HomeMy WebLinkAboutREGENTS OF THE UNIVERSITY OF CALIFORNIA, THE (2)City of Santa Ana
Clerk of the Council
AGREEMENT TERMINATION FORM
Please complete this form in its entirety when the attached agreement and all
amendments (if any) are no longer in effect.
Note: If your agreement is grant related, please ensure that all grant retention requirements
have been satisfied prior to signing the termination form.
Is the agreement(s) a permanent record? Yes _ No
Return form to the Clerk of the Council Office (M-30).
Call 647-1520 if you have any questions.
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CONTRACT NO. --
BETWEEN
CITY OF SANTA ANA
AND
THE REGENTS OF THE UNIVERSITY OF CALIFORNIA
CFDA #
FAIN #
Program/Service
Federal
Federal
Federal
R&D
Title
Funding
Award
Award
Award
Agency
Date
Indirect
(Y/N)
Rate
21.019
SLT0252
Coronavirus
United
April24,
N/A
N/A
Relief Fund
States
2020
Department
of Treasury
This contract ("Contract") is entered into this day of November, 2020 between the City of
Santa Ana, a corporation of the State of California with a principal place of business located at 20
Civic Center Plaza, Santa Ana, CA 92701 (hereinafter referred to as "Sponsor") and The Regents
of the University of California, on behalf of its Irvine campus, a corporation of the State of
California, with an office located at 141 Innovation, Suite 250, Irvine, CA 92697-7700 (hereinafter
referred to as "University," Sponsor and University collectively, "Parties" and each individually,
"Party") for the delivery of services identified as "Seroprevalence Surveillance and Predictive
Modeling for COVID-19 in Santa Ana, California" defined in Article 1A, STATEMENT OF
WORK, and in accordance with the terms and conditions set forth herein.
RECITALS
A. On March 27, 2020, a special allocation of funds was authorized by the Coronavirus Aid,
Relief, and Economic Security Act ("CARES Act"), Public Law 116-136, Section 601(a)
of the Social Security Act, to prevent, prepare for, and respond to the coronavirus
("COVID-19") pandemic.
B. On August 4, 2020, the Santa Ana City Council authorized the City Manager to utilize
CARES Act funding for various programs in response to the COVID-19 pandemic,
including the funding for data modeling, which is aimed at collecting data through antibody
testing, analyzing results, and coming up policy recommendations and predictive models
of COVID-19 in the City.
C. University has been selected by the Sponsor to receive CARES Act Funds to conduct the
research outlined in paragraph B above, as well as, Exhibits A and B to this Contract, and
to prepare a report and policy recommendations, in accordance with the Scope of Work
(Exhibit A) ("Statement of Work"). University represents that it is qualified and willing to
provide the seroprevelence surveillance and predictive modeling for COVID-19.
University certifies that the work performed pursuant to the Statement of Work and Budget
(Exhibit B) and carried out with funds provided under this Contract will meet the CARES
Act's objectives to respond to this historic COVID-19 public health crisis. Exhibits A and
B are incorporated herein by reference.
D. University agrees that it will adhere to the eligibility requirements, required documentation,
and project expectations as indicated in Exhibits A and B. Failure to follow the
requirements and meet the stated expectations may constitute breach of contract that could
result in termination of this Contract or serve as reason for the Sponsor to recapture the
grant funds awarded to University pursuant to this Contract.
University agrees to use reasonable efforts to administer said program in accordance with the
Project Timeline included in the Statement of Work attached hereto as Exhibit A and
incorporated herein by reference. University acknowledges that it won't be compensated for
work done after December 30, 2020.
ARTICLE 1
PERFORMANCE AND DELIVERY
A. STATEMENT OF WORK
The statement of work to be performed under this Contract is described in Exhibit A.
B. KEY PERSONNEL
The key personnel representing the Sponsor and the University will be as follows:
Principal Investigator for Sponsor: Kristine Ridge
Key Investigator for University: Bernadette Boden-Albala
In the event a change in Key Investigator is necessary, Sponsor will be notified within thirty
(30) days after the University reasonably knows the change is necessary.
C. PERIOD OF PERFORMANCE
The period of performance of this Contract shall be September 15, 2020 through December
30, 2020.
D. TOTAL COST
The total cost to Sponsor for performance of this Contract is $2,960,145. The University's
budget is attached hereto and incorporated herein as Exhibit B.
E. DELIVERY
All materials and services called for under this Contract will be completed and delivered to
Sponsor on or before December 30, 2020 unless extended by prior written authorization. The
final report is anticipated as part of the close out of this contract as specified in Article 2.
ARTICLE 2
COST, PAYMENT, BILLING, AND CARES ACT PROVISIONS
A. ALLOWABLE COSTS AND FEES
Allowable costs and fees for University's performance of this Contract shall be determined in
accordance with:
a. The budget, attached hereto and incorporated herein as Exhibit B.
b. The terms of this Subcontract.
c. The terms of the CARES Act.
B. PAYMENT
University shall submit invoices to Sponsor:
Electronically by emailing a PDF of the invoice to: dsoto@santa-ana.org. Upon receipt of an
invoice, Sponsor shall remit payment to University within 30 days.
Payment Schedule: $1,480,073 payable upon full execution of the Contract; $1,480,072
payable on December 1, 2020.
Checks shall be made payable to "The Regents of the University of California" and shall
reference this Contract number. Payments shall be forwarded to UCI Contracts and Grants
Accounting, Accounting Officer, 120 Theory, Suite 200, Irvine, California 92697-1050.
C. CARES ACT PROGRAM PROVISIONS
University shall be obligated to perform such duties as would normally extend beyond
the term, including, but not limited to, obligations with respect to indemnification,
audits, reporting, data retention/reporting, and accounting. Failure to provide any of
the required documentation and reporting will cause Sponsor to withhold all or a
portion of a request for CARES Act Funds, or return the entire request to University,
until such documentation and reporting has been received and approved by Sponsor
2. Reduction in CARES Act Funding. The Sponsor reserves the right to reduce the
amount of CARES Act Funds to University, or to completely terminate this Contract,
in the Sponsor's sole discretion, if there is a reduction in CARES Act Funds provided
to Sponsor.
3. Reduced Distribution of Funds. Sponsor reserves the right to reduce the grant
application if the Sponsor's fiscal monitoring indicates that University's rate of
expenditure will result in unspent funds at the end of the program term. Amendments
in the grant allocation will be made after consultation with University.
D. GRANT PROGRAM REQUIREMENTS.
(1) University acknowledges that the source of funding for said program is the
federal CARES Act Fund, and that payments from the CARES Act Funds are only to be used
to make necessary expenditures incurred due to the public health emergency with respect to
COVID-19.
(2) University acknowledges that CARES Act Fund provisions allow the use of
CARES Act Funds for expenses associated with the COVID-19 public health emergency, and
will not use these funds for any other uses.
E. PERFORMANCE MONITORING.
(1) University shall submit program performance information as often as requested
by Sponsor, but no less than the submission of monthly reports and a final report to Sponsor
as outlined in the Statement of Work. Each monthly report is due within thirty (30) days of
completion of work for each month.
(3) Sponsor will review the audit of University to ensure that grant funds are used
for authorized purposes in compliance with laws, regulations, and the provisions of contracts
or grant agreements under this Agreement, including attachments and exhibits.
(4) If action to correct any substandard performance is not taken by University
within a reasonable period after being notified by Sponsor, suspension or termination
procedures may be initiated by Sponsor.
(5) All performance shall be subject to review by the Sponsor or other regulatory
agencies at all times. University shall provide adequate cooperation to any inspector or other
representative of Sponsor to permit the same to determine University's conformity with the
terms of this Contract. If any services performed by University are not in conformance with
the terms of this Contract, Sponsor shall have the right to require University to perform the
services in conformance with the terms of the Contract at no additional cost.
(6) University shall establish adequate procedures for self -monitoring and quality
control and assurance to ensure proper performance under this Contract; and shall permit a
representative of Sponsor or other regulatory official to monitor, assess, or evaluate University's
performance under this Agreement at any time, upon reasonable written notice to University.
F. CLOSE-OUT. University agrees to comply with the closeout procedures detailed in 2 CFR
§200.343, including the following:
(1) University must submit, no later than ninety (90) calendar days after the end date of the
period of performance, all financial, performance, and other reports as required by the terms
and conditions of this Agreement;
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(2) University agrees that any and all funds received under this Contract shall be utilized to
complete the scope of work during the Term of this Contract, and that any and all funds
remaining as of the end of the Term, which have not been utilized to complete the scope of
work, shall be returned by University to Sponsor within forty-five (45) days of the expiration
or earlier termination of the Contract. No expense of University will be reimbursed by Sponsor
if incurred after the end of the Term of the Agreement.
(3) University should complete all closeout actions for the Federal award no later than one
year after receipt and acceptance of all required final reports.
G. SEPARATION OF ACCOUNTS. All funds received by University from Sponsor pursuant to
this Contract shall be maintained in an account in a federally insured banking or savings and
loan institution with record keeping of such accounts maintained pursuant to applicable 2 CFR
200.302 requirements. University is not required to maintain separate depository accounts for
CARES Act Funds; provided however, University must be able to account for receipt,
obligation, distribution and expenditure of CARES Act Funds pursuant to applicable 2 CFR
200.302 requirements.
H. LIMITATION OF FUNDS. The United States of America may in the future place programmatic
or fiscal limitations on the use of CARES Act funds, which limitations are not presently
anticipated. Accordingly, Sponsor reserves the right to revise this Contract in order to take
account of actions affecting CARES Act program funding. In the event of funding reduction,
Sponsor may, in its sole and absolute discretion, reduce the budget of this Contract or may restrict
University's use of uncommitted funds. Where Sponsor has been directed to implement a
reduction in funding, with respect to funding for this Contract, Sponsor's City Manager or
delegate is authorized to act for Sponsor in implementing and effecting such a reduction and in
revising, modifying, or amending the Contract for such purposes. If such a reduction in funding
occurs, University shall be permitted to de -scope accordingly. Where Sponsor has reasonable
grounds to question University's fiscal accountability or compliance with this Contract, Sponsor
may suspend the operation of this Contract for up to sixty (60) days upon five (5) days written
notice to University of its intention to so act, pending an audit or other resolution of such
questions. In no event, however, shall any revisions made by Sponsor affect expenditures and
legally binding commitments made by University before it received notice of such revision,
provided that such amounts have been committed in good faith and are otherwise allowable and
that such commitments are consistent with CARES Act Funds withdrawal guidelines.
ARTICLE 3
INTELLECTUAL PROPERTY AND PATENT RIGHTS
A. Background Intellectual Property.
It is possible that one or both parties may possess rights in background intellectual property,
that is, intellectual property not otherwise subject to this Contract that would be useful or
essential to the practice or commercialization of results from the Contract. For example, either
Sponsor or University might own a patent that would be infringed by the other party when it
attempted to commercialize the results of the Contract unless a license was obtained from the
otherparty. Where the parties determine that background technology may exist, in accordance
with the terms of Paragraph B of this Article, consideration will be given to negotiating license
rights which will allow the practice and commercialization of the results from the Contract.
No rights to any background intellectual property of either party are granted under this
Contract.
B. Project Intellectual Property
(a) "Project Intellectual Property" means the legal rights to patentable new or improvement
inventions, patent applications or patents first conceived and first actually reduced to practice
in the performance of research under the Contract.
(b) The rights of the parties to Project Intellectual Property made by their employees in the
performance of the Contract shall be as set forth in the Patent Rights clause of 37 CFR 401.14.
The Prime Agency may obtain title to any Project Intellectual Property not elected by a party
as set forth in the Patent Rights clause.
Unless otherwise agreed in writing, Project Intellectual Property shall be owned by the party
whose employees make or generate the Project Intellectual Property. Jointly made or
generated Project Intellectual Property shall be jointly owned by the parties unless otherwise
agreed in writing.
In addition to the Government's rights under the Patent rights clause of 37 CFR 401.14, the
parties agree that the Government shall have an irrevocable, royalty free, non-exclusive license
to practice or have practiced on behalf of the United States in any Project Intellectual Property
as defined in Article 3(B)(a) above.
(c) The parties agree to disclose to each other, in writing, each and every Project Intellectual
Property, which may be patentable or otherwise protectable under the United States patent
laws in Title 35, United States Code. The parties acknowledge that they will disclose Project
Intellectual Property to each other within sixty (60) days after their respective inventor(s) first
discloses the invention in writing to the person(s) responsible for patent matters of the
disclosing party. All written disclosures of such inventions shall contain sufficient detail of
the invention, identification of any statutory bars, and shall be marked confidential, in
accordance with 35 U.S.C. Section 205. Disclosures to the Prime Agency shall be within the
time provided in paragraph (c)(1) of the Patent rights clause of 37 CFR 401.14.
(d) Each party hereto may use Project Intellectual Property of the other nonexclusively and
without compensation for research or development purposes only in connection with activities
for the project under this Contract, including inclusion in project reports to the Prime Agency
and proposals to the Prime Agency for continued funding of this project through additional
phases.
(e) Sponsor will have an option to commercialize the Project Intellectual Property of
University, subject to any rights of the Government therein and in accordance with the
following terms:
(1) All rights to inventions, discoveries or other commercially useful research products
conceived and reduced to practice solely by University personnel arising from this project
shall belong to University and shall be disposed of in accordance with University's policy.
To the extent that the University has the legal right to do so and to the extent that Sponsor
pays all direct and indirect costs of the project, including a proportionate share of the
Principal Investigator's salary, Sponsor, in accordance with the provisions below, shall be
given a time -limited first right to negotiate an exclusive, royalty -bearing license to make,
use, and sell Project Intellectual Property.
(2) University shall disclose to Sponsor in writing any such inventions in accordance with
Article 3(B)(c). Sponsor shall hold such disclosure on a confidential basis and will not
disclose the information to any third party without consent of the University. Sponsor shall
advise University in writing within sixty (60) days of disclosure to Sponsor whether or not
it wishes to secure a commercial license. If Sponsor elects to secure a license, Sponsor
shall assume costs associated with securing and maintaining patent protection for such
invention(s), whether or not Letters Patent issue. Sponsor shall have ninety (90) days from
the date of election (hereinafter referred to as Negotiation Period) to conclude a license with
the University. Such period may be extended by mutual agreement of the parties. Said
license shall contain reasonable terms and shall require diligent performance by Sponsor
for the timely commercial development and early marketing of such inventions, and include
Sponsor's continuing obligation to pay patent costs. If such agreement is not concluded in
said period or any mutually agreed upon extension of said period, University has no further
obligations to Sponsor. If Sponsor does not elect to secure such license, rights to the
inventions disclosed hereunder shall be disposed of in accordance with University policies
with no further obligation to Sponsor.
(3) Nothing contained in this Contract shall be deemed to grant either directly or by
implication, estoppel, or otherwise any license under any patents, patent applications or
other proprietary interests of any other invention, discovery or improvement of either party.
C. Follow-on Research or Development.
All follow-on work, including any licenses, contracts, subcontracts, sublicenses or
arrangements of any type, shall contain appropriate provisions to implement the Project
Intellectual Property rights provisions of this Contract and ensure that the parties and the
Government obtain and retain such rights granted herein in all future resulting research,
development, or commercialization work.
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ARTICLE 4
CONFIDENTIALITY
It is understood that Sponsor shall disclose only information necessary to the work and, if any
such information is considered confidential, it shall be clearly marked "Confidential Information"
and sent by Sponsor in writing only to the Key Investigator or orally disclosed to the Key
Investigator and reduced to writing by Sponsor within thirty (30) days of disclosure (hereinafter
"Confidential Information"). Key Investigator and University will not knowingly distribute or
release Confidential Information to any person or entity other than co-workers or laboratory
personnel working under Key Investigator's direct supervision. Key Investigator will inform such
individuals that they must adhere to the terms of this Contract with respect to Confidential
Information. The University agrees, to the extent permitted by law, that Confidential Information
shall remain the property of Sponsor and, and for a period of five (5) years from the end of the
Contract, Confidential Information shall not be used or disclosed to others except in furtherance
of this Contract, provided, however, that the foregoing obligation of non-use and non -disclosure
shall not apply to any portion of the Confidential Information which: (i) is or shall have been
known to the University before its receipt thereof; (ii) is disclosed to the University by a third
party with the right to disclose such information; (iii) is or shall have become known to the public
through no fault of the University; or (iv) is required to be disclosed by law or regulation.
ARTICLE 5
PUBLICATIONS, COPYRIGHTS AND RIGHTS TO DATA
Prior review by Sponsor's Principal Investigator shall be obtained by University for publication of
any research report or other publication resulting from work performed on this Contract. Decisions
about authorship on all publications resulting from work under the Prime Agreement and this
Contract shall be made by Sponsor's Principal Investigator and University's Principal Investigator,
prior to any such publication. Two reprints of publications resulting from work performed in
whole or in part under this Contract shall be submitted to Sponsor's Principal Investigator.
For the purpose of identifying patentable inventions not covered by pre-existing patents,
University shall submit a copy of all proposed publications, papers, and any other written or oral
disclosure of such data or information to Sponsor at least thirty (30) days prior to submission for
publication or disclosure to a third party. In the event Sponsor determines that its proprietary or
confidential information disclosed under the terms of Article 4, is disclosed in such data or
information, it shall immediately notify University and University shall delete such information.
In the event Sponsor determines patentable subject matter is disclosed in such data or information,
it shall immediately notify University and, if University concurs, publication or disclosure will be
withheld (a) for a period not to exceed ninety (90) days to permit preparation and filing of
appropriate patent application(s), or (b) until a patent application thereon has been prepared and
filed, or (c) until University and Sponsor mutually agree in writing that no patent application(s)
shall be prepared or filed, whichever of (a), (b) or (c) is earlier in time.
Except as otherwise provided in the conditions of the Prime Agreement, when publications or
similar materials are developed from work supported in whole or in part by this Contract, the
author is free to arrange for copyright without approval. A copy of such material shall be provided
to Sponsor.
Sponsor shall have the right to publish, disclose, disseminate and use, in whole or in part, any data
and information received or developed under this Contract to fulfill its obligations under the Prime
Agreement.
ARTICLE 6
ADVERTISING AND PUBLICITY
Neither party will use the name of the other party or its employees in any advertisement or press
release without the prior written consent of the other party. Sponsor acknowledges that the
California Education Code section 92000 provides that the name "University of California" is the
property of the State of California and that Sponsor's use of the name "University of California"
must also comply with such section. Sponsor acknowledges that University maintains a publicly
accessible database identifying all research projects and that University may make use of such a
database consistent with its obligations as an academic and/or research institution.
ARTICLE 7
ACKNOWLEDGMENT
An acknowledgment of Sponsor and Prime Agreement support and a disclaimer must appear in
the publication of any material, whether copyrighted or not, based on or developed under this
project, in the following terms:
This material is based on work supported by the United States Department of Treasury under
The CARES Act funding and City of Santa Ana.
All materials except scientific articles or papers published in scientific, technical or professional
journals must also contain the following disclaimer:
Any opinions, findings, and conclusions or recommendations expressed in this material are
those of the author(s) and do not necessarily reflect the views of the United States
Department of Treasury or City of Santa Ana.
ARTICLE 8
INSPECTION AND REPORTS
A. INSPECTION
All work performed under this Contract is subject to inspection by Sponsor or its authorized
representative for workmanship and accuracy.
B. TECHNICAL REPORTS AND DOCUMENTS
University will comply with the reporting requirements of the CARES Act or as reasonably
requested by Sponsor.
ARTICLE 9
SPECIAL PROVISIONS
1. Access to Financial Records: Financial records, supporting documents, and all other
records pertinent to this Contract shall be retained for a period of four (4) years from
the date of termination of this Contract. Records that are the subject matter of audits,
appeals, litigation, or the settlement of claims arising out of the performance of this
Contract shall be retained until such audits, appeals, litigation, or claims have been
resolved. Unless court actions or audit proceedings have been initiated, University
may substitute copies made by microfilming, photocopying or similar methods for the
original records.
2. University agrees that if University expends Seven Hundred Fifty Thousand Dollars
($750,000) or more in federal funds, University shall have an annual audit conducted
by a certified public accountant in accordance with the standards as set forth and
published by the United States Office of Management and Budget. Current copies of
the said audit is available on https://www.ucop.edu/financial-accounting/financial-
revorts/a- I 33-audit-renorts.html.
B. ASSIGNMENT
Neither parry may delegate, assign or transfer this Contract, the rights or duties hereunder
without express prior written consent of the other party. Notwithstanding the foregoing,
Sponsor may assign this Contract without University's prior written consent in the event of a
merger, reorganization or acquisition of Sponsor in which Sponsor is the surviving entity.
C. TERMINATION
This Contract may be terminated by either party upon thirty (30) days written notice to the
other parry. Reconciliation of expenditures and Sponsor's payments shall be in accordance
with Article 2 of this Agreement. However, such reconciliation shall also take into account
University's uncancelable obligations incurred through the effective date of termination of
the Contract, including without limitation any support for student positions budgeted in
Exhibit B for the duration of the then current academic quarter.
D. TITLE TO EQUIPMENT
Title to equipment (initial cost of $5,000 or more and an expected service life of two (2)
years or more) purchased by the University pursuant to the terms of this Contract shall vest in
the University provided Prime Agency has not reserved the right to take or transfer title.
E. INDEMNIFICATION
University shall defend, indemnify and hold Sponsor, its officers, employees and agents
harmless from and against any and all liability, loss, expense, attorneys' fees, or claims for
injury or damages arising out of the performance of this Contract but only in proportion to
and to the extent such liability, loss, expense, attorneys' fees, or claims for injury or damages
10
are caused by or result from the negligence or willful misconduct of University, its officers,
agents or employees.
Sponsor shall defend, indemnify and hold University, its officers, employees and agents
harmless from and against any and all liability, loss, expense, attorneys' fees, or claims for
injury or damages arising out of the performance of this Contract but only in proportion to
and to the extent such liability, loss, expense, attorneys' fees, or claims for injury or damages
are caused by or result from the negligence or willful misconduct of Sponsor, its officers,
agents or employees.
F. REPRESENTATIONS AND WARRANTIES
(1) Authori . University is a duly organized and existing educational institution
and corporation of the State of California in good standing and authorized to do business under the
laws of the State of California. University has full right, power and lawful authority to accept the
funding hereunder and to undertake all obligations as provided herein and the execution,
performance and delivery of this Contract by University has been fully authorized by all requisite
actions on the part of University.
(2) Experience. University is qualified to provide the services set forth in the
Statement of Work and detailed herein.
(3) No Conflict. To the best of University's knowledge, University's execution,
delivery and performance of its obligations under this Contract will not constitute a default or a
breach under any contract, agreement or order to which University is a parry or by which it is
bound.
(5) No Bankruptcy. University is not the subject of any current or threatened
bankruptcy proceeding.
(6) No Pending Legal Proceedings. University is not the subject of a current or
threatened litigation that would or may materially affect University's performance under this
Contract.
(7) Proposal Veracity. All provisions of and information provided in University's
management proposal submitted to Sponsor, including any exhibits, are true and correct in all
material respects.
(8) No Pending Investigation. University has no knowledge that it is the subject of
any current or threatened criminal or civil action investigation by any public agency, including
without limitation a police agency or prosecuting authority, which would relate to or affect
performance of the Contract or provision of services hereunder.
G. CERTIFICATIONS
1. Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered
Transactions
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(a) The prospective lower tier participant certifies, by execution of this Contract, that
neither it nor its principals is presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participation in this transaction by any
Federal department of agency. University will complete the Debarment Certification
attached hereto and marked as Exhibit D.
(b) Where the prospective lower tier participant is unable to certify to any of the statements
in this certification such prospective participant shall attach an explanation to this proposal.
2. Restriction on Lobbying (in all subcontracts over $100,000 under federal grants, contract,
and cooperative agreements).
University in executing this Contract is certifying that as of December 23, 1989, it neither
has used nor will use any appropriated federal funds to lobby for or otherwise influence
the awarding or amending of this Contract, and that it will disclose the use of any non-
federal funds used for these purposes. University will complete the Certification Regarding
Lobbying attached hereto and marked as Exhibit F.
H. NOTICE
Whenever any notice is to be given hereunder, it shall be in writing and shall be deemed
received, if delivered by courier on a business day, on the day delivered, or on the second
business day following mailing, if sent by first-class certified or registered mail, postage
prepaid, to the following addresses:
University:The Regents of the University of California
Office of Research
141 Innovation, Suite 250
Irvine, California 92697-7600
Attention: Grace J. Park, Assistant Director
Sponsor: City of Santa Ana
20 Civic Center Plaza
Santa Ana, CA 92701
Attention: Kristine Ridge, City Manager
I. COMPLIANCE WITH LAWS.
University acknowledges that the funds being provided by Sponsor for said program are received
by Sponsor pursuant to the CARES Act, as amended, and that distribution and expenditure of these
CARES Act Funds shall be in accordance with the CARES Act and all pertinent regulations issued
by agencies of the federal government, including, but not limited to, all regulations found at Title
24 of the Code of Federal Regulations. University agrees to comply fully with all federal, state
and local laws and court orders applicable to its operation and administration of said program,
whether or not referred to in this Contract. The Federal Award Identification Information is
attached hereto and marked as Exhibit E.
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ARTICLE 10
ASSURANCES
The University agrees to conduct all effort required in performance of this Contract in compliance
with the following:
A. Civil Rights/Nondiscrimination: University must comply with applicable provisions of Title
VI of the Civil Rights Act of 1964, as amended; Executive Orders 11246 and 11375; the Age
Discrimination Act of 1975, as amended; Title IX of the Education Amendments of 1972, as
amended; and Section 504 of the Rehabilitation Act of 1973, as amended.
B. Use of U.S.-Flag Carriers: If foreign air travel is authorized under this agreement, U.S.-flag
air carriers service shall be used to the extent such service is available, as specified in prime
award. The substance of this clause shall be inserted in all subcontracts at any tier under this
Contract.
C. Use of Human Subiects: Use of human subjects will be in accordance with 45 CFR 46, subpart
A, "Protection of Human Subjects." In addition, University certifies that it has procedures
established and implemented to assure continuous monitoring and compliance with these
regulations. As applicable, evidence of approval by the University's Institutional Review
Board shall be provided to Sponsor prior to initiating this project and annually thereafter for
the duration of the project.
D. Scientific Fraud (Misconduct) Assurance: The University hereby gives assurance that an
administrative review process has been established regarding procedures for dealing with and
reporting possible misconduct in science and reporting requirements of the published scientific
misconduct regulations will be followed.
E. Financial Interest: University agrees that except for the use of administrative fees to pay
salaries and other related administrative or personnel costs, no persons who exercise or have
exercised any function with respect to administering said program under the terms of this
Agreement, or who are in a position to participate in a decision -making process or gain inside
information with regard to the administration of said program, may obtain a financial interest or
benefit from said program, either for themselves or those with whom they have family or
business ties, during their tenure or for one year thereafter. This prohibition applies to any
person who is an employee, agent, consultant, officer, or elected or appointed official of
Sponsor, or of any designated public agency, or the University.
F. Labor Standards. The University agrees to comply with the requirements of the Secretary of
Labor in accordance with the Davis -Bacon Act as amended, the provisions of Contract Work
Hours and Safety Standards Act (40 U.S.C. 327 et seq.) and all other applicable Federal, state and
local laws and regulations pertaining to labor standards insofar as those acts apply to the
performance of this Agreement. The University agrees to comply with the Copeland Anti -Kick
Back Act (18 U.S.C. 874 et seq.) and its implementing regulations of the U.S. Department of Labor
at 29 CFR Part 5. The University shall maintain documentation that demonstrates compliance
13
with hour and wage requirements of this part. Such documentation shall be made available to
Sponsor for review upon request.
G. Drug Free Workplace. University agrees to provide a drug -free workplace and to execute a
certification as set forth in Exhibit C attached hereto and incorporated herein by this reference.
H. Uniform Administrative Requirements Cost Principles and Audit Requirements for
Federal Awards. To the extent applicable to institutions of higher learning such as University
and/or the services provided in the Statement of Work, the following requirements and standards
must be complied with: 2 CFR Part 200 et al. University shall procure all materials, property, or
services in accordance with the requirements of 2 CFR 200.318-326.
ARTICLE 11
CONTENTS AND ORDER OF PRECEDENCE
Attached to this Contract and incorporated herein by reference are the following exhibits:
EXHIBIT A - Statement of Work
EXHIBIT B - Budget
EXHIBIT C- Drug -Free Workplace Certification
EXHIBIT D-Debarment Certification
EXHIBIT E- Federal Award Identification Information
EXHIBIT F- Lobbying Certification
ARTICLE 12
EXPORT CONTROLS
The Parties expressly acknowledge their respective obligations to comply with U.S. export law,
and hereby agree to comply in performance of any research project hereunder. Sponsor
acknowledges and agrees that it will not provide export -controlled information or technology to
University under this Agreement.
ARTICLE 13
GOVERNING LAW
The laws of the State of California shall govern this Agreement without regard to its conflict of
laws provisions.
ARTICLE 14
INSURANCE
1. Commercial General Liability. University and Sponsor agree to obtain, or maintain
a program of self-insurance and keep in force during the term of this Contract a policy of
comprehensive commercial public liability insurance insuring Sponsor, and University against any
liability for accident, injury or death arising out of or in consequence of this Agreement. Such
14
insurance shall be in an amount not less than Two Million Dollars ($2,000,000.00) for any injury to
or death of any person or persons in any single accident or occurrence. Said policy of comprehensive
liability insurance shall be endorsed to provide to each Party at least thirty (30) days written notice
prior to cancellation; name the other Party, its officers, agents, employees, and volunteers, additional
insured; and state that such coverage is primary to any other coverage or self-insurance. Each Party
may provide proof of self-insurance.
(a) Such insurance shall: (1) name the other Party, its officers, agents,
representatives, employees and volunteers as additional insured's; (2) be primary with respect to
insurance or self-insurance programs maintained by each Party; (3) contain standard separation of
insured's provisions; and (4) give to the other Party prompt and timely notice of claim made or
suit instituted arising out of each Party's operations hereunder.
(b) University shall: (1) prior to exercising any right under this Contract,
furnish properly executed certificates of insurance and additional insured endorsement to Sponsor
which shall clearly evidence all coverages required above; (2) provide that such insurance shall
not be materially changed or terminated except on 30 days prior written notice to Sponsor; (3)
maintain such insurance for the period covered by this Contract; and (4) replace such certificates
for policies expiring prior to the expiration of this Contract.
(i) Certificates shall list Sponsor as a Certificate Holder as
follows: City of Santa Ana
Risk Management Division
20 Civic Center Plaza, 4th Floor
Santa Ana, CA 92701
2. Automobile Liability Coverage. Each Party shall also obtain and maintain, during
the effective period of this Agreement, broad form automobile liability coverage with a $1,000,000
limit unless reduced by Sponsor, which applies to both owned/leased and non -owned automobiles
used by each Party's employees or participants in performance of this Agreement, or, in the event
that the Party will not utilize such owned/leased automobiles but intends to require employees,
participants or other agents to utilize their own automobiles in the performance of this Agreement,
the Party shall secure and maintain on file from all such employees, participants, or agents as self -
certification of automobile insurance coverage. Each Party may provide proof of self-insurance.
3. Workers' Compensation. If University is an "employer", as set forth in California
Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in California
Labor Code Section 33SO et seq., University shall obtain and keep in force during the term of this
Agreement full Workers'Compensation insurance coverage for injuries suffered by participants. Said
insurance policy shall guarantee Sponsor at least thirty (30) days written notice of cancellation or
modification.
4. Professional Liability. University shall provide professional liability (i.e. errors and
omissions) insurance coverage, with a combined single limit of not less than $1,000,000 per claim with
$2,000,000 in the aggregate. University may provide proof of self-insurance.
S. Proof of Insurance. Certificates and endorsements must be submitted and
approved by Sponsor prior to any work under this Contract. University understands that Sponsor
15
A-2020-158-36
will make no payments under this Contract until the required certificates and endorsements have
been approved by Sponsor.
ARTICLE 15
ENTIRE AGREEMENT, WAIVERS, AND AMENDMENTS
This Contract contains the full and complete agreement between the two parties and supersedes in
its entirety any and all oral or written agreements previously existing between Sponsor and
University with respect to the subject matter. All modifications must be in writing and signed by
the Sponsor's Authorized Official and the University's Contracting Officer. No verbal agreements
or conversations with any officer or employee of either party shall affect or modify any of the
terms and conditions of this Contract. The terms and conditions of any purchase order or other
instrument issued by Sponsor in connection with this Contract which add to or differ from the
terms and conditions of this Contract shall be of no force or effect.
IN WITNESS WHEREOF, the parties have caused this Agreement to be executed by their duly
authorized representatives.
APPROVED AND AGREED:
The Regents of the University of California
Grace Digitallysigned
by Grace Park
By: Park Dare: zozo.t i.M
rr.......,.. Grace J. Park
Assistant Director, Sponsored Projects
11/04/2020
[Signatures continue on the next page]
Sponsor:
By-. —
y
Name: Kristine
Title: City Manager
Date: I 1 104120
ATTEST:
Daisy Gomez
Clerk of Council
16
APPROVED AS TO FORM:
Sonia R. Carvatho
City Attornev
BY: c1 Gi jig- A. Re�i
Laura A. Rossini
Acting Chief Assistant City Attornev
17
EXHIBIT A
SCOPE OF WORT{
UNIVERSITY OF CALIFORNIA, IRVINE
PROGRAM IN PUBLIC HEALTH
SUSAN AND HENRY SAMUELI COLLEGE OF HEALTH SCIENCES
TITLE: Seroprevalence Surveillance and Predictive Modeling for COVID-19 in Santa Ana, California
PURPOSE
I. Understand the cumulative (current and past) incidence of both symptomatic and asymptomatic
COVID-19 cases in Santa Ana
2. Describe infected individuals based on geography and demographics of age, gender, and
race/ethnicity balanced to Santa Ana population
3. Develop predictive models for COWD-19 in Santa Ana
BACKGROUND
Santa Ana, a bustling metropolis of 332,725, has experienced someofthe most rapid growth in
COVID-19 cases in southern California. The city is 78% LatinX, and almost 20% of residents live at
or below poverty level. The community has been disproportionately burdened by the public health
threat of COVID-19 with a significant impact of social determinants of health on disparities in
incidence and severity. The city is home to a large proportion of essential workers, including first
responders such as healthcare workers. We hypothesize that underserved populations living in
lower -income census tracts are experiencing a spike in COVID-19 transmission due to increased
housing density, employment in "essential/frontline" job sectors, lower educational attainment,
and limited health care access. These higher risk individuals could then unknowingly bring the
virus home from their workplace to their households, allowing for continued community
transmission of COVID-19. Santa Ana is densely populated (12,311.83/sq. mi), few people can work
from home, and a significant portion of residents are not insured or under insured. The UCI
Program in Public Health is partnering with the city of Santa Ana to conduct COVID-19
serosurveillance of residents and develop predictive models for COVID-19 in the community.
UCI PROGRAM IN PUBLIC HEALTH RESEARCH TEAM
Team Member
Experience
Role
Bernadette Boden-Albala,
Internationally recognized expert in
Principal Investigator — Will
DrPh, MPH
the social epidemiology of stroke and
oversee and provide input
Professor, Epidemiology
cardiovascular disease with an
and expertise on all aspects of
and Health, Society, and
academic background in infectious
the study, including sampling
Behavior
disease epidemiology. Has led
plan, survey development,
Director and Founding
numerous large, multi -site studies in
recruitment, logistical
Dean, Program in Public
urban and rural communities and has a
planning, testing, data
Health, Susan and Henry
wealth of knowledge and experience
analysis, and report and
Samueli College of Health
leading community -level health
manuscript development
Sciences, University of
assessments and interventions, most
California, Irvine
recently as principal investigator of
actOC, an Orange County -wide
COV1D-19 sero revalence study
Daniel M. Parker, PhD
Infectious disease epidemiologist and
Co -Investigator- Will serve as
Assistant Professor, Public
demographer who studies spatial and
primary liaison with Feigner
Health
spatiotemporal patterns in infectious
lab and lead on testing
Director, Parker Lab
diseases. Director of the Global Health
coordination, data collection,
Director, Global Health
Research, Education and Translation
and data interpretation
Research, Education, and
(GHRET) Program at UCI, a global
Translation Program
health initiative with the mission of
(GHREAT)
promoting global awareness and
developing a comprehensive global
health research, education and training
program for undergraduate and
aduate students.
hnvestigator on numerous clinical trials
Co-hnvestigator - Will manage
in the private sector. Served for over
all aspects of logistical
Bruce Albala, PhD
22 years in the clinical research and
planning and serological data
Associate Dean,
development arm of a number of U.S.,
collection and management
Innovation & Clinical
British, and Japanese pharmaceutical
Trials
companies. Has provided consulting
Director, UCI Center for
services on clinical trial design and
Clinical Research
interpretation as well as regulatory
Professor, Neurology, UCI
strategy for both pharmaceuticals and
School of Medicine
medical devices and held patents on
implantable medical devices and
clinical research monitoring tools.
Epidemiologist with research focus
Consultant - will consult on
in health disparities and prognostic
sampling and recruitment
Jeffrey Wing, PhD
modeling
strategy and conduct data
analysis, modeling, and
interpretation
Leads the UCI COVID-19 response
Consultant - Will provide
team; More than 30 years of
input and oversight on all
David M. Souleles, MPH
experience in public health
logistical operations for the
COVID-19 Response
administration, including roles as
project
Specialist
Public Health Director and Division
Manager for Disease Control and
Epidemiology for Orange County
Health Care Agency
Miryha Runnerstrom,
Research focus on behavioral and
Informational helpline - Will
PhD
environmental impacts on health
oversee operations of the
Director of
and well-being
project hotline and chatline
Undergraduate Programs
Focus in public health nutrition with
Project manager, logistics
professional background in
and community engagement
Emily Drum, MPH
journalism and communications.
- Will oversee daily project
Research Manager
Experience in program and process
activities, including
evaluation, policy development,
management of project
community health, including within
schedule, supervision of
19
tribal health care settings, and study
project staff, and
recruitment and logistical planning.
coordination of all project
activities and engagement
with community
organizations
Focus in epidemiology and
Project manager, sampling
implementation science with an
and analysis - Will oversee
Nessa Ryan, PhD, MPH
emphasis in global and community
development of protocol and
Postdoctoral Fellow
engagement
sampling and recruitment
strategy, contribute to
analysis and dissemination of
findings
GSRs
Graduate student researchers - to be
MPH and PhD students to
named
support faculty in planning
and implementing their areas
of the project
Project area supervisors - to be
Staff to manage the project
Area managers (4)
named
areas: testing,
communications, community
en a ement, and recruitment
Support staff (4)
Project area assistants - to be
Student staff to assist project
named
area managers with
PARTNERSHIPS
Vaccine Research and Development Center, Protein Microarray Laboratory and Training
Facility, Applied Proteomics Research Laboratory, Institute for Immunology, UCI School of
Medicine and School of Biological Sciences (Feigner Lab)
Philip Feigner, PhD, pioneered a high throughput cloning and protein microarray chip fabrication
approach that is useful for profiling immunoreactivity on a large scale. Saahir Khan, MD, PhD is a
Research Fellow of Infectious Diseases who adapted Feigner's technology to create the COVID
IgG/IgM rapid test of serum specimens the research team will use for this project.
Maypl
Maypl is a mobile phlebotomy group developed and run by UCI alumnus Abeer Ali to support local
efforts to conduct COVID-19 testing. The UCI Program in Public Health will contract Maypl to
conduct in -home antibody testing of Santa Ana residents.
DELIVERABLES ar_
• In -home COVID-19 antibody testing of 8,000 Santa Ana residents, ages 5+
• Assistance with Santa Ana's hiformational helpline (phone and computer chatline) staffed by
bilingual (English and Spanish or Vietnamese) operators
• Assist with Santa Ana's targeted media campaign to educate and inform Santa Ana residents
about the project
• Quantitative survey and serology data for a random cluster sample of up 8,000 Santa Ana
residents
• Written report of seroprevalence results and policy recommendations to city of Santa Ana
• Predictive models of COVID-19 in Santa Ana
• Publication of manuscripts in high impact scholarly journals
20
RECRUITMENTS=x r
As part of a contract with the city of Santa Ana, the UCI Program in Public Health will design and
implement COVID-19 serosurveillance of 8,000 Santa Ana residents over the age of five from
October - December 2020. UCI will employ randomized cluster sampling by census tract, overseen
by Dr. Boden-Albala, Dr. Ryan, and Dr. Wing. Participants will be given an antibody test following
completion of a short survey. UCI will contract local community organizations to consult on
development of the survey and sampling strategy and to assist with systematic recruitment of
participants in English, Spanish, and/or Vietnamese, including a targeted media and information
campaign to encourage community engagement. UCI will provide incentives for participation.
Recruitment will begin following approval of the protocol by the UCI IRB. Dr. Runnerstrom will
oversee operations of UCI's assistance with Santa Ana's online chat line and phone line, which will
be available daily to respond to residents' questions about the project.
Dr. Parker will oversee testing procedures, with logistical managerial support from Dr. Albala and
Ms. Drum. UCI will contract Maypl to schedule and conduct in -home appointments for COVID
IgG/IgM rapid serum tests that will require a finger stick capillary tube procedure. The Feigner lab
will quantify antibody titer to COVID-19 using its UCI microarray platform.
MODELING
Dr. Ryan, Dr. Wing, and Dr. Parker will oversee data analysis. UCI will use serosurveillance data to
develop models that will forecast the trajectory of COVID-19 in Santa Ana.
Project Timeline
Date
Activity
9/15/20-
Develop sampling and recruitment strategy
10 1 20
10/1/20-
Recruit participants and conduct in -home testing on 8,000 Santa Ana residents;
12 30 20
provide hel line access for participant questions
1/1/21-
Analyze results; develop predictive models; issue report to city of Santa Ana;
2/1/21
submit results to high -impact peer reviewed journal (this will be a part of a final
report that is due as part of the close-out activities
21
EXHIBIT B
SANTA ANA PROTECT BUDGET
PI: Dr Boden-Albala and TBD
UCI Public Health
10/09/20
1. COVID-19 Modeling/Serology (ANTIBODY TESTING) (Total= $1,745,250)
• Use Census Tracts to determine highest concentration of COVID-19 zones, block sampling to
determine randomly chosen 250 households
• Get to testing 8,000 participants, through end of December
• Provide an understanding of community prevalence by implementing antibody testing across
Santa Ana. Gather a representative sample of participants from census tracts, which will then
allow us to understand if we target PCR testing. Starting with census tracks where reported
numbers of COVID-19 cases seem highest, use block sampling to randomly select 250
households in a tract and invite them to come to a facility with their household members to
receive a fingerstick
• Contract a firm to conduct recruitment outreach
• Scheduling/Routing Software for Mobile Phlebotomy
• Provide assistance to Santa Ana's informational hotline, bilingual hotline employees in Spanish
and/or Vietnamese, and Media/marketing campaign about the city's/UCI's efforts to fight
COVID in the community
• TIMELINE: SEPT-DEC
KEY PERSONNEL (Total= $440,168)
• Dean Bernadette Boden-Albala — Principle Investigator
• Dr. Daniel Parker — Sampling Area Faculty
• Dr. Miryha Runnerstrom — Hotline Area Co -Lead
• Dr. Bruce Albala — Logistics Manager
• Director of Contact Tracing
• Research Manager
• Graduate Researchers
• Area Leads
SUPPLIES (Total= $170,000)
• PPE Supplies, Transportation Expenses, Community Partner Contracts
CAMPUS INDIRECTS (Total= $604,727)
TOTAL BUDGET: $2,960,145
22
EXHIBIT C
DRUG -FREE WORKPLACE
ATTACHMENT C
CERTIFICATION REGARDING DRUG -FREE WORKPLACE
Certification Regarding Drug -Free Workplace Requirements
The certification set out below is a material representation upon which reliance is placed by the U.S.
Department of Housing and Urban Development in awarding the grant. If it is later determined that
the contractor knowingly rendered a false certification, or otherwise violates the requirements of the
Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to
any other remedies available to the Federal Government, may take action authorized under the Drug -
Free Workplace Act.
CERTIFICATION
A. The contractor certifies that it will provide a drug -free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture,
distribution, dispensing, possession or use of a controlled substance is prohibited in
the contractor's workplace and specifying the actions that will be taken against
employees for violation of such prohibition;
(b) Establishing drug -free awareness program to inform employees about-
(1) The dangers of drug abuse in the workplace;
(2) The contractor's policy of maintaining a drug -free workplace;
(3) Any available drug counseling, rehabilitation, and employee assistance
program; and
(4) The penalties that may be imposed upon employees for drug abuse violations
occurring in the workplace;
(c) Making it a requirement that each employee who will 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 the contract, the employee will -
(1) Abide by the terms of the statement; and
(2) Notify the employer of any criminal drug statute conviction for a violation
occurring in the workplace no later than five days after such conviction.
23
(e) Notifying the U.S. Department of Housing and Urban Development within ten days
after receiving notice under subparagraph (d)(2) from an employee or otherwise
receiving actual notice of such conviction;
(f) Taking one of the following actions, within 30 days of receiving notice under
subparagraph (d)(2), with respect to any employee who is so convicted -
(1) Taking appropriate personnel action against such an employee, up to and
including termination; or
(2) Requiring such employee to participate satisfactorily in a drug abuse
assistance or rehabilitation program approved for such purposes by a
Federal, State, or local health, law enforcement, or other appropriate agency,
(g) Making a good faith effort to continue to maintain a drug -free workplace through
implementation of paragraphs (a), (b), (c), (d), (e) and (f).
B. The contractor shall insert in the space provided on the attached "Place of Performance" form
the site(s) for the performance of work to be carried out with the grant funds (including street
address, city, county, state, and zip code) .the contractor further certifies that, if it is
subsequently determined that additional sites will be used for the performance of work
under the contract, it shall notify the U.S. Department of Housing and Urban Development
immediately upon the decision to use such additional sites by submitting a revised 'Place of
Performance' form.
Organization
Authorized Signature Date
24
PLACE OF PERFORMANCE
FOR CERTIFICATION REGARDING DRUG -FREE
WORKPLACE REQUIREMENTS
Name:
Date:
University shall insert in the space provided below the site(s) expected to be used for the
performance of work under the contract covered by the certification:
Place of Performance (include street address, city, county, state, zip code for each site):
25
EXHIBIT D
DEBARMENT
ATTACHMENT D
DEBARMENT CERTIFICATION
Certification Regarding
Debarment, Suspension, Ineligibility and Voluntary Exclusion
Lower Tier Covered Transactions
This certification is required by the regulations implementing Executive Order 12549, Debarment and
Suspension, 29 CFR Part 98, Section 98.S10, Participants' responsibilities. The regulations were
published as Part VII of the May 26,1988 Federal Register (pages 19160-19211).
(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS FOR CERTIFICATION - Attached)
(1) The prospective recipient of federal assistance funds certifies, by submission of this proposal,
that neither it nor its principals are presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participation in this transaction by any federal
department or agency.
(2) Where the prospective recipient of federal assistance funds is unable to certify to any of the
statements in this certification, such prospective participant shall attach an explanation to this
proposal.
Name and Title of Authorized Representative
Signature Date
9.1
FEDERAL AWARD IDENTIFICATION INFORMATION
ATTACHMENT E
FEDERAL AWARD IDENTIFICATION INFORMATION
The General Program Requirements were designed to provide the framework where the
CONTRACTOR will provide CARES Act Coronavirus Relief Programs identified in this attachment.
I.
University agrees to comply, remain informed, and deliver services consistent with the
provisions of the Coronavirus Aid, Relief, and Economic Security Act ("CARES Act") Section
5001 under the Social Security Act Section 601(a).
Where local policy has not been set, University agrees to adhere to state and/or federal
policy, as appropriate.
II. GOVERNANCE REFERENCES
A. Additional state and federal agencies that provide funding to the Sponsor may be
incorporated herein.
B. Information Bulletins, Directives, and any other federal and state guidance documents
pertaining to the CARES Act Coronavirus Relief Funds.
C. Actions, directives, and policy and procedures issued by the Sponsor.
D. Sponsor policies, as applicable.
III. CONTRACTOR/SUBRECIPIENT DETERMINATION:
In accordance with the requirements of 2 CFR 200.330 (Subrecipient and CONTRACTOR
determination) and for the purpose of this CONTRACT, University of California is determined
to be a CONTRACTOR.
27
IV. FEDERAL AWARD IDENTIFICATION
FAIN INFORMATION
The Regents of the University of California, on behalf of
A.
CONTRACTOR Name:
its Irvine campus
B.
CONTRACTOR'S Unique
04-670-5849
Identifier D-U-N-S :
Federal Award
C.
Identification Number
SLT0252
(FAIN):
D.
Federal Award Date:
April 24, 2020
E.
Subaward Period of
September 15, 2020 to December 30, 2020
Performance:
Total Amount of Federal
F.
Funds Obligated by the
$2,960,145
Action:
Total Amount of Federal
G.
Funds Obligated to the
$2,960,145
CONTRACTOR:
H.
Total Amount of the Federal
$28 000,000
Award:
I
Federal Award Project
CARES Act Coronavirus Relief Fund for State Territorial
Description:
Local and Tribal Governments
J.
Federal Awarding Agency:
U.S. Department of the Treasury
K.
Name of PTE:
State of California
L
Contact Information for the
Kristine Ridge, City Manager
Awarding Official:
Phone Number:
(714) 647-5200
E-mail Address:
kridgeC@santa-ana.org
M.
CFDA Number:
21.019
CFDA Name:
CARES Act Coronavirus Relief Fund for State Territorial
Local and Tribal Governments
N.
Whether Award is R&D:
No
O'
Indirect Cost Rate for the
N A
Federal Award:
we
EXHIBIT F
LOBBYING
ATTACHMENT F
CERTIFICATION REGARDING LOBBYING
Certification Regarding Lobbying
Certification for Contracts. Grants. Loans. and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned,
to any person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with the awarding of any Federal contract, the making of any cooperative agreement, and
the extension, continuation, renewal, amendment, or modification of any Federal contact, grant, loan
or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person
for influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection
with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its
instructions.
(3) The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontract, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose
accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails
to file the required certification shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
Grantee/Contactor Organization
Program Title
Name of Certifying Officer Signature Date
29
University warrants the following
1. University will comply with Public Law 88-352, Title VI of the Civil Rights Act of 1964 (42 U. S. C.
section 2000 et seq.) and implementing regulation in 24 CFR Part 1.
2. No person in the United States shall on the ground of race, color, religion, national origin, or sex,
be excluded from participation in, or be denied the benefits of, or be subjected to discrimination
under any program or activity funded in whole or in part with community development funds made
available pursuant to the ACT.
3. All laborers and mechanics, employed by contractors or subcontractors in the performance of
construction work financed in whole or in part with community development funds shall be paid
wages at rates not less than those prevailing on similar construction in the locality as determined in
accordance with the Davis -Bacon Act, as amended, 40 U. S. C. Sections 276 a 1-5, except for
individuals who perform services for which they volunteered; do not receive compensation for such
services; or are paid expenses, reasonable benefits, or a nominal fee for such services; and are not
otherwise employed at any time in construction work.
4. SUBRECIPIENT will comply with all Federal statutes applicable to projects funded with community
development funds, except that (a) SUBRECIPIENT does not assume CITY'S environmental
responsibilities described at 24 CFR 570.604; and (b) SUBRECIPIENT does not assume CITY'S
responsibility for initiating the review process under Executive Order 12
OR
Francine R.
Villareal
CERTIFICATE OF Date:11/9/2020
SELF-INSURANCE COVERAGE
PRODUCERIINSURED
The Regents of the University of California This Certificate is issued as a matter of information only to authorized viewers for
University of California, Irvine their internal use only and confers no rights upon any viewer of this Certificate.
Division of Finance and Administration The Certificate does not amend, extend or alter the coverage described below.
Office of Risk Services
4199 Campus Drive, Suite 300 This Certificate may only be copied, printed and distributed by an authorized
Irvine CA 92612-2749 viewer for its internal use. Any other use, duplication or distribution of the
(949) 824-8772 Certificate without the written consent of the Regents of the University of California
ENTITIES AFFORDING COVERAGE
PARTICIPATION
THIS IS TO CERTIFY THAT THE REGENTS OF THE UNIVERSITY OF CALIFORNIA IS A GOVERNMENTAL ENTITY THAT HAS A SELF -FUNDED
RETENTION FOR LIABILITIES DESCRIBED BELOW, NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY WRITTEN
CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY PERTAIN. THIS SELF -FUNDED PROGRAM IS
SUBJECT TO ALL PROVISIONS OF THE BYLAWS AND STANDING ORDERS OF THE REGENTS OF THE UNIVERSITY OF CALIFORNIA, WHICH
DOES NOT PERMIT ANY ASSUMPTION OF LIABILITY WHICH DOES NOT RESULT FROM THE NEGLIGENT ACTS OR OMISSIONS OF ITS
OFFICERS, AGENTS OR EMPLOYEES.
A
GENERAL
LIABILITY
Self -Insured
07/01/2020
07lD1/2021
GENERAL AGGREGATE
a z,uuu,uuu
X
COMMERCIAL GENERAL LIABILITY
PRODUCTS-COMP/OPAGG
$2,000,000
CLAIMS MADE❑X OCCURRENCE
PERSONALS ADV INJURY
$2,000.000
Prof. Uebllity
CONTRACTUAL LIABILITY
$2,000,000
X
EACH OCCURRENCE
$ 2,000.000
Professional Ueb.
$ 2,000.000
A
AUTOMOBILE
LIABILITY
Self -Insured
07/01/2020
07/01/2021
COMBINED SINGLE LIMIT
$Not Applicable
ANY AUTO
X
ALL OWNED
BODILY INJURY
$ 1,000,000
AUTOS
(PER PERSON)
SCHEDULED
AUTOS
X
HIRED AUTOS
BODILY INJURY
(PER ACCIDENT)
$ 1,000,000
X
NON -OWNED
AUTOS
GARAGE LIABILITY
PROPERTY DAMAGE
$ 1,000,000
PROPERTY
EACH OCCURRENCE
$
FIRE B EMENDED PERILS
AGGREGATE
$
A WORKERS' COMPENSATION AND Self -Insured 07/01/2020 07/01/2021 STATUTORY LIMITS YES
EMPLOYERS LIABILITY EACH ACCIDENT $ As required by
DISEASE -POLICY LIMIT $As required by
DISEASE- EACH EMPLOYEE $ As required by
DESCRIPTION OF OPERATIONS/LOCATIONSNEHICLES/SPECIAL ITEMS
The City of Santa Ana, officers, agents, employees, and volunteers are named as additionally insured on this policy pursuant to written
contract: Seroprevalence Surveillance and Predictive Modeling for COVID-19 in Santa Ana, Ca. Between CITY OF SANTA ANA and The
Regents Of The University Of California, on behalf of the UC Irvine Program in Public Health. The period of performance of this Contract:
September 15, 2020 through December 30, 2020. Such insurance as is afforded by this policy shall be primary, and any insurance carried
by City shall be excess and noncontributory. Certificate of Insurance shall provide thirty (30) day prior written notice of cancellation.
HOLDER
PARTY AS REQUIRED BY WRITTEN CONTRACT
City of Santa Ana
Attn: Risk Management Division
20 Civic Center plaza, 4th Floor
Santa Ana CA 92701
THE REGENTS ELECT TO DISCONTINUE SELF -INSURING ITS
=S, THE REGENTS WILL UPDATE PROOF OF SELF-INSURANCE ON ITS
. THE REGENTS SHALL NOT BE OBLIGATED TO PROVIDE INDIVIDUAL
-O VENDORS OR OTHERS.
Richmond
A RiAMarugmadDhisian
REVIEYVEJ Sr APPROVEDBY:
iL VttPAVAI
Risk Management Analyst