HomeMy WebLinkAbout20B - AA - AGMT - STEP PROGRAMREQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
JULY 7, 2015
TITLE:
APPROPRIATION ADJUSTMENT
AND AGREEMENT ACCEPTING
OFFICE OF TRAFFIC SAFETY,
STEP PROGRAM GRANT FUNDS
{STRATEGIC PLAN NO. 1, 36}
CITY MANAGIER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
0r]Ji *1T /=Ie7
❑ As Recommended
❑ As Amended
❑ Ordinance on Vt Reading
❑ Ordinance on 2nd Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
1. Authorize the City Manager and Clerk of the Council to execute a one -year agreement
with the State Office of Traffic Safety for Selective Traffic Enforcement Program (STEP)
Grant funds, for the period of October 1, 2015 through September 30, 2016, in an amount
not to exceed $343,480 subject to non - substantive changes approved by the City
Manager and City Attorney.
2. Approve an appropriation adjustment recognizing State of California, Office of Traffic
Safety, Selective Traffic Enforcement Program (STEP) Grant funds in the amount of
$343,480 in the Office of Traffic Safety revenue account and appropriate same to
expenditure accounts.
DISCUSSION
The Santa Ana Police Department has been awarded a $343,480 grant from the State of
California, Office of Traffic Safety under the Selective Traffic Enforcement Program (STEP). The
goal of this program is to reduce the number of persons killed and injured in crashes involving
alcohol, speed, red light running, and other primary collision factors. To accomplish this goal, the
program will fund education and enforcement activities.
The enforcement activities will follow proven, "best practice" strategies and will be conducted on
an overtime basis. The funded strategies will include DUI checkpoints and DUI saturation patrols
to apprehend drunk drivers. The program will also concentrate on bicycle /pedestrian safety,
speed violations, aggressive driving, and seat belt enforcement. The educational portion of the
grant will include funding to facilitate multi -media presentations at local high schools in
partnership with the Santa Ana Unified School District. Promotional and educational materials will
be made available to support our ongoing outreach programs already in place. This one -year
agreement will cover the program period from October 1, 2015 through September 30, 2016.
20B -1
Agreement with OTS for STEP Program
July 7, 2015
Page 2
STRATEGIC PLAN ALIGNMENT
Approval of this item allows the City 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 and
reducing criminal activity and traffic collisions).
FISCAL IMPACT
The appropriation adjustment will enhance the Office of Traffic Safety revenue account (no.
16514002 - 52001) and appropriate same to the grant expenditure account (no. 16514414 -
various) for fiscal year 2015 -16 in the amount of $257,610 and fiscal year 2016 -17 in the amount
of $85,870.
�--� APPROV AS TO FUNDS AND ACCOUNTS:
Carlo ojas FIrancisco Gutierrez
Chief of Police Executive Director
Santa Ana Police Department Finance & Mgt. Services Agency
20B -2
State of California — Office of Traffic Safety
GRANT AGREEMENT - Page i
OTS -38 (Rev, 4/15)
GRANT NUMUER
PT16124
1. GRANTTITLE
SELECTIVE TRAFFIC ENFORCEMENT PROGRAM (STEP)
2. NAME OF AGENCY
CITY OF SANTA ANA
4. GIANT PERCOD
From: 1011115
3. AGENCY UNIT TO ADMINISTER GRANT
SANTA ANA POLICE DEPARTMENT
To: 9/30/16
5. GnANTDESCRUTION
To reduce the number of persons killed and injured in traffic crashes involving alcohol and other primary
collision factors, "best practice" strategies will be conducted. The funded strategies may include: DUI
checkpoints, DUI saturation patrols, warrant service operations, stakeout operations, a "HOT Sheet" program,
educational presentations, and court stings. The program may also concentrate on speed, distracted driving,
seat
belt enforcement, operations at intersections with disproportionate numbers of traffic crashes, and special
enforcement operations encouraging motorcycle safety, These strategies are designed to earn media attention
thus enhancing the overall deterrent effect.
6. FEDERAL FUNDS ALLOCATED UNDER THIS AGREEMENT SHALL NOT EXCEED:. $ 343,480.00
7. TERMS AND CONDrr(ONS: 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 * Exhibit A- Certifications and Assurances
Objectives and Method of Procedure • Exhibit B* - OTS Grant Program Manual
• Schedule B (OTS -38d) — Detailed Budget Estimate and
Sub - Budget Estimate (if applicable)
• Schedule B -1 (OTS -38f) -- 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 ota ca ¢ov.
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 A reemoid has been executed b y the parties hereto.
8.__,AI'YltOVAL_S,IGYAT'I1RES
-
A. GRANT DIRECTOR B. AUTHORIZING OFFICIAL OF A(`ICNCY
NAMe: Enrique Esparza PHONa: 714- 245.8210 NAAm David Cavazos PRONa: 714- 647 -5200
Tres: Commander
FAx: 714 -245 -8190 } THLa: City Manager
FAX: 714. 647.6956
ADDRnss: 60 Civic Center Plaza ADDUSs: 20 Civic Center Plaza, 8 °i Floor
P.O. Box 1981 P.O. Box 1988
Santa Ana, Ca 92702 Santa Ana, Ca 92702
e- [Aa: EEsparza @santa- ana.org ' a -mIL: dcavazos @santa- ana.org
_.. __ ... (Signature) ure)
a t(Signat_
(D. e.
. . . . -
__- E ._- -_
u
D. OrFicEAu ,rHORIZEDTORECVEPAYMCNTS
NAMR: Bich Duong To Poem: 714- 647 -5434 i NAME: Finance Department
Accounting Manager
Tarn: FA C J ADDR ESS: 20 Civic Center Plaza, 3rd Floor
Anmlass: 20 Civic Center Plaza, 3m Floor i P.O. Box 1988
P.O. Box 1988 ; Santa Ana Ca 92702 O
Santa Ana, Ca 92702 c
9, DUNS NUrnHER
s -MAR -: bta @santa- anaarg60 Civic Center Plazay p
DUNS #: 083153247
RBOISTERIin 20 Civic Center Plaza, Ste Floor h
AnDanss & K
(Signature) (Date) zm: Santa Ana, CA 92701 -4058 ro
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GRANTS MADE EASY -STEP
SCHEDULE A
GRANT DESCRIPTION
GRANT No. PT16124
1. PROBLEM STATEMENT
pAnq i
The city of Santa Ana is a dynamic and diverse city. It is a hub of employment within the county drawing hundreds of
thousands of persons to the city on a daily basis. With features like the Bowers Museum, Orange County High School for
the Arts, and Cal State University Fullerton Center for the Arts, it is a popular destination of arts aficionados and students.
The downtown area has become a popular destination on weekend nights. Over the last few years numerous chic
restaurants and bars have opened their doors to welcome patrons, This influx of patrons has greatly increased the number
of drivers on the road in the evenings, many of whom have been drinking.
The city of Santa Ana is the home of approximately 330,000 residents. It has approximately 477 miles of local, arterial,
and collector roads. They are patrolled by approximately 150 sworn police officers that are fielded either in a patrol
assignment or traffic enforcement. The Traffic Division has 18 sworn officers, This includes two Sergeants, three
Corporals, eleven motor officers, and two collision investigators. There are l l motor officers who are tasked with traffic
enforcement, and collision investigation.
Since 2011, there has been a dramatic increase in fatality traffic collisions. Many of these fatalities have been the result of
alcohol - related collisions and pedestrian collisions. Injury traffic collisions have also increased, although not as dramatic
as fatalities. Nearly one half of all injury traffic collisions have been caused by three Primacy Collision Factors: Right of
Way, Unsafe Speed, and Signs & Signals.
Our City has committed itself to Traffic Safety. In a recently published five year strategic plan, traffic safety was outlined
to be a top priority, specifically pedestrian safety. In response, the Traffic Division has already begun education programs
targeting all children and adults alike. We have published printed material and recorded a public safety program.
Through our efforts in education, both grant- funded and internally- funded measures, we hope to prevent the Cragic
consequences of unsafe drivers, pedestrians, and impaired drivers. 'rho educational efforts, in conjunetion with vigorous
enforcement activities will have a positive effect on the connnunity and make our streets safer. We are looking forward to
a successful partnership with the California Office of Traffic Safety as we make our streets safer.
OTS -38b (Rev. 4115)
GRANTS MADE EASY- STEP
SCHLDULE A
GRANT DESCRIPTION
GRANT No. PT16124
A. Traffic Data Summary:
Collision 2012 2013
A e
YAUE L
5014
Fatal
Collisions
Victims
Collisions
Victims'
Collisions
victims
Injury
16
1,413
16
1,970
19
1,324
-Fatal
21
1,916
18
1344
20
1996
Alcohol -
Fatal Injury
8 105
killed Idjared
g 161
Injury
Killed 'Liured_
)<Met
In1ui
Killed Inlnrad,
Involved
3 78
3 126
8
139
$ 222
Hit & Run
4 197
4 251
5 165
6 212
3
194
5 222
Nighttime
(2100 -0259 flours)
5 151
5 214
5 130
5 185
3
139
3 214
To '3 Primary Collision Factors - -T Fatal
Injury Killed _ injured
#1- Right -of -Wa 6
353 7 506
#2 - I Unsafe Speed 1
293 1 460
#3 - Signals and Signs 4
274 5
298
2. PERFORMANCE MEASUR[ts
A. Goals:
1) To reduce the number of persons killed in traffic collisions.
2) To reduce the number of persons injured in traffic collisions,
3) To reduce the number of persons killed in alcohol - involved collisions.
4) To reduce the number of persons injured in alcohol - involved collisions.
5) To reduce the number of persons killed in drug4nvolved collisions,
6) To reduce the number of persons injured in drug- involved collisions.
7) To reduce the number of persons killed in alcohol /drug combo - involved collisions.
8) To reduce the number of persons injured in alcohol /drug combo - involved collisions.
9) To reduce the number of motorcyclists killed in traffic collisions.
10) To reduce the number of motorcyclists injured in traffic collisions.
OTS -38b (Rev, 4/15)
Rekur w a �a r
20B -5
GRANTS MADE EASY - STErP
SCHEWLE A
GRANT DESCRIPTION
GRANT No. PT16124
PACE 3
11) To reduce the number of motorcyclists killed in alcohol - involved collisions.
12) To reduce the number of motorcyclists injured in alcohol - involved collisions.
13) To reduce hit & run fatal collisions.
14) To reduce hit & run injury collisions.
15) To reduce nighttime (2100 - 0259 hours) fatal collisions.
16) To reduce nighttime (2100 - 0259 hours) injury collisions.
17) To reduce the number of bicyclists killed in trafffo collisions.
1 &) To reduce the number of bicyclists injured in traffic collisions,
19) To reduce the number of pedestrians killed in traffic collisions.
20) To reduce the number ofpedestrians injured in traffic collisions.
B. Objectives:
1) To develop (by December 31) and /or maintain a "HOT Sheet" program to notify patrol and traffic
officers to be on the lookout for identified repeat DUI offenders with a suspended or revoked license
as a result of DUI convictions. Updated HOT sheets should be distributed to patrol and traffic
officers monthly.
2) To send 4 law enforcement persomzel to the NHTSA Standardized Field Sobriety Testing (SFST)
(minimum 16 hour) POST - certified training.
3) To send 2 law enforcement personnel to the NHTSA Advanced Roadside Impaired Driving
Enforcement (ARIDE) 16 hour POST - certified training.
4) To send 1 law enforcement personnel to the IACP Drug Recognition Expert (DRS) training.
5) To send 1 law enforcement personnel to the IACP Drug Recognition Expert (DRE) Recertification
training.
6) To conduct 16 DUI /DL Checkpoints. Note: A minimum of I checkpoint should be conducted during
the NHTSA Winter Mobilization and 1 during the NFXTSA Summer Mobilization.
7) To conduct 50 DUI Saturation Patrol operation(s).
OTS -38b (Rev. 4/t5)
rI-
GRANTS MADE EASY - STEP
SCIIEDULE A
GRANT DESCRIPTION
GRANT No. PT16124
PAnvd
8) To conduct 12 Traffic Enforcement operation(s), including but not limited to, primary collision
factor violations.
9) To conduct 10 Distracted Driving enforcement operation(s) targeting drivers using hard held cell
phones and texting.
10) To conduct 2 highly publicized Motorcycle Safety enforcement operation(s) in areas or during
events with a high number of motorcycle incidents or collisions resulting from unsafe speed, DUI,
following too closely, unsafe lane changes, improper turning, and other primary collision factor
violations by motorcyclists and other drivers.
11) To conduct 2 Night -time (2100 - 0259 hours) Click It or Ticket enforcement operation(s).
12) To conduct 10 Traffic Safety educational presentations with an effort to reach 500 connnunity
members. Note: Presentations may include topics such as distracted driving, DUI, speed, bicycle &
pedestrian safety, seatbelts and child passenger safety.
13) To conduct 12 highly publicized enforcement operation(s) in areas of or during events with a high
number of bicycle and /or pedestrian collisions resulting from violations made by bicyclists,
pedestrians, and drivers.
14) To participate in and collect and report DUI enforcement data for the NHTSA Winter and S'wnmer
Mobilizations.
15) To participate in and collect and report data for the National Distracted Driving Awareness Month in
April.
16) To participate in and collect and report data for the NHTSA Click It or Ticket mobilization period in
May.
17) To participate in the National Bicycle Safety Month in May.
18) To collaborate with the county's Avoid Lead Agency by: participating in all planning/scheduling
meetings and MADD /Avoid DUI Seminars; providing your agency's schedule of operations that
occur during any Avoid campaign; and reporting your agency's DUI arrests & DUI fatality
information during any Avoid campaign.
.NOTE; Nothing in this "agreement" shall be interpreted as a requirement, formal or informal, that a
particular police officer issue a specified or predetermined number of citations in pursuance of the
goals and objectives hereunder.
OTS•38b (Rcv. 4115)
20B -7
GRANTS MADE EASY - ST.C, P
SCREDULE A
GRANT DESCRIPTION
GRANT No. 11116124
PACT 5
NOM. To enhance the overall deterrent effect and promote high visibility, it is recommended the
grantee issue an advance press release for each checkpoint operation, Tor combination DWIDL
checkpoints, departments should issue press releases that mention DL's will be checked at the DUI /DL
checkpoint. Signs for DUI /DL checkpoint operations should read 'DUI /Driver's License Checkpoint
Ahead. " OTS does not fund or support independent DL checkpoints. Only on an exception basis and
with OTSpre- approval will OTSfund checkpoint operations that begin prior to 1800 hours.
3. METROD Or PROCEDURE
A. Phase I - Program Preparation. Trainhrg and Implementation (Vi Quarter of Grant Year)
• The police department will develop operational plans to implement the "best practice" strategies
outlined in the objectives section.
• All training needed to implement the program should be conducted this quarter.
• All grant related purchases needed to implement the program should be made this quarter.
• In order to develop /maintain the "Hot Sheets," research will be conducted to identify the "worst of
the worst" repeat DUI offenders with a suspended or revoked license as a result of DUI convictions.
The Hot Sheets may include the driver's name, last known address, DOB, description, current license
status, and the number of times suspended or revoked for DUI. Plot Sheets should be updated and
distributed to traffic and patrol officers at least monthly.
• Implementation of the STEP grant activities will be accomplished by deploying personnel at high
collision locations,
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 pio@ots.ca.eov, and copied to your OTS Coordinator, for approval 14 days prior to the
issuance date of the release.
B. Phase 2 - Program Operations (ThroulhQut Grant Year)
• The police department will work to create media opportunities throughout the grant period to call
attention to the innovative program strategies and outcomes.
Media Requirements
• Send all grant - related activity press releases, media advisories, alerts and general public materials to
the OTS Public Information Officer (PIO) at pio(a )ots.ca.aov, with a copy to your OTS Coordinator.
OTS -38b (Rev. 4/15)
r1- •
GRANTS MADE EASy - STEP
SCHEDULE A
GRANT DESCRIPTION
GRANTNo. PT16124
Dn"4
a) If an OTS template -based press release is used, the OTS PIG 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 shall 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 service operations 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 it, 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.
• Ernail the OTS PIO at nio(ivots.ca,gov 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 -out of all printed or recorded material (brochures, posters, scripts, artwork,
trailer graphics, etc.) to the OTS PIO at pio@ots.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 & Renortin (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 accomplisluuents. They will
include information concerning changes made by the Grant Director in planning and guiding the
grant efforts.
OTS-38b (Rev. ass)
rl- •
GRANTS MADE EASY - STEP
SCHEDULE A
GRANT DESCRIPTION
GRANT No. PT16124
PA(;F. 7
• 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 tho 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 of why objectives were not completed.
5. ADMINISTRATIVE SUPPORT
This program has full support of the City of Santa Ana. Every effort Adll be made to continue the activities
after the grant conclusion.
OTS -38b (Rev. 4115)
20B -10
SCFFDULE B
DETAILED BUDGET ESTIMATE
GRANT NO. PT16124
FUND NUMBER
CATALOG NUMBER
(CFDA
FUND DESCRIPTION
TOTAL
AMOUNT
Minimum Penalties for Repeat Offenders for
ttuu 9/30/16
164AL
20.608
Driving While Intoxicated
$ 281,650.00
FY -1
402PT
20.600
State and Community Highway Safety
$ 61,830.00
COST CATEGORY
FISCAL YEAR ESTIMATES
TOTAL COST
1011115
ttuu 9/30/16
TO GRANT
A. PERSONNEL COSTS
CFDA
FY -1
Positions and Salaries
Overtime
DUI /Driver's License Checkpoints
20,608
$
137,600,00
$
137,600.00
DUI Saturation Patrols
20.608
$
139,250.00
$
139,250.00
Traffic Enforcement Operations
20.600
$
14,880.00
$
14,880.00
Distracted Driving Operations
20.600
$
12,400.00
$
12,400.00
Motorcycle Safety Operations
20.600
$
2,480.00
$
2,480,00
Nighttime CIOT Operations
20.600
$
2,480,00
$
2,480.00
Bike /Pedestrian Safety Operations
20 .600
$
14,880.00
$
14,880.00
Traffic Safety Education Presentations
20.600
$
4,560.00
$
4,560.00
SFST /ARIDE /DREInstruction & Cerlificartar
20.600
$
3,650.00
$
3,650.00
Category Sub -Total
$
332,180..00
1
$ 332,18100
B. TRAVEL EXPENSE
In -State
20,600
$
2,500.00
$
2,500.00
Out -of -State
$
_
$
-
Category Sub -Total
$
2,500.00
$
250000
C. CONTRACTUAL SERVICES
None
$
$
Category Sub -Total
$
D. EQUIPMENT
None
$
$
Category Sub -Total
E. OTIIER DIRECT COSTS
Multi -Media Presentations
20.600
,$
4,000.00
$
4,000.00
PAS Flashlights
20.608
$
2,400.00
$
2,400.00
PASDevice /Calibration Supplies
20.608.
$
2,400,00
$
2,400.00
Category Sub -Total
$
8,800,00
$.
8,800.00
P. INDIRF,CT COSTS
None
$
Category Sub -Total
$
-
GRANT TOTAL
$
343 480.00 u
$ 343,480.00
OTS - -38d (Rev. 4115) Page 1 of I
20B -11
SCREDULE B -1
GRANT No. PT16124
BUDGET 1NARRnTivE Page 1
PERSONNEL COSTS
Overtime
Overtime for grant funded law enforcement operations may be conducted by personnel such as a
Lieutenant, Sergeant, Corporal, Deputy, Officer, Reserve Officer, Community Services Officer,
Dispatcher, etc., depending on the titles used by the agency and the grantees overtime policy, Personnel
will be deployed as needed to accomplish the grant goals and objectives.
Costs are estimated based on an overthne horsily rate range of $50.00/hour to $99.00 /hour.
Overtime reimbursement will reflect actual costs of the personnel conducting the appropriate operation
up to the maximum range specified,
No benefits will be paid in this grant.
TRAVEL EXPENSE
In State
Costs are included for appropriate staff to attend conferences and training events supporting the grant
goals and objectives and /or traffic safety. Local mileage for grant activities and meetings is included.
Anticipated travel may include Lifesavers (enter other known conferences or required events). All
conferences, seminars or training notspeciflcally identified in the Schedule B -1 (Budget Narrative) must
be approved by OTS. All travel claimed must be at the agency approved rate, Per Diem may not be
claimed for meals provided at conferences when registration fees are paid with OTSgrant funds.
CONTRACTUAL SERVICES
None
EQUIPMENT
None
OTHER DIRECT C087S
4 Multi -Media Presentations - to provide high - impact traffic safety presentations to convey the message
about the consequences of drinking and driving, distracted driving, and making the right choices when
behind the wheel.
3 PAS Flashlights — preliminary alcohol screening flashlights combine a high- intensity flashlight, a
dynamic sampling system and a miniature alcohol sensor to analyze ambient air, breath, open containers or
enclosed spaces for the presence of alcohol during enforcement efforts for DUI.
3 PAS Device /Calibration Supplies - preliminary alcohol screening devices to detect the presence of
alcohol in a person's breath and calibration supplies to ensure accuracy. Costs may include mouth pieces,
gas, and accessories.
OTS -38f (Rev. 4115)
20B -12
SCHEDULE B-1
CPAW' IVA DmIKIIA
OTS•38E(Rev, 4115)
20B -13
El XHIBIT A
CrPTUICATIONS AND AssuRANcBs
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 signanaxc 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 finding.
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— Unifomr Administrative Requirements for Grants and Cooperative Agreements to
State and Local Governments
• 23 CF`R Part 1200 — Uniform Procedures for State Highway Safety Grant Programs
NoNDIBCRumiNATION
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 (Pub, L. 88-
352), 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. 794), and the Americans with Disabilities Act of 1990 (Pub. L. 101 -336), as amended (42 U.S.C. 12101,
et seg.), which prohibits discrimination on the basis of disabilities (and 49 CFR Part 27); (d) the Ago
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 (Pub. L. 100 -259), which requires Federal -aid recipients and
all sub - recipients to prevent discrimination and ensure nondiscrimination in all of their programs and activities;
(f) the Drug Abuse Office and Treatment Act of 1972 (Pub. L. 92- 255), as amended, relating to
nondiscrimination on the basis of drug abuse; (8) the comprehensive Alcohol Abuse and Alcoholism
Prevention, Treatment and Rehabilitation Act of 1970 (Pub, L. 91 -616), 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 statutes) 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. h/15)
20B -14
EXHIBIT A
CERTIFICATIONS AND ASSURANCES
BUx AMERICA ACT Page 2
The Grantee Agency will comply with the provisions of the Buy America Act (49 U,S.C. 5323(j)), 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 pats 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
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 malting 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 personn 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 Forrn-
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, sub - grants, and contracts under grant, loans, and
cooperative agreements) and that all sub - recipients 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
certification sI all be subje t to a civil pelt lty f not less than $10,000 and not morelthtan $100,000 for each
such failure,
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CERTIFICATION REGARDING DEBARMENT AND SUSPENSIdN Page 3
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 Grant Agency Official 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 teams 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 covorago sections of 49 CFIt Part 29. You may
contact the department or agency to which this grant agreement is being submitted for assistance n
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.
7. 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 vohnttarity, 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
Certifications and Assurances (Rev. 6115)
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CERTIrICATIONS AND ASSURANCES
euglourty or its principals, Each participant may, but is not required to, check the
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 (1)(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,
Instructions for Lower Tier Certification
1. 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, tine
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department or agency with which this transaction originated may pursue
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 lower 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 CFR 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 volmtarily excluded from
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.
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Page 6
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary
Covered Transactions:
1. 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.
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