the Internal Revenue Code of 1986. (To determine if the public hasaccess to the compensation information, see the U.S. Security andExchange Commission total compensation filings athttp;/ Iww.sec.gov/answeres/execomp.htm. )

iv. Sub-recipient Executive. Unless you are exempt as provided above, for

each first-tier sub-recipient under this award, you shall report the namesand total compensation of each of the sub-recìpients five most highlycompensated executives for the sub-recipients preceding completed fiscalyear, if in the sub-recipients preceding fiscal year, the sub-recipientreceived 80 percent or more of its annual gross revenues from Federalprocurement contracts (and subcontracts) and Federal financial assistancesubject to the Transparency Act, as defined at 2 CFR 170.320 (andsubawards); and $25,000,000 01. more in annual gross revenues fromFederal procurement contracts (and subcontracts), and Federal financialassistance subject to the Transparency Act (and subawards); and thepublic does not have access to information about the compensation of theexecutives through periodic reports filed under section 13(a) or 15(d) of theSecurities Exchange Act of 1934 (15 U.S. C. 78m(a), 780(d)) or section6104 of the I nternal Revenue Code of 1986. (To determine if the public hasaccess to the compensation information, see the U.S. Security andExchange Commission total compensation filings athttp:/www/sec/gov/answers/execomphtm.) You must report sub-recipientexecutive total compensation to Cal EMA by the end of the month followingthe month during which you make the subaward. For example, if asubaward is obligated on any date during the month of October of a givenyear (i.e., between October 1 and 31), you must report any requiredcompensation informatìon of the sub-recipient by November 30 of that year.

60. Exemptions to Paragraph 59 include: If, ìn the previous tax year, you had gross income,from all sources, under $300,000, you are exempt from the requirements to report onsubawards, and the total compensation of the five most highly compensated executive ofany sub-recipient.

a. Definitions associated with para~Faph 59 include:

FY 11 UASI-SANTA CRUZ 2nd Amendment 6-13 August 1, 20\3 /

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i. "Executive means officers managing partners, or any other employees in

management positionsii. "Total compensation" means the cash and noncash dollar value earned by

the executive during the recipient's or sub-recipients preceding fiscal yearand includes the following (for more information see 17 CFR 229.402(c)(2)):

Salary and bonus.Awards of stock, stock options, and stock appreciation rights. Use thedollar amount recognized for financial statement reporting purposeswith respect to the fiscal year in accordance with the Statement ofFinancial Accounting Standards No. 123 (Revised 2004) (FAS 123R),Shared Based Payments.

.. Earnings for services under non-equity incentive plans. This does not

include group life, health, hospitalization or medical reimbursementplans that do not discriminate in favor of executives, and are availablegenerally to all salaried employees.

II Change in pension value. This is the chance in present value ofdefined benefit and actuarial pension plans.

. Above-market earnings on deferred compensation which is not tax-

qualifiedOther compensation the aggregate value of all such othercompensation (e.g, severance, termination payments, value of lifeinsurance paid on behalf of the employee, perquisites or property) forthe executive exceeds $10,000

61. Understands that failure to comply with aiiy of the above assurances may result insuspension, termination, or reduction of grant funds.

The undersigned represents that he/she is authorized by SANTA CRUZ to execute these GrantAssurances for and on behalf of SANTA CRUZ

r e'/j/VpJ2~~;F/ ~Signature of Authorized Agent: --Printed Name of Authorized Agent: Nancy Gordon

Title: General Services Director Date: ?lf1Í3i

FY 11 UASI-SANTA CRUZ 2nd Amendment 8.14 August 1, 2013Xz. j

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Appendix C -- Form of Reimbursement Request

REIMBURSEMENT REQUEST

,2013

UASI Management Team711 Van Ness Avenue, Suite 420San Francisco, CA 94102

Re: FY 11 UASI Grant Reimbursement Request

Pursuant to Section 3.10 of the "Agreement between the City and County of San Francisco andthe County of SANTA CRUZ for the Distribution of FY 2011 UASI Grant Funds" (the"Agreement"), dated MAY 1, 2012, and as amended by the Second Amendment, dated August1, 2013, between the County of SANTA CRUZ CSANT A CRUZ") and the City and County ofSan Francisco, SANTA CRUZ hereby requests reimbursement as follows:

Total Amount ofReimbursementRequested in thisRequest:

Maximum Amount ofFunds Specified inSection 3.2 of theAgreement: $

Total of All FundsDisbursed Prior to thisRequest: $

SANTA CRUZ certifies that:

(a) The total amount of funds requested pursuant to this Funding Request will be usedto reimburse SANTA CRUZ foi. Authorized Expenditures, which expenditures areset forth on the attached Schedule 1, to which are attached true and correct copiesof all required documentation of such expenditures

(b) After giving effect to the disbursement requested pursuant to this ReimbursementRequest, the Funds disbursed as of the date of this disbursement will not exceed themaximum amount set forth in Section 32 of the Agreement, or the not to exceed amountsspecified in Appendix A for specific projects and programs.

FY 11 UASI -SANTA CRUZ 2nd Amendment c~ Î August 1, 2013

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(c) The representations, warranties and certifications made in the Agreement are trueand correct in all material respects as if made on the date hereof, and SANTACRUZ is in compliance with all Grant Assurances in Appendix 8 of the Agreement; .

(d) No Event of Default has occurred and is continuing; and

(e) The undersigned is an officer of SANTA CRUZ authorized to execute thisReimbursement Request on behalf of SAN.TA CRUZ.

Signature of Authorized Agent:

Printed Name of Authorized Agent:

Title: Date:

FY 11 UAS i -SANTA CRUZ 2nd Amendmerit C C)~¿ August 1, 2013

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SCHEDULE 1 TO REQUEST FOR REIMBURSEMENT

The following is an itemized list of Authorized Expenditures for which reimbursement isrequested:

Project Payee Amount Description

The following are attached as part of this Schedule 1.

(i) An invoice for each item of expenditure for which reimbursement is requested;

(ii) The front and the back of canceled checks or other written evidence documenting thepayment of each invoice;

(iii) For expenditures which are wages or salaries, payroll registers containing a detailedbreakdown of earnings and withholdings together with both sides of canceled payrollchecks evidencing payment thereof (unless payment has been made electronically).

FY 11 UASI-SANTA CRUZ 2nd Amendment C-3 August 1, 2013