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HomeMy WebLinkAbout20E - AA- AGMT - BIKE SAFETY GRANTREQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: AGREEMENT WITH OFFICE OF TRAFFIC SAFETY FOR PUBLIC EDUCATION ON BICYCLE SAFETY GRANT (STRATEGIC PLAN NO. 1, 3, B) CITY MANAG RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Approve an appropriation adjustment to recognize Office of Traffic Safety (OTS) Public Education on Bicycle Safety grant funds in the amount of $150,000 in the OTS -PWA Traffic Safety Grants revenue account and appropriate the same to the OTS- Bicycle Safety PWA expenditure account. 2. Authorize the City Manager and Clerk of the Council to execute a one -year agreement with the State of California Office of Traffic Safety for Public Education on Bicycle Safety Grant funds, in an amount not to exceed $150,000, for a one -year period from October 1, 2014, through September 30, 2015, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Santa Ana Public Works Agency has been awarded a $150,000 Public Education on Bicycle Safety grant from the State of California Office of Traffic Safety (OTS). These funds will be used to address bicycle safety through the development of a public awareness campaign and the implementation of a series of bicycle safety education workshops. The goal of the program is to reduce the number of deaths and injuries in traffic collisions involving bicycles. The bilingual public awareness campaign is intended to reach all members of the community, regardless of bicycle usage. It will include bicycle safety information displayed on transit vehicles, at bus stops, and on street banners. The bicycle safety education component will directly target bicyclists of all ages through classroom demonstrations, bicycle safety skills classes taught by League of American Bicyclists Certified Instructors, helmet fitting workshops, and helmet distribution. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), 20E -1 Office of Traffic Safety Grant Application November 18, 2014 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy B (promote ongoing efforts to obtain grant funding for activities that will assist in preventing, enforcing and reducing criminal activity and traffic collisions). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds will be accepted into the OTS -PWA Traffic Safety Grants revenue account (16517002- 52001) and appropriated into the OTS- Bicycle Safety PWA expenditure account (16517611- 66220). Fr d Mousavipour Executive Director Public Works Agency FM /EWG /ZK Exhibit 1: Grant Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez `N Executive Director Finance & Management Services Agency 20E -2 State of California — Office of Traffic Safety GRANT AGREEMENT - Page 1 GRANT NUMBER PS1506 QRGfr= USA E, $7-T ©R�`j( Asalglanl 0Ily Attorney 20E -3 1. GRANT TITLE PUBLIC EDUCATION ON BICYCLE SAFETY 2. NAMF.OF APPLICANT AGENCY 4. GRANT PERIOD CITY OF SANTA ANA From: 10/1!14 3, AGENCY UNITTO HANDLE GRANT To: 9 /30i 15 TRAFFIC ENGINEERING DEPARTMENT 5. GRANT DESCRIPTION This grant will provide funding for a bilingual public awareness campaign that will include bus advertisements, billboards, and banners. The city will work with the police department in conducting educational presentations and bicycle rodeos where bicycle helmets will be distributed to those in need. 6. FEDERAL FUNDS ALLOCATED UNDER THIS AGREEMENT SHALL NOT EXCEED: $ 150,000.00 7. TERMS AND CONDITIONS: The parties agree to comply with the terms and conditions of the following which are by this reference made a part of the Agreement: • Schedule A (OTS -38b) — Problem Statement, Goals and Schedule C (OTS -38g) — Quarterly Evaluation Data Form Objectives and Method of Procedure (if applicable) • Schedule B (OTS -38d) — Detailed Budget Estimate and * Exhibit A — Certifications and Assurances Sub - Budget Estimate (if applicable) • Exhibit B* - OTS Grant Program Manual • Schedule B -1 (OTS -380 — Budget Narrative and Sub - Budget Narrative (if applicable) *items shown with an asterisk ( *), are hereby incorporated by reference and made a part of this agreement as if attached hereto, These documents can be viewed at the OTS home web page under Grants: www.ots.cn.eoa. We, the officials- named below, hereby swear under penalty of perjury under the laws of the State of California that we are duly authorized to legally bind the Grant recipient to the above described Grant terms and conditions. IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto. 8. APPROVAL SICNATURFS A. GRANT DIRECTOR ! B. AUTHORIZING OFFICIAL OF APPLICANT AGENCY NNME: Zdenek Kekula PROSE: (714) 647- 5606 '.. NAME: David Cavazos PnONE:(714)647 -5200 -1 tTLE: Acting Principal Civil TITLE: City Manager FAX: (714) 647 -5676 FAX: (714) 647 -695 Engineer ADDRESS: City of Santa Ann ADDRESS: City Of Santa Ana, 8" Floor 20 Civic Center Plaza, M43 '.. P.O. BOX 1988 P.O. BOX 1988 Santa Ana, CA 92702 Santa Ana, CA 92702 EAlAiL: zkekulaCasanta- ana.org ! E- NAIL: dcavazos a`santa- ana.org (Date) (Date) _(Signature) C. FISCALORACCOUNTINGOFFICIAL D. OFFICEAUTHORIZEDTO RECEIVE PAYMENTS NAME: Francisco Gutierrez PnONE: (714) 647 -5420 ',. NAME: City of Santa Ana TITLE: Executive Director Finance & FAX: (714) 647 -5414 ADDRESS: Finance @ Management Services Agency, NI -87 Management Services 20 Civic Center Plaza ADDRESS: City of Santa Ana 20 Civic Center Plaza, NI -17 P.O.BOX 1988 P.O. BOX 1988 Santa Ana, CA 92702 Santa Ana, CA 92702 9. DUNS NUMBER FAI.AIL: FGutierrez(aasanta- ana.org Duns #: 083153247 REGISTERED 20 Civic Center Plaza, FL #8 APPROVED AS TO FORM ADDRESS& P.O. BOX 1988 (Signnlure) Awe) ZIP: Santa Ana- CA 92702 QRGfr= USA E, $7-T ©R�`j( Asalglanl 0Ily Attorney 20E -3 SCHEDULE A GRANT DESCRIPTION GRANT No. PS 1506 1. PROBLEM STATEMENT PAOP I The City of Santa Ana has a continuing bicycle safety problem, as identified through the bicycle - related collisions. As of 2012, the City of Santa Ana has a population of 330,920 making it the second largest city in Orange County. The City is approximately 27.1 square miles. Santa Ana has a large volume of motor vehicle traffic, with the arterials carrying 30,000 to 40,000 vehicles per day. There are also four freeways that converge within the city and a total of 450 miles of streets. Relative income and vehicle ownership levels within the City are significantly lower than the statewide averages. The City's population's median age is the youngest of the seven largest cities in Orange County and the residential density is one of the highest in the State. As a result of climate and demographics, the City has a relatively high level of bicycling activity when compared to other communities in the County or the State. Also, a significant portion of the adult bicyclists may not speak or read English well or understand the rules of the road. Furthermore, transit ridership is high with several of the busiest Orange County Transit Authority bus lines serving the City. In the City of Santa Ana, from 2011 to 2012, the number of bicycle collisions rose from 163 in 2011 to 222 in 2012. This is a 36% increase within that year. In addition, collisions involving bicyclists riding on the wrong side of the road increased from 54 in 2011 to 74 in 2012. Finally, bicycle injury collisions increased from 147 in 2011 to 201 in 2012. 2. PERFORMANCE MEASURES A. Goals: 1) To reduce the number of bicyclists killed in traffic collisions. 2) To reduce the number of bicyclists injured in traffic collisions. 3) To reduce the total number of bicyclists injured in traffic collisions riding in the wrong direction. 4) To reduce the number of bicyclists under the age of 15 killed in traffic collisions. 5) To reduce the number of bicyclists under the age of 15 injured in traffic collisions. B. Objectives: l) To develop a bicycle safety program and materials to be adopted as an on -going program in 20 schools reaching 5,000 children by September 30, 2015. OTS -38b (Rev. 5/14) 20E -4 SCHEDULE A GRANT DESCRIPTION GRANT No. PS 1506 PAGE 2 2) To conduct 20 bicycle safety classroom presentations impacting approximately 5,000 people by September 30, 2015. 3) To conduct 4 bicycle rodeos impacting approximately 500 people by September 30, 2015. 4) To distribute and properly fit 1,000 safety helmets to students and community members participating in rodeos and other bicycle safety events by September 30, 2015. 5) To conduct approximately 4 safety helmet inspections and make necessary adjustments at schools and community events September 30, 2015. 6) To strongly emphasize enforcement of safety helmet laws (with a diversion or parental notification program) by September 30, 2015. 7) To identify and recognize students who were "saved by the safety helmet." Each case will be reported to OTS and a special note will be made of those cases that involve an OTS funded helmet. 8) To implement a data tracking system to identify bicycle and pedestrian traffic collisions and issues and to communicate the information on a regular basis to school officials, police department personnel, and other interested groups by September 30, 2015. 9) To establish a community Traffic Safety Committee to identify problem areas and provide program recommendations, and implementation by September 30, 2015. 10) To describe and assess separately the effectiveness of "paid and donated" printed messages by providing: a. Number of messages produced. b. Subject of each message. c. Number of printings for each message. d. Total size of audience reached. e. Total cost or donated value. f. Conduct evaluation surveys as appropriate. 3. METHODOEPROCEDURE A. Phase I - Program Preparation Training and Implementation (1" Quarter of Grant Year) • City staff will issue a request for proposal (PFP) for a marketing consultant to develop a bicycle safety campaign by October 31, 2014. Select a marketing consultant by December 31, 2014. OTS -38b (Rev. 5/14) 20E -5 SCHEDULE A GRANT DESCRIPTION GRANT No. PS 1506 Derr 1 • Conduct a helmet usage survey (pre -grant activities). Media Requirements • Issue a press release announcing the kick -off of the grant by November 15. The kick -off press releases and media advisories, alerts, and materials must be emailed to the OTS Public Information Officer at niofaots.ca.gov, and copied to your OTS Coordinator, for approval 14 days prior to the issuance date of the release. B. Phase 2 - Program Operations (Throughout Grant Year) • Prepare a plan of action for implementing the Public Education Campaign by February 28, 2015. • Develop a bicycle and pedestrian safety website for the City of Santa Ana by April 30, 2015. • Advertise on the interior and exterior of OCTA buses by August 30, 2015. • Have banners prepared and ready for presentation, and displayed throughout the City by August 30, 2015. • Coordinate with the Santa Ana Police Department to conduct three bicycle rodeos or safety fairs by September 30, 2015. • Host a bicycle safety class from bicycling league certified instructor by September 30, 2015. • Develop and acquire collateral materials including coloring books, bicycle helmets, bicycle lights, reflective bands, etc. for public distribution by April 30, 2015. • Distribute 1,000 educational brochures and collateral materials to various groups, including schools, libraries, and similar public facilities by September 30, 2015. • Coordinate with the Santa Ana Police Department to conduct four saturation patrols enforcing bicycle laws by September 30, 2015. • Conduct a helmet usage survey by September 30, 2015 (post -grant activities). Media Requirements • Send all grant- related activity press releases, media advisories, alerts and general public materials to the OTS Public Information Officer (PIO) at piocei:ots.ca.kov, with a copy to your OTS Coordinator. OTS -38b (Rev. 5114) 20E -6 SCHEDULE A GRANT DESCRIPTION GRANT No. PS1506 PAGE 4 a) If an OTS template -based press release is used, the OTS PIO and Coordinator should be copied when the release is distributed to the press. If an OTS template is not used, or is substantially changed, a draft press release should first be sent to the OTS PIO for approval. Optimum lead time would be 10 -20 days prior to the release date to ensure adequate turn- around time. b) Press releases reporting the results of grant activities such as enforcement operations are exempt from the recommended advance approval process, but still should be copied to the OTS PIO and Coordinator when the release is distributed to the press. C) Activities such as warrant or probation sweeps and court stings that could be compromised by advanced publicity are exempt from pre - publicity, but are encouraged to offer embargoed media coverage and to report the results. • Use the following standard language in all press, media, and printed materials: Funding for this program was provided by a grant from the California Office of Traffic Safety, through the National Highway Traffic Safety Administration. • Email the OTS PIO at pioaots.ca.aov and copy your OTS Coordinator at least 30 days in advance, a short description of any significant grant- related traffic safety event or program so OTS has sufficient notice to arrange for attendance and/or participation in the event. • Submit a draft or rough -cut of all printed or recorded material (brochures, posters, scripts, artwork, trailer graphics, etc.) to the OTS PIO at pioiccots.ca.gov and copy your OTS Coordinator for approval 14 days prior to the production or duplication. • Include the OTS logo, space permitting, on grant- funded print materials; consult your OTS Coordinator for specifics. C. Phase 3 — Data Collection & Reporting (Throughout Grant Year) • Agencies are required to collect and report quarterly, appropriate data that supports the progress of goals and objectives. • Statistical data relating to the grant goals and objectives will be collected, analyzed, and incorporated in Quarterly Performance Reports (QPRs). QPRs for the quarter ending September 30 will include year -to -date comparisons of goals and objectives. If required, a separate quarterly data reporting form will be completed each quarter and submitted as part of the QPR. • Reports will compare actual grant accomplishments with the planned accomplishments. They will include information concerning changes made by the Grant Director in planning and guiding the grant efforts. OTS -38b (Rev. 5/14) 20E -7 SCHEDULE A GRANT DESCRIPTION GRANT No. PS 1506 PAGE 5 • Reports shall be completed and submitted in accordance with OTS requirements as specified in the Grant Program Manual. 4. METHOD OF EVALUATION Using the data compiled during the grant, the Grant Director will complete the "Final Evaluation" section in the fourth/final Quarterly Performance Report (QPR). The Final Evaluation should provide a brief summary of the grant's accomplishments, challenges and significant activities. This narrative should also include whether goals and objectives were met, exceeded, or an explanation why objectives were not completed. S. ADMINISTRATIVE SUPPORT This program has full support of the City of Santa Ana. Every effort will be made to continue the activities after the grant conclusion. OTS -38b (Rev. 5/]4) 20E -8 SCHEDULE B DETAILED BUDGET ESTIMATE GRANT NO, PSI 506 COST CATEGORY CATALOG TOTAL FUND NUMBER NUMBER (CFDA) FUND DESCRIPTION AMOUNT Positions and Salaries Full Time None Overtime None 402PS 20.600 State and Community Highway Safety $ 100,000.00 402PN1 20.600 State and Community Highway Safety $ 50,000.00 COST CATEGORY FISCAL YEAR ESTIMATES TOTAL COST TO GRANT A. PERSONNEL COSTS CFDA FY -1 10/1/14 thru 9/30/15 Positions and Salaries Full Time None Overtime None $ S - $ $ S $ Cate o Sub -Total S $ B. TRAVEL EXPENSE In -State Out -of -State $ - $ " Category Sub -Total is C. CONTRACTUAL SERVICES Marketing Consultant Marketing Consultant 20.600 20.600 $ 100,000.00 S 50,000.00 $ 100,000.00 $ 50,000.00 Category Sub -Total $ 150,000.00 $ 150,000.00 D. EQUIPMENT None $ $ Category Sub -Total E. OTHER DIRECT COSTS None $ Is Category Sub -Total is - $ ' F. INDIRECT COSTS None $ $ Cate o Sub -Total $ - $ ' GRANT TOTAL $ 150,000.00 S 150,000.00 CTS -38d (Rev. 6/14) Page 1 of 1 20E -9 SCHEDULEB -1 GRANT No. PS1506 BUDGET NARRATIVE Page 1 PERSONNEL COSTS None TRAVEL EXPENSE None CONTRACTUAL SERVICES Marketine Consultant — consultant will be hired to provide assistance to develop the bicycle safety campaign, develop and purchase the educational materials, purchase the bicycle helmets, and purchase the bicycle safety equipment. EQUIPMENT None OTHER DIRECT COSTS None INDIRECT COSTS None PROGRAM INCOME There will be no program income generated from this grant. OTS- 38f(Rev.6,14) 20E -10 SCHEDULE DETAILED BUDGET ESTIMATE GRANT NO. PSI 506 Sub - Budget: Marketing Consultant COST CATEGORY CATALOG TOTAL FUND NUMBER NUMBER (CFDA) FUND DESCRIPTION AMOUNT Positions and Salaries Marketing Consultant 20.600 402PS 20.600 State and Community Highway Safety $ 100,000.00 402PM 20.600 State and Community Highway Safety $ 50,000.00 COST CATEGORY FISCAL YEAR ESTIMATES TOTAL COST TO GRANT A. PERSONNEL COSTS CFDA FY -1 10/1/14 thru 9/30/15 Positions and Salaries Marketing Consultant 20.600 $ 50,000.00 $ $ 50,000.00 $ Category Sub -Total $ 50,000.00 $ 50,000.00 B. TRAVEL EXPENSE In -State Out -of -State $ - $ - $ - $ " Category Sub -Total $ $ C. CONTRACTUAL SERVICES Paid Media 20.600 $ 50,000.00 $ 50,000.00 Category Sub -Total $ 50,000.00 $ SQ000.00 D. EQUIPMENT None S $ Cate ory Sub -Total $ $ - E. OTHER DIRECT COSTS Educational Materials Bicycle Helmets Bicycle Safety Equi ment 20.600 20.600 20.600 $ 20,000.00 $ 20,000.00 $ 10,000.00 $ 20,000.00 $ 20,000.00 $ 10,000.00 Category Sub -Total $ 50,000.00 $ 50,000.00 F. INDIRECT COSTS None $ $ " Category Sub -Total $ - $ " GRANT TOTALI $ 150 000.00 OTS -38d (Rev. 6il4) Page 1 of 1 20E -11 SCHEDULE B -1 GRANT NO. PS 1506 SUB BUDGET: MARKETING CONSULTANT BUDGET NARRATIVE Page 1 PERSONNEL COSTS Marketing Consultant — consultant will to provide assistance to develop the bicycle safety campaign, develop and purchase the educational materials, purchase the bicycle helmets, and purchase the bicycle safety equipment. TRAVEL EXPENSE None CONTRACTUAL SERVICES Paid Media — bilingual bus tail and interior advertisements on Orange County Transit Authority buses will be displayed. Twenty bus tail advertisements for six weeks and 100 interior ads on buses for three months. EOIIIPMENT None OTHER DIRECT COSTS Educational Materials — used to purchase, develop, or print brochures, pamphlets, fliers, coloring books, posters, signs, and banners associated with grant activities, and traffic safety conference and training materials. Items shall include a traffic safety message and if space is available the OTS logo. Additional items may be purchased if approved by OTS. 1,000 Bicycle Helmet(s) - helmets to be distributed during bicycle rodeos and other bicycle safety related events. Bicycle Safety Equipment — safety equipment such as bicycle headlights /taillights, reflectors, and reflective arm and leg bands to be distributed during bicycle rodeos and other bicycle safety related events. INDIRECT COSTS None PROGRAM INCONIE There will be no program income generated from this grant. OTS-38f (Rev. 6/14) 20E -12 EXHIBIT A CERTIFICATIONS AND ASSURANCES Page I Failure to comply with applicable Federal statutes, regulations, and directives may subject Grantee Agency officials to civil or criminal penalties and/or place the State in a high risk grantee status in accordance with 49 CFR §18.12. The officials named on the Grant Agreement, certify by way of signature on the Grant Agreement signature page, that the Grantee Agency complies with all applicable Federal statutes, regulations, and directives and State rules, guidelines, policies and laws in effect with respect to the periods for which it receives grant funding. Applicable provisions include, but are not limited to, the following: • 23 U.S.C. Chapter 4 - Highway Safety Act of 1966, as amended • 49 CFR Part 18 - Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments • 23 CFR Chapter II - ( §§ 1200, 1205, 1206, 1250, 1251, & 1252) Regulations governing highway safety programs • NHTSA Order 462 -6C - Matching Rates for State and Community Highway Safety Programs • Highway Safety Grant Funding Policy for Field- Administered Grants NONDISCRIMINATION The Grantee Agency will comply with all Federal statutes and implementing regulations relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (88), which prohibits discrimination on the basis of race, color or national origin (and 49 CFR Part 21); (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 sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended 29( U.S.C. 22J4, and the Americans with Disabilities Act of 1990 (101), as amended (42 U.S.C. 12 10 1, et seq.), which prohibits discrimination on the basis of disabilities (and 49 CFR Part 27); (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. 6101- 6107), which prohibits discrimination on the basis of age; (e) the Civil Rights Restoration Act of 1987 (100), which requires Federal -aid recipients and all subrecipients to prevent discrimination and ensure nondiscrimination in all of their programs and activities; (f) the Drug Abuse Office and Treatment Act of 1972 (92), as amended, relating to nondiscrimination on the basis of drug abuse; (g) the comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (91), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (h) Sections 523 and 527 of the Public Health Service Act of 1912, as amended (42 U.S.C. 290dd -3 and 290ee -3), relating to confidentiality of alcohol and drug abuse patient records; (i) Title VIII of the Civil Rights Act of 1968, as amended (42 U.S.C. 3601, et seq.), relating to nondiscrimination in the sale, rental or financing of housing; 0) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and (k) the requirements of any other nondiscrimination statute(s) which may apply to the application. Certifications and Assurances (Rev. 2014) 20E -13 EXHIBIT A CERTIFICATIONS AND ASSURANCES AMERICA ACT The Grantee Agency will comply with the provisions of the Buy America Act (49 U.S.C. 53230)), which contains the following requirements: Only steel, iron and manufactured products produced in the United States may be purchased with Federal funds unless the Secretary of Transportation determines that such domestic purchases would be inconsistent with the public interest, that such materials are not reasonably available and of a satisfactory quality, or that inclusion of domestic materials will increase the cost of the overall project contract by more than 25 percent. Clear justification for the purchase of non - domestic items must be in the form of a waiver request submitted to and approved by the Secretary of Transportation. POLITICAL ACTIVITY (HATCH ACT) The Grantee Agency will comply with provisions of the Hatch Act (5 U.S.C. 1501 -1508) which limits the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. CERTIFICATION REGARDING FEDERAL LOBBYING Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that: 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 Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 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 sub -award at all tiers (including subcontracts, subgrants, and contracts under grant, 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. Certifications and Assurances (Rev. 2014) 20E -14 EXHIBIT A CERTIFICATIONS AND ASSURANCES RESTRICTION ON STATE LOBBYING Page 3 None of the funds under this program will be used for any activity specifically designed to urge or influence a State or local legislator to favor or oppose the adoption of any specific legislative proposal pending before any State or local legislative body. Such activities include both direct and indirect (e.g., "grassroots ") lobbying activities, with one exception. This does not preclude a State official whose salary is supported with NHTSA funds from engaging in direct communications with State or local legislative officials, in accordance with customary State practice, even if such communications urge legislative officials to favor or oppose the adoption of a specific pending legislative proposal. CERTIFICATION REGARDING DEBARMENT AND SUSPENSION Instructions for Primary Certification 1. By signing and submitting this Grant Agreement, the Grantee Agency official is providing the certification set out below. 2. The inability of a person to provide the certification required below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the Grantee Agency official to furnish a certification or an explanation shall disqualify such person from participation in this transaction. 3. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later determined that the Grantee Agency official knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. 4. The prospective primary participant shall provide immediate written notice to the department or agency to which this Grant Agreement is submitted if at any time the Grantee Agency official learns its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 5. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, Grant Agreement, and voluntarily excluded, as used in this clause, have the meaning set out in the Definitions and coverage sections of 49 CFR Part 29. You may contact the department or agency to which this Grant Agreement is being submitted for assistance in obtaining a copy of those regulations. 6. The Grantee Agency official agrees by submitting this Grant Agreement that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. Certifications and Assurances (Rev. 2014) 20E -15 EXHIBIT A CERTIFICATIONS AND ASSURANCES Page 4 The Grantee Agency official further agrees by submitting this Grant Agreement that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered Transaction," provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 8. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the list of Parties Excluded from Federal Procurement and Non - procurement Programs. 9. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR Part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. Certification Regarding Debarment, Suspension, and Other Responsibility Matters- Primary Covered Transactions (1) The Grantee Agency official certifies to the best of its knowledge and belief, that its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any Federal department or agency; (b) Have not within a three -year period preceding this Grant Agreement been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of record, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or Local) with commission of any of the offenses enumerated in paragraph (l)(b) of this certification; and (d) Have not within a three -year period preceding this application/Grant Agreement had one or more public transactions (Federal, State, or local) terminated for cause or default. (2) Where the Grantee Agency official is unable to certify to any of the Statements in this certification, such prospective participant shall attach an explanation to this Grant Agreement. Certifications and Assurances (Rev, 2014) 20E -16 EXHIBIT A CERTIFICATIONS AND ASSURANCES Page 5 Instructions for Lower Tier Certification L By signing and submitting this Grant Agreement, the prospective lower tier participant is providing the certification set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 3. The prospective lower tier participant shall provide immediate written notice to the person to which this Grant Agreement is submitted if at any time the prospective tower tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 4. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, Grant Agreement, and voluntarily excluded, as used in this clause, have the meanings set out in the Definition and Coverage sections of 49 CPR Part 29. You may contact the person to whom this Grant Agreement is submitted for assistance in obtaining a copy of those regulations. 5. The prospective lower tier participant agrees by submitting this Grant Agreement that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. 6. The prospective lower tier participant further agrees by submitting this Grant Agreement that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion — Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. (See below) 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR Part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the List of Parties Excluded from Federal Procurement and Non - procurement Programs. 8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR Part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from Certifications and Assurances (Rev. 2014) 20E -17 EXHIBIT A CERTIFICATIONS AND ASSURANCES participation in this transaction, in addition to other remedies available to the Federal government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion —Lower Tier Covered Transactions I. The prospective lower tier participant certifies, by submission of this grant agreement, 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 or agency. 2. 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 grant agreement. Certifications and Assurances (Rev. 2014) 20E -18