Loading...
HomeMy WebLinkAboutCA BOARD OF CORRECTIONS 3 - 2005 .. STATE OF CALIFORNIA STANDARD AGREEMENT STD 213 (Rev 06/03) A-2005-207 cOpy AGREEMENT NUM6ER BOC 333-04 REGISTRATION NUM6ER 1. This Agreement is entered into between the State Agency and the Contractor named below: STATE AGENCY'S NAME Board of Corrections CONTRACTOR'S NAME City of Santa Ana 2. The term of this Agreement is: April 1, 2005 through March 31, 2006 3. The maximum amount $200,000.00 of this Agreement is: Two hundred thousand dollars and no cents 4. The parties agree to comply with the terms and conditions of the following exhibits which are by this reference made a part of the Agreement. Sections 1 through 10 5 pages Exhibit A - Grant Agreement Standard Conditions 11 pages Exhibit B - Federal Assurances 3 pages Exhibit C - General Terms and Conditions 5 pages IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto. CONTRACTOR California Department of General Services Use Only CONTRACTOR'S NAME (if other than an individual, state whether a corporation, partnership, etc.) City of Santa DATE SIGNED(Do not type) .e::) oy- F PERSON SIGNING David N. Ream, City Manager AOORESS P.O. Box 1988 (M31) Santa Ana, CA 92701 STATE OF CALIFORNIA AGENCY NAME BOARD OF CORRECTIONS BY (Authorized Signature) DATE SIGNED(Do not type) .e::) PRINTED NAME AND TITLE OF PERSON SIGNING KAREN L. STOll, Executive Director (A) ADDRESS (;'! Exempt per: State Contracting Manual Section 4.06 600 Bercut Drive, Sacramento, CA 95814-0185 III STATE OF CALIFORNIA III TITLE II, PART B FORMULA BLOCK GRANT AGREEMENT BETWEEN THE STATE BOARD OF CORRECTIONS AND CITY OF SANTA ANA This Grant Agreement is made this 1st day of April, 2005, between the State of California, acting by and through the State Board of Corrections, hereafter referred to as the "Board" and CITY OF SANTA ANA an entity duly organized, existing and acting pursuant to the laws of the State of California, hereafter referred to as the "Grantee." WHEREAS: 1. This Grant Agreement is authorized by Chapter 208, State Statutes of 2004, funded from the Title II, Part B Formula Block Grant Program administered by the Office of Juvenile Justice and Delinquency Prevention (OJJDP), U. S. Department of Justice through an award to the California Board of Corrections. 2. The Board has authorized grant funding of the project hereafter described in an amount not exceeding: Two hundred thousand dollars and no cents. $200,000.00 3. This Grant Agreement is of no force or effect until signed by both parties. NOW THEREFORE, the parties agree as follows: SECTION 1. TERM AND AWARD PERIOD The term of this Grant Agreement shall begin on April 1, 2005, and shall remain in effect until March 31, 2006. Grantee: City of Santa Ana 1015 Grant Agreement BOC #333-04 SECTION 2. PROJECT SUMMARY The Leadership Development Strategy Program focuses on increasing students' academic achievement and reducing the number of suspensions/expulsions. The program provides remedial tutoring, positive alternative activities and support services to encourage and enable students to increase school attendance and academic performance. SECTION 3. ASSURANCES AND SUBMITTALS A. Grantee agrees to the following assurances and submittals: 1. Grantee will maintain an Equal Employment Opportunity Plan (EEOP) if the grant award is more than $25,000. 2. If the grant award is $500,000 or more, and Grantee has 50 or more employees, Grantee must submit its EEOP within 60 days from the date of this award to the Federal Office for Civil Rights (OCR) (www.ojp.usdoj.gov/OCR). A copy of the federal approval letter must be submitted to the Board. If Grantee has a current EEOP approval letter, it shall be submitted to the Board. 3. In the event a federal or state court or administrative agency makes a finding of discrimination after a due process hearing on grounds of race, color, religion, national origin, sex, or disability against the Grantee, the Grantee will forward a copy of the finding to OCR. B. Grantee agrees to comply with all conditions of this Grant Agreement, all standard Grant Agreement conditions as contained in Exhibit A, all budget items and conditions as contained in the Request for Application (RFA), all federally required assurances as contained in Exhibit B, and all conditions of the nondiscrimination clause as contained in Exhibit C. SECTION 4. PROJECT OFFICIALS A. The Board's Executive Director or designee shall be the Board's representative for administration of the Grant Agreement and shall have authority to make determinations and findings with respect to each controversy arising under or in connection with the interpretation, performance, or payment for work performed under this Grant Agreement. Disputes shall be resolved in accordance with the provisions of Exhibit A. B. The Grantee project officials shall be those identified in Section 3 of the approved Grant Application. C. Either party may change its project representatives upon written notice to the other party. Grantee: City of Santa Ana 2015 Grant Agreement BDG #333~04 SECTION 5. INCORPORATION OF DOCUMENTS AND GRANTEE COMMITMENTS This Grant Agreement incorporates the following documents: A. Exhibit A, Agreement Standard Conditions. B. Exhibit B, Federal Assurances. C. Exhibit C, General Terms and Conditions. D. Exhibit D, Fiscal Summary. E. Board of Corrections Juvenile Justice and Delinquency Prevention Grant Administration & Audit Guide is incorporated herein by reference. F. Office of Justice Programs (OJP) Financial Guide. G. Grantee's Application and modification(s) submitted to and approved by the Board are incorporated herein by reference and made a part of this Grant Agreement. Grantee accepts and agrees to comply with all terms, provisions, conditions, and commitments of this Grant Agreement, including all incorporated docu(Tlents. SECTION 6. GRANT AMOUNT AND LIMITATION In no event shall the Board be obligated to pay any amount in excess of the grant award. Grantee waives any and all claims against the Board, the State of California, and the federal government on account of project costs which may exceed the sum of the grant award. SECTION 7. PROJECT INCOME Project Income Generated by the Use of Federal Funds Project income is defined as all income received by the Grantee generated as a direct result of a grant supported activity. The portion of project income must be accounted for up to the same ratio of federal fund participation as funded in the project. For example, if the project is funded with 25 percent of federal funds, that percentage is the amount of project income that the Grantee must account for. Types of income that relate directly to a grant and generate project income includes, but is not limited to, the following: . Asset seizures and forfeitures; . Client fees; Grantee: City of Santa Ana 30tS Grant Agreement BOC #333-04 . Interest earned on generated income; . Registration fees; and . Sale of publications, videos, and other project generated materials. Fundraising should not be recognized as project income, as grant funds cannot be used for organized fund raising. Project income shall be used as earned by the Grantee for any purpose that furthers the broad objectives of the statutes under which the award was made (I.e., expanding the project, continuing the project, obtaining equipment or other assets needed for the project, or for the other activities that further the statute's objectives). Project income may only be used for allowable project costs. Project income cannot be used as required cash match, unless specifically allowed in the Program Guidelines. SECTION 8. AVAILABILITY OF FUNDS Grantee agrees that the Board's obligation to pay any sums to the Grantee under any provision of this Grant Agreement is contingent upon the availability of sufficient funds. This Grant Agreement is valid and enforceable only if sufficient funds are made available by the Legislature and by Congress. This Grant Agreement is subject to any additional restrictions, limitations, or conditions enacted by Congress or any statute enacted by Congress which may affect the provisions, terms or funding of this Grant Agreement in any manner. As identified in Exhibit A, Grantee agrees that this Grant Agreement may be terminated at any time by the Board, at its option, where it appears that there will be lack of grant funds available to fulfill this Grant Agreement, provided that after such termination, the Grantee shall be entitled to an amount which equals the eligible project costs which have been incurred by the Grantee prior to such termination. SECTION 9. COMPLETION OF PROJECT Grantee agrees to proceed expeditiously with, and complete, the project in accordance with the grant application and timelines, as approved by the Board and/or as incorporated in all provisions of this Grant Agreement. Grantee acknowledges and understands that failure to meet application assurances, as incorporated in all provisions of this Grant Agreement, may result at any time in award adjustments or Grant Agreement termination by the Board. Grantee: City of Santa Ana 4015 Grant Agreement BOC #333.04 SECTION 10. PAYMENT OF PROJECT COSTS AND WITHHOLDING OF GRANT DISBURSEMENTS The final fiscal invoice and progress report must be submitted to the Board no later than 45 days from the end of the grant award term. Additionally, if required, Grantee must submit a final audit report (refer to the attached Exhibit A, Article 7). Any grant funds not expended or encumbered by the Grantee by the end of the grant term will revert to the Board. Grantee agrees to timely pay any and all costs connected with the project including, without limitation, any and all project costs exceeding the Board share of the project costs. The Board may withhold all or any portion of grant funds in the event of Grant Agreement violations. Additionally, at such time as the balance of grant funds remaining to be disbursed to the Grantee reaches five percent (5%), the Board shall withhold that amount as security, to be released to the Grantee upon complying with all grant provisions. Grantee: City of Santa Ana 5015 Grant Agreement BDG #333-04 EXHIBIT A TITLE II, PART B FORMULA GRANT AGREEMENT STANDARD CONDITIONS ARTICLE 1. DEFINITIONS The following terms shall have the meaning hereafter ascribed to them unless the context clearly requires a contrary meaning: "Allowable (eligible) Expenses" means reasonable and necessary project costs actually incurred which are otherwise eligible for grant funding pursuant to this Grant Agreement and federal and state laws, rules, regulations, guidelines, and policies. "Board" means the State of California Board of Corrections. "Grantee" means the contractor identified on the Standard Agreement. "Eligible Costs" see "Allowable Expenses". "Ineligible Project Costs" means all costs which are not eligible for grant funding pursuant to this Grant Agreement and federal and state laws, rules, regulations, guidelines, and policies even though incurred by the Grantee, including those that are determined by the Board to be unreasonable or unnecessary costs. "Project Costs" means eligible federal grant and match funds expended on allowable (eligible) expenses. "Standard Agreement" refers to the express, written contractual document between the State of California and the Grantee Agency. "Supplant" means to deliberately reduce federal, state, or local funds because of the existence of grant funds. For example, when non-Board grant funds are appropriated for a stated purpose and Board grant funds are awarded for the same purpose, the Grantee replaces its non-Board funds with Board grant funds, thereby reducing the total amount available for the stated grant purpose. Board grant funds must be used to supplement existing funds for program activities and not replace those funds that have been appropriated for the same purpose. Supplanting is strictly prohibited for all Board administered grant funds. Grantee: City of Santa Ana 1 of 11 Exhibit A, Grant Agreement BOC #333.04 ARTICLE 2. PROJECT COSTS A. Allowable Expenses To qualify as match, Grantee expenditures must be for eligible budget items for the funded project, including: 1. Salaries and benefits of city, county employees or public or private contract employees directly involved in the delivery of direct services associated with the project; 2. Services and supplies necessary to deliver direct services associated with the project; 3. In-state travel for city, county employees, volunteers, and student interns in accordance with city, county travel policy necessary for the success of the project; 4. Professional or consultant services, including services provided by community- based organizations, and other charges necessary for the delivery of direct services associated with the project; 5. Fixed assets, up to $1,000 per item, necessary for the delivery of services directly associated with the project. Fixed assets, including computer equipment, furniture, reprographic equipment, and other items over $1,000 per item are ineligible unless a declaration is made in writing by the Project Manager and approved in writing by the Board that: a. The equipment is to be used for direct services associated with the project; b. The equipment is essential to the success of the project; c. Lease and rental options of the fixed asset have been thoroughly investigated; d. The purchase of the equipment is less expensive than leasing or renting the equipment for the one-year grant period; and e. Title to any equipment purchased with federal funds will vest in the State of California and that the equipment will be returned to the State at the end of the grant period, if requested by the Board. (Grantees wishing to maintain title of equipment purchased with grant funds are required to obtain written approval from the Board at the completion of the grant period.) 6. Lease payments for equipment, office space, automation and. reprographic equipment, and other items necessary for the delivery of direct services associated with the project; 7. Operational overhead, indirect and administrative costs necessary for the success of the project up to a maximum of ten percent (10%) of the total grant award. Grantees using grant funds for administrative overhead must maintain documentation supporting charges to the grant for this purpose. In order to claim indirect costs, agencies must develop an indirect cost rate proposal pursuant to the OJP Financial Guide, Part III, Chapter 17. Board staff may review the documentation during site and monitoring visits. Grantee: City of Santa Ana 20111 Exhibit A, Grant Agreement BDC #333-04 B. Ineligible Project Costs 1. Site acquisition; 2. Supplanting existing programs, projects, or personnel; 3. Personal injury compensation or damages arising out of or connected with the project, whether determined by adjudication, arbitration, negotiation, or otherwise; 4. Fines and penalties due to violation of or failure to comply with federal, state or local laws and ordinances; 5. Any costs outside the scope of the approved project; 6. Interest on bonds or any other form of indebtedness required to finance project costs; 7. All costs incurred in violation of the terms, provisions, conditions, or commitments of this Grant Agreement; 8. All costs arising out of or attributable to the Grantee's malfeasance, misfeasance, mismanagement, or negligence; 9. All costs arising out of or connected with contractor claims against the Grantee, or those persons for whom the Grantee may be vicariously liable, including, but not limited to, any and all costs related to defense or settlement of such claims; 10. Criminal justice activities that are not directly related to the approved project; 11. "Buy-Out" of unused sick leave, vacation/administrative leave time not accrued during the grant period. Grant funds may only be used to "buy-out" any period of time an employee was assigned to the grant and paid with grant and/or matching funds; 12. Out-of-state travel and per diem; and 13.Any costs incurred before the grant starting date or after the grant ending date. NOTE: Grantees are not authorized to expend or encumber any federal funds until they receive a copy of the approved Board of Corrections Standard Agreement with all required signatures. ARTICLE 3. GRANTEE'S GENERAL RESPONSIBILITY Grantee is solely responsible for the project activities as identified in the Application for this Grant Agreement. Review and approval by the Board is solely for the purpose of proper administration of grant funds by the Board and shall not be deemed to relieve or restrict the Grantee's responsibility. Grantee: City of Santa Ana 3 of" Exhibit A, Grant Agreement BOC #333-04 ARTICLE 4. GRANTEE ASSURANCES AND COMMITMENTS A. Compliance with Laws and Regulations This grant Agreement is governed by and shall be interpreted in accordance with the laws of the State of California and the United States Department of Justice. Grantee shall at all times comply with all applicable federal and state laws, rules, and regulations, and all applicable local ordinances, specifically including, but not Iimitel:J to, environmental, procurement and safety laws, rules, regulations, and ordinances. B. Fulfillment of Assurances and Declarations Grantee shall fulfill all assurances, declarations, representations, and statements made by the Grantee in the Grant Application, documents, amendments, approved modifications, and communications filed in support of its request for grant funds. C. Use of Grant Funds Grantee shall expend all grant and identified matching funds solely for eligible project costs.. Grantee shall, upon demand, remit to the Board any grant funds and interest or income not expended for eligible project costs or an amount equal to any grant funds expended by the Grantee in violation of the terms, provisions, conditions, or commitments of this Grant Agreement. D. Permits and Licenses Grantee agrees to procure all permits and licenses necessary to complete the project, pay all charges and fees, and give all notices necessary or incidental to the due and lawful proceeding of the project work. E. Fidelity Bond A fidelity bond is not required of projects operated by state, city, school districts, or county units of government. American Indian governmental units do not qualify for an exemption from the fidelity bond requirement. Community-based organizations sponsored by state or local units of government may submit documentation verifying sponsorship in lieu of the bond. The fidelity bond must be issued in an amount equal to 50 percent of the total grant award, including any augmentations, less matching funds if applicable. The fidelity bond may have a deductible in an amount not to exceed one percent of the bond. The bond period must cover the entire grant period. The fidelity bond must be submitted to the Board within 60 days of entering into a signed agreement. Failure to comply with this requirement may result in withholding of grant funds ancIJor termination of the Grant Agreement. Refer to the BOG Audit Guide for additional requirements. Grantee: City of Santa Ana 401" Exhibit A, Grant Agreement BOC #333-04 F. Contracting Requirements In accordance with the provisions of this Grant Agreement, the Grantee may contract with public or private contractors of services for activities necessary for the program implementation and activities of the project. Grantee agrees that in the event of an inconsistency between the Grant Agreement, its Exhibits and Grantee's agreement for services with a contractor, the Grant Agreement and its Exhibits will prevail. Grantee shall ensure that the contractor complies with all requirements of the Grant Agreement. Grantee assures that for any contract awarded by the Grantee, such insurance and fidelity bonds, as is customary and appropriate, will be obtained. Grantee agrees to place appropriate language in all contracts for work on the project requiring the Grantee's contractor(s) to: 1. Books and Records Maintain adequate fiscal and project books, records, documents, and other evidence pertinent to the contractor's work on the project in accordance with generally accepted accounting principles. Adequate supporting documentation shall be maintained in such detail so as to permit tracing transactions from the invoices, to the financial statement, to the accounting records, and to the supporting documentation. These records shall be maintained for a minimum of three years after acceptance of the final (grant project) audit under the Grant Agreement, and shall be subject to examination and/or audit by the Board or designees, state government auditors or designees, or by federal government auditors or designees. 2. Access to Books and Records Make such books, records, supporting documentations, and other evidence available to the Board or designees, the Department of General Services, the Department of Finance, the Bureau of State Audits, their designated representatives, and federal government auditors or designees, during the course of the project and for a minimum of three years after acceptance of the final (grant project) audit under the Grant Agreement, and provide suitable facilities for access, monitoring, inspection, and copying thereof. 3. Nondiscrimination Clause During the performance of this Agreement, Contractor and its subcontractors shall not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, physical disability (including HIV and AIDS), mental disability, medical condition (cancer), age (over 40), marital status, and denial of family care leave. Contractor and subcontractors shall insure'that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. Contractor and subcontractors Grantee: City of Santa Ana Sot '1 Exhibit A, Grant Agreement BOC #333-04 shall comply with the provIsions of the Fair Employment and Housing Act (Government Code Section 12990 (a-f) et seq.) and the applicable regulations promulgated thereunder (California Code of Regulations, Title 2, Section 7285 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code Section 12990 (a-f), set forth in Chapter 5 of Division 4 of Title 2 of the California Code of Regulations, are incorporated into this Agreement by reference and made a part hereof as if set forth in full. Contractor and its subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement. ARTICLE 5. PROJECT ACCESS The Grantee shall insure that the Board, or any authorized representative, will have suitable access to the project activities, site(s), and staff at all reasonable times during project implementation. ARTICLE 6. RECORDS The Grantee shall establish an official file for the project. The file shall contain adequate documentation of all actions that have been taken with respect to the project, in accordance with generally accepted government accounting principles. The Grantee shall establish separate accounting records and maintain documents, and other evidence sufficient to reflect properly the amount, receipt, and disposition of all project funds, including grant funds and any matching funds by the Grantee and the total cost of the project. The maintenance requirements extend to books of original entry, source documents supporting accounting transactions, the general ledger, subsidiary ledgers, personnel and payroll records, canceled checks, and related documents and records. Source documents include copies of all awards, applications, approved modifications, and required financial and narrative reports. Personnel and payroll records shall include the time and attendance reports for all individuals reimbursed under the grant, whether they are employed full-time or part-time. Time and effort reports are also required for consultants and contractors. The Grantee shall maintain documentation for donated goods and/or services, including the basis for valuation, if eligible under this Agreement. Generally accepted government accounting principles and adequate supporting documentation shall be maintained in such detail so as to provide an audit trail which will permit tracing transactions from the invoices to the financial statement, to the accounting records, and to the supporting documentation for the purpose of determining compliance with PCC S 10115 et seq., GC S 8546.7 and 2 CCR S 1896.60 et seq. Grantee agrees to protect records adequately from fire or other damage. When records are stored away from the Grantee's principal office, a written index of the location of records stored must be on hand and ready access must be assured. All Grantee records relevant to Grantee: City of Santa Ana 6 of 11 Exhibit A, Grant Agreement BDC #333-04 the project must be preserved a minimum of three years after closeout of the grant project and shall be subject at all reasonable times to inspection, examination, monitoring, copying, excerpting, transcribing, and auditing by the Board or designees. If any litigation, claim, negotiation, audit, or other action involving the records has been started before the expiration of the three-year period, the records must be retained until the completion of the action and resolution of all issues which arise from it or until the end of the regular three-year period, whichever is later. ARTICLE 7. ACCOUNTING AND AUDIT REQUIREMENTS . All funds received by the Grantee shall be deposited into separate fund accounts which identify the funds and clearly show the manner of their disposition. Grantee agrees that the audit and accounting procedures shall be in accordance with generally accepted government accounting principles and practices (see Accounting Standards and Procedures for Counties, California State Controller, Division of Local Government Fiscal Affairs) and adequate supporting documentation shall be maintained in such detail so as to provide an audit trail which will permit tracing transactions from support documentation to the accounting records to the financial reports and billings. The Grantee further agrees to the following audit requirements: A. Federal Single Audit Act If the Grantee expends $500,000 or more in a year in federal funds, Grantee. agrees to comply with the provisions pursuant to the Federal Office of Management and Budget Circular No. A-133, "Audits of States, Local Governments, and Non-Profit Organizations." Circular No. A-1'33 requires non-federal entities which meet the expenditure criteria to have either a single or program specific audit conducted for that expenditure year; B. Pre-payment Audit Prior to the deposit of grant funds into the separate account, the Board may require the Grantee to have a system audit performed by an auditor satisfactory to the Board to insure that the Grantee's accounting system meets generally accepted government accounting principles; C. Interim Audit The Board reserves the right to call for a program audit or a system audit at any time between the execution of this Grant Agreement and the completion or termination of the project. At any time, the Board may disallow (that is, deny both use of funds and any applicable matching credit for) all or part of the cost of the activity or action determined to be not in compliance with the terms and conditions of this Grant Agreement, or take other remedies legally available; and, D. Final Audit Within 120 calendar days of the Grant Agreement end date, all Grantees must obtain and submit a final program audit to the Board. Only Grantees expending $500,000 or more in a year are authorized to use federal funds to pay the costs associated with Grantee: City of Santa Ana 70111 Exhibit A. Grant Agreement BDC #333-04 performing the audit. Should the federal single audit report include this grant project in its review and testing, the Grantee may submit the federal single audit to satisfy the final audit requirement. The audit shall be prepared in accordance with generally accepted auditing standards and government auditing standards for financial and compliance audits. The audit may be performed by the Grantee subject to the terms hereinafter described, or the Grantee may hire, at Grantee's cost, an independent auditor to complete the final audit. Since the audit function must maintain organizational independence, the Grantee's financial officer for this project shall not perform audits of the Grant Agreement-related activities. If the Grantee's internal auditor performs the audit, the auditor must be. organizationally independent from the Grantee's accounting and project management functions. Additionally, Grantee's internal auditors who report to the financial officer, or to whom the financial officer reports, shall not perform the audit. The person conducting the audit shall be a certified public accountant, unless a Grantee auditor completes the audit. Failure to comply with these standards could result in the rejection of the audit report. ARTICLE 8. REPORTS Grantee will submit quarterly progress reports to the Board that describe progress made with respect to program objectives and activities as described in the Application. The first progress report will be due August 15, 2005, and will cover the first three months of the grant period. The second and third progress reports will be due November 15, 2005 and February 15, 2006, and will cover the second and third quarters. The final progress report will cover the last quarter of the grant period and will be due May 15, 2006. If required, Grantee will also report results for the OJJDP-developed performance indicators as identified in the Application. A fiscal accounting and request for reimbursement will be submitted quarterly for approved program expenditures. A fiscal accounting is due to the Board even if grant funds are not expended or requested in the reporting period. Failure to submit fiscal and progress reports in a timely manner may result in grant disbursements being withheld. In addition, Grantee shall immediately advise the Board of any significant problems or changes arising during the course of the project. ARTICLE 9. CHANGES No change or modification in the project will be permitted without prior written approval from the Board. Changes may include modification to project scope, changes to performance indicators and outcomes, compliance with collection of data elements, and other significant changes in the budget or program component contained in the approved Agreement. Changes shall not be implemented by the project until authorized to do so by the Board. Grantee: City of Santa Ana 8 of 11 Exhibit A, Grant Agreement BDC #333-04 Under no circumstances will any budget line item changes be authorized which would cause the project to exceed the amount of the grant award identified in the Agreement. Further, in no event shall changes be authorized for the administrative overhead line item which would result in that line item exceeding ten percent (10%) of the grant award. ARTICLE 10. WITHHOLDING OF GRANT DISBURSEMENTS A. The Board may withhold all or any portion of the grant funds provided for by this Grant Agreement in the event that: 1. The Grantee has materially and substantially breached the terms and conditions of this Grant Agreement. 2. The Grantee is unable to demonstrate, to the satisfaction of the Board's Executive Director, continuous availability of sufficient funds to complete the project. B. At such time as the balance of federal funds allocated to the Grantee reaches five percent (5%), the Board shall withhold that amount as security, to be released to the Grantee upon complying with all grant provisions, including: 1) receipt and approval of the final invoice; 2) receipt and approval of the final progress report; 3) receipt and approval of any additional required reports demonstrating program effectiveness; and 4) receipt and approval of the final audit, if required. C. In the event that grant funds are withheld from the Grantee, the Board's Executive Director or designee shall notify the Grantee of the reasons for withholding and advise the Grantee of the time within which the Grantee may remedy the failure or violation leading to the withholding. The Board will not reimburse Grantee for costs identified as ineligible for grant funding. If grant funds have been provided for costs subsequently discovered to be ineligible, the Board may either withhold an equal amount from subsequent payments to the Grantee or require repayment of an equal amount to the state by the Grantee. ARTICLE 11. DISBURSEMENT The Grantee shall be paid in arrears on invoices of expenditures and request for grant funds submitted to the Board on the forms or processes determined by the Board and certify to the accuracy of the reports in accordance with generally accepted governmental accounting principles and Board regulations, guidelines, policies, and procedures. The Grantee shall further certify that all listed expenditures are actual and that all funds were expended for the purpose of liquidating identified obligations. The state will normally issue a warrant for eligible Grant Agreement funds within 20 days of receipt of a complete and accurate Grantee invoice. Grantee: City of Santa Ana 90t 11 Exhibit A, Grant Agreement BOC #333-04 ARTICLE 12. TERMINATION A. This Grant Agreement may be terminated at any time by the Board, at its option, where it appears that there will be lack of grant funds available to fulfill this Grant Agreement, provided that after such termination, the Grantee shall be entitled to an amount which equals the eligible project costs which have been incurred by the Grantee prior to such termination. B. This Grant Agreement may be terminated after the award of the Grant Agreement but prior to completion of the project, by the Board, upon action or inaction by the Grantee which constitutes a material and substantial breach of this Grant Agreement. Such action or inaction by the Grantee includes but is not limited to: 1. Substantial alteration of the scope of the grant project without the prior written approval of the Board; 2. Refusal or inability to complete the grant project in a manner consistent with the grant application or approved modifications; 3. Failure to provide the required local match share of the total project costs; 4. Failure to meet prescribed assurances, commitments, Grant Agreement, record accounting and auditing, and reporting requirements. In the event of termination, Grantee shall, upon notification, refund to the Board an amount up to all grant funds previously disbursed to the Grantee. C. Prior to terminating any Grant Agreement under this provision, the Board shall provide the Grantee at least 30 days written notice, stating the reason(s) for termination and effective date thereof. The Grantee may appeal the termination decision in accordance with Article 13. D. Nothing in this Article in any way alters or limits the authority of the Board to withhold grant funds in accordance with Article 10. ARTICLE 13. DISPUTES A Grantee may appeal a Board staff decision on the basis of alleged misapplication, capricious interpretation of the regulations, policies and procedures, or substantial differences of opinion that may occur concerning the proper application of regulations, policies or procedures. If a Grantee is dissatisfied with an action of the Board Field Representative, the Grantee may appeal the cause of the dissatisfaction to the Deputy Director in. charge of the Corrections Planning and Programs Division of the Board. Such appeals shall be filed within 30 calendar days of the notification of action with which the Grantee is dissatisfied. The appeal shall be in writing, and: Grantee: City of Santa Ana 10 of 11 Exhibit A, Grant Agreement BDG #333-04 . state the basis for the dissatisfaction; . state the action being requested of the Deputy Director; and, . attach any documentation related to the cause for dissatisfaction. The Deputy Director will review the correspondence and related documentation and render a decision on the appeal within 30 calendar days, except in those cases where the Grantee withdraws or abandons the appeal. The procedural time requirement may be waived with the mutual consent of the Grantee and the Deputy Director. The Deputy Director may render a decision based on the correspondence and related documentation submitted by the Grantee and may consider other relevant sources of information deemed appropriate. The decision of the Deputy Director shall be in writing and shall provide the rationale for the decision, If the Grantee is dissatisfied with the decision of the Deputy Director, the Grantee may file a request for review by the Board Executive Director. Such a request shall be filed within 30 calendar days after receipt of the Deputy Director's decision. The requested review shall be in writing, and: . state the basis for the dissatisfaction; . state the action being requested of the Executive Director; and . attach any correspondence related to the appeal. The Executive Director, after reviewing the appeal and the correspondence related to the review, may decide the matter on the record, or request additional information, After a decision is made by the Executive Director, notice of the decision shall be mailed to the Grantee. The decision of the Executive Director shall be final. ARTICLE 14. WAIVER The parties hereto may waive any of their rights under this Grant Agreement unless such waiver is contrary to law, provided that any such waiver shall be in writing and signed by the party making such waiver. ARTICLE 15. AMENDMENT This Grant Agreement may be amended at any time by mutual written agreement of the parties. Grantee: City of Santa Ana 11 of 11 Exhibit A, Grant Agreement BDC #333-04 EXHIBIT B FEDERAL ASSURANCES The Grantee hereby assures and certifies compliance with all federal statutes, regulations, policies, guidelines and requirements including the following: 1. As required by Section 1352, Title 31 of the U.S. Code, and implemented as 28 CFR, Part 69, for persons entering into a grant or cooperative agreement over $100,000 as defined at 28 CFR, Part 69, the Grantee certifies that A. No federally 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 making of any federal grant, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal grant or cooperative agreement. B. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal grant or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. C. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers [including subgrants, contracts under grants and cooperative agreements .and subcontract(s)] and that all. sub recipients shall certify and disclose accordingly. 2. As required by Executive Order 12549, Debarment and Suspension, and implemented at 28 CFR, Part 67, for prospective participants in primary covered transactions, as defined at 28 CFR, Part 67, Section 67.510, the Grantee certifies that it and its principals: A. Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial of federal benefits by a State or Federal Court, or voluntarily. excluded from covered transactions by any federal department or agency. B. Have not, within a three-year period preceding this applica.tion, 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 records, making false statements, or receiving stolen property. Grantee: City of Santa Ana 1013 Exhibit B. Grant Agreement BOC #333-04 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 above. D. Have not, within a three-year period preceding this Grant Agreement, had one or more public transactions (federal, state, or local) terminated for cause or default. 3. Drug-Free Workplace As required by the Drug-Free Workplace Act of 1988, and implemented at 28 CFR Part 67, Subpart F, for Grantees, as defined at 28 CFR Part 67 Sections 67.615 and 67.620: A. The Grantee certifies that they will or will continue to 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 Grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing an on-going drug-free awareness program to inform employees about: 1, The dangers of drug abuse in the workplace; 2. The Grantee's policy of maintaining a drug-free workplace; 3. Any available drug counseling, rehabilitation, and employee assistance programs; 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 to be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will: 1. Abide by the terms of the statement; and 2. Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction; (e) Notifying the Board in writing, within 10 calendar days after receiving notice under subparagraph (d) (2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to: Department of Justice, Office of Justice Programs, ATTN: Control Desk, 633 Indiana Avenue, N.W., Washington, D.C. 20531. Notice shall include the identification number(s) of each affected grant; Grantee: City of Santa Ana 2013 Exhibit B, Grant Agreement BDC #333-04 (f) Taking one of the following actions, within 30 calendar 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, consistent with the requirements of the Rehabilitation Act of 1973, as amended, 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). 4. Grantee agrees to comply with the financial and administration requirements set forth in the current edition of the OJP Financial Guide. 5. Grantee acknowledges that failure to submit an acceptable Equal Employment Opportunity Plan (if required to submit one pursuant to 28 C.F.R. Section 42.302), that is approved by the Office for Civil Rights, is a violation of its Certified Assurances and may result in suspension or termination of funding, until such time as the Grantee is in compliance. 6. Grantee agrees to comply with the organizational audit requirements of OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations, as further described in the current edition of the OJP Financial Guide, Chapter 19. 7. Grantee agrees to comply with all confidentiality requirements of 42 U.S.C. section 3789 g and 28 C.F.R. Part 22 that are applicable to collection use and revelation of data or information. 8. Grantee agrees to comply with the requirements of 28 C.F.R. Part 46 and all OJP policies and procedures regarding the protection of human research subjects, including obtainment of Institutional Review Board approval, if appropriate, and subject informed consent. Grantee: City of Santa Ana 30t3 Exhibit B, Grant Agreement BDC #333-04 EXHIBIT C GENERAL TERMS AND CONDITIONS 1. APPROVAL This Agreement is of no force or effect until signed by both parties and approved by the Department of General Services, if required. Grantee may not commence performance until such approval has been obtained. 2. AMENDMENT No amendment or variation of the terms of this Agreement shall be valid unless made in writing, signed by the parties and approved as required. No oral understanding or agreement not incorporated in this Agreement is binding on any of the parties. 3. ASSIGNMENT This Agreement is not assignable by the Grantee, either in whole or in part, without the consent of the State in the form of a formal written amendment. 4. AUDIT Grantee agrees that the awarding department, the Department of General Services, the Bureau of State Audits, or their designated representative shall have the right to review and to copy any records and supporting documentation pertaining to the performance of this Agreement. Grantee agrees to maintain such records for possible audit for a minimum of three (3) years after final payment, unless a longer period of records retention is stipulated. Grantee agrees to allow the auditor(s) access to such records during normal business hours and to allow interviews of any employees who might reasonably have information related to such records. Further, Grantee agrees to include a similar right of the State to audit records and interview staff in any subcontract related to performance of this Agreement. (GC 8546.7, PCC 10115 et seq., CCR Title 2, Section 1896). 5. INDEMNIFICATION Grantee agrees to indemnify, defend and save harmless the State, its officers, agents and employees from any and all claims and losses accruing or resulting to any and all contractors, subcontractors, suppliers, laborers, and any other person, firm or corporation furnishing or supplying work services, materials, or supplies in connection with the performance of this Agreement, and from any and all claims and losses accruing or resulting to any person, firm or corporation who may be injured or damaged by Grantee in the performance of this Agreement. 6. DISPUTES Grantee shall continue with the responsibilities under this Agreement during any dispute. Grantee: City of Santa Ana 10f5 Exhibit C, Grant Agreement BOC #333~04 7. TERMINATION FOR CAUSE The State may terminate this Agreement and be relieved of any payments should the Grantee fail to perform the requirements of this Agreement at the time and in the manner herein provided. In the event of such termination the State may proceed with the work in any manner deemed proper by the State. All costs to the State shall be deducted from any sum due the Grantee under this Agreement and the balance, if any, shall be paid to the Grantee upon demand. 8. INDEPENDENT CONTRACTOR Grantee, and the agents and employees of Grantee, in the performance of this Agreement, shall act in an independent capacity and not as officers or employees or agents of the State. 9. RECYCLING CERTIFICATION The Grantee shall certify in writing under penalty of perjury, the minimum, if not exact, percentage of recycled content, both post consumer waste and secondary waste as defined in the Public Contract Code, Sections 12161 and 12200, in materials, goods, or supplies offered or products used in the performance of this Agreement, regardless of whether the product meets the required recycled product percentage as defined in the Public Contract Code, Sections 12161 and 12200. Grantee may certify that the product contains zero recycled content. (PCC 10233, 10308.5, 10354). 10. NON-DISCRIMINATION CLAUSE During the performance of this Agreement, Grantee and its subcontractors shall not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, physical disability (including HIV and AIDS), mental disability, medical condition (cancer), age (over 40), marital status, and denial of family care leave. Grantee and subcontractors shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. Grantee and subcontractors shall comply with the provisions of the Fair Employment and Housing Act (Government Code Section 12990 (a-f) et seq.) and the applicable regulations promulgated thereunder (California Code of Regulations, Title 2, Section 7285 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code Section 12990 (a-f), set forth in Chapter 5 of Division 4 of Title 2 of the California Code of Regulations, are incorporated into this Agreement by reference and made a part hereof as if set forth in full. Grantee and its subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreements. Grantee shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under the Agreement. Grantee: City of Santa Ana 2015 Exhibit C, Grant Agreement BDC #333-04 11.CERTIFICATION CLAUSES The CONTRACTOR CERTIFICATION CLAUSES contained in the document CCC 304 are hereby incorporated by reference and made a part of this Agreement by this reference as if attached hereto. 12. TIMELINESS Time is of the essence in this Agreement. 13.COMPENSATION The consideration to be paid Grantee, as provided herein, shall be in compensation for all of Grantee's expenses incurred in the performance hereof, including travel, per diem, and taxes, unless otherwise expressly so provided. 14.GOVERNING LAW This Agreement is governed by and shall be interpreted in accordance with the laws of the State of California. 15.ANTITRUST CLAIMS The Grantee by signing this Agreement hereby certifies that if these services or goods are obtained by means of a competitive bid, the Grantee shall comply with the requirements of the Government Codes Sections set out below. a. The Government Code Chapter on Antitrust claims contains the following definitions: 1). "Public purchase" means a purchase by means of competitive bids of goods, services, or materials by the State or any of its political subdivisions or public agencies on whose behalf the Attorney General may bring an action pursuant to subdivision (c) of Section 16750 of the Business and Professions Code. 2). "Public purchasing body" means the State or the subdivision or agency making a public purchase. Government Code Section 4550. b. In submitting a bid to a public purchasing body, the bidder offers and agrees that if the bid is accepted, it will assign to the purchasing body all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. Sec. 15) or under the Cartwright Act (Chapter 2 (commencing with Section 16700) of Part 2 of Division 7 of the Business and Professions Code), arising from purchases of goods, materials, or services by the bidder for sale to the purchasing body pursuant to the bid. Such assignment shall be made and become effective at the time the purchasing body tenders final payment to the bidder. Government Code Section 4552. c. If an awarding body or public purchasing body receives, either through judgment or settlement, a monetary recovery for a cause of action assigned under this chapter, the assignor shall be entitled to receiveHreimbursement for actual legal costs incurred and may, upon demand, recover from the public body any portion of the recovery, including treble damages, attributable to overcharges that were paid by the assignor but were Grantee: City of Santa Ana 3015 Exhibit C, Grant Agreement BOC #333-04 not paid by the public body as part of the bid price, less the expenses incurred in obtaining that portion of the recovery. Government Code Section 4553. d. Upon demand in writing by the assignor, the assignee shall, within one year from such demand, reassign the cause of action assigned under this part if the assignor has been or may have been injured by the violation of law for which the cause of action arose and (a) the assignee has not been injured thereby, or (b) the assignee declines to file a court action for the cause of action. See Government Code Section 4554. 16. CHILD SUPPORT COMPLIANCE ACT "For any agreement in excess of $100,000, the Grantee acknowledges in accordance with, that: a. The Grantee recognizes the importance of child and family support obligations and shall fully comply with all applicable state and federal laws relating to child and family support enforcement, including, but not limited to, disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with section 5200) of Part 5 of Division 9 of the Family Code; and b. The Grantee, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Hire Registry maintained by the California Employment Development Department." 17. UNENFORCEABLE PROVISION In the event that any provision of this Agreement is unenforceable or held to be unenforceable, then the parties agree that all other provisions of this Agreement have force and effect and shall not be affected thereby. 18. UNION ACTIVITI ES For all agreements, except fixed price contracts of $50,000 or less, the Grantee acknowledges that: Bysigning this Agreement, Grantee hereby acknowledges the applicability of Government Code Section 16645 through Section 16649 to this Agreement and agrees to the following: a. Grantee will not assist, promote or deter union organizing by employees performing work on a state service contract, including a public works contract. b. No state funds received under this'Agreement will be used to assist, promote or deter union organizing. c. Grantee will not, for any business conducted under this Agreement, use any state property to hold meetings with employees or supervisors, if the purpose of such meetings is to assist, promote or deter union organizing, unless the state property is equally available to the general public for holding meetings. Grantee: City of Santa Ana 4015 Exhibit C, Grant Agreement BOC #333-04 d. If Grantee incurs costs, or makes expenditures to assist, promote or deter union organizing, Grantee will maintain records sufficient to show that no reimbursement from state funds has been sought for these costs, and that Grantee shall provide those records to the Attorney General upon request. Grantee: City of Santa Ana 5015 Exhibit C, Grant Agreement BOC #333.04