Lathrop City Council
September 11, 2023

ITEM 4. 6

CITY MANAGER' S REPORT
SEPTEMBER li, 2023 CITY COUNCIL REGULAR MEETING
ITEM: AUTHORIZE ACCEPTANCE OF THE SELECTIVE

TRAFFIC ENFORCEMENT PROGRAM ( STEP) GRANT

FUND AWARD FROM THE STATE OF CALIFORNIA

OFFICE OF THE TRAFFIC SAFETY ( OTS)
RECOMMENDATION: Adopt Resolution Authorizing the Chief of Police to Accept the Selective Traffic Enforcement Program
STEP) Grant Fund Award of $60, 000 from the State
of California Office of Traffic Safety ( OTS)
SUMMARY:

In January 2023, the Lathrop Police Department ( LPD) submitted an application to the State of California Office of Traffic Safety ( OTS) for a Selective Traffic Enforcement Program ( STEP) grant. This grant is funded by the National Highway Transportation Safety Administration ( NHTSA) and is administered by the OTS. The Lathrop Police Department has been tentatively awarded $ 60, 000 for STEP Activities.

The purpose of this grant is to reduce the number of persons killed and injured in crashes involving alcohol and other primary collision factors. STEP activities include the following: impaired driving enforcement, enforcement operations focused on primary crash factors, distracted driving, seat- belt enforcement, officer training, and public education and awareness programs.

LPD will be able to utilize these funds on focused traffic enforcements to mitigate traffic issues in the City due to speeding, drunk driving, distracted and reckless driving, along with purchasing traffic equipment and providing officer training. Staff recommends Council adopt resolution authorizing the Chief of Police to accept the STEP grant fund award of $ 60, 000 from the State of California Office of Traffic Safety and sign the final grant agreement.

BACKGROUND:

In January 2023, the Lathrop Police Department submitted an application to the State of California Office of Traffic Safety for the STEP grant and has been tentatively awarded $ 60, 000 for STEP activities.

The City of Lathrop has immediate access and proximity to Interstate 5, Interstate 205, Highway 120, and Highway 99 which brings with it increased vehicle traffic from residents and visitors passing through on the freeways. An analysis of our traffic accidents to date has identified the most common primary collision factors in the City of Lathrop as; speeding, DUI, and unsafe lane changes. In the first six months of law enforcement services by LPD, there were 148 total crashes within the City of Lathrop. 49 of the crashes were due to speeding, 19 caused by DUIs, and 19 were due to CITY MANAGER' S REPORT PAGE 2
SEPTEMBER 11, 2023 CITY COUNCIL REGULAR MEETING

AUTHORIZE ACCEPTANCE OF THE SELECTIVE TRAFFIC ENFORCEMENT

PROGRAM ( STEP) GRANT FUND AWARD FROM THE STATE OF CALIFORNIA

OFFICE OF THE TRAFFIC SAFETY ( OTS)
unsafe lane changes. Of the 148 total crashes, 38 resulted in injury with 50 victims.

LPD also recorded 70 hit and run collisions, with 3 causing injury to 5 victims. LPD had no fatalities due to crashes in 2022.

The Lathrop Police Department will utilize the funding from the grant to conduct Sobriety Checkpoints, have DUI saturation patrols, implement traffic enforcement operations focused on the primary collision factors, conduct nighttime Click it or Ticket enforcement operations, conduct distracted driving enforcements for drivers using cell phones or texting, conduct pedestrian and bicycle operations, provide education to the public, purchase traffic enforcement equipment, and send officers to training.

Accepting the STEP grant will allow for the purchase of traffic equipment, reimburse overtime hours directly related to additional traffic enforcements and public education, and reimburse for traffic training courses for our officers. The STEP grant will be used to reduce the number of persons killed and injured in crashes involving alcohol and other primary collision factors.

REASON FOR RECOMMENDATION:

The STEP grant will provide funding to LPD to help reduce the number of persons killed and injured in crashes involving alcohol and other primary collision factors.

Additionally, it will help address traffic issues such as speeding, drunk driving, distracted and reckless driving. LPD will also purchase traffic equipment and provide enhanced training for police officers.

FISCAL IMPACT:

There is no adverse financial impact to the City of Lathrop to accept the STEP Grant from the State of California Office of Traffic Safety of $ 60, 000. The revenue for the STEP grant is included in our adopted FY 23- 24 Budget and is allocated to overtime hours, training, and equipment purchase.

ATTACHMENTS:

A. Resolution Authorizing the Chief of Police to Accept the Selective Traffic Enforcement Program ( STEP) Grant Fund Award of $ 60, 000 from the State of California Office of Traffic Safety ( OTS)
B. Tentative Draft Grant Agreement for the Selective Traffic Enforcement Program STEP)
CITY MANAGER' S REPORT PAGE 3
SEPTEMBER li, 2023 CITY COUNCIL REGULAR MEETING

AUTHORIZE ACCEPTANCE OF THE SELECTIVE TRAFFIC ENFORCEMENT

PROGRAM ( STEP) GRANT FUND AWARD FROM THE STATE OF CALIFORNIA

OFFICE OF THE TRAFFIC SAFETY ( OTS)
APPROVALS:
z L3
Raymond Bechler Da e
Chief of Police
1 2
Cari James Date
Finance Dire or
8'' Z' z3
Salvador Navarrete Date
City Attorney
l•l-Z3
St en J. Salvatore Date
City Manager
RESOLUTION NO. 23 -

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF LATHROP

AUTHORIZING THE CHIEF OF POLICE TO ACCEPT THE SELECTIVE TRAFFIC ENFORCEMENT PROGRAM ( STEP) GRANT FUND AWARD OF $ 60, 000 FROM

THE STATE OF CALIFORNIA OFFICE OF TRAFFIC SAFETY ( OTS) WHEREAS, in January 2023, the Lathrop Police Department ( LPD) submitted an application to the State of California Office of Traffic Safety ( OTS) for a Selective Traffic Enforcement Program ( STEP) grant; and
WHEREAS, this grant is funded by the National Highway Transportation Safety Administration ( NHTSA) and is administered by the OTS; and WHEREAS, the Lathrop Police Department was has been tentatively awarded 60, 000 for STEP Activities; and
WHEREAS, the Lathrop Police Department will utilize the funding from the grant to conduct Sobriety Checkpoints, have DUI saturation patrols, implement traffic enforcement operations focused on the primary collision factors, conduct nighttime Click it or Ticket enforcement operations, conduct distracted driving enforcements for drivers using cell phones or texting, conduct pedestrian and bicycle operations, provide education to the public, purchase traffic enforcement equipment, and send officers to training; and
WHEREAS, accepting the STEP grant will allow for the purchase of traffic equipment, reimburse overtime hours directly related to additional traffic enforcements and public education, and reimburse for traffic training courses for our officers; and
WHEREAS, there is no adverse financial impact to the City of Lathrop to accept the STEP grant from the State of California Office of Traffic Safety of $ 60, 000. The revenue for the STEP grant is included in our adopted FY 23- 24 Budget and is allocated to overtime hours, training, and equipment purchase; and NOW THEREFORE, BE IT RESOLVED, that the City Council of the City of Lathrop does hereby authorize the Chief of Police to accept the Selective Traffic Enforcement Program ( STEP) Grant Fund Aware of $ 60, 000 from the State of California Office of Traffic Safety and sign the final agreement.

The foregoing resolution was passed and adopted this 11th day of September 2023, by the following vote of the City Council, to wit:

AYES:

NOES:

ABSENT:

ABSTAIN:

Sonny Dhaliwal, Mayor
ATTEST: APPROVED AS TO FORM:

Teresa Vargas, City Clerk Salvador Navarrete, City Attorney State of California— Office of Traffic Safety

ATTACHMENT B

GRANT NUMBER
GRANT AGREEMENT PT24101

1. GRANT TITLE
Selective Traffic Enforcement Pro ram ( STEP

2. NAME OF AGENCY 3. Grant Period
Lathrop From: 10/ 01/ 2023

4. AGENCY UNIT TO ADMINISTER GRANT To: 09/ 30/ 2024
Lathro Police De artment

5. GRANT DESCRIPTION
Best practice strategies will be conducted to reduce the number of persons killed and injured in crashes involving alcohol and other primary crash factors. The funded strategies may include impaired driving enforcement, enforcement operations focusing on primary crash factors, distracted driving, night- time seat belt enforcement, special enforcement operations encouraging motorcycle safety, enforcement and public awareness in areas with a high number of bicycle and pedestrian crashes, and educational programs. These strate ies are desi ned to earn media attention thus enhancin the overall deterrent effect.

6. Federal Funds Allocated Under This A reement Shall Not Exceed: 60, 000. 00

7. TERMS AND CONDITIONS: The parties agree to comply with the terms and conditions of the following which are by this reference made a part of the Agreement:

Schedule A— Problem Statement, Goals and Objectives and Method of Procedure Schedule B— Detailed Budget Estimate and Sub- Budget Estimate ( if applicable) Schedule B- 1 — Budget Narrative and Sub- Budget Narrative ( if applicable) Exhibit A— Certifications and Assurances
Exhibit B*— OTS Grant Program Manual
Exhibit C— Grant Electronic Management System ( GEMS) Access Items shown with an asterisk (*), are hereby incorporated by reference and made a part of this agreement as if attached hereto.

These documents can be viewed at the OTS home web page under Grants: www.ots. ca.gov.

We, the officials named below, hereby swear under penalty of perjury under the laws of the State of California that we are duly authorized to legally bind the Grant recipient to the above described Grant terms and conditions.

IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto.

8. A roval Si natures
A. GRANT DIRECTOR B. AUTHORIZING OFFICIAL
NnME: Stephen Sealy NaME: Raymond Bechler
Tir E: Operations Commander TiT e: Chief of Police
Ernni: ssealy@ci. lathrop. ca. us EMa, i: rbechler@ci. lathrop. ca. us PHONE: 2096476403 PHONE: 2096476401
A REss: 940 River Island Parkway A aEss: 940 River Islands Parkway Lathrop, CA 95330 Lathrop, CA 95330
Signature) Date) Signature) Date)
C. FISCAL OFFICIAL D. AUTHORIZING OFFICIAL OF OFFICE OF TRAFFIC SAFETY Nnnne: Thomas Hedagard NaME: Barbara Rooney
TiT E: Depury City Manager TiT E: Director
EMni: thedegard@ci. lathrop. ca.us EMai: barbara. rooney@ots. ca. gov PHorvE: ( 209) 941- 7329 PHONE: ( 916) 509- 3030
AooREss: 390 Town Centre Dr A Ress: 2208 Kausen Drive, Suite 300 Lathrop, CA 95330 Elk Grove, CA 95758
Signature) Date) Signature) Date)
8/ 16/ 2023 2: 34: 59 PM Page 1 of 15
E. ACCOUNTING OFFICER OF OFFICE OF TRAFFIC SAFETY J. SAM INFORMATION NaME: Carolyn Vu SAM#: KFKVB7ZSMDV6
Ao REss: 2208 Kausen Drive, Suite 300 REGISTERED
Elk Grove, CA 95758
AooaEss: 390 Towne Centre Dr
CiTv: Lathrop
ZiP+ 4: 95330- 9358

10. PROJECTED EXPENDITURES
FUND CFDA ITEM/ APPROPRIATION F. Y. CHAPTER STATUTE

PROJECTED

EXPENDITURES

AG R EEM ENT
60, 000. 00
TOTAL

AMOUNT ENCUMBERED BY THIS DOCUMENT
60, 000. 00
1 CERTIFYupon my own personal knowledge that the budgeted PRIOR AMOUNT ENCUMBERED FOR THIS funds for the current budget year are available for the period and

AGREEMENT
purpose of the expenditure stated above.

0. 00

OTS ACCOUNTING OFFICER' S SIGNATURE DATE SIGNED TOTAL AMOUNT ENCUMBERED TO DATE 60, 000. 00
8/ 16/ 2023 2: 34: 59 PM Page 2 of 15

SCHEDULE A
State of California— Office of Traffic Safety GRANT NUMBER GRANT AGREEMENT PT24101
Schedule A

1. PROBLEM STATEMENT
The City of Lathrop was incorporated in 1989 and according to the Department of Finance, the recent population estimate for 2022 is 31, 331. Lathrop is currently ranked as the number 2 fastest growing City in the State of California with a 6. 63% growth rate. Encompassing 23 square miles and located 70 miles from the Bay Area, this bedroom community has experienced rapid growth in residential, commercial, and industrial development. The City' s explosive growth and its immediate access and proximity to I- 5, I- 205, Highway 120, and Highway 99 brings with it increased vehicle traffic throughout the City. The Lathrop Police Department is currently made up of 35 sworn officers that includes one Chief, two Commanders, five Patrol Sergeants, one Detective Sergeant, two Detectives, three School Resource Officers, one Community Resource Officer, three K- 9 Officers, one Motor Officer, and 16 Patrol Officers.

For the last three decades, the San Joaquin County Sheriff' s Department had provided law enforcement services for Lathrop, however, on June 29, 2022, the City of Lathrop severed the law enforcement contract and established its own police department. During the first 6 months of service to the community, it was quickly learned that traffic violations and crashes were widespread concerns. The most common Primary Crash Factors were found to be Speeding, DUI, and Unsafe Lane Changes. There were 148 total crashes within the City of Lathrop from June 29, 2022 to December 31, 2022 of which 49 was due to speeding, 19 was due to DUIs, and 19 was due to unsafe lane changes. Out of the 148 total crashes, 38 resulted in injury with 50 victims injured. There were also 70 hit and runs, with 3 causing injury to 5 victims. Fortunately, there were no fatalities due to crashes in 2022.

As a new police department, the leadership team focuses development of staff and puts priority on training and ensuring that our officers have the proper certifications required. We plan to grow our Traffic Unit, increase our efforts to educate the public on traffic safety issues, and add additional traffic enforcements throughout the City. The police department is hopeful to bring down our total crash numbers, keep our fatality rate to zero, and provide proactive traffic safety education for the community that reside, work, play, and visit the City of Lathrop. As part of the public education and to keep fatalities to zero, we would like to reach out to not just the drivers, but the passengers, pedestrians, bicyclists, and motorcyclists that use our roadways. For focused traffic enforcements, our goal would be to saturate our streets with officers at high risk areas and during hours of increased traffic activities and have focus enforcements for our Primary Crash Factors. The department would also like to provide more traffic enforcements during community events, school events, commute times, and nighttime hours to mitigate traffic crashes due to speeding, sideshows, textin while drivin , and reckless drivin .

2. PERFORMANCE MEASURES
A. Goals:

1. Reduce the number of persons killed in traffic crashes.

2. Reduce the number of persons injured in traffic crashes.

3. Reduce the number of pedestrians killed in traffic crashes.

4. Reduce the number of pedestrians injured in traffic crashes.

5. Reduce the number of bicyclists killed in traffic crashes.

6. Reduce the number of bicyclists injured in traffic crashes.

7. Reduce the number of persons killed in alcohol- involved crashes.

8. Reduce the number of persons injured in alcohol- involved crashes.

9. Reduce the number of persons killed in drug- involved crashes.

10. Reduce the number of persons injured in drug- involved crashes.

11. Reduce the number of persons killed in alcohol/ drug combo-involved crashes.

12. Reduce the number of persons injured in alcohol/ drug combo- involved crashes.

13. Reduce the number of motorcyclists killed in traffic crashes.

14. Reduce the number of motorcyclists injured in traffic crashes.

15. Reduce hit & run fatal crashes.
8/ 16/ 2023 2: 34: 59 PM Page 3 of 15

16. Reduce hit& run injury crashes.

17. Reduce nighttime ( 2100 - 0259 hours) fatal crashes.

18. Reduce nighttime ( 2100 - 0259 hours) injury crashes.

B. Objectives: Target Number

1. Issue a press release announcing the kick- off of the grant by November 15. The 1 kick- off press releases and media advisories, alerts, and materials must be emailed to the OTS Public Information Officer at pio@ots. ca. gov, and copied to your OTS Coordinator, for approval 14 days prior to the issuance date of the release.

2. Participate and report data ( as required) in the following campaigns; Quarter 1: 10 National Walk to School Day, National Teen Driver Safety Week, NHTSA Winter Mobilization; Quarter 3: National Distracted Driving Awareness Month, National Motorcycle Safety Month, National Bicycle Safety Month, National Click it or Ticket Mobilization; Quarter 4: NHTSA Summer Mobilization, National Child Passenger Safet Week, and California' s Pedestrian Safet Month.

3. Develop ( by December 31) and/ or maintain a " DUI BOLO" program to notify patrol 12 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 DUI BOLOs should be distributed to atrol and traffic officers monthl .

4. Send law enforcement personnel to the NHTSA Standardized Field Sobriety 5 Testin SFST minimum 16 hours POST- certified trainin .

5. Send law enforcement personnel to the NHTSA Advanced Roadside Impaired 1 Drivin Enforcement ARIDE 16 hour POST- certified trainin .

6. Send law enforcement personnel to the Drug Recognition Expert ( DRE) training. 1

7. Send law enforcement personnel to the DRE Recertification training. 1

8. Conduct DUI/ DL Checkpoints. A minimum of 1 checkpoint should be conducted 2 during the NHTSA Winter Mobilization and 1 during the Summer Mobilization. To enhance the overall deterrent effect and promote high visibility, it is recommended the grantee issue an advance press release and conduct social media activity for each checkpoint. For combination DUI/ DL checkpoints, departments should issue press releases that mention DL' s will be checked at the DUI/ DL checkpoint. Signs for DUI/ DL checkpoints should read " DUI/ Driver' s License Checkpoint Ahead." OTS does not fund or support independent DL checkpoints. Only on an exception basis and with OTS pre- approval will OTS fund checkpoints that begin prior to 1800 hours. When possible, DUI/ DL Checkpoint screeners should be DRE- or ARIDE- trained.

9. Conduct DUI Saturation Patrol operation( s). 6

10. Conduct Traffic Enforcement operation( s), including but not limited to, primary 4 crash factor violations.

11. Conduct highly publicized Distracted Driving enforcement operation( s) targeting 4 drivers usin hand held cell phones and textin .

12. Conduct Ni httime 1800- 0559) Click It or Ticket enforcement operation s . 2

13. Conduct highly publicized pedestrian and/ or bicycle enforcement operation( s) in 5 areas or during events with a high number of pedestrian and/ or bicycle crashes resultin from violations made b edestrians, bic clists, and drivers.

14. Conduct Traffic Safety educational presentation( s) with an effort to reach 2 community members. Note: Presentation( s) may include topics such as distracted driving, DUI, speed, bicycle and pedestrian safety, seat belts and child passenger safet .

15. 16. Send law enforcement personnel to DUI Checkpoint Planning and Management 2 trainin .

17. Conduct specialized enforcement operations focusing specifically on street racing 1 and sideshow activities.

3. METHOD OF PROCEDURE
A. Phase 1 — Pro ram Pre aration ( 15t Quarter of Grant Year) 8/ 16/ 2023 2: 34: 59 PM Page 4 of 15
The 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 in the first quarter.

All grant related purchases needed to implement the program should be made in the first quarter.

In order to develop/ maintain the " DUI BOLOs," 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 DUI BOLO may include the driver' s name, last known address, DOB, description, current license status, and the number of times suspended or revoked for DUI. DUI BOLOs 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 crash locations.

Media Requirements Issue a press release approved by the OTS PIO announcing the kick-off of the grant by November 15, but no sooner than October 1. The kick-off release must be approved by the OTS PIO and only distributed after the grant is fully signed and executed. If you are unable to meet the November 15 deadline to issue a kick- off press release, communicate reasons to your OTS coordinator and OTS PIO.

B. Phase 2— Proqram Operations ( Throughout Grant Year) The department will work to create media opportunities throughout the grant period to call attention to the innovative program strategies and outcomes.

Media Requirements
The following requirements are for all grant-related activities:

Send all media advisories, alerts, videos, graphics, artwork, posters, radio/ PSA/ video scripts, storyboards, digital and/ or print educational materials for grant-related activities to the OTS PIO at pio@ots. ca.gov for approval and copy your OTS coordinator. Optimum lead time would be 7 days before the scheduled release but at least 3 business days prior to the scheduled release date for review and approval is appreciated.

The OTS PIO is responsible for the approval of the design and content of materials. The agency understands OTS PIO approval is not authorizing approval of budget expenditure or cost. Any cost approvals must come from the Coordinator.

Pre- approval is not required when using any OTS- supplied template for media advisories, press releases, social media graphics, videos or posts, or any other OTS- supplied educational material.

However, copy the OTS PIO at pio@ots. ca. gov and your OTS coordinator when any material is distributed to the media and public, such as a press release, educational material, or link to social media post. The OTS- supplied kick- off press release templates and any kickoff press releases are an exception to this policy and require prior approval before distribution to the media and public.

If an OTS- supplied template, educational material, social media graphic, post or video is substantially changed, the changes shall be sent to the OTS PIO at pio@ots. ca. gov for approval and copy to your OTS Coordinator. Optimum lead time would be 7 days prior to the scheduled release date, but at least 3 business days prior to the scheduled release date for review and approval is appreciated.

Press releases, social media posts and alerts on platforms such as NextDoor and Nixle reporting immediate and time- sensitive grant activities ( e.g. enforcement operations, day of event highlights or announcements, event invites) are exempt from the OTS PIO approval process. The OTS PIO and your Coordinator should still be notified when the grant- related activity is happening ( e. g. car seat checks, bicycle rodeos, community presentations, DUI checkpoints, etc.).

Enforcement activities such as warrant and probation sweeps, court stings, etc. that are embargoed or could impact operations by publicizing in advance are exempt from the PIO approval process. However, announcements and results of activities should still be copied to the OTS PIO at [email protected]. gov and your Coordinator with embargoed date and time or with INTERNAL ONLY: DO NOT RELEASE" message in subject line of email.

Any earned or paid media campaigns for TV, radio, digital or social media that are part of a specific grant objective, using OTS grant funds, or designed and developed using contractual services b a sub rantee, requires prior approval. Please send to the OTS PIO at 8/ 16/ 2023 2: 34: 59 PM Page 5 of 15
pio@ots. ca.gov for approval and copy your grant coordinator at least 3 business days prior to the scheduled release date.

Social media posts highlighting state or national traffic safety campaigns ( Distracted Driving Month, Motorcycle Safety Awareness Month, etc.), enforcement operations ( DUI checkpoints, etc.), or any other grant- related activity such as Bicycle rodeos, presentations, or events, are highly encouraged but do not require prior approval.

Submit a draft or rough- cut of all digital, printed, recorded or video material ( brochures, posters, scripts, artwork, trailer graphics, digital graphics, social posts connected to an earned or paid media campaign grant objective) to the OTS PIO at pio@ots. ca.gov and copy your OTS Coordinator for approval prior to the production or duplication.

Use the following standard language in all press, media, and printed materials, space permitting:

Funding for this program was provided by a grant from the California Office of Traffic Safety, through the National Highway Traffic Safety Administration.

Space permitting, include the OTS logo on all grant-funded print materials, graphics and paid or earned social media campaign grant objective; consult your OTS Coordinator for specifics, format-appropriate logos, or if space does not permit the use of the OTS logo.

Email the OTS PIO at pio@ots. ca. gov and copy your OTS Coordinator at least 21 days in advance, or when first confirmed, a short description of any significant grant- related traffic safety event or program, particularly events that are highly publicized beforehand with anticipated media coverage so OTS has sufficient notice to arrange for attendance and/ or participation in the event.

If unable to attend, email the OTS PIO and coordinator brief highlights and/ or results, including any media coverage ( broadcast, digital, print) of event within 7 days following significant grantrelated event or program. Media and program highlights are to be reflected in QPRs.

Any press releases, work plans, scripts, storyboards, artwork, graphics, videos or any educational or informational materials that received PIO approval in a prior grant year needs to be resubmitted for approval in the current grant year.

Contact the OTS PIO or your OTS Coordinator for consultation when changes from any of the above requirements might be warranted.

C. Phase 3 — Data Collection 8 Reportinq ( Throughout Grant Year)

1. Prepare and submit grant claim invoices ( due January 30, April 30, July 30, and October 30)

2. Prepare and submit Quarterly Performance Reports ( QPR) ( due January 30, April 30, July 30, and October 30)
Collect and report quarterly, appropriate data that supports the progress of goals and objectives.

Provide a brief list of activity conducted, procurement of grant-funded items, and significant media activities. Include status of grant-funded personnel, status of contracts, challenges, or special accomplishments.

Provide a brief summary of quarterly accomplishments and explanations for objectives not completed or plans for upcoming activities.

Collect, analyze and report statistical data relating to the grant goals and objectives.

4. METHOD OF EVALUATION
Using the data compiled during the grant, the Grant Director will complete the " Final Evaluation" section in the fourth/ final Quarterly Performance Report ( QPR). The Final Evaluation should provide a brief summary of the granYs accomplishments, challenges and significant activities. This narrative should also include whether oals and ob' ectives were met, exceeded, or an explanation of wh ob' ectives were not completed.

5. ADMINISTRATIVE SUPPORT
This program has full administrative support, and every effort will be made to continue the grant activities after grant conclusion.
8/ 16/ 2023 2: 34: 59 PM Page 6 of 15
State of California— Office of Traffic Safety SCHEDULE B GRANT NUMBER GRANT AGREEMENT PT24101
Schedule B

FUND NUMBER CATALOG FUND DESCRIPTION TOTAL AMOUNT
NuMBER( CFDA)
402PT- 24 20. 600 State and Community Highway 30, 000. 00 Safet
164AL- 24 20. 608 Minimum Penalties for Repeat 30, 000. 00 Offenders for Driving While
Intoxicated

COST CATEGORY FUND UNIT COST OR UNITS TOTAL COST TO

NUMBER RATE GRANT
A. PERSONNEL COSTS
Straiqht Time

0. 00
Overtime
DUI/ DL Checkpoints 164AL- 24 6, 000. 00 2 12, 000. 00
DUI Saturation Patrols 164AL- 24 2, 200. 00 6 13, 200. 00 Traffic Enforcement 402PT- 24 1, 000. 00 4 4, 000. 00
Distracted Drivin 402PT- 24 1, 000. 00 4 4, 000. 00
Ni ht-time Click It Or Ticket 402PT- 24 1, 000. 00 2 2, 000. 00 Pedestrian and Bic cle Enforcement 402PT- 24 1, 300. 00 5 6, 500. 00 Street Racing and Sideshow Enforcement 402PT- 24 2, 500. 00 1 2, 500. 00 Operations
Traffic Safet Education 402PT- 24 425. 00 2 850. 00
Category Sub- Total 45,050. 00
B. TRAVELEXPENSES
In State Travel 402PT- 24 5, 350. 00 1 5, 350. 00

0. 00
Category Sub- Total 5, 350. 00
C. CONTRACTUAL SERVICES

0. 00
Category Sub- Total 0. 00
D. EQUIPMENT
0 Category Sub- Total 0. 00
E. OTHER DIRECT COSTS
Lidar Device 402PT- 24 2, 400. 00 2 4, 800. 00
DUI Checkpoint Supplies 164AL- 24 4, 800. 00 1 4, 800. 00 Category Sub- Total 9, 600. 00
F. INDIRECT COSTS

0. 00
Category Sub- Total 0. 00
GRANT TOTAL 60, 000. 00
8/ 16/ 2023 2: 34: 59 PM Page 7 of 15
State of California— Office of Traffic Safety SCHEDULE B- GRANT NUMBER GRANT AGREEMENT PT24101
Schedule B- 1

BUDGET NARRATIVE

PERSONNEL COSTS
DUI/ DL Checkpoints - Overtime for grant funded law enforcement operations conducted by appropriate department personnel.

DUI Saturation Patrols - Overtime for grant funded law enforcement operations conducted by appropriate department personnel.

Traffic Enforcement- Overtime for grant funded law enforcement operations conducted by appropriate department personnel.

Distracted Driving - Overtime for grant funded law enforcement operations conducted by appropriate department personnel.

Night- time Click It Or Ticket - Overtime for grant funded law enforcement operations conducted by appropriate department personnel.

Pedestrian and Bicycle Enforcement - Overtime for grant funded law enforcement operations conducted by appropriate department personnel.

Street Racing and Sideshow Enforcement Operations - Overtime for grant funded law enforcement operations conducted by appropriate department personnel.

Traffic Safety Education - Overtime for grant funded traffic safety presentations or campaigns conducted by appropriate department personnel.

TRAVELEXPENSES
In State Travel - 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 the California Traffic Safety Summit and the OTS Traffic Safety Law Enforcement Forum. All conferences, seminars or training not specifically identified in the 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 OTS grant funds.

CONTRACTUAL SERVICES

EQUIPMENT

OTHER DIRECT COSTS
Lidar Device - Light detection and ranging device used to measure the speed of motor vehicles. This device will be used for speed enforcement. Costs ma include lidar devices, batteries, tax, and shippin .

DUI Checkpoint Supplies - On- scene supplies needed to conduct sobriety checkpoints. Costs may include 28" traffic cones, MUTCD compliant traffic signs, MUTCD compliant high visibility vests ( maximum of 10), traffic counters ( maximum of 2), generator, gas for generators, lighting, reflective banners, electronic flares, PAS Device/Calibration Supplies, heater, propane for heaters, fan, anti-fatigue mats, and canopies.

Additional items may be purchased if approved by OTS. The cost of food and beverages will not be reimbursed. Each item must have a unit cost of less than $ 5, 000 includin tax and shi pin .

INDIRECT COSTS

STATEMENTS/ DISCLAIMERS
There will be no program income generated from this grant.

Nothing in this " agreemenY' shall be interpreted as a requirement, formal or informal, that a particular law enforcement officer issue a specified or predetermined number of citations in pursuance of the goals and ob' ectives here under.
8/ 16/ 2023 2: 34: 59 PM Page 8 of 15
State of California— Office of Traffic Safety EXHIBIT A

GRANT NUMBER
GRANT AGREEMENT PT24101
Exhibit A
Certifications and Assurances for Fiscal Year 2024 Highway Safety Grants( 23 U. S. C. Chapter 4 or Section 1906, Public Law 109- 59, as amended by Section 25024, Public Law 117- 58) The officials named on the grant agreement, certify by way of signature on the grant agreement signature page, that the Grantee Agency complies with ail applicable Federal statutes, regulations, and directives and State rules, guidelines, policies, and laws in effect with respect to the periods for which it receives grant funding. Applicable provisions include, but are not limited to, the following:

GENERAL REQUIREMENTS
The State will comply with applicable statutes and regulations, including but not limited to:
23 U. S. C. Chapter 4— Highway Safety Act of 1966, as amended; Sec. 1906, Public Law 109- 59, as amended by Sec. 25024, Public Law 117- 58; 23 CFR part 1300— Uniform Procedures for State Highway Safety Grant Programs; 2 CFR part 200— Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards;
2 CFR part 1201— Department of Transportation, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.

NONDISCRIMINATION
applies to all subrecipients as well as States)
The State highway safety agency [ and its subrecipients] will comply with all Federal statutes and implementing regulations relating to nondiscrimination (" Federal Nondiscrimination Authorities"). These include but are not limited to:

Title VI of the Civil Righfs Act of 1964 ( 42 U. S. C. 2000d ef seq., 78 stat. 252), ( prohibits discrimination on the basis of race, color, national origin);
49 CFR part 21 ( entitled Non- discrimination in Federally- Assisted Programs of the Department of Transportation— Effectuation of Title VI of the Civil Rights Act of 1964); 28 CFR 50. 3( U. S. Department of Justice Guidelines for Enforcement of Title VI of the Civil Rights Act of 1964); The Uniform Relocation Assistance and Real Property Acquisifion Policies Act of 1970, ( 42 U. S. C. 4601), prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal- aid programs and projects);
Federal- Aid HighwayAct of 1973, ( 23 U. S. C. 324 et seq.), and Title IXof the Education Amendments of 1972, as amended ( 20 U. S. C. 1681- 1683 and 1685- 1686) ( prohibit discrimination on the basis of sex); Section 504 of the Rehabilitation Act of 1973, ( 29 U. S. C. 794 et seq.), as amended, ( prohibits discrimination on the basis of disability) and 49 CFR part 27; The Age Discrimination Act of 1975, as amended, ( 42 U. S. C. 6101 et seq.), ( prohibits discrimination on the basis of age);
The Civil Rights Restoration Act of 1987, ( Pub. L. 100- 209), ( broadens scope, coverage, and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms" programs or activities" to include all of the programs or activities of the Federal aid recipients, subrecipients and contractors, whether such programs or activities are Federallyfunded or not); Titles ll and lll of the Americans with Disabilities Act( 42 U. S. C. 12131- 12189) ( prohibits discrimination on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing) and 49 CFR qarts 37 and 38; Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and LowIncome Populations( preventing discrimination against minority populations by discouraging programs, policies, and activities with disproportionately high and adverse human health or environmental effects on minority and low-income populations);
Executive Order 13166. Improving Access to Services forPersons with Limited English Proficiency( requiring that recipients of Federal financial assistance provide meaningful access for applicants and beneficiaries who have limited English proficiency( LEP));
Executive Order 13985 Advancing Racial Equity and Support for Underserved Communities through the Federal Government( advancing equity across the Federal Government); and Executive Order 13988. Preventing and Combating Discrimination on the Basis of Gender ldentity or Sexual Orientation ( clarifying that sex discrimination includes discrimination on the grounds of gender identity or sexual orientation).
8/ 16/ 2023 2: 34: 59 PM Page 9 of 15
The preceding statutory and regulatory cites hereinafter are referred to as the" Acts" and " Regulations," respectively.

GENERAL ASSURANCES
In accordance with the Acts, the Regulations, and other pertinent directives, circulars, policy, memoranda, and/ or guidance, the Recipient hereby gives assurance that it will promptly take any measures necessary to ensure that:

No person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity, for which the Recipient receives Federa/ financial assistance from DOT, including NHTSA." The Civil Rights Restoration Act of 1987 clarified the original intent of Congress, with respect to Title VI of the Civil Rights Act of 1964 and other non- discrimination requirements ( the Age Discrimination Act of 1975, and Section 504 of the Rehabilitation Act of 1973), by restoring the broad, institutional- wide scope and coverage of these nondiscrimination statutes and requirements to include all programs and activities of the Recipient, so long as any portion of the program is Federally assisted.

SPECIFIC ASSURANCES
More specifically, and without limiting the above general Assurance, the Recipient agrees with and gives the following Assurances with respect to its Federally assisted Highway Safety Grant Program:

1. The Recipient agrees that each " activity," " facility," or" program,° a
as defined in 2 i. 23( b) and ( c) of 49 CFR
rt 21 will be( with regard to an " activity") facilitated, or will be( with regard to a" facility") operated, or will be with regard to a" program") conducted in compliance with all requirements imposed by, or pursuant to the Acts and the Regulations.

2. The Recipient will insert the following notification in all solicitations for bids, Requests For Proposals for work, or material subject to the Acts and the Regulations made in connection with all Highway Safety Grant Programs and, in adapted form, in all proposals for negotiated agreements regardless of funding source:

The( name of Recipient], in accordance with the provisions of Title VI of the Civil Rights Act of 1964 ( 78 Stat. 252, 42 U. S. 0 2000d to 2000d- 4) and the Regulations, hereby notifies all bidders that it will affirmatively ensure that in any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full and fair opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for an award."

3. The Recipient will insert the clauses of appendix A and E of this Assurance ( also referred to as DOT Order 1050. 2A) in every contract or agreement subject to the Acts and the Regulations.

4. The Recipient will insert the clauses of appendix B of DOT Order 1050. 2A, as a covenant running with the land, in any deed from the United States effecting or recording a transfer of real property, structures, use, or improvements thereon or interest therein to a Recipient.

5. That where the Recipient receives Federal financial assistance to construct a facility, or part of a facility, the Assurance will extend to the entire facility and facilities operated in connection therewith.

6. That where the Recipient receives Federal financial assistance in the form of, or for the acquisition of, real property or an interest in real property, the Assurance will extend to rights to space on, over, or under such property.

7. That the Recipient will include the clauses set forth in appendix C and appendix D of this DOT Order 1050. 2A, as a covenant running with the land, in any future deeds, leases, licenses, permits, or similar instruments entered into by the Recipient with other parties:
a. for the subsequent transfer of real property acquired or improved under the applicable activity, project, or program; and
b. for the construction or use of, or access to, space on, over, or under real property acquired or improved under the applicable activity, project, or program.

8. That this Assurance obligates the Recipient for the period during which Federal financial assistance is extended to the program, except where the Federal financial assistance is to provide, or is in the form of, personal property, or real property, or interest therein, or structures or improvements thereon, in which case the Assurance obligates the Recipient, or any transferee for the longer of the following periods:
a. the period during which the property is used for a purpose for which the Federal financial assistance is extended, or for another purpose involving the provision of similar services or benefits; or b. the period during which the Recipient retains ownership or possession of the property.

9. The Recipient will provide for such methods of administration for the program as are found by the Secretary of Transportation or the official to whom he/ she delegates specific authority to give reasonable guarantee that it, other recipients, sub- recipients, sub- grantees, contractors, subcontractors, consultants, transferees, successors in interest, and other participants of Federal financial assistance under such program will comply with all requirements imposed or pursuant to the Acts, the Regulations, and this Assurance.

10. The Recipient agrees that the United States has a right to seek judicial enforcement with regard to any matter arising under the Acts, the Regulations, and this Assurance. 8/ 16/ 2023 2: 34: 59 PM Page 10 of 15
By signing this ASSURANCE, the State highway safety agency also agrees to comply( and require any sub- recipients, sub- grantees, contractors, successors, transferees, and/ or assignees to comply) with all applicable provisions governing NHTSA's access to records, accounts, documents, information, facilities, and staff. You also recognize that you must comply with any program or compliance reviews, and/ or complaint investigations conducted by NHTSA. You must keep records, reports, and submit the material for review upon request to NHTSA, or its designee in a timely, complete, and accurate way. Additionally, you must comply with all other reporting, data collection, and evaluation requirements, as prescribed by law or detailed in program guidance.

The State highway safety agency gives this ASSURANCE in consideration of and for obtaining any Federal grants, loans, contracts, agreements, property, and/ or discounts, or other Federal- aid and Federal financial assistance extended after the date hereof to the recipients by the U. S. Department of Transportation under the Highway Safety Grant Program. This ASSURANCE is binding on the State highway safety agency, other recipients, sub- recipients, sub- grantees, contractors, subcontractors and their subcontractors', transferees, successors in interest, and any other participants in the Highway Safety Grant Program. The person( s) signing below is/ are authorized to sign this ASSURANCE on behalf of the Recipient.

THE DRUG- FREE WORKPLACE ACT OF 1988( 41 U. S. C. 8103) The Subgrantee will provide a drug-free workplace by:
a. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the grantee' s workplace, and specifying the actions that will be taken against employees for violation of such prohibition; b. Establishing a 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;

4. The penalties that may be imposed upon employees for drug violations occurring in the workplace;

5. Making it a requirement that each employee engaged in the performance of the grant be given a copy of the statement required by paragraph ( a);
c. 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;

2. Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction; d. Notifying the agency within ten days after receiving notice under subparagraph ( c)( 2) from an employee or otherwise receiving actual notice of such conviction;
e. Taking one of the following actions, within 30 days of receiving notice under subparagraph ( c)( 2), with respect to any employee who is so convicted—

1. Taking appropriate personnel action against such an employee, up to and including termination;

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;
f. Making a good faith effort to continue to maintain a drug- free workplace through implementation of all of the paragraphs above.

POLITICAL ACTIVITY( HATCH ACT)
applies to all subrecipients as well as States)
The State will comply with provisions of the Hatch Act( 5 U. S. C. 1501- 1508), which limits the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds.

CERTIFICATION REGARDING FEDERAL LOBBYING
applies to all subrecipients as well as States)

CERTIFICATION FOR CONTRACTS, GRANTS, LOANS, AND COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that:

1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any 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; 8/ 16/ 2023 2: 34: 59 PM Page 11 of 15

2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form- LLL, " Disclosure Form to Report Lobbying," in accordance with its instructions;

3. The undersigned shall require that the language of this certification be included in the award documents for all sub- awards at all tiers ( including subcontracts, subgrants, and contracts under grant, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than$ 10, 000 and not more than$ 100, 000 for each such failure.

RESTRICTION ON STATE LOBBYING
applies to subrecipients as well as States)
None of the funds under this program will be used for any activity specifically designed to urge or influence a State or local legislator to favor or oppose the adoption of any specific legislative proposal pending before any State or local legislative body. Such activities include both direct and indirect( e. g., " grassroots") lobbying activities, with one exception. This does not preclude a State official whose salary is supported with NHTSA funds from engaging in direct communications with State or local legislative officials, in accordance with customary State practice, even if such communications urge legislative officials to favor or oppose the adoption of a specific pending legislative proposal.

CERTIFICATION REGARDING DEBARMENT AND SUSPENSION
applies to all subrecipients as well as States)

INSTRUCTIONS FOR PRIMARY TIER PARTICIPANT CERTIFICATION ( STATES)

1. By signing and submitting this proposal, the prospective primary tier participant is providing the certification set out below and agrees to comply with the requirements of 2 CFR parts 180 and 1200.

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 primary tier 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 prospective primary tier participant 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 prospective primary tier participant 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 or may pursue suspension or debarment.

4. The prospective primary tier participant shall provide immediate written notice to the department or agency to which this proposal is submitted if at any time the prospective primary tier participant learns its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

5. The terms covered transaction, civil judgment, debarment, suspension, ineligible, participant, person, principal, and voluntarily excluded, as used in this clause, are defined in 2 CFR parts 180 and 1200. You may contact the department or agency to which this proposal is being submitted for assistance in obtaining a copy of those regulations.

6. The prospective primary tier participant agrees by submitting this proposal 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 prospective primary tier participant further agrees by submitting this proposal that it will include the clause titled " Instructions for Lower Tier Participant Certification" including the" 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 and will require lower tier participants to comply with 2 CFR parts 180 and 1200.

8. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR part 9, subpart 9. 4, debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant is responsible for ensuring that its principals are not suspended, debarred, or 8/ 16/ 2023 2: 34: 59 PM Page 12 of 15
otherwise ineligible to participate in covered transactions. To verify the eligibility of its principals, as well as the eligibility of any prospective lower tier participants, each participant may, but is not required to, check the System for Award Management Exclusions website
h ttps:// www. sam. qov.

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, subqart 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 the transaction for cause or default.

CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS—

PRIMARY TIER COVERED TRANSACTIONS

1. The prospective primary tier participant certifies to the best of its knowledge and belief, that it and its principals:
a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating in covered transactions by any Federal department or agency; b. Have not within a three- year period preceding this proposal 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;
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/ proposal had one or more public transactions ( Federal, State, or local) terminated for cause or default.

2. Where the prospective primary tier participant is unable to certify to any of the Statements in this certification, such prospective participant shall attach an explanation to this proposal.

INSTRUCTIONS FOR LOWER TIER PARTICIPANT CERTIFICATION

1. By signing and submitting this proposal, the prospective lower tier participant is providing the certification set out below and agrees to comply with the requirements of 2 CFR parts 180 and 1200.

2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension or debarment.

3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal 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, civil judgment, debarment, suspension, ineligible, participant, person, principal, and voluntarily excluded, as used in this clause, are defined in 2 CFR parts 180 and 1200. You may contact the person to whom this proposal is submitted for assistance in obtaining a copy of those regulations.

5. The prospective lower tier participant agrees by submitting this proposal 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 proposal that it will include the clause titled " Instructions for Lower Tier Participant Certification" including the " 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 and will require lower tier participants to comply with 2 CFR parts 180 and 1200.

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 is responsible for ensuring that its principals are not suspended, debarred, or 8/ 16/ 2023 2: 34: 59 PM Page 13 of 15
otherwise ineligible to participate in covered transactions. To verify the eligibility of its principals, as well as the eligibility of any prospective lower tier participants, each participant may, but is not required to, check the System for Award Management Exclusions website
https:// www. sam. gov.

8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from 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 or debarment.

CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION—

LOWER TIER COVERED TRANSACTIONS

1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating in covered transactions 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 proposal.

BUY AMERICA
applies to subrecipients as well as States)
The State and each subrecipient will comply with the Buy America requirement( 23 U. S. C. 313) when purchasing items using Federal funds. Buy America requires a State, or subrecipient, to purchase with Federal funds only steel, iron and manufactured products produced in the United States, unless the Secretary of Transportation determines that such domestically produced items 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. In order to use Federal funds to purchase foreign produced items, the State must submit a waiver request that provides an adequate basis and justification for approval by the Secretary of Transportation.

CERTIFICATION ON CONFLICT OF INTEREST
applies to subrecipients as well as States)

GENERAL REQUIREMENTS
No employee, officer, or agent of a State or its subrecipient who is authorized in an official capacity to negotiate, make, accept, or approve, or to take part in negotiating, making, accepting, or approving any subaward, including contracts or subcontracts, in connection with this grant shall have, directly or indirectly, any financial or personal interest in any such subaward. Such a financial or personal interest would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or personal interest in or a tangible personal benefit from an entity considered for a subaward. Based on this policy:

1. The recipient shall maintain a written code or standards of conduct that provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents. a. The code or standards shall provide that the recipienYs officers, employees, or agents may neither solicit nor accept gratuities, favors, or anything of monetary value from present or potential subawardees, including contractors or parties to subcontracts. b. The code or standards shall establish penalties, sanctions, or other disciplinary actions for violations, as permitted by State or local law or regulations.

2. The recipient shall maintain responsibility to enforce the requirements of the written code or standards of conduct.
8/ 16/ 2023 2: 34: 59 PM Page 14 of 15

DISCLOSURE REQUIREMENTS
No State or its subrecipient, including its officers, employees, or agents, shall perform or continue to perform under a grant or cooperative agreement, whose objectivity may be impaired because of any related past, present, or currently planned interest, financial or otherwise, in organizations regulated by NHTSA or in organizations whose interests may be substantially affected by NHTSA activities. Based on this policy:

1. The recipient shall disclose any conflict of interest identified as soon as reasonably possible, making an immediate and full disclosure in writing to NHTSA. The disclosure shall include a description of the action which the recipient has taken or proposes to take to avoid or mitigate such conflict.

2. NHTSA will review the disclosure and may require additional relevant information from the recipient. If a conflict of interest is found to exist, NHTSA may( a) terminate the award, or( b) determine that it is otherwise in the best interest of NHTSA to continue the award and include appropriate provisions to mitigate or avoid such conflict.

3. Conflicts of interest that require disclosure include all past, present, or currently planned organizational, financial, contractual, or other interest(s) with an organization regulated by NHTSA or with an organization whose interests may be substantially affected by NHTSA activities, and which are related to this award. The interest( s) that require disclosure include those of any recipient, affiliate, proposed consultant, proposed subcontractor, and key personnel of any of the above. Past interest shall be limited to within one year of the date of award. Key personnel shall include any person owning more than a 20 percent interest in a recipient, and the officers, employees or agents of a recipient who are responsible for making a decision or taking an action under an award where the decision or action can have an economic or other impact on the interests of a regulated or affected organization.

PROHIBITION ON USING GRANT FUNDS TO CHECK FOR HELMET USAGE applies to all subrecipients as well as States)
The State and each subrecipient will not use 23 U. S. C. Chapter 4 grant funds for programs to check helmet usage or to create checkpoints that specifically target motorcyclists.

POLICY ON SEAT BELT USE
In accordance with Executive Order 13043, Increasing Seat Belt Use in the United States, dated April 16, 1997, the Grantee is encouraged to adopt and enforce on- the- job seat belt use policies and programs for its employees when operating company-owned, rented, or personally-owned vehicles. The National Highway Traffic Safety Administration NHTSA) is responsible for providing leadership and guidance in support of this Presidential initiative. For information and resources on traffic safety programs and policies for employers, please contact the Network of Employers for Traffic Safety( NETS), a public-private partnership dedicated to improving the traffic safety practices of employers and employees. You can download information on seat belt programs, costs of motor vehicle crashes to employers, and other traffic safety initiatives at www.trafficsafety. org. The NHTSA website ( www. nhtsa. gov) also provides information on statistics, campaigns, and program evaluations and references.

POLICY ON BANNING TEXT MESSAGING WHILE DRIVING
In accordance with Executive Order 13513, Federal Leadership On Reducing Text Messaging While Driving, and DOT Order 3902. 10, Text Messaging While Driving, States are encouraged to adopt and enforce workplace safety policies to decrease crashes caused by distracted driving, including policies to ban text messaging while driving companyowned or rented vehicles, Government- owned, leased or rented vehicles, or privately- owned vehicles when on official Government business or when performing any work on or behalf of the Government. States are also encouraged to conduct workplace safety initiatives in a manner commensurate with the size of the business, such as establishment of new rules and programs or re- evaluation of existing programs to prohibit text messaging while driving, and education, awareness, and other outreach to employees about the safety risks associated with texting while driving. 8/ 16/ 2023 2: 34:59 PM Page 15 of 15
Exhibit B

CALIFORNIA OFFICE OF
T
California Office of Traffic Safety
Grant Program Manual
For Federal Fiscal Year 2023
This manual establishes consistent program and project management procedures for the California Office of Traffic Safety (OTS) staff and subrecipients agencies/ organizations receiving federal grant funds from the OTS) to guide the administration of the state' s highway safety program in compliance with National Highway Traffic Safety Administration guidelines. Best practice requires the OTS to have a current manual which documents standard operating procedures and the management of the highway safety program. This manual contains a written record of current approved administrative and financial procedures; however, it does not specifically address all regulations. Periodic changes and additions to the manual may be necessary to meet changing federal and state laws and/ or to improve program management and fiscal procedures. When an agency or organization accepts federal safety funds, it also agrees to fully comply with all requirements in this manual and any periodic changes that may be made during the grant period.

GRANT PROGRAM MANUAL
Table of Contents
COMMONLY USED TERMS& ACRONYMS 1
HIGHWAY SAFETY PROGRAM 8
DEVELOPMENT OF THE STATE HIGHWAY SAFETY PLAN 8

PROBLEM IDENTIFICATION& PROGRAM AREAS H
NHTSA PROGRAM PRIORIN AREAS 9
PROIECT SOLICITATION AND DEVELOPMENT 9
ANNUAL GRANT CYCLE 10
GRANT ELIGIBILITY 1O
ARE YOU ELIGiBLE FOR AN OTS GRANT? 10
GRANT TYPES 12
GRANT APPLICATION PROCESS AND REVIEW 12
GRANTAPPLICATION REVIEW 14
RISK ASSESSMENT 14
GRANTAGREEMENT& PRE- OPERATIONS MEETING 15
DRAFT GRANT AGREEMENT 15
FINAL GRANT AGREEMENT 18
PRE—OPERATIONAL REVIEW 19
GRANT REQUIREMENTS 19
FEDERAL 8e STATE REGULATIONS GOVERNING THE OTS GRANTS 19 AU DITS 20
FEDERAL FUNDING ACCOUNTABILITY Hi TRANSPARENCY ACT 21
PROCUREMENT STANDARDS( COMPETITIVE Si SOIE SOURCE) 21
CONTRACTUAL SERVICES 22
NON—PROFITS 24
TRAFFIC ENFORCEMENT AGENCIES 24
INSTITUTIONS OF HIGHER EDUCATION 24
LIMITATION OF LIABILITY 24
SUBRECIPIENT RESPONSIBILITIES& PROCEDURES 25
AUTHORIZING OFFICIAL 25
GRANT DIRECTOR 2S
FISCAL OR ACCOUNTING OfFICIAL 26
CHANGE AUTHORIZED OFFICIALS OR DELEGATION 26
fINANCIAL MANAGEMENT 26
FRAUD PREVENTION 27

SAFEGUARDING PERSONAL INFORMATION ZH
DIRECT ALLOWABLE COSTS Hi SOURCE DOCUMENTS ZH
PERSONNEL 2H
TRAVEL 30
CONTRACTUAL SERVICES 31
EQUIPMENT 31
OTHER DIRECT COSTS 32
ALLOWABLE INDIRECT COSTS 33
UNALLOWABLE COSTS FOR SELECTED ITEMS 33
GRANT REVISIONS 35
CLAIMS PREPARATION& REIMBURSEMENT 36
TOC Page 2 Revised: 10/ 2021

GRANT PROGRAM MANUAL
GRANT REPORTS 38
QUARTERLY PERFORMANCE REPORT( QPR 38
GRANT CLOSE OUT 39
EQUIPMENT DISPOSAL 39
MONITORING 40
GRANT PERFORMANCE REVIEW 40
EQUIPMENT 41
PUBLIC INFORMATION& EDUCATION 41
ADVERTISING 8c PUBLIC RELATIONS 42
COPYRIGHTS TRADEMARKS 43
WITHHOLDING, DISALLOWANCE, REDUCTION, TERMINATION AND/ OR DENIAL OF GRANT FUNDS 43 TERMINATION REQUESTED BY THE SUBRECIPIENT 43
DISPUTES/ DISAGREEMENTS 44
APPENDIXA—CERTIFICATIONS AND ASSURANCES FOR HIGHWAY SAFETY GRANTS 45 23 U. S. C. CHAPTER 4 AND 41 U. S. C. SEC. 1906, PUB. L. 109- 59, AS AMENDED BY SEC. 4011, PUB. L. 114- 94) 45 NONDISCRIMINATION 46
THE DRUG—FREE WORKPLACE ACT OF 1988( 41 U. S. C. 8103) 48 POLITICAL ACTIVITY( HATCH ACT) 49
CERTIFICATION REGARDING FEDERAL LOBBYING 49
RESTRICTION ON STATE LOBBYING 50
CERTIFICATION REGARDING DEBARMENTANDSUSPENSION 50
BUY AMERICA ACT 55
PROHIBITION ON USING GRANT FUNDS TO CHECK FOR HEI. MET USAGE 55 POLICY ON SEAT BELT USE 55
POLICY ON BANNING TEXT MESSAGING WHILE DRIVING 56
APPENDIX B— MANDATORY DISCLOSURES 57
APPENDIX C— LAW ENFORCEMENT AGENCIES 60
PROHIBITION ON USING GRANT FUNDS TO CHECK FOR HELMET USAGE 60 RACIAL PROFILING 60
VEHICLE PURSUITS 60
USE OF FUNDS 60
APPENDIX D— GENERAL TERMS& CONDITIONS, STATE CERTIFICATIONS 61

1. ADMINISTRATIVE SUPPORT AND STATEMENT OF INTENT 61

2. AIR OR WATER POLLUTION VIOLATION 61

3. AMENDMENT 61

4. AMERICANS WITH DISABILITIES ACT. 62

5. ANTITRUST CLAIMS 62

6. APPROVAL 63

7. ASSIGNMENT 63

8. AUDITS AND ACCESS TO RECORDS 63

9. AVAILABILITY OF FUNDS 63
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10. BYRD ANTI- LOBBYING AMENDMENT( 31 USC 1352) 64

11. CHILD SUPPORT COMPLIANCE ACT 64

12. CLEAN AIR ACT AND THE FEDERAL WATER POLLUTION CONTROL ACT 65

13. COMPENSATION 65

14. CONFLICT OF INTEREST 65

15. CONTRACTS 66

16. CONTRACTOR CERTIFICATION CLAUSES: 67

17. INDEPENDENT CONTRACTOR 67

18. COMPETITION 67

19. CONVICT/ FORCED LABOR 67

20. COPYRIGHTS( 41 CFR 105- 71. 134) 67

21. CORPORATE QUALIFICATIONS TO DO BUSINESS IN CALIFORNIA 67

22. DAVIS- BACON ACT, AS AMENDED( 40 USC 3142) 68

23. DISADVANTAGED BUSINESS ENTERPRISE/ SMALL BUSINESS AFFIRMATIVE STEPS 68

24. DISCLOSURE REQUIREMENTS 68

25. DISPUTES. 69

26. DOCUMENT RETENTION AND ACCE55 69

27. DOMESTIC PARTNERS 69

28. DRUG- FREE WORKPLACE REQUIREMENTS: 69

29. ENERGY EFFICIENCY 70

30. EQUAL EMPLOYMENT OPPORTUNITY 70

31. EQUIPMENT 70

32. EXPATRIATE CORPORATIONS 71

33. FINANCIAL MANAGEMENT SYSTEM 71

34. GENDER IDENTITY: 71

35. GOVERNING LAW 71

36. INDEMNIFICATION 71

37. INTANGIBLE PROPERTY 71

38. LABOR CODE/ WORKERS' COMPENSATION 73

39. LIMITED ENGLISH PROFICIENCY 73

40. LOGOS 73

41. LOSS LEADER 73

42. PROGRE55 SCHEDULE 74

43. PROGRESS PAYMENTS 74

44. NATIONAL LABOR RELATIONS BOARD CERTIFICATION 74

45. NON- DISCRIMINATION CLAUSE: 74
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46. NON- DUPLICATION OF GRANT FUNDING 75

47. NON- ENFORCEMENT SUPPLANTING AVOIDANCE 75

48. PRIORITY HIRING CONSIDERATIONS 75

49. RECYCLING CERTIFICATION 76

50. RESOLUTION 76

51. RIGHTS TO INVENTIONS MADE UNDER A CONTRACT OR AGREEMENT 76

52. SINGLE AUDIT ACT CERTIFICATION 76

53. SOLICITATION 77

54. STATEMENT OF COMPLIANCE 77

55. SUBRECIPIENT/ CONTRACTOR NAME CHANGE 77

56. SWEAT FREE CODE OF CONOUCT 78

57. TERMINATION FOR CAUSE 78

58. TERMINATION WITHOUT CAUSE 78

59. TIMELINESS 78

60. UNENFORCEABLE PROVISION 78
INSTITUTIONS OF HIGHER EDUCATION 9
APPENDIX E- DOCUMENT EXAMPLES 80
PERSONNEL ACTIVITY REPORT( PAR 80
EMPLOYEE TIME CERTIFICATION 82
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COMMONLY USED TERMS 8 ACRONYMS
The following commonly used terms and acronyms are provided to assist manual users. Many appear in this manual, while others are used in documents associated with the grant program management process.

ADA Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of disability, as well as all applicable regulations and guidelines issued pursuant to the ADA.
42 U. S. C. 12101 et seq.)
ARIDE Advanced Roadside Impairment Driving Enforcement - Training designed to bridge the gap between SFST and DRE that enables a police officer to observe, identify and
articulate the signs of impairment caused by drugs, alcohol, or a combination of both.

Authorizing Agency officials within a local or state governmental entity Official, Grant who have the authority to obligate the agency to a grant Director, and agreement. The individuals are responsible for establishing Fiscal Official and maintaining procedures that ensure effective administration of the approved grant and comply with grant requirements.

Budget Broad grouping of expenses such, as personnel costs, supplies, and equipment.

Buy America Prohibits states or subrecipient from using highway grant funds Act under 23 U. S. C. Chapter 4 to purchase steel, iron and manufactured products, unless they are produced in the U. S., under $5,000. 00, or a waver is granted by the Secretary of Transportation. ( 23 U. S. C. 3131
CaISTA California State Transportation Agency
Caltrans California Department of Transportation

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CFDA Catalog of Federal Domestic Assistance - Provides a listing of all federal programs available to state and local governments; federally recognized Indian tribal governments; U. S. territories and possessions; domestic public, quasi- public and private profit and non- profit organizations and institutions; specialized groups; and individuals.

CFR Code of Federal Regulations - A listing of general and permanent rules published in the Federal Register by the Executive branch of the federal government and federal
agencies.

CHP California Highway Patrol
CPS Child Passenger Safety
DD Distracted Driving
DOF California Department of Finance
DOJ California Department of Justice
DRE Drug Recognition Expert - A police officer trained to recognize impairment in drivers under the influence of drugs other than or in addition to, alcohol.

DUI Driving Under the Influence
DUID Driving Under the Influence of Drugs
EB Method Empirical Bayesian Ranking Method - Used by researchers and statisticians to group and give varying weights to many different factors. The OTS Rankings for cities are developed using this method, which factors in not only population and daily vehicle miles traveled, but crash records and trends to arrive at a single, more accurate ranking.

EMS Emergency Medical Services

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Employee Time Used to certify that 100 of an employee' s time is federally Certification grant funded ( Form OTS- 26)
Equipment Non- expendable - Tangible, personal property having a useful life of more than one year and an acquisition cost of $ 5, 000 or more that is used only for traffic safety purposes.

Equipment Details the purchase date, description, location, total cost, Reporf federal funds used, and current fair market value.

Equipment Re- Same as the equipment report but includes depreciation Certification information that must be updated and filed every two years Reporf from the original date of acquisition.

FARS Fatality Analysis Reporting System
Fair Market Is the price that property/ equipment would sell for on the Value ( VFM) open market. It is the price that would be agreed on between a willing buyer and a willing seller, with neither being required to act, and both having reasonable knowledge of the relevant tacts. ( IRS Publication 561)
FFATA Federal Funding Accountability and Transparency Act - Requires subrecipients to annually report each action that obligates $ 25,000 or more in federal funds.

FHWA Federal Highway Administration
Fiscal Official Fiscal or accounting official who has responsibility for the agency' s fiscal/ accounting records.

GEMS Grant Electronic Management System. The OTS on-line application and grant award system.

Grant Federal fiscal funding awarded by the OTS to a local or state government entity to address a specific behavioral highway safety issue.

Grant Binding document between the OTS and a local or state Agreement government entity outlining the terms and conditions, and programmatic and financial responsibilities of receiving federal highway safety grant funds.

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Grant Claim Expenditures accrued in support of approved grant activities Invoice that a subrecipient may submit for reimbursement.

Grants Made Templates (GMEs) designed to facilitate ease of preparing Easy and submitting a grant application.

Grant Revision A change to a grant agreement that is necessary to enhance its operational efficiency.

GPR Grant Performance Review - A review of the subrecipient grant activities and financial records for compliance with federal rules.

Host Agency A government agency that acts as the primary subrecipient and manager of the grant but all or most of the activity is performed by a contractor.

HSP Highway Safety Plan - Outlines the state' s annual expenditure of federal highway safety grant funds for priority behavioral safety programs during the federal fiscal year (October 1 - September 30).

HVE Grant High Visibility Enforcement - A grant awarded to a law enforcement agency to target a specific traffic safety issue such as speeding or impaired driving; highly visible
enforcement is coupled with a publicity strategy designed to educate the public and promote voluntary compliance with the law.

LEL Law Enforcement Liaison - Provides law enforcement expertise to the OTS and its subrecipients for enforcement grant site selection, appropriate grant strategies and countermeasures, and grant development as well as contacts for local, county, and state law enforcement officials, the OTS, and the Regional Office of the National Highway Traffic Safety Administration.

NHTSA National Highway Traffic Safety Administration - The federal agency responsible for administering the national highway traffic safety grant programs funded by federal legislation.

Non- Profit A non- governmental entity registered as a 501 ( c)( 3) with the California Secretary of State.

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OP Occupant Protection
Other Direct Any grant item or service costing less than $ 5, 000 per unit.

Costs
OTS California Office of Traffic Safety, the state' s lead traffic safety organization tasked with addressing behavioral safety issues.

OTS Rankings Office of Traffic Safety Rankings - Developed using the Empirical Bayesian Ranking Method to enable a city or county to compare its traffic safety statistics to similar sized cities and counties.

Paid Media Advertising ( print, TV, radio, display, promoted or sponsored social media) that is disseminated by the media for a fee.

PAR Employee- maintained timesheet or log used to account for all time spent on federal and non-federal grants and other
programs.

Performance The goals and objectives that describe what the subrecipient Measures will accomplish by implementing the traffic safety grant program ( goals) and the tasks or activities that will be performed in support of the goals.

P18 E Public Information 8 Education - Includes educational and promotional materials, advertising, and public relations activities.

Pre- Operational A meeting held during the first 90 days after the start of a the Review OTS grant to review the grant program manual and grant requirements.

Program Area The OTS Program Coordinators assigned to a program area to Review team evaluate applications. Each team includes a program area expert.

Program The OTS staff inember responsible for the effective Coordinator administration of grants and statewide highway safety programs.

PSA Public Service Announcement - Public interest messages designed to raise awareness and change public attitudes and

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behavior towards a social issue. May be disseminated by the media for free or a fee ( paid media).

QPR Quarterly Performance Report - Prepared by the subrecipient describing tasks, activities and equipment purchases that were made in support of the goals, objectives, and objective data points in the grant.

SAM System for Award Management- A 12- digit alpha-numeric unique entity identifier to detect different divisions of companies and provide easy reference for those seeking
information.

SD/ SO Sheriff' s Department/ Sheriff' s Office
SFST Standard Field Sobriety Testing - Composed of three-phases of DUI detection investigation used by enforcement officials to identify impaired drivers.

Sole Source Purchases or contracts awarded through a non- competitive process.

STEP Selective Traffic Enforcement Program - Intensive enforcement of a specific traffic safety laws with extensive communication, education, and outreach informing the public about the
enforcement activity.

Subrecipients A Local or state government entity receiving a highway safety grant from the OTS.

Subrecipient Reduction in subrecipient funds for an existing activity General Costs specifically because federal funds become available or are of Government expected to be available to fund that same activity.

Source Any documentation required by the OTS and/ or NHTSA to Documentation support grant activities.

SWITRS Statewide Integrated Traffic Records System - Database used by the CHP and other law enforcement agencies to capture and review crash data by jurisdiction, location, and other criteria.

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Time Sheet Approved documentation detailing work hours performed by an employee on behalf of his/ her employer during a set time period ( i. e., weekly, bi-weekly, overtime).

TIMS Transportation Injury Mapping System
Title VI Form completed by the subrecipient to ensure compliance Assessment with federal statutes and regulations relating to nondiscrimination.

TSRP Traffic Safety Resource Prosecutor
TR Traffic Records
TRIP Traffic Records Improvement Project
Vertical A method of prosecution that provides for the assignment of a Prosecution prosecutor to a case from the initial point of referral to the completion of the resolution resulting in continuity and improved prosecution success.

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HIGHWAY SAFETY PROGRAM
The Office of Traffic Safety ( OTS1, headquartered in Elk Grove, is California' s lead traffic safety organization. Located within the California State Transportation Agency ( CaISTA), the OTS is tasked with developing and implementing a highway safety program that addresses the behavioral factors that impact safety on the road.

Vision - " Everyone traveling on California roadways will go safely" Mission - Effectively administer traffic safety grants that deliver innovative programs and eliminate traffic fatalities and injuries on California roadways.

The goal of the annual program is to prevent serious injury and death resulting from motor vehicle crashes so that all roadway users arrive at their destination safely. Using Federal Hiqhwav Safety Pro_
am funds, the OTS partners with
political subdivisions of the state to address California' s highway safety needs at the state, county, and local level. The OTS cannot directly fund a 501 ( c)( 3) nonprofit organization; however, these entities are eligible for funding through a host" government agency (subrecipient) as a contractor.

DEVELOPMENT OF THE STATE HIGHWAY SAFETY PLAN
Problem Identificafion & Program Areas
Data analysis is essential to understanding who is crashing, where they' re crashing, and why. The OTS reviews local, county, and state crash data to identify roadway users - motorists, pedestrians, bicyclists, teens, older drivers, for example - with a statistically higher crash risk. This data, combined with citation, licensing, vehicle miles traveled, and demographic information, are analyzed to help the OTS and its partners understand what is prompting crashes and the resulting injuries and fatalities on California' s roadways not only statewide, but also at the county and city level. The OTS uses crash rankings to help individual cities compare their traffic safety statistics to those of a similar population size.

The OTS and cities use this data to monitor progress in addressing ongoing traffic safety problems as well as to identify emerging issues.

This information is also used to develop the annual Hiahwav Safety Plan ( HSP), which details the extent of California' s crash problem and how federal highway safety dollars will be distributed into priority behavioral safety programs during the federal fiscal year ( October 1 - September 30). The National Highway Traffic Safety Administration ( NHTSA) has identified priority areas, which the agency

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determines to be effective in reducing motor vehicle crashes, injuries, and fatalities. California' s HSP addresses NHTSA' s priority program areas and others including:

NHTSA Program Priority Areas
Alcohol- Impaired Driving Distracted Driving
Drug- Impaired Driving Emergency Medical Services
Motorcycle Safety Occupant Protection
Police Traffic Services Pedestrian and Bicycle Safety
Roadway Safety and Public Relations, Advertising, and
Traffic Records Marketing Program
The HSP not only describes what will be done to address these program areas, but also the goals and performance measures used to gauge progress.

Program goals and performance measures are selected based on severity, economic costs and number of agencies available to implement projects using proven countermeasures. Federal regulations require that the three common performance measures ( fatalities, serious injuries and fatality rate) in the HSP have identical performance targets with the Caltrans Highway Safety Improvement Program ( HSIP). These common performance targets shall be based on a five-year rolling average ( only). For more information contact OTS or visit our web page at www. ots. ca. gov/ About Us.

Project Solicitation and Developmenf
The annual project selection process begins by notifying Grant Electronic Management System ( GEMS) registrants through email of the open application period for the next federal fiscal year (October 1- September 30) and of funding workshop dates held each December. The message also announces when grant application forms and instructions will be available on the Grants/ Apply Now page of the OTS website.

The Regional Grant Application Workshops, facilitated by the OTS staff, may be constructed to generate interest in a particular program area identified in the HSP and/ or to address questions about the grant application process.

Additionally, the OTS staff review crash data and encourages state and local government subdivisions ( i. e., law enforcement agencies, public health, fire departments, driving under the influence [ DUI] courts, district attorneys, colleges and universities, school districts, and public emergency services providers) to apply for this grant funding opportunity or to attend a workshop.

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Ali grant applications are due January 31 . The table below details the grant application process timeline.

Annual Grant Cycle
December OTS announces upcoming grant application period OTS conducts grant workshops
January 31 Deadline to submit grant applications to OTS February- May OTS reviews and ranks grant applications
June OTS submits grants to CaISTA for approval
OTS notifies subrecipients of grant application status
OTS holds pre- HSP meeting with NHTSA
June - July OTS holds pre-funding meetings with subrecipients (as needed)
OTS develops draft grant agreements
OTS submits HSP to NHTSA
July - September OTS sends grant agreements to s brecipients for review & signatures
September Signed grant agreements due to OTS
September 30 End of federal fiscal year
October 1 Federal fiscal year begins
October- OTS holds pre-operation meetings with subrecipients December
Grant Eligibility
Before applying for a grant, all potential applicants should review the following list to ensure they meet eligibility requirements:

Are You Eliqible for an OTS Grant?
The first step in obtaining grant funding is to determine if the project you want funded is eligible for Federal Funds administered by the OTS. Please review the information below before applying to see if your Agency and Program meet the funding criteria. Eligible applicants must meet the six criteria below:

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1. Will you use the funds for one of the program areas listed below? NHTSA Program Priority Areas
Alcohol- Impaired Driving Distracted Driving
Drug- Impaired Driving Emergency Medical Services
Motorcycle Safety Occupant Protection
Police Traffic Services Pedestrian and Bicycle Safety
Roadway Safety and Traffic Public Relations, Advertising, and Records Marketing Program

2. Can your organization pay project expenses, and then wait 90 days to be reimbursed?
Project expenses are reimbursed after the grantee pays for them.

3. Is your organization a public entity?
If you are a 501 c ( 3) non- profit organization, you will need a public entity as your host agency. Please contact our office for more information.

4. Have you cleared the Sinqle Audit?

5. Do you have a SAM number?

6. Are you able to provide Traffic Safety Data that demonstrates how your program will save lives on CA roadways and be able to demonstrate using performance measures with one-year of funding?
If you are still unsure whether your project meets the criteria, contact our office for assistance at (916) 509- 3030 or go to OTS Grants to start your application.

As criteria # 3 indicates, the OTS cannot directly fund a 501 ( c)( 3) non-profit organization; however, a non-profit that is registered with the California Secretary of State is eligible for funding through a " host" government agency subrecipient) as a " contractor." The host agency should include funding for the contractor" under contractual services in its grant application. The host agency, however, will be required to follow their contracting procedures.

Acceptance and fundina of the application does not imply an agreement or reauirement for a " sole source" contract. If the contractor will receive more than $ 150,000 in grant funds, the host agency should conduct a pre-award review. ( For more information, refer to Non- Profits in the Grant Requirements section of this manual.)

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Grant Types
Two types of grant applications are available - Generai grants and Grants Made Easy ( GME). A qualifying government agency determines which type to use based on the problem to be addressed. Problem identification should be determined through analysis of local crash data, as well as data from the California Highway Patrol Statewide Integrated Traffic Records System (SWITRS) and the OTS Rankinas for California cities and counties. The rankings, which are developed using the Empirical Bayesian Ranking or EB Method, factor in not only population and daily vehicle miles traveled, but also crash records and trends.

This results in a single, more accurate ranking. Rankings are available addressing fatalities and injuries; alcohol; motorcyclists; pedestrians; bicyclists; speedrelated, hit and run, and nighttime crashes; and composite.

A government agency should apply for a General grant if it is seeking funding to address traffic safety problems other than what are listed on a GME. Unlike a GME, which includes pre-determined goals, objectives and activities by focus area ( i. e., DUI Court, EMS, Occupant Protection, Pedestrian and Bicycle Safety, Probation, Selective Traffic Enforcement Program, Traffic Records Improvement Project, and Vertical Prosecution), a General grant may be customized.

Grant Application Process and Review
Application Submission
The online GEMS provides a paperless system for application entry, the OTS review, allocation of funds, budgeting, tracking expenditures, monitoring grant performance, and supporting the development of reports required by state and federal agencies.

Grant applications must be submitted through GEMS before 11: 59 p. m. on January 31 of each year. Access to GEMS application forms is only available during the open application period; however, application training resources are available year-round. First time GEMS users are required to register and must be granted access by the OTS. Returning users can login using their existing credentials. Review the OTS GEMS webqaae for more guidance.

GEMS provides an application template for each grant type that conforms to federal requirements as outlined in the CFR Title 2 Subpart A Chapter II, Subpart C 200. 21 1 including sections for:

Agencv Identification, specific information regarding the agency including the agency SAM number;
Problem Statement that details problem to be solved;
Supqortinq Statistical Data that thoroughly documents the problem;

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Proposed Solution, a discussion of what strategies will be taken to solve the problem ( i. e., increased DUI enforcement, pedestrian education) and what resources it will leverage to implement the intervention; Goals 8 Objectives, both grant types call for goals and objectives that are specific, measurable, action- oriented, realistic, time-framed ( SMART); Method of Procedure, includes a plan for daily managing of the grant agency qualifications), and a plan for reducing reliance on federal grant funding in the future ( sustainabilityj;
Evaluation, general and GME grant applications also outline media, data collection and reporting, evaluation, and administrative support requirements;
Budget items and Budget Narrative, include a detailed budget estimate with supporting narrative, that includes all cost categories - personnel costs, travel expenses, contractual services, equipment ($ 5, 000 or more per unit), and direct and indirect costs. Each category must be detailed by individual line items;
Allows upload of supporting documents - While not required, it is strongly recommended that the grant application include a letter(s) of support from the governing body ( i. e., Board of Supervisors, City Council) and if applicable the community.

All sections of the application must be complete for GEMS to accept the submission. GEMS will provide an individual application number. The system allows for multiple entry so that an application can be built over a period of time. Guidance is provided within GEMS to explain field entry requirements.

However, once submitted, the apqlication is locked and cannot be altered by the applicant. To protect the integrity of the submission, the OTS can only view the application during its review process.

All applications successfully submitted on or before the January 31 deadline will receive the following automatically generated response via GEMS:

Thank you for submitting your Traffic Safety Application. Applications are being reviewed for possible incorporation into our Highway Safety Plan for the next Federal Fiscal Year.

You will be notified when a decision has been reached concerning the status of your application. Thank you for your interest in traffic safety." The status of the application is automatically updated to " Submitted".

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Grant Application Review
Once the grant application period has closed, each application goes through an evaluation process. The application is assigned to a Program Area Review Team. The OTS Program Coordinators on the team review the application to determine if it:

Will contribute to the California Traffic Safety Program; is compatible with NHTSA and OTS grant funding policies; Falls under the OTS' funding priorities, includes best practices and is a Stratectic Hiqhwav Safetv Plan priority;
Addresses a serious problem that' s supported through comprehensive crash data analysis;
Targets high- risk populations, high-risk behaviors, and high crash locations; Is reasonable and proportional ( strategy, time frame, budget) to the identified problem; and
Is a continuation of an existing grant, was funded within the past five years or previously submitted and denied for funding and why.

Following this in- depth evaluation, the Review Team collectively prioritizes the applications and presents their assessment to the Branch Chiefs. The final meeting to determine funding approval involves the Review Team, the Branch Chief, the Deputy Director, and Director. The OTS then forwards its application funding recommendations to the California State Transportation Agency CaISTA) for approval. All approved applications are included in the annual HSP, which is submitted on or before July 1 to NHTSA for review and approval.

Risk Assessment
The OTS is required by NHTSA, prior to making an award, to evaluate and document the risk for each entity selected for federal grant funding. The OTS will assess the applicant' s risk of noncompliance with federal statutes ( Single Audit Compliance 8 Federal Debarment), regulations and the terms and conditions of the grant as well as the applicant' s financial stability, q ality of management systems, history of past performance, and prior audit findings, if applicable. If the applicant does pose a risk, but the proposal has merit, the OTS may as a condition of awarding grant funds, conduct a pre-funding assessment meeting with the agency' s authorities, and/ or impose specific terms or conditions. This information will be used to determine the appropriate level of monitoring if a grant is awarded.

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GRANT AGREEMENT 8 PRE- OPERATIONS MEETING
Following CaISTA review and approval of the OTS' HSP and funding recommendations, the OTS will notify the government agencies via GEMS email of the status of their application. Successful applications are converted by the OTS in GEMS to a draft grant agreement and assigned a grant number.

Draff Grant Agreemenf
The OTS works with the subrecipient to prepare the draft grant agreement using information included in the original grant application as well as any changes to the budget and/ or strategies discussed. The draft grant agreement consists of the following documents:

Traffic Safefiy Grant Agreement, Paqe 1 and Pacae 2 summarizes the terms of the contract between the subrecipient and the OTS. The page includes the grant number, grant title; name of the applicant agency; agency unit handling the grant; grant period and description; the amount of federal funds allocated; approval signatures of the Authorizing Official, Grant Director, and the Fiscal Official of the applicant agency; the authorizing official and Accounting Officer contact from the OTS; the agency' s SAM number; the budget funding data; NHTSA transparency reporting requirements; and the OTS fiscal approval signature.

The Grant Description Schedule A outlines the grant' s purpose ( supported by data), activities ( i. e., strategies, tasks, reporting, evaluation method) and performance measures ( goals and objectives), along with an administrative support statement from the appropriate governing body or official ( i. e., city council, board of supervisors, county executive, city manager). All this information is taken directly from the original grant application and agency support letters.

Detailed Budqet Estimate, Schedvle B, covers the entire one- year grant period ( two years on an exception basis) beginning October 1 and ending September 30. Federal funding source information is provided to assist the agency with sinqle audit compliance. Costs are divided into six categories which the government agency completed as applicable to its grant. (For more information on allowable costs, refer to Direct Allowable Costs in the Subrecipient Responsibilities 8 Procedures section of this manual.):
o Personnel Costs - Includes all classifications applicable to the grant, the hourly rate ( based on the method of compensation for that classification) and percentage applicable to

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the grant. Overtime salaries must be broken out separately from regular pay. Reasonable cost of living increases, or merit increases are estimated and included. Benefits are included under personnel costs.

Estimated costs for this category should be provided by the agencies financial official.
o Travel Expense - Includes the estimated cost of grant- related travel expenses ( transportation and per diem) segregated by in- state and out-of-state travel, using the subrecipient' s established reimbursement rates. If the subrecipient does not have a travel policy with established reimbursement rates, standard reimbursement rates apply per the California Department of Human Resources ( CaIHR). For rates consult the CaIHR website.
o Contractual Services- Describes the estimated cost of services to be provided for each contract awarded on the grant using descriptive titles ( i. e., " CPS Training," " Evaluation Services," " Public Awareness Campaign") rather than a firm, agency, or individual names. Each contract must have its own sub- budget detailing the contractors' expenses. For each contract, the agency is required to follow its established contracting policies. Approval of the grant agreement does not imply agreement for a " sole source" contact.
o Equipment- Includes the estimated cost of each equipment item that costs $ 5, 000 per unit or more and has a useful life of more than one year. The total cost of equipment ( without discounts) includes modifications, attachments, accessories, or auxiliary apparatus necessary to make it usable for grant purposes as well as tax, shipping and installation.
o Other Direct Costs- Details the estimated cost of any other allowable direct grant expenses not covered under the previous categories including services not requiring contractual agreements and minor equipment such as office supplies, printing, educational materials, radar devices, child safety seats, bike helmets, and checkpoint supplies that support the grant goals and objectives. The agency must follow its established procurement policies. ( Note: If a line item cost in this category is based on an allocation, it must be identified in the line item title as " Allocated Office Supplies" or " Communication Allocation." Cost allocation plans may be requested to determine if costs are equitably distributed to the grant.)
o Indirect Cost- Details costs accrued for common or joint purposes ( i. e., phone, supplies, administrative salaries) that are not a direct grant

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cost. An indirect cost benefits more than one cost objective and should be prorated equitably among all applicable functional areas.

For more information on indirect costs, refer to Allowable Indirect Costs in the Subrecipient Responsibilities & Procedures section of this manual.) Estimated costs for this category should be provided by the agencies fiscal official and supported by a current FFY Indirect Cost Rate approval letter from a federal agency.

Budqet Narrative, Schedule B- 1, which provides line item descriptions, in the same order as the costs detailed in the budget estimate ( Schedule B), and their relationship to the grant. The narrative addresses the following:
o Personnel Costs - Explains grant- related activities and/ or responsibilities for personnel and provides itemized employee rates and benefits.

Since actual benefit costs differ for straight time and overtime hours, both rates are identified and itemized in their own benefit line.) o Federal guidelines prohibit using Federal grant funds to pay for routine and/ or existing state or local activities that carry out the overall responsibilities of state, local, or federally recognized Indian tribal governments. This practice is known as General Costs of Government.

If a grant includes funding for straight time personnel, the OTS requires that the subrecipient include the following statement:
o " Any non- grant funded vacancies created by reassignment to a grant- funded position must be filled at the expense of the grantee agency."
o Travel Expenses - Details the travel necessary to complete grant objectives including conferences, seminars, training and/ or out- ofstate trips and corresponding costs using the subrecipient' s established travel policies and reimbursement rates. If no policy exists, it is noted in the narrative. If the subrecipient does not have a travel policy with established reimbursement rates, standard reimbursement rates apply per the California Department of Human Resources. For rates consult the CaIHR website.
o Contractual Services - Includes a brief description of the services provided by each contract identified in the budget estimate and how they relate to the grant objectives. Each contract must have its own sub- budget with detail. For more information on contractual services, refer to Contractval Services in the Grant Reqvirement section, and

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Financial Management in Subrecipient Responsibilities 8 Procedures, and also Contractual within the same section.
o Equipment- Includes a brief description of the item( s) identified in the budget estimate, how it ( they) will be used and if costs include any attachments, accessories, auxiliary apparatus, installation, or modification. Equipment brand names are not used.
o Other Direct Costs - Provides a brief description for each line item in the budget estimate by expense type, indicating how they support the grant goals and objectives. ( For more information on direct allowable costs, refer to the Subrecipient Responsibilities 8 Procedures section in this manual.)
o Indirect Cost - Provides a brief description of how costs will be calculated ( i. e., salaries, salaries and benefits). ( For more information on indirect cost, refer to Direct & Allowable in the Subrecipient Responsibilities & Procedures section in this manual.)
Certifications 8 Assurances, which document the federal terms, assurances and certifications that apply to the agreement between the OTS and the subrecipient. These may be reviewed in Appendix A in this manual.

Final Grant Agreemenf
Once the draft grant agreement is approved in GEMS, it is converted into a final grant agreement. The assigned OTS Program Coordinator e- mails a copy to the Primary contact and authorizing official listed on the agreement with completion instructions. The official will also receive a GEMS User Authority form see Authorizing Officials in the Subrecipient Responsibilities section) to designate individuals who can represent the agency for grant activities. The Authorizing Official, Grant Director, and the Fiscal Official will electronically sign the grant and the designation form. If the agreement requires governing body approval, the agency should notify the OTS of the timetable for that process.

Once the agreement is returned to the OTS, the agreement is signed by the appropriate OTS authority. The agency will then receive notification that the grant is active and can be viewed and downloaded from GEMS.

The signatures of the authorized representatives indicate that the subrecipient agrees to comply with the requirements outlined in the grant agreement. The subrecipient may not proceed with any expenditure associated with the grant

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until the authorizing Official receives notification from the OTS and it is on or after the effective grant start date.

Pre- Operational Review
The OTS conducts a pre-operational review with all subrecipients within the first 90 days ( between October and December) after the grant period begins. The review is conducted either by phone, virtually, or in- person with the OTS Program Coordinator at a mutually agreed upon time and location. Since the purpose of the meeting is to review in detail the grant operational and fiscal requirements outlined in the OTS Grant Agreement, the individual( s) responsible for administering the grant should attend the meeting. The Authorizing Official, Fiscal Official, and Grant director are strongly encouraged to participate in the pre- operational review, if available. The OTS Program Coordinator will review the grant goals and objectives along with base year data; equipment report, if applicable; the grant claim invoice and detail; and quarterly performance report. After the meeting, the Pre- Operational Review, which lists all who were in attendance, what was discussed and any other pertinent information, is completed by the OTS Program Coordinator in GEMS.

GRANT REQUIREMENTS
Reimbursement of approved grant expenditures is contingent upon the subrecipient complying with all grant requirements and the appropriation of sufficient funds by the federal government and the California Office of Traffic Safety. The OTS does not represent or guarantee the availability of federal highway safety funds for initial or subsequent year funding. If during the term of the grant federal funds are reduced or eliminated, the OTS may immediately terminate or reduce the grant award upon written notice to the subrecipient' s Authorizing Official.

Once a grant has been awarded and becomes effective, the OTS reimburses the subrecipient for actual expenditures related to approved activities. Only costs accrued within the approved qrant period and that do not exceed the federally obliaated funds as indicated in the aqreement are reimbursed. The goals and objectives outlined in the grant should be accomplished during the grant period and within the approved budget.

Federal& State Regulations Governing the OTS Granfs
The Office of Management and Budget (OMB) 2 CFR Part 200, Uniform Guidance for Federal Awards, is the federal administrative regulation under which the OTS grants operate. Agencies receiving highway safety funds must adhere to these requirements. The OTS is as restrictive as the requirements of 2

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CFR Part 200 and 2 CFR Part 1201 ( implementing regulations). However, in some cases, the OTS may be more restrictive to allow time for the s bmission of reports to NHTSA which include subrecipient information. ( Refer to Appendix B, General Terms and Conditions in this manual.)
The expenses and costs eligible for reimbursement under the highway safety program are those stipulated in the approved grant budget. To be allowable, costs must be necessary, reasonable, allocable, and expended according to the appropriate federal and state statutes or grant regulations outlined in 2 CFR Part 200. 416 and Appendix VII ( for state, local or tribal government), 2 CFR Parts 200. 418 and 200. 419 and 2 CFR Part 200 Appendix III ( for educational institutions) and 2 CFR 414, and A pendix IV ( for private non- profit organizations other than higher education institutions or hospitals). When evaluating reasonable cost, subrecipients should consider the following:

Is the cost generally recognized as ordinary and necessary for the performance of a government agency?
Does the cost exceed the market price for comparable goods or services?
Was restraint used and requirements followed ( i. e., sound business practices, arm' s length bargaining)?
Did the person act prudently and responsibly in expending public funds? Did the subrecipient adhere to established procurement practices thereby ensuring the cost to the OTS is justifiable?
All procurement and contractual transactions must be conducted in a full, open and competitive manner consistent with the standards of 2 CFR Part 200.318.

Sole source procurement or contracting is discouraged, because it is inconsistent with a policy of full and open competition. Grant management rules require the OTS to monitor subrecipients to ensure compliance with applicable federal requirements and cost principles. ( For more information, refer to the Monitoring section in this manual and Audit information provided below.)
Audits
Audits are conducted to determine the fiscal integrity of financial transactions and reports, as well as compliance with laws, regulations and administrative requirements. All grants awarded by the OTS are federally funded by the U. S.

Department of Transportation/ NHTSA and recorded in the catalog of Federal Domestic Assistance ( CFDA). If a subrecipient or its parent agency expends over$ 750, 000 in federal funds from any source, a single audit procedure is required by the Single Audit Act for State and Local Agencies, 1996

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Amendments, Public Law 104- 156. Current code 2 CFR Subpart F - Audit, Part 200.501 describes the audit requirements. All agencies meeting this threshold, must submit a copy of their completed audit to the California State Controller' s Office.

State highway safety offices are required to review the Federal Agency Clearinghouse for existing audits submitted by entities meeting the $ 750, 000 threshold. Annually in July, all proposed and current subrecipients that have not met the federal single audit requirement receive a letter from the OTS requesting resolution. If a subrecipient is unable or unwilling to have an audit conducted in accordance with 2 CFR Subpart F - Audit, Part 200.501, the OTS may administer the following sanctions: withhold a percentage of the grant award, withhold or disallow overhead cost, suspend the grant until the audit is conducted or an exemption certification is submitted, or terminate the grant.

In addition to the federal single audit requirement, the California Department of Finance Office of State Audits and Evaluations ( OSAE) conducts financial and compliance audits and monitoring activities on behalf of the OTS in accordance with government audit standards. These audits are performed to aid the OTS in complying with federal audit requirements and grant fund oversight. ( For more information, refer to the Monitorinq section in this manual) Federal Funding Accountability & Transparency Act
Passed by Congress in 2006, the Federal Funding Accountability and Transparency Act ( FFATA) requires the OTS to report each action ( sub- award and executive compensation) that obligates $ 25, 000 or more in federal funds during the grant year. The subrecipient is exempt from this requirement if, during the previous year, its gross income from all sources was less than $ 300, 000.

Procurement Standards ( Competitive & Sole Source)
A subrecipient of federal grant funds awarded by the OTS must follow the same policies and procedures it uses for procuring goods and services with nonfederal funds provided they conform to applicable state laws as well as federal laws and standards outlined in 2 CFR Part 200.318. A copy of the subrecipient' s established procurement procedures must be readily available for audit purposes upon request from the OTS. State government agencies must comply with contract and procurement policies and procedures set forth in the California State Administrative Manual and the California State Contractinq Manual. Three competitive bids should be secured for each purchase or service.

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Purchases or contracts awarded by a non- competitive process or sole source are allowed only when small purchase procedures, sealed bids or competitive proposals are unfeasible, and the following applies:

Goods or services are only available from a single source.

Public need or emergency will not permit a delay resulting from a competitive solicitation.

Competition is determined to be inadequate after soliciting a number of sources.

Sole source approvals must be granted in accordance with the subrecipient' s procurement and contracting directives addressing non- competitive procurement and contracting. All waivers must follow state guidelines as outlined in 2 CFR Part 200.318.32b.

Buv America Act - 23 USC 313
Prohibits states and their subrecipients from using highway grant funds to purchase products over $ 5, 000. 00, unless they are manufactured or assembled in the U. S. This prohibition applies to steel, iron and all manufactured products, unless a waiver is granted by the U. S. Secretary of Transportation. There is no minimum purchase threshold that exempts the need for a waiver under the Buy America Act.

The Buy America Act is also contained within Appendix A - Certifications and Assurances for Highway Safety Grants, which become a part of a signed grant agreement.

Contracfual Services
Subrecipients may use consultants and contractors, secured through a competitive bid or proposal as previously described in the Procurement Standards in this manual, to achieve the goals and objectives outlined in a federal funded highway safety grant. However, the subrecipient should not enter into a contract until the grant agreement is signed and authorized by the OTS, and effective after the grant start date. The subrecipient is responsible for verifying contractor eligibility by checking the System for Awards Manaqement website. or adding a self- certification clause or condition to the contract (see Certification Reqardinq Debarment and Suspension included in Appendix A of this manual)
The subrecipient is responsible for managing all contracts issued using the OTS grant funds including:

Ensuring the contractor complies with all contract provisions.

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Ensuring services are performed according to the quality, quantity, objectives, timeframes, and manner specified in the contract.

Ensuring that all work is completed and accepted before the contract expires.

Assessing and requesting amendments, renewals or new contracts as required allowing sufficient time to process and execute these changes before the contract expires to prevent lapse in service.

Ensuring that contracts are amended after any grant agreement revision that affects the contract terms.

Reviewing and approving invoices for payment, ensuring payments are made in accordance with contract terms, all costs are budgeted and allowable, and work has been performed.

Monitoring contract expenditures to ensure there are sufficient funds to pay for all services rendered as required by the contract.

Verifying all requirements of the contract are fulfilled before submitting the final invoice.

Ensuring that all Personnel Activity Reporting ( PAR) requirements are met.

For more information, refer to Personnel Source Documentation in the Direct Allowable Cost & Source Documents section in this manual.) Nothing contained in the grant agreement creates a contractual relationship between the OTS or the State of California and the contractor. The subrecipient is responsible for monitoring the activities of the contractor to ensure it is achieving the desired results as outlined in the contract and grant agreement, and that federal grant funds are used for purposes authorized in the grant agreement and in compliance with federal and state statutes and regulations.

The subrecipient, not the OTS or the State, is responsible for paying its contractors.

The subrecipient is the responsible party and remains liable for the performance of the terms, conditions, assurances, and certifications of the grant agreement that specifically relate to the contractor. The subrecipient is as fully responsible to the OTS and the State for the acts and omissions of its contractors and the contractor' s employees as it is for its own employees. In the event of a contractual and/ or administrative issue arising out of a contract entered into in support of the grant agreement, the subrecipient, not the OTS or the State of California, is responsible for resolving all disputes, claims or other matters of a contractual nature as well as civil liability arising out of negligence or intentional misconduct on the part of the contractor.

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Non- Profits
Contractual agreements with 501 ( c)( 3) non-profit organizations (" contractors") registered with the California Secretary of State are allowable and must be on a cost reimbursement basis and include detailed budgets with budget narratives descriptive enough to limit misinterpretation of allowable cost items. If the value of the contract is more than $ 150,000, the host agency is responsible for conducting pre- award reviews, as necessary, to determine if the non- profit can perform in accordance with the terms, conditions and specifications in the contract and all applicable state and federal requirements. The review should determine:
the propriety of the amounts in the cost proposal;
the ability of the contractor' s accounting system to accumulate and segregate reasonable, allocable and allowable costs for charges related to the contract; and
that the agreement complies with all applicable state and federal procurement criteria.

The pre- award audit may be waived if the non- profit has a successful history with the host agency.

Tra c Enforcement Agencies
A subrecipient' s traffic enforcement personnel and any equipment funded under a grant agreement must be solely dedicated to grant supported enforcement tasks unless a crime is committed in the officer' s presence, the officer is responding to a distress call, or all available enforcement personnel are responding to a riot. Nothing in the grant agreement ( i. e., goals, objectives) should be interpreted as a formal or informal requirement that a police officer issue a specified or predetermined number of citations.

Institutions of Higher Education
Colleges and universities may enter into contracts to perform applicable provisions of a grant agreement. The terms and conditions of a grant agreement is detailed in Appendix B.

Limitation of Liability
The subrecipient is responsible for the settlement of any and all claims and lawsuits arising from or incident to the OTS' non- payment of a subrecipient' s claim. The subrecipient expressly acknowledges that their responsibility including the payment of all damages, expenses, penalties, fines, costs, charges, and attorney fees, if the claims and lawsuits are based upon the OTS'

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nonpayment of claims. The subrecipient will defend any suits brought upon all such claims and lawsuits and pay all costs and expenses.

The agreement entered into with the OTS is subject to any applicable restrictions, limitations or conditions entered by the U. S. government subsequent to the execution of the grant agreement.

SUBRECIPIENT RESPONSIBILITIES 8 PROCEDURES
When a government agency accepts federal highway safety funds, it agrees to fully comply with all requirements in this manual and any periodic changes that may be made during the grant period. The government agency designated Subrecipient Authorizing Official will be notified in writing of any changes via email and/ or mail.

It is critical that the agency officials carefully review the federal regulations outlined in 2 CFR Part 200 and 1201 and the certifications and assurances included in the grant agreement and in A pendix A and B in this manual. The Governor is the responsible official for the administration of California' s highway safety program through the OTS ( which has adequate powers and is equipped and organized to carry out the program) and must assure compliance with applicable statues and regulations. By accepting federal highway safety funds, the government agency or subrecipient is also bound by these certifications and assurances.

Authorizing O cial
The authorizing official has contract binding authority. Once the grant agreement is finalized by the OTS, The Authorizing Official will receive from GEMS an alternate signature/ GEMS user authority email. The attached GEMS User Authority form ( OTS 55) allows the official to delegate up to five ( 5) authorized users. The form is submitted to OTS via email. Retain the original form in the agencies official grant file. All individuals listed on this form and will be able to log INTO GEMS for all matters relating to the OTS grant, including, but not limited to, completing and submitting Quarterly Performance Reports ( QPRs) and reimbursement claims.

Grant Director
The grant director ( i. e., police chief, police sergeant, traffic engineer) is responsible for establishing operating procedures and controls that ensure adequate administration of the grant in accordance with the terms of the agreement as well as all applicable statutes and regulations. He/ she is responsible for meeting work schedules, maintaining costs within the approved

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budget( s), compiling sufficient documentation to validate grant progress and fund expenditures, submitting timely and complete grant reports, and the grant evaluation. The grant director must be available for periodic operational reviews with the OTS program coordinator.

Fiscal or Accovnting Official
In addition to the grant director, the subrecipient must also identify the fiscal or accounting official who is responsible for ensuring that budgeted costs comply with the agency' s standard policies and procedures and that the agency' s accounting system conforms to generally accepted accounting principles. The fiscal official should also carefully review the federal regulations outlined in 2 CFR Part 200 and 2 CFR Part 1201 and the certifications and assurances included in the grant agreement and in Appendix A and B in this manual.

Change Avthorized Officials or Delegation
Contact the OTS for changes to the Agency officials listed on Page 1 of the grant agreement, submit an email detailing the change. The OTS will provide further instruction by email. Resubmit the OTS- 55, should changes occur to those listed on that document.

Financial Management
The subrecipient must have adequate and appropriate internal controls in place for every OTS grant that assures awards are managed in compliance with state and federal statutes and regulations. These controls should ensure that all cash, real and personal property, and other assets are safe guarded and used solely for purposes authorized in the grant agreement.

A separate account or fund must be established for each highway safety grant and all grant costs should be separately and accurately recorded. Additionally, the fiscal official should ensure that all claims for reimbursement are limited to those specifically authorized in the grant agreement and that they are prepared using grant accounting records or a process that reconciles claims at least quarterly with the grant records.

While the OTS establishes an electronic copy file for each grant, it is strongly recommended that copies of all financial records pertaining to a grant be stored in a grant file ( hard copy, electronic, or both) maintained by the subrecipient' s fiscal official or Authorizing Official. This will make it easier to submit claims, complete status reports, respond to questions, and reference documents. The file should include information pertaining to grant awards and authorization, obligations, unobligated balances, assets, liabilities, outlays, and, if applicable, income ( contact OTS for additional reporting requirements). It

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should also include a copy of the subrecipient' s internal purchasing policies and procedures. At a minimum, the policies must meet state requirements; they may not be less stringent. If no written policies exist, the subrecipient is subject to the state' s purchasing guidelines.

Subrecipients must maintain records that sufficiently detail the procurement history for all purchases. At minimum these records should detail the rationale for the method of procurement and selection of contract type, written selection procedures, documented reasons for rejections, and the basis for the contract price. For sole source procurements, the records must at minimum include justification of why the purchase/ service cannot logically and reasonably be made through a competitive bidding process including the consequences if not approved, a list of the vendor' s or contractor' s unique qualifications, experience, etc., and a detailed cost analysis.

The subrecipient must retain all source documents and records in the file and make them available for federal and state audits for at least three years following the date of the final reimbursement of grant expenditures or final disposition of equipment purchased with grant funds, whichever is later.

Records must be retained beyond this time period if there are unresolved audit findings. ( For more information, refer to Audit section and the Monitorinq section of this manual.)
Fravd Prevention
A subrecipient must have strong training programs in place that address policies, procedures and controls, with a particular emphasis on fraud prevention. Effectively supervising and monitoring employees working on the grant is critical. Examples of fraud include but are not limited to: falsified time sheets, grant applications, quarterly performance and final reports, contracts, or competitive bids; expenditure reports that falsely indicate federal funds have been expended; reporting activities, citations or arrests that did not occ r; embezzlement; bribery; extortion ( acting under color of official right); obstruction of justice; and destruction of records.

If a subrecipient determines there is fraud, and/ or a conflict of interest associated with a federal highway safety grant, this information must immediately be detailed in writing and forwarded to the OTS Program Coordinator. The OTS Program Coordinator will notify the OTS management, who in turn, is required to report any fraud or conflict of interest associated with a federal highway safety grant to NHTSA.

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Safegvarding Personal Information
A subrecipient must take reasonable measures to safeguard protected, personally identifiable information and other information NHTSA or the OTS designates as sensitive or that the subrecipient considers sensitive consistent with applicable federal, state, and local laws regarding privacy and obligations of confidentiality as prescribed under 2 CFR Part 200. 303.

Direct Allowable Costs & Sovrce Documents
The OTS uses the cost principles outlined in 2 CFR Part 200 Subpart E and NHTSA policy and guidance to determine necessary, reasonable, allocable, and allowable costs consistent with policies, rules and regulations conforming to limitations or exclusion of cost. A subrecipient is required to adhere to these same requirements when administering grant funds. (For more information, refer to Federal 8 State Regulations in the Grants Requirement section in this manual).

A subrecipient is responsible for determining whether a cost for a specific service, function or item ( i. e., supply, equipment) is a direct cost, direct allocation ( costs such as depreciation, rental, facility operation and maintenance that are prorated and the benefit to the grant can be directly measured) or allowable indirect cost ( costs accrued for common orjoint purposes that are prorated to a grant based on the benefit received but are not readily associated with a specific grant). For federal highway safety funded grants provided by the OTS, direct costs are categorized in the grant agreement as personnel, travel, contractual services, equipment and other direct costs ( i. e., office supplies, educational materials). For more information on allowable costs for federal grant funded programs, consult the NHTSA Highway Safety Grants Program Resources Guide website. Supplemental information and clarification regarding allowable and unallowable costs are published in the NHTSA memorandum titled " Use of NHTSA Hiahway Safety Grant Funds for Certain Purchases".

Adequate documentation is required for a cost to be eligible for reimbursement.

The criteria for ensuring a subrecipient has adequate source documentation are provided under each direct cost category below:

Personnel
Personnel costs include only direct compensation of wages and fringe benefits of subrecipient employees hired expressly for the grant and for the time and effort spent on grant-related activities. Grant funds may be used for wages, special compensation, or other authorized absences such as annual and sick leave provided the cost for the employee is reasonable for

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the services rendered, follows an appointment made in accordance with state or local laws and rules, and meets federai requirements.

Grant funds may also be sed for employee fringe benefits for authorized absences such as annual leave and sick, as well as employer' s contributions to social security, health insurance, workmen' s compensation, and the like provided they are granted under approved plans and distributed equitably to the grant and all other activities. Costs for authorized absences are only reimbursable up to the amount earned during the term of the grant.

Source Documentation:

If an employee of a subrecipient or contractor ( excluding an employee only receiving OTS funding for overtime) is receiving less than 100 of funding from the OTS for personnel services or is receiving 100% of funding from the OTS but the funding comes from more than one federally- funded grant, his/ her time distribution to the federally funded grant must be supported by an after-the-fact Personnel Activitv Report ( PAR). This requirement also applies to employees of non- profits and institutions of higher education.

A PAR is an employee-maintained timesheet or log which accounts for 100 of the employee' s time. It is used to identify effort spent on multiple programs/ federal funds. A PAR must:
reflect the employee' s after- the- fact distribution of time by program/ federal fund;
account for the total activity by program/ federal fund for which each employee is compensated whether grant-related or not; be prepared at least monthly and coincide with one or more pay periods; and
be signed by the employee and his/ her supervisor.

A digital signature and/ or online PAR is acceptable provided the subrecipient or contractor can demonstrate and document that the actions detailed on the PAR were performed by the employee.

An employee of a subrecipient or contractor receiving 100% of funding from the OTS for personnel services is not required to complete an afterthe-fact PAR. Instead, the subrecipient may choose to have the employee complete the Emplovee Time Certification form stating that the employee worked solely on the federally funded program for the period covered by the certification. This certification must be prepared at least semi- annually and signed by the employee and supervisory official who

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has firsthand knowledge of the worked performed by the employee. Both of these forms will be provided by the OTS Program Coordinator during the Pre- Operational Meeting.

Travel
Allowable travel expenses accrued by personnel identified in the grant budget include transportation, food and lodging that meet the subrecipient' s documented travel policies. The travel should occur prior to the claim submission for reimbursement.

If the subrecipient' s travel policy does not include maximum allowable lodging rates, these costs may not exceed the state' s lodging rate unless written justification is submitted and approved by the OTS. If the subrecipient does not have documented travel policies, the State Travel Policies apply.

Out- of- state travel expenses require written approval from the OTS prior to incurring costs unless identified in the Budget ( Schedule B) and the Budget Narrative ( Schedule B- 1) of the grant agreement.

Expenses associated with attending meetings and conferences, where the primary purpose is the dissemination of technical information, are allowable.

These include transportation, registration fees, and other incidental costs.

Source Documentation:

Travel expenses must be supported by properly prepared employee expense reimbursement claims, including required receipts per the documented travel policy. For audit purposes, all receipts must be retained for a minimum of three (3) years after final payment, unless a longer period of records retention is stipulated.

Conference or seminar expenses must be supported by an event agenda.

For meetings or conferences, documentation must indicate that the primary purpose was for dissemination of technical information.

For costs associated with the use of agency- owned vehicles, documentation must indicate who used the vehicle, when, for what purpose, and number of miles driven. Documentation must also explain how the mileage or other billing rate( s) was developed if the state rate is not used.

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Confractual Services
This applies to any professional services and associated costs necessary to complete the grant objectives, not available through the subrecipient, requiring contractual agreements that are entered into in accordance with the subrecipient' s normal procedures.

Source Documentation:

Services provided by an individual, organization, firm, or agency must be supported by a properly executed contract or interagency agreement.

Payments must be supported by itemized invoices and made in accordance with the terms of the agreement.

The subrecipient must maintain records that sufficiently document the procurement process associated with the contract.

Equipment
Equipment is any non-expendable, tangible personal property costing $ 5, 000 or more with a useful life of at least one year that is required to carry out grant activities ( i. e., motorcycles, radar trailers, some extrication equipment).

The total cost includes modifications, attachments, accessories, or auxiliary apparatus needed to make it usable for grant purposes as well as tax, shipping and installation ( excluding any discounts).

All equipment purchased using federal highway safety funds require written approval from NHTSA, which is handled by the OTS during the grant application process. Equipment purchased with grant funds must be used for traffic safety purposes only. Non-authorized use of equipment is grounds for refunding a portion of the equipment value to the OTS. All equipment purchased with grant funds must comply with the Buy America Act, in this manual. Additional guidance is available from the OTS Program Coordinator.

The subrecipient must have procedures in place for managing equipment including replacement equipment) purchased in whole or in part using the OTS funds that at minimum include:

Adequate controls for safeguarding against loss, damage or theft; Provisions for replacement due to circumstances other than normal wear and tear;
Maintenance procedures to ensure good working condition; and Complete records ( detailed below).

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For information on equipment monitoring, refer to the Monitoring Section in this manual. Equipment disposition is discussed in Grant Close Out in this manuaL
Source Documentation:

Equipment must be reported to the OTS using the Equipment Reporting Form. The form is generated in GEMS at the time the subrecipient requests reimbursement for the purchase on a claim. The OTS uses this form for monitoring purposes, but it should not be used by the subrecipient as a substitute for appropriate equipment control records which should include the following information:

Description of the item with serial or identification numbers; Federal funding source ( FAIN number);
Acquisition date and total cost including federal share; Source and title holder;
Location, condition; and
Disposition data including date of disposal and sale price.

Other Direcf Cosfs
This includes any other supplies or services ( i. e., educational materials, DUI checkpoint supplies, child safety seats) of a non- contractual nature with an acquisition cost of less than $ 5, 000 purchased using highway safety funds.

These purchases do not require NHTSA pre- approval. However, these items or services must be used in support of the grant. Non- authorized use of supplies or services is grounds for refunding a portion of the value to the OTS.

The cost of the item or service, which would not otherwise be allowable using the subrecipient' s general funds, may not be purchased with federal grant funds. Additionally, if joint costs are prorated as direct costs to the grant, the allocation method must be reviewed by the OTS to determine reimbursement eligibility.

Grant funds may be used for the development of new training curricula and/ or materials that do not duplicate materials already developed for similar purposes by U. S. DOT, NHTSA, the Federal Highway Administration or the State of California.

The subrecipient should contact their OTS Program Coordinator for guidance on allowable supplies and services and refer to the Public Information & Education Section of this manual for information concerning the inclusion of logos on materials. All items purchased with grant funds, over$ 5, 000, must comply with the Buv America Act.

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Sovrce Documentation:

All other direct costs must be supported by purchase orders or other original procurement documents signed by the appropriate authority.

The subrecipient should also have itemized invoices or properly signed and dated delivery and/ or packing slips. Rental or lease costs must be supported by detailed agreements.

Allowable Indirect Costs
Allowable indirect cost rates are reimbursed as defined in 2 CFR Appendix E Part 414 . Indirect costs are those costs accrued for common or joint purposes (i. e., telephone, administrative services, depreciation, facility and equipment maintenance) and not assigned to a highway safety grant as a direct cost.

Indirect costs benefit more than one cost objective and should be prorated equitably among all applicable functional areas ( OTS grant and non-grant related).

A non-profit that does not have an approved indirect cost rate, may elect to charge a de minims rate of 10 of modified total direct costs. Guidance on establishing an indirect cost rate as well as regulations for negotiating and approving this rate is outlined in Aqpendix IV of 2 CFR Part 200, Indirect Costs Identification and Assignment and Rate Determination for Non-Profit Organizations.

A subrecipient that does not already have an approved federally-recognized indirect cost rate negotiated with the Federal government must negotiate a rate with the OTS as outlined in 2 CFR 200. 331 ( al( 41. Once the indirect rate is negotiated, it must be accepted by all federal agencies ( i. e., NHTSA, FHWA) as outlined in 2 CFR 200. 414( c)( 1).

Source documentation ( i. e., a subrecipient' s federally approved indirect cost rate letter) must be available to support an indirect cost rate authorized by the federal government. If the subrecipient' s indirect cost rate is amended or changed during the term of the grant, the new indirect cost rate plan and approval letter must be submitted to the OTS.

Unallowable Costs for Selected Items
The following is a list of selected costs that are ineligible for reimbursement under the Highway Traffic Safety Program. A subrecipient should contact the OTS Program Coordinator for guidance regarding the other costs not discussed previously or below in this manual.

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Construction 8 Facilities
Highway construction, maintenance and/ or design
Construction or reconstruction of permanent facilities such as paving, driving ranges, towers, and non- portable skid pads
Highway safety appurtenances including longitudinal barriers such as guardrails, regulatory and warning signs and supports, field reference markers, luminaire supports, and utility poles
Construction, rehabilitation or remodeling of any building or structure Cost of land
Purchase of office furnishings and fixtures such as but not limited to: desk, chair, table, shelving, coat rack, credenza, book, filing cabinet, floor covering, office planter, storage cabinet, portable partition, picture, wall clock, draperies/ hardware, fixed lighting, lamp
Equiqment
Traffic signal preemption systems
Automated Traffic Enforcement Systems
Trainin
Cost of the individual' s replacement hourly rate while attending training, unless the personnel position is already grant supported Proqram Administration
General Costs of Government, which includes the use of funds for routine and/ or existing governmental activities that constitute general expenses required to carry out overall responsibilities of a government entity Promotional items ( i. e., key chains, pencils, m gs)
Entertainment costs including amusement and social activities and any costs directly associated with the purchase of tickets to shows or sporting events, meals, lodging, rentals, transportation and gratuities Alcoholic beverages for any consumption purposes including controlled training settings for law enforcement training
Contributions and donations, including cash, property and services to others regardless of the recipient

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Cost of fundraising, including financial campaigns, solicitation of gifts and similar expenses incurred to raise capital or obtain contributions Contingency provisions for contributions to a contingency reserve or similar provision for unforeseen events excluding self- insurance reserves Fines, penalties, damages, and other settlements resulting from violations or non- compliance
Costs of commercial insurance that protects contractor for correction of defects in materials or workmanship
Costs not recovered under one grant agreement are unallowable under other grant agreements
General liability insurance
Grant Revisions
A subrecipient may request a revision to the grant agreement that is necessary to enhance the operational efficiency of the highway safety grant. This includes any changes that may affect the overall budget or a specific budget line including moving funds between line items and/ or cost categories), a subbudget or contractual services, as well as the addition of travel ( in and out- ofstate), and/ or a significant change in goals, objectives and/ or procedures that affect the grant scope or end date.

The Authorizing Official, Fiscal Official, or Grant Director must submit to the OTS Program Coordinator a detailed explanation and justification for a grant revision. In advance of sending written notification, the subrecipient is encouraged to contact the OTS Program Coordinator to discuss any proposed grant revision.

Once a revision request is received, the OTS carefully reviews it taking into consideration the subrecipient' s current and past grant performance, timeliness and quality of claims and quarterly performance reports, the circumstances and justification for the change, and availability of grant funds. The subrecipient should allow sufficient time for the review process (which may also require NHTSA approval), keeping in mind that no grant funds may be expended until written notification of the status of the request ( approval or denial) is provided by the OTS. Failure to comply could jeopardize claim reimbursement.

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CLAIMS PREPARATION 8 REIMBURSEMENT
Claim Preparation
To request reimbursement of an approved grant expenditure, the subrecipient must complete a Grant Claim Invoice in GEMS and Contractual Services Summary Sheet, if applicable. These forms must be input into GEMS no later than 30 days following the end of the calendar quarter as follows:

Quarter Time Period Due Date
First October thru December January 30
Second January thru March April 30
Third April thru June July 30
Fourth July thru September October 30
An invoice showing " zero net" must be submitted even if no expenses were accrued during that quarter. Failure to submit quarterly grant claim invoices by these due dates may result in suspension of the grant, loss of grant funding and/ or a denial of future grant funding. Additionally, invoices will not be processed for subrecipients that fail to provide Quarterly Performance Reports for two or more quarters. ( For more information, refer to the Grant Reports section, Qvarterly Performance Reports in this manual.) The grant claim invoice shoutd be prepared using the subrecipient' s accounting records and include costs accrued during that time period. Enter the exact cost, do not round off numbers. To ensure proper accounting of reimbursements, grant claim invoices submitted to the OTS should be recorded as a receivable in the subrecipient' s accounting system.

Subrecipients access Claims from the Grant Agreement list view on their GEMS home page. The form is pre- populated with the grant budget items against which claims for reimbursement can be made. The form also indicates b dget remaining for each item based on prior claims that have been reviewed and approved.

Personnel Costs, enter the claimed hourly rateand/ or overtime costs, if applicable. Source documentation is maintained by the subrecipient in the event of an audit and/ or the Grant Performance Review For more information, refer to Grant Performance Review in the Monitorina Section of this manual.)
Fringe Benefits, enter the pertinent information for authorized absences such as annual leave and sick leave, as well as employer' s contributions to social

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security, health insurance, workmen' s compensation, and the like provided they are granted under approved plans, and are distributed equitably to the grant and all other activities.

Travel Costs, enter the pertinent travel information and claimed costs, if applicable in accordance with the Subrecipient Responsibilities section, Travel. Upload source documentation organized by in- state and out-of-state travel for each individual( s) trip or training. For each individual trip or training, group all source documents together and clearly label each with the traveler' s name and approved trip or training identified in the Budget of the agreement.

Contractual Services, enter the claimed contractual services amount by line item in the GEMS Grant Claim Invoice Screen including entry into subbudgets if applicable. Upload all source documents for each contractor, group all source documents together and clearly label each with the line item identification and/ or contractors name.

Equipment, enter the claimed amount, if applicable. GEMS will require completion of the Equipment Report as part of the claim. GEMS automatically creates the first Recertification record with a Recertification due date that is 2 years from the date of original claim.

Assemble and upload applicable invoice( s). If sales tax is not included on the invoice, provide a statement that includes the following: " Charge is for California Sales Tax that will be paid to the Board of Equalization (BOE)," amount of sales tax for each item, and date tax is paid to BOE. For each line item, assemble all source documents together and clearly label each with the line item name.

Other Direct Costs, enter the claimed line item amount, if applicable and upload invoices or receipts. For each line item, assemble all source documents together and clearly label each with the name of the line item.

Indirect Costs, the approved rate is already entered in the agency information tab and will automatically calculate, if applicable. No source documents are required; however, the subrecipient should have its indirect cost allocation approval letter on file.

The authorized user or subrecipient must verify that costs claimed are allowable and authorized, do not exceed budgeted line items, and posted to the correct cost categories and line items. They should also check that all source documents are provided.

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If a claim is submitted with undecipherable or missing source documents, the subrecipient will be notified and instructed to submit the missing information or re- submit the documents in question within three business days. If documents are not received by this deadline, the costs in question will be removed from the claim.

GRANT REPORTS
Quarferly Performance Report ( QPR)
Subrecipients must submit Quarterly Performance Reports ( QPR) through GEMS.

The QPR details grant activities conducted during each quarter to accomplish grant objectives. It is the main source of information used by the OTS to determine grant success and commitment as well as any difficulties the subrecipient may be experiencing. The information and data provided in the QPR is incorporated into the Annval Performance Report that the OTS submits to NHTSA and the State Legislature. The quarterly data is pulled from the subrecipient' s crash records.

The QPR must be input into GEMS no later than 30 days following the end of the quarter on the following dates:

Quarter Time Period Due Date
First October thru December January 30
Second January thru March April 30
Third April thru June July 30
Fourth July thru September October 30
QPR due dates are the same regardless of when a grant starts within a quarter i. e., grant start date is December 1 and first quarter QPR is due January 30).

Failure to submit QPRs on time may result in suspension of the grant, loss of grant funding and/ or a denial of future grant funding. Additionallv, invoices will not be processed for subrecipients that fail to provide QPRs for two or more quarters.

The OTS coordinator will provide the QPR reporting guidelines at the preoperational review meeting. The QPR is prepopulated based on the grant agreement, it' s completed in GEMS, and contains the following:

An overview, that includes a brief list of all activities (including significant media) and procurement conducted in support of the grant during the quarter as well as the status of grant funded personnel and contracts, any challenges, and accomplishments.

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An equipment overview for any equipment ( costing $ 5, 000 or more) being purchased during the grant period noting steps taken to accomplish the purchase and/ or if it is still required ( i. e., bid, purchase order or requisition, delivery, invoice received and/ or paid) or a justification or reason if the purchase was delayed.

A summary of completed grant objectives including an explanation of what was not accomplished and/ or plans for upcoming activities.

If applicable updated objective data points for the quarter.

Documents illustrating what was done during the quarter such as the OTSapproved press releases, news clips, photos, and/ or other materials.

Include a list of these documents.

Supporting information may be uploaded into GEMS.

The fourth quarter QPR should include a final evaluation that briefly summarizes significant total grant accomplishments and challenges ( highlight significant items from the objective data points), the number and type( s) of activities completed, type( s) of training conducted or received, and grant-funded purchases. Complete all final goals, objectives, data points and indicate whether they were achieved and if not, provide an explanation if not completed.

Grant Close Ovt
Approximately 30 days prior to the grant end date, the OTS sends a reminder email to the primary contact and Authorizing Official that serves as a reminder of the grant end date and includes information to assist the subrecipient prepare the final QPR, evaluation, and claim. The final QPR, including the completed evaluation section, and reimbursement claim for costs accrued up through the grant end date, must be sent to the OTS for receipt no later than 30 days following the grant end date.

Eqvipment Disposal
At the end of or anytime during the grant, prior to disposal, a subrecipient must notify the OTS of any disposition of grant equipment, unless the value has been certified to be under$ 5, 000 and at the end of its useful life. The subrecipient must submit a letter or email requesting the OTS approval to sell, transfer or dispose of grant equipment. The OTS will forward the request to NHTSA for final approval and notify the subrecipient of the outcome. All proceeds from the sales of the asset, regardless of the amount, must be used for the objective of the original grant agreement.

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MONITORING
Federal and state qrant manaaement rules require that the OTS staff maintain regular contact via telephone/ virtual calls, email/ written correspondence and on- site visits with subrecipients throughout the course of the grant period to ensure compliance with federal and state statutes, regulations and procedures.

Grants administered by the OTS are subject to monitoring based on a number of criteria including dollar amount of the award, the capabilities and experience of the subrecipient' s personnel, complexity of the grant, contractual services with or without a non-profit agency, risk assessment, new subrecipient, indications of problems, previous GPR or audit findings, and/ or change in grant direction. This monitoring includes not only the review and approval of claims, QPRs and other documents submitted by the subrecipient, but also ongoing outreach through desk monitoring and/ or on-site visits.

The intent of this outreach is to develop a relationship with the subrecipient, address grant management- related questions, provide technical assistance, and identify and help address problems and/ or concerns. Any documentation generated as a result of this contact is placed in the subrecipient' s grant file.

Grant Performance Review
The Grant Performance Review ( GPR) is designed to be instructive, not disruptive, and to foster information exchange and partnership. The OTS Program Coordinators conduct a GPR after receipt of at least the first Quarterly Performance Report and a claim with expenditures.

The OTS may schedule a virtual or onsite review at an agreed upon time with the subrecipient in advance, and the OTS Program Coordinator will provide information to the subrecipient to help the staff prepare for the review. During the review, goals, objectives and tasks are reviewed to determine if the project is being implemented as outlined in the approved grant application. This review is also used to determine if the subrecipient is satisfying and adhering to grant agreement terms and conditions. The financial review includes an examination of the agency and grant-specific financial documents and issues related to the implementation and performance of the grant.

While conducting the GPR, the OTS Program Coordinator completes the GPR in GEMS noting any issues and the subrecipient' s response. If, following the OTS review, there are fiscal follow-up action items, the subrecipient will be notified in writing and a corrective action plan will be requested. The OTS will track subrecipient' s progress in implementing the plan and taking corrective action.

In the event the issue( s) cannot be resolved, the OTS may request an audit be

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conducted by the California Department of Finance. For more information, refer to Audits in the Grant Requirement section in this manual.) If any disallowed costs are identified during the GPR, the OTS will reduce the subrecipient' s next grant claim invoice by the amount of the disallowed cost prior to payment. If the grant is closed, the OTS will invoice the subrecipient for the amount of the disallowed cost.

Equipment
A subrecipient must submit an Equipment Recertification Report (OTS- 25a) to the OTS every two years from the date of acquisition. This report includes the same information as the Equipment Report as described in the Subrecipient Responsibilities, Eauipment section, but also includes a description of the method used for determining current fair market value, whether the fair market value is more or less than $ 5, 000, and that the equipment is being used for federally- sponsored activities. The report also certifies that the information provided is complete and accurate to the best of the subrecipient' s knowledge, in compliance with 2 CFR Part 200. 313 and 23 CFR 1200. 31 ( d), and that the OTS will be contacted immediately after discovery of any grant equipment loss.

Beginning with 2018 FFY grants, equipment purchases were documented in GEMS. The Equipment Recertification Report will also be completed in GEMS. A reminder letter or email will be sent through GEMS to the subrecipient to ensure compliance.

PUBLIC INFORMATION 8 EDUCATION
Public Education and Information ( PE& I) falls into two categories:

Educational - materials that educates and informs an audience such as activity books, coloring books, brochures, and posters.

Promotional - material that promotes, supports or enhances efforts and directly relates to the project objective such as key chains, onboard signs, mugs, pencils, magnets, and litter bags. The State of California and NHTSA does NOT allow grant funds to be used for this purpose.

Subrecipients that use federal highway safety funds to produce educational material must receive approval from the OTS Public Information Officer (PIO) prior to production. Additionally, subrecipients that use non-federal highway safety funds to produce P18 E materials must receive written approval from the OTS Public Information officer in order to use any OTS logo. Subrecipients should

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allow sufficient time for approval; they should contact their OTS Program Coordinator for assistance.

Subrecipients should also advise vendors that all materials sed in production of public outreach materials paid for with grant funds are the property of the subrecipient and the OTS ( i. e., data, plates, digital files, camera- ready artwork, designs, concepts, photographs, video and audio). The OTS reserves the right to use materials developed by the subrecipient and/ or contractor.

All educational materials produced using grant funds must include the OTS logo or the logo from another program unless otherwise determined by the OTS ( i. e., Click it or Ticket), and the following message:

Funding for this program was provided by a grant from the California Office of Traffic Safety, through the National Highway Traffic Safety Administration.

Inclusion of the logo and/ or funding line should not interfere with the primary traffic safety messaging. Questions regarding the inclusion, size or placement of either logo or funding statement should be directed to the OTS PIO.

All published research and reports developed with highway safety grant funds must include the following disclosure statement:

This report was prepared in cooperation with the California Office of Traffic Safety (OTSJ. The opinions, findings and conclusion expressed in this publication are those of the author(sJ and not necessarily those of the OTS.

Advertising & Public Relations
All press releases discussing the kick-off of a grant and/ or grant-funded activity must be approved by the OTS Public Information Officer prior to dissemination even if the subscriber uses a pre-approved press release templates available on the OTS website. Approval is also required for all original press releases and press releases developed using the OTS templates that the subrecipient has significantly modified. The subrecipient should email the draft press release to pio@ots. ca. qov at least two weeks in advance of the announcement or event and copy the appropriate OTS Program Coordinator.

A subrecipient must coordinate media and kick- off events with their OTS Program Coordinator.

Grant funds may be used to purchase paid advertising ( i. e., television, radio, cinema, Internet, print, outdoor). However, special reporting documents are required, and costs must be displayed as a separate " paid media" line item in the grant budget. Additionally, federally funded public service announcements

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PSAs) or video materials intended for television broadcast must be closed captions. A subrecipient should contact their OTS Program Coordinator for more information on paid advertising.

Copyrigh ts/ Trademarks
The OTS reserves a royalty- free, non- exclusive and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal or state government purposes the following:

The copyright/ trademark in any work developed under a grant, sub grant or contract under a grant or sub grant.

Any rights of copyright/ trademark to which a subrecipient or contractor purchases ownership with grant funds.

WITHHOLDING, DISALLOWANCE, REDUCTION, TERMINATION AND/ OR DENIAL OF

GRANT FUNDS
The OTS Program Coordinator has the responsibility of recommending to the OTS Director the cancellation of any grant, which is not being implemented in accordance with applicable federal and state laws or the terms, certification and/ or assurances in the signed grant agreement. Additionally, the OTS will withhold or disallow grant payments, reduce or terminate grant funds and/ or deny future grant funding to any subrecipient that fails to comply with any term or condition of the grant agreement or program guidelines. This may include, but are not limited to, failure to submit acceptable and timely draft and final grant agreements, claims, quarterly reports and/ or objective data points; and failure to comply with the Sinale Audit Act requirement.

Should the OTS deem it necessary to reduce or terminate grant funds, the Authorizing Official will first receive a letter citing unacceptable grant discrepancies, required corrective action and the penalty for not rectifying the discrepancies by the specified deadline. If corrective action is not taken by the deadline specified in the letter, the state penalty will be imposed.

Payment for allowable costs up to the date of termination or reduction of grant funds will be subject to negotiation and availability of federal funds.

Termination Reqvested by the Subrecipient
Grant agreements may be rescinded upon written request by the subrecipient.

The letter must be signed by one of the Authorizing Officials of the grant agreement.

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DISPUTES/ DISAGREEMENTS
Any dispute, disagreement or questions of fact concerning a grant should be handled with the OTS Program Coordinator assigned to that grant in consultation with managerial staff. All final decisions will be put in writing and distributed to all concerned parties as well as maintained in the subrecipient' s grant file. The subrecipient may then proceed with the performance of the grant in accordance with that decision.

If a subrecipient disagrees with a decision made by the OTS Program Coordinator, an appeal may be made to the OTS Director. The appeal must be made in writing within 30 days of the Program Coordinator' s decision and sent to the OTS by certified mail. No legal action may be taken by the subrecipient without following these steps.

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APPENDIX A- CERTIFICATIONS AND ASSURANCES

APPENDIX A - CERTIFICATIONS AND ASSURANCES FOR HIGHWAY SAFETY GRANTS 23 U. S. C. Chapter 4 and 41 U. S. C. Sec. 1906, Pub. L. 109- 59, as Amended By Sec. 4011, PUB. L. 114- 94)
The Governor is the responsible official for the administration of the State highway safety program through a State highway safety agency that has adequate powers and is suitably equipped and organized ( as evidenced by appropriate oversight procedures governing such areas as procurement, financial administration, and the use, management, and disposition of equipment) to carry out the program. ( 23 U. S. C. 402( b)( 1 )( A) Each fiscal year the State of California must sign a Certifications and Assurances document that it complies with all Federal requirements including applicable statutes and regulations that are in effect during the grant period. These Certifications and Assurances are submitted in the Highway Safety Plan in support of the State' s application for Section 402 and Section 405 grants.

Requirements that also apqlv to subrecipients are noted below.

Failure to comply with applicable Federal statutes, regulations, and directives may subject Subrecipients Agency officials to civil or criminal penalties and/ or place the State in a high- risk subrecipients status in accordance with 2 CFR Part 200. 205 - 200. 207.

The officials named on the grant agreement, certify by way of signature on the grant agreement signature page, that the Subrecipients Agency complies with all applicable Federal statutes, regulations, and directives and State rules, guidelines, policies and laws in effect with respect to the periods for which it receives grant funding.

Applicable provisions include, but are not limited to, the following:

General Requirements:
23 U. S. C. Chapter 4 - Highway Safety Act of1966, as amended Sec. 1906, Pub. L. 109- 59, as amended by Sec. 4011, Pub. L. 1 14- 94 23 CFR Part 1300— Uniform Procedures for State Highway Safety Grant Programs
2 CFR Part 200 - Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards
2 CFR Part 1201 - Department of Transportation, Uniform Administrative

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APPENDIX A- CERTIPICATIONS AND ASSURANCES
Requirements, Cost Principles, and Audit Requirements for Federal Awards

NONDISCRIMINATION
Applies to subrecipients as well as States)
The State highway safety agency will comply with all Federal statutes and implementing regulations relating to nondiscrimination (" Federal Nondiscrimination Authorities"). These include but are not limited to:

Title VI of the Civil Rights Act of 1964 ( 42 U. S. C. 2000d et seq., 78 stat. 252), ( prohibits discrimination on the basis of race, color, national origin) and 49 CFR part 21;
The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, ( 42 U. S. C. 4601), ( prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal-aid programs and projects);
Federal- Aid Highway Act of 1973, ( 23 U. S. C. 324 et sea.), and Title IX of the Education Amendments of 1972, as amended ( 20 U. S. C. 1681- 1683 and 1685- 1686) ( prohibit discrimination on the basis of sex); Section 504 of the Rehabilitation Act of 1973,( 29 U. S. C. 794 et sea ), as amended, ( prohibits discrimination on the basis of disability) and 49 CFR Part 27;
The Age Discrimination Act of 1975, as amended, ( 42 U. S. C. 6101 et se c.), ( prohibits discrimination on the basis of age); The Civil Riqhts Restoration Act of 1987, ( Pub. L. 100- 209) ( broadens scope, coverage and applicability of Title VI of the Civil Rights Act of 1964 ( 42 U. S. C. 2000d et sea., 78 stat. 252). The Age Discrimination Act of 1975 ( 42 U. S. C. 6101 et sea.) and Section 504 of the Rehabilitation Act of 1973 ( 29 U. S. C. 794 et sea.), by expanding the definition of the terms "programs or activities" to include all of the programs or activities of the Federal aid recipients, subrecipients and contractors, whether such programs or activities are Federallyfunded or not); Titles II and III of the Americans with Disabilities Act (42 U. S. C. 12131- 12189) ( prohibits discrimination on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing) and 49 CFR Part 37 and Part 38;

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APPENDIX A- CERTIFICATIONS AND ASSURANCES
Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low- Income Populations prevents discrimination against minority populations by discouraging programs, policies, and activities with
disproportionately high and adverse human health or
environmental effects on minority and low-income populations); and
Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency ( guards against Title VI national origin discrimination/ discrimination because of limited English proficiency ( LEP) by ensuring that funding recipients take reasonable steps to ensure that LEP persons have meaningful access to programs ( 70 FR 74087- 74100).

The subgrantee -
Will take all measures necessary to ensure that no person in the United States shall, on the grounds of race, color, national origin, disability, sex, age, limited English proficiency, or membership in any other class protected by Federal Nondiscrimination Authorities, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any of its programs or activities, so long as any portion of the program is Federally- assisted;
Will administer the program in a manner that reasonably ensures that any of its subrecipients, contractors, subcontractors, and consultants receiving Federal financial assistance under this program will comply with all requirements of the Non- Discrimination Authorities identified in this Assurance;
Agrees to comply (and require its subrecipients, contractors, subcontractors, and consultants to comply) with all applicable provisions of law or regulation governing USDOT' s or NHTSA' s access to records, accounts, documents, information, facilities, and staff, and to cooperate and comply with any program or compliance reviews, and/ or complaint investigations conducted by US DOT or NHTSA under any Federal Nondiscrimination Authority;
Acknowledges that the United States has a right to seek judicial enforcement with regard to any matter arising under these NonDiscrimination Authorities and this Assurance; Agrees to insert in all contracts and funding agreements with other State or private entities the following clause:

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APPENDIX A- CERTIFICATIONS AND ASSURANCES
During the performance of this contract/ funding agreement, the contractor/ funding recipient agrees -
a. To comply with all Federal nondiscrimination laws and regulations, as may be amended from time to time;
b. Not to participate directly or indirectly in the discrimination prohibited by any Federal non-discrimination law or regulation, as set forth in aqpendix B of 49 CFR Part 21 and herein; c. To permit access to its books, records, accounts, other sources of information, and its facilities as required by the State highway safety office, USDOT or NHTSA;
d. That, in event a contractor/ funding recipient fails to comply with any nondiscrimination provisions in this contract/ funding agreement, the State highway safety agency will have the right to impose such contract/ agreement sanctions as it or NHTSA determine are appropriate, including but not limited to withholding payments to the contractor/ funding recipient under the contract/ agreement until the contractor/ funding recipient complies; and/ or cancelling, terminating, or suspending a contractor funding agreement, in whole or in part; and
e. To insert this clause, including paragraphs ( a) through ( e), in every subcontract and sub-agreement and in every solicitation for a subcontractor sub- agreement that receives Federal funds under this program.

THE DRUG- FREE WORKPLACE ACT OF 1988 ( 41 U.S. C. 8103) The Subgrantee will provide a drug-free workplace by:
a. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition; b. Establishing a 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;

4. The penalties that may be imposed upon employees for drug violations occurring in the workplace;

5. Making it a requirement that each employee engaged in the performance of the grant be given a copy of the statement required by paragraph ( a);

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APPENDIX A- CERTIFICATIONS AND ASSURANCES
c. 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;

2. Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction;
d. Notifying the agency within ten days after receiving notice under subparagraph (c)( 2) from an employee or otherwise receiving actual notice of such conviction;
e. Taking one of the following actions, within 30 days of receiving notice under subparagraph ( c)( 2), with respect to any employee who is so convicted -

1. Taking appropriate personnel action against such an
employee, up to and including termination;

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;
f. Making a good faith effort to continue to maintain a drug- free workplace through implementation of all of the paragraphs above.

POLITICAL ACTIVITY ( HATCH AC
Applies to subrecipients as well as States)
The State will comply with provisions of the Hatch Act (5 U. S. C. 1501- 1508) which limits the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds.

CERTIFICATION REGARDING FEDERAL LOBBYING
Applies to subrecipients as well as States)
Certification for Contracts, Grants, Loans, and Cooperative Agreements:

The undersigned certifies, to the best of his or her knowledge and belief, that:
1 . No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any 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;

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APPENDIX A- CERTIFICATIONS AND ASSURANCES

2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form- LLL, " Disclosure Form to Report Lobbvinq", 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 subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than 10, 000 and not more than $ 100, 000 for each such failure.

RESTRICTION ON STATE LOBBYING
Applies to subrecipients as well as States)
None of the funds under this program will be used for any activity specifically designed to urge or influence a State or local legislator to favor or oppose the adoption of any specific legislative proposal pending before any State or local legislative body. Such activities include both direct and indirect ( e. g., grassroots") lobbying activities, with one exception. This does not preclude a State official whose salary is supported with NHTSA funds from engaging in direct communications with State or local legislative officials, in accordance with customary State practice, even if such communications urge legislative officials to favor or oppose the adoption of a specific pending legislative proposal.

CERTIFICATION REGARDING DEBARMENT AND SUSPENSION
Applies to subrecipients as well as States)
Instructions for Primary Tier Participant Certification ( States

1. By signing and submitting this proposal, the prospective primary tier participant is providing the certification set out below and agrees to comply with the requirements of 2 CFR Parts 180 and 1200.

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APPENDIX A- CERTIFICATIONS AND ASSURANCES

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 primary tier 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 prospective primary tier participant 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 prospective primary tier participant 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 or may pursue suspension or debarment.

4. The prospective primary tier participant shall provide immediate written notice to the department or agency to which this proposal is submitted if at any time the prospective primary tier participant learns its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

5. The terms covered transaction, civil judgment, debarment, suspension, ineligible, participant, person, principal, and voluntarily excluded, as used in this clause, are defined in 2 CFR Parts 180 and 1200. You may contact the department or agency to which this proposal is being submitted for assistance in obtaining a copy of those regulations.

6. The prospective primary tier participant agrees by submitting this proposal 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 prospective primary tier participant further agrees by submitting this proposal that it will include the clause titled " Instructions for Lower Tier Participant Certification", including the "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 and will require lower tier participants to comply with 2 CFR Parts 180 and 1200.

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8. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR Part 9, Subpart 9. 4, debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous.

A participant is responsible for ensuring that its principals are not suspended, debarred, or otherwise ineligible to participate in covered transactions. To verify the eligibility of its principals, as well as the eligibility of any prospective lower tier participants, each participant may, but is not required to, check the System for Award Management Exclusions website ( https:// www. sam. gov/).

9. Nothing contained in the fore going 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 parficipation in this transaction, in addition to other remedies available to the Federal government, the department or agency may terminate the transaction for cause or default.

Certification Re_ a
rdinq Debarment, Suspension, and Other Responsibility
Matters- Primary Tier Covered Transactions
1) The prospective primary tier participant certifies to the best of its knowledge and belief, that it and its principals:
a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from participating in covered transactions by any Federal
department or agency;
b) Have not within a three- year period preceding this proposal 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; c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or Local) with commission of

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APPENDIX A- CERTIFICATIONS AND ASSURANCES
any of the offenses enumerated in paragraph ( 1)( b) of this certification; and
d) Have not within a three- year period preceding this
application/ proposal had one or more pubiic transactions (Federai, State, or local) terminated for cause or default.
2) Where the prospective primary tier participant is unable to certify to any of the Statements in this certification, such prospective participant shall attach an explanation to this proposal. instructions for Lower Tier Participant Certification
1 . By signing and submitting this proposal, the prospective lower tier participant is providing the certification set out below and agrees to comply with the requirements of 2 CFR Parts 180 and 1200.

2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal government, the department or agency with which this transaction originated may pursue available remedies, including suspension or debarment.

3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal 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, civil judgment, debarment, suspension, ineligible, participant, person, principal, and voluntarily excluded, as used in this clause, are defined in 2 CFR Parts 180 and 1200. You may contact the person to whom this proposal is submitted for assistance in obtaining a copy of those regulations.

5. The prospective lower tier participant agrees by submitting this proposal 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 proposal that it will include the clause titled " Instructions for Lower Tier Participant Certification" including the "Certification Regarding

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APPENDIX A- CERTIFICATIONS AND ASSURANCES
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 and will require lower tier participants to comply with 2 CFR Parts 180 and 1200.

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 is responsible for ensuring that its principals are not suspended, debarred, or otherwise in eligible to participate in covered transactions.

To verify the eligibility of its principals, as well as the eligibility of any prospective lower tier participants, each participant may, but is not required to, check the System for Award Management Exclusions website https:// www. sam. aov/ 1.

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 pprticipant 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 with which this transaction originated may pursue available remedies, including suspension or debarment.

Certification Reaardinq Debarment, Suspension, Ineliqibility and Voluntarx Exclusion-- Lower Tier Covered Transactions:
1 . The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating in covered transactions 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 proposal.

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APPENDIX A- CERTIFICATIONS AND ASSURANCES

BUY AMERIGA ACT
Applies to subrecipients as well as States)
The State and each subrecipient will comply with the Buy America requirement ( 23 U. S. C. 313) when purchasing items using Federal funds. Buy America requires a State, or subrecipient, to purchase with Federal funds only steel, iron and manufactured products produced in the United States, unless the Secretary of Transportation determines that such domestically produced items 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. In order to use Federal funds to purchase foreign produced items, the State must submit a waiver request that provides an adequate basis and justification for approval by the Secretary of Transportation.

PROHIBITION ON USING GRANT FUNDS TO CHECK FOR HE MET Usa e applies to subrecipients as well as States)
The State and each subrecipient will not use 23 U. S. C. Chapter 4 grant funds for programs to check helmet usage or to create checkpoints that specifically target motorcyclists.

POLICY ON SEAT BELT USE
In accordance with Executive Order 13043, Increasing Seat Belt Use in the United States, dated April 16, 1997, the Grantee is encouraged to adopt and enforce on-the-job seat belt use policies and programs for its employees when operating company-owned, rented, or personally owned vehicles. The National Highway Traffic Safety Administration ( NHTSA) is responsible for providing leadership and guidance in support of this Presidential initiative. For information and resources on traffic safety programs and policies for employers, please contact the Network of Employers for Traffic Safety ( NETS), a public private partnership dedicated to improving the traffic safety practices of employers and employees. You can download information on seat belt programs, costs of motor vehicle crashes to employers, and other traffic safety initiatives at www.trafficsafety. org. The NHTSA website ( https:// www.nhtsa. aov/) also provides information on statistics, campaigns, and program evaluations and references.

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APPENDIX A- CERTIFICATIONS AND ASSURANCES

POLICY ON BANNING TEXT MESSAGING WHILE DRIVING
In accordance with Executive Order 13513, Federal Leadership On Reducing Text Messaging While Driving, and DOT Order 3902. 10, Text Messaging While Driving, States are encouraged to adopt and enforce workplace safety policies to decrease crashes caused by distracted driving, including policies to ban text messaging while driving company- owned or rented vehicles, Governmentowned, leased or rented vehicles, or privately-owned vehicles when on official Government business or when performing any work on or behalf of the Government. States are also encouraged to conduct workplace safety initiatives in a manner commensurate with the size of the business, such as establishment of new rules and programs or re- evaluation of existing programs to prohibit text messaging while driving, and education, awareness, and other outreach to employees about the safety risks associated with texting while driving.

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APPENDIX B— MANDATORY DISCLOSURES

APPENDIX B- MANDATORY DISCLOSURES
2 CFR Part 200. 1 13 and Appendix XII
Non-Federal entities that have received a Federal award including the term and condition outlined below in " Appendix XII-Award Term and Condition for Recipient Integrity and Performance Matters", are required to report certain civil, criminal, or administrative proceedings to SAM. Failure to make required disclosures can result in any of the remedies described in § 200.338 Remedies for noncompliance, including suspension or debarment. ( See also 2 CFR part 180, 31 U. S. C. 3321, and 41 U. S. C. 2313.)
Appendix XII to Part 200- Award Term and Condition for Recipient Integrity and Performance Matters
Reporting of Matters Related to Recipient Integrity and Performance

1. General Reporting Requirement
If the total value of your currently active grants, cooperative agreements, and procurement contracts from all Federal awarding agencies exceeds 10, 000, 000 for any period of time during the period of performance of this Federal award, then you as the recipient during that period of time must maintain the currency of information reported to the rstem for Award Manaqement( SAM) that is made available in the designated integrity and perfOrmanCe System ( CUrrently the Federal Awardee Performance and Inteqrity Information System ( FAPIIS)) qbOUt Clvil, criminal, or administrative proceedings described in paragraph 2 of this award term and condition. This is a statutory requirement under section 872 of Public Law 1 10- 417, as amended ( 41 U. S. C. 2313). As required by section 3010 of Public Law 1 11- 212, all information posted in the designated integrity and performance system on or after April 15, 201 1, except pasf performance reviews required for Federal procurement contracts, will be publicly available.

2. Proceedings Aboufi Which You Must Report
Submit the information required about each proceeding that:
a. Is in connection with the award or performance of a grant, cooperative agreement, or procurement contract from the Federal Government; b. Reached its final disposition during the most recent five-year period; and c. Is one of the following:

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APPENDIX B- MANDATORY DISCLOSURES
1) A criminal proceeding that resulted in a conviction, as defined in paragraph 5 of this award term and condition;
2) A civil proceeding that resulted in a finding of fault and liability and payment of a monetary fine, penalty, reimbursement, restitution, or damages of $ 5, 000 or more;
3) An administrative proceeding, as defined in paragraph 5. of this award term and condition, that resulted in a finding of fault and liability and your payment of either a monetary fine or penalty of 5, 000 or more or reimbursement, restitution, or damages in excess of 100, 000; or
4) Any other criminal, civil, or administrative proceeding if:
i. It could have led to an outcome described in paragraph 2. c.( 1), 2), or ( 3) of this award term and condition;
ii. It had a different disposition arrived at by consent or compromise with an acknowledgment of fault on your part; and
iii. The requirement in this award term and condition to disclose information about the proceeding does not conflict with applicable laws and regulations.

3. Reporting Procedures
Enter in the SAM Entity Management area the information that SAM requires about each proceeding described in paragraph 2 of this award term and condition. You do not need to submit the information a second time under assistance awards that you received if you already provided the information through SAM because you were required to do so under Federal procurement contracts that you were awarded.

4. Reporting Freqvency
During any period of time when you are subject to the requirement in paragraph 1 of this award term and condition, you must report proceedings information through SAM for the most recent five year period, either to report new information about any proceeding( s) that you have not reported previously or affirm that there is no new information to report. Recipients that have Federal contract, grant, and cooperative agreement awards with a cumulative total value greater than $ 10, 000, 000 must disclose semiannually any information about the criminal, civil, and administrative proceedings.

5. Definitions

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APPENDIX B- MANDATORY DISCLOSURES
For purposes of this award term and condition:
a. Administrative proceeding means a non-judicial process that is adjudicatory in nature in order to make a determination of fault or liability e. g., Securities and Exchange Commission Administrative proceedings, Civilian Board of Contract Appeals proceedings, and Armed Services Board of Contract Appeals proceedings). This includes proceedings at the Federal and State level but only in connection with performance of a Federal contract or grant. It does not include audits, site visits, corrective plans, or inspection of deliverables.
b. Conviction, for purposes of this award term and condition, means a judgment or conviction of a criminal offense by any court of competent jurisdiction, whether entered upon a verdict or a plea, and includes a conviction entered upon a plea of nolo contendere.
c. Total value of currently active grants, cooperative agreements, and procurement contracts includes—
1) Only the Federal share of the funding under any Federal award with a recipient cost share or match; and
2) The value of all expected funding increments under a Federal award and options, even if not yet exercised.

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APPENDIX C- LAW ENFORCEMENT AGENCIES

APPENDIX C- LAW ENFORCEMENT AGENCIES

PROHIBITION ON USING GRANT FUNDS TO CHECK FOR HELMET USAGE Applies to subrecipients as well as States)
The State and each subrecipients will not use 23 U. S. C. Chapter 4 grant funds for programs to check helmet usage or to create check points that specifically target motorcyclists. Public Law 129 - 1510, SEC. 4007

RACIAL PROFILING
Ali subrecipient law enforcement agencies shall comply with California law regarding profiling. Penal Code section 13519. 4, subdivision ( e), defines " racial profiling" as the " practice of detaining a suspect based on a broad set of criteria which casts suspicion on an entire class of people without any individualized suspicion of the particular person being stopped." Then, subdivision ( f) of that section goes on to provide, " A law enforcement officer shall not engage in racial profiling."

VEHICLE PURSUITS
The State actively encourages all relevant law enforcement agencies in the State to follow the guidelines established for vehicular pursuits issued by the International Association of Chiefs of Police that are currently in effect. ( 23 U. S. C. 4)

USE OF FUNDS
Traffic enforcement personnel and any equipment funded under this grant agreement shall be dedicated solely to grant supported enforcement tasks unless a criminal offense is committed in the officer' s presence; a response to an officer in distress is initiated, and or a riot requires that all available enforcement personnel be committed in response.

Nothing in the grant 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.

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Appendix D - General Terms 8 Conditions, State Certifications

APPENDIX D- GENERAL TERMS & CONDITIONS, STATE CERTIFICATIONS As referenced in the grant agreement)
Terms and conditions, when applicable, are incorporated by reference and made a part of, but not necessarily limited to, the following documents: grant agreements, subgrants, contracts, subcontracts, interagency agreements, invitations for bid, and requests for proposal for goods or services for which the OTS grant funding reimbursement is requested. It is understood and agreed by the subrecipient that grant funds received as a result of this grant agreement are subject to all applicable federal and state regulations, rules, guidelines, policies and laws and to the following applicable controls, terms and consideration expressed in the OTS Grant Program Manual.

Federal certifications and assurances are included in Appendix A of this Grants Management Manual. The following laws apply to persons or entities doing business with the State of California.

1. Administrative Support and Statement of Intent
This program has full support of the authorizing agency, and every effort will be made to continue the activities after the grant conclusion. If required by local governance, the city council or the board of supervisors will endorse this grant through a resolution.

2. Air or Water Pollution Violation
Under the State laws, the subrecipient or contractor shall not be: ( 1) in violation of any order or resolution not subject to review promulgated by the State Air Resources Board or an air pollution control district; ( 2) subject to cease and desist order not subject to review issued pursuant to Section 13301 of the Water Code for violation of waste discharge requirements or discharge prohibitions; or ( 3) finally determined to be in violation of provisions of federal law relating to air or water pollution.

3. 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 the grant agreement is binding on any of the parties. ( Reference: DGS Standard Agreement General Terms and Conditions,"). Grant agreement revisions are allowed in accordance with the guidelines detailed in the OTS GPM. All appropriate documentation required to request a grant revision must be submitted timely to Grantor.

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Appendix D - General Terms & Conditions, State Certifications

4. Americans With Disabilities Act.

Subrecipient or contractor assures the State that it complies with the Americans with Disabilities Act ( ADA) of 1990, which prohibits discrimination on the basis of disability, as well as all applicable regulations and guidelines issued pursuant to the ADA. ( 42 USC 12101 et sea.)

5. Antitrust Claims
The subrecipient by signing this grant agreement hereby certifies that if these services or goods are obtained by means of a competitive bid, the subrecipient shall comply with the requirements of the Government Code 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. ( Reference: GC 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. Chapterl Part 15 [ Title 15 Commerce and Trade, Chapter 1, Monopolies and Combinations in Restraint of Trade, Section 15, Suits by Persons Injured]) 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. ( Reference: GC § 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 receive reimbursement 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 not paid by the public body as part of the bid price, less the

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Appendix D - General Terms 8 Conditions, State Certifications expenses incurred in obtaining that portion of the recovery. ( Reference:

GC 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. ( Reference: GC 4554)
b. Approval
This grant agreement is of no force or effect until signed by both parties and approved by the Office of Traffic Safety. Subrecipient or contractor may not commence performance until such approval has been obtained.

Reference: California Department of General Services ( DGS) Standard Agreement " General Terms and Conditions,")

7. AssiQnment
This grant agreement is not assignable by the subrecipient, either in whole or in part, without the consent of the Office of Traffic Safety in the form of a formal written amendment. ( Reference: DGS Standard Agreement General Terms and Conditions".

8. Audits and Access to Records
Subrecipient agrees that the California Office of Traffic Safety, the National Highway Traffic Safety Administration, or their designated representative( s), shall have the right to review and to copy any records and supporting documentation pertaining to the performance of this grant agreement.

Subrecipient 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. Subrecipient 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, subrecipient agrees to include a similar right of the state to audit records and interview staff in any subcontract related to the performance of this agreement. ( Reference: GC § 8546. 7, Public Contract Code ( PCC § 101 15 et seq., California Code of Regulations ( CCR Title 2, 1896).

9. Availabilitv of Funds
Reimbursement of approved grant expenditures is contingent upon the subrecipient complying with all grant requirements and the appropriation of sufficient funds by the federal government and the California Office of Traffic Safety. OTS does not represent or guarantee the availability of federal

GRANT PROGRAM MANUAL
Appendix D - General Terms 8 Conditions, State Certifications highway safety funds for initial or subsequent year funding. If during the term of the grant federal funds are reduced or eliminated, OTS may immediately terminate or reduce the grant award upon written notice to the subrecipient' s Authorizing Official.

Once a grant has been awarded and becomes effective, OTS reimburses the subrecipient for expenditures related to approved activities. Only costs incurred within the approved grant period and that do not exceed the federally obligated funds as indicated in the agreement are reimbursed. The goals and objectives outlined in the grant should be accomplished during the grant period and within the approved budget.

OTS has the option to void the agreement under the thirty- day cancellation clause or to amend the contract to reflect any reduction in funds Reference: SCM, Vol. , 3. 1 1.) Funds are awarded under Catalog of Federal Domestic Assistance ( CFDA) Numbers. The specific funding source is identified on the grant budget.

10. Bvrd Anti- Lobbvinq Amendment( 31 USC 1352)
Subrecipients who apply or bid for an award of $ 100, 000 or more shall file the required certification. Each tier certifies to the tier above that it will not and has not used federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any federal contract, grant, or any other award covered by 31 USC 1352. Each tier shall also disclose any lobbying with non- federal funds that takes place in connection with obtaining any federal award. Such disclosures are forwarded from tier-to-tier up to the recipient.

11. Child Support Compliance Act
For any grant agreement in excess of $ 100, 000, the subrecipient acknowledges in accordance with Public Contract Code ( PCC § 71 10), that:
a. The subrecipient 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 Cod; and
b. The subrecipient, 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

GRANT PROGRAM MANUAL
Appendix D - General Terms 8 Conditions, State Certifications Employment Development Department." ( Reference: DGS Standard Agreement " General Terms and Conditions,")

12. Clean Air Act and the Federal Water Pollution Control Act 33 USC 1251 et seq.), as amended. Grants of amounts in excess of $ 100, 000 shall contain a provision that requires the subrecipient to agree to comply with all applicabie standards, orders, or regulations issued pursuant to the Clean Air Act (42 USC 7401 et sea.) and the Federal Water Pollution Control Act as amended ( 33 USC 1251 et seq.). Violations shall be reported to the federai awarding agency and the Regional Office of the Environmental Protection Agency ( EPA).

13. Compensation
The consideration to be paid subrecipient, as provided herein, shall be in compensation for all of subrecipient' s expenses incurred in the performance hereof, including travel, per diem, and taxes, unless otherwise expressly so provided. ( Reference: DGS Standard Agreement " General Terms and Conditions")

14. Conflict of Interest
Subrecipient or contractor needs to be aware of the following provisions regarding current or former state employees. If subrecipient or contractor has any questions on the status of any person rendering services or involved with the agreement, the awarding agency must be contacted immediately for clarification.

Current State Employees ( PCC 10410)
a. No officer or employee shall engage in any employment, activity, or enterprise from which the officer or employee receives compensation or has a financial interest, and which is sponsored or funded by any state agency, unless the employment, activity, or enterprise is required as a condition of regular state employment.
b. No officer or employee shall contract on his or her own behalf as an independent contractor with any state agency to provide goods or services.

Former State Employees ( PCC 1041 1)
a. For the two- year period from the date he or she left state employment, no former state officer or employee may enter into a contract in which he or she engaged in any of the negotiations, transactions, planning, arrangements, or any part of the decision- making process relevant to the contract while employed in any capacity by any state agency.

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Appendix D - General Terms & Conditions, State Certifications b. For the twelve- month period from the date he or she left state employment, no former state officer or employee may enter into a contract with any state agency if he or she was employed by that state agency in a policy- making position in the same general subject area as the proposed contract within the twelve- month period prior to his or her leaving state service.

If subrecipient or contractor violates any provisions of above paragraphs, such action by subrecipient or contractor shall render this agreement void. ( PCC 10420)
Members or boards and commissions are exempt from this section if they do not receive payment other than payment of each meeting of the board or commission, payment for preparatory time and payment for per diem. ( PCC 10430( e))

15. Contracts
Subrecipients may enter into contract(s) to perform applicable provisions of this grant agreement. The subrecipient is responsible for ensuring that all activities delegated to contractors are in support of this grant agreement. 1) Consultants and/ or contractors shall be selected in accordance with the subrecipient agency procurement policies and procedures in order to comply with the terms of this Agreement and in accordance with the OTS GPM.

The subrecipient consultant and/ or contractor are subject to all applicable terms and conditions and are bound by the applicable certifications of the grant agreement and 2 CFR Part 200.

CA OTS is not obligated to make any payment under any agreement prior to final execution or outside the terms of the contract period.

Contractor or subrecipient agency expenditures incurred prior to final contract execution are taken at the risk of that contractor/ subrecipient agency and will be considered unallowable if that agreement/ contract is not executed.
2) Nothing contained in this grant agreement shall create any contractual relation between the State and any contractors, and no contract shall relieve the subrecipient of its responsibilities and obligations hereunder.

Subrecipient agrees to be as fully responsible to the State for the acts and omissions of its contractors and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by the subrecipient. The subrecipient' s obligation to pay its contractors is an independent obligation from the State' s obligation to make payments to the subrecipient. As a result, the State

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Appendix D- General Terms 8 Conditions, State Certifications shali have no obligation to pay or to enforce the payment of any moneys to any contractor.

16. Contractor Certification Clauses:

The Contractor Certification Clauses contained in the Department General Services document CCC 04/ 2017 are hereby incorporated by reference and made a part of this Agreement by this reference as if attached hereto.

17. Independent Contractor
Contractor, and the agents and employees of contractor, in the performance of this grant agreement, shall act in an independent capacity and not as officers or employees or agents of the state. ( Reference: DGS Standard Agreement " General Terms and Conditions" J

18. Competition
No subrecipient shall draft, or cause to be drafted, any invitation to bid or request for proposal, in connection with the awarding of a consulting services contract, in such a manner as to limit the bidding directly to any one bidder.

At least three competitive bids or proposals shall be secured for each consulting services contract. ( Reference: PCC § 10340)

19. Convict/ Forced Labor
No foreign- made equipment, materials, or supplies furnished pursuant to this contract may be produced in whole or in part by forced labor, convict labor, or indentured labor under penal sanction. ( Reference: PCC § 6108)

20. Copvri4hts ( 41 CFR 105- 71. 134)
The federal awarding agency reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government purposes:( a) The copyright in any work developed under a grant or contract; and ( b) Any rights of copyright to which a subrecipient or a contractor purchases ownership with' grant support.

21. Corporate Qualifications to Do Business in California When agreements are to be performed in the State by corporations, the authorizing agencies will be verifying that the contractor is currently qualified to do business in California in order to ensure that all obligations due to the State are fulfilled.

Doing business" is defined in Revenue and Taxation Code ( R& TC) Section 231 Ol as actively engaging in any transaction for the purpose of financial or pecuniary gain or profit. Although there are some statutory exceptions to taxation, rarely will a corporate contractor performing within the state not be subject to the franchise tax.

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Appendix D- General Terms 8 Conditions, State Certifications Both domestic and foreign corporations ( those incorporated outside of California) must be in good standing in order to be qualified to do business in California. Agencies will determine whether a corporation is in good standing by calling the Office of the Secretary of State.

22. Davis- Bacon Act, as amended ( 40 USC 3142
When required by federal program legislation, all construction contracts awarded by the recipients and sub recipients of more than $ 2, 000 shall include a provision for compliance with the Davis-Bacon Act (40 USC 3142) and as supplemented by Department of Labor regulations (29 CFR Part 5, Labor Standards Provisions Applicable to Contracts Governing Federally Financed and Assisted Construction"). Under this Act, contractors shall be required to pay wages to laborers and mechanics at a rate not less than the minimum wages specified in a wage determination made by the Secretary of Labor. In addition, contractors shall be required to pay wages not less than once a week. The recipient shall place a copy of the current prevailing wage determination issued by the Department of Labor in each solicitation and the award of a contract shall be conditioned upon the acceptance of the wage determination. The recipient shall report all suspected or reported violations to the federal awarding agency.

23. Disadvantaged Business Enterprise/ Small Business Affirmative Steps Subrecipients and contractors will take all necessary affirmative steps to assure that disadvantaged business enterprises ( DBE), as defined in 49 CFR Section 26. 5, and labor surplus area firms are used when possible. Affirmative steps shall include:
a. Placing qualified DBEs and small businesses on solicitation lists. b. Assuring that DBEs and small businesses are solicited whenever they are potential sources.
c. Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by small and DBEs. d. Establishing delivery schedules, where the requirement permits, which encourage participation by small and DBEs.
e. Using the services and assistance of the Small Business Administration, and the Minority Business Development Agency of the Department of Commerce.
f. Requiring the prime contractor, if subcontracts are to be let, to take the affirmative steps listed above. ( Reference: 2 CFR 200.321)

24. Disclosure Requirements
a. Any document or written report prepared for or under the direction of a state or local agency, which is prepared in whole or in part by nonPage 68 Revised: 10/ 2021

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Appendix D- General Terms 8 Conditions, State Certifications employees of such agency, shall contain the contract numbers and the dollar amounts of all contracts and subcontracts relating to the preparation of such document or written report when the total cost for such work performed by non- employees of the agency exceeds five thousand dollars ($ 5, 000). The contract and subcontract numbers and dollar amounts shall be set forth in a separate section of each such document or written report.
b. When multiple documents or written reports are the subject or product of the contract, the total contract amount is deemed to represent the compensation for those multiple documents or written reports.

Reference: GC § 7550)

25. Disputes.

Contractor shall continue with the responsibilities under this grant agreement during any dispute. ( Reference: DGS Standard Agreements " General Terms and Conditions,")

26. Document Retention and Access
The subrecipient certifies that it will comply with the retention and access requirements for records established by 2 CFR Subpart D - 200. 333- 200. 337.

The required records and documentation relating to the grant and/ or subcontract shall be retained for a minimum of three years after the starting date of the retention period as defined in Section 200.333. The OTS or their authorized representative shall have the right of access to any books, documents, papers, or other records of subrecipients or contractors which are pertinent to the grant and/ or contract, in order to make audits, examinations, excerpts, and transcripts. The right of access is not limited by the required retention period and shall last as long as the records are retained.

27. Domestic Partners
For agreements over$ 100, 000 executed or amended after January 1, 2007, the subrecipient certifies that it is in compliance with Public Contract Code section 10295. 3

28. Druq- Free Workplace Requirements:

Contractor will comply with the requirements of the Drug- Free Workplace Act of 1990 and will provide a drug-free workplace by taking the following actions:
a. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession or use of a controlled substance is prohibited and specifying actions to be taken against employees for violations.

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Appendix D- General Terms & Conditions, State Certifications b. Establish a Drug- Free Awareness Program to inform employees about:
1) the dangers of drug abuse in the workplace;
2) the person' s or organization' s policy of maintaining a drug- free workplace;
3) any available counseling, rehabilitation and employee assistance programs; and,
4) penalties that may be imposed upon employees for drug abuse violations.
c. Every employee who works on the proposed Agreement will:
1) receive a copy of the company' s drug- free workplace policy statement; and,
2) agree to abide by the terms of the company's statement as a condition of employment on the Agreement.

Failure to comply with these requirements may result in suspension of payments under the Agreement or termination of the Agreement or both and Contractor may be ineligible for award of any future State agreements if the department determines that any of the following has occurred: the Contractor has made false certification, or violated the certification by failing to carry out the requirements as noted above. ( Gov. Code § 8350 et seq.)

29. Energv Efficiencv
It is understood the grant applicant will purchase only energy efficient equipment, whenever possible and appropriate.

30. Equal EmploYment Opportunity
All grant agreements shall contain a provision requiring compliance with E. O. 1 1246, and E. O. 11375" Equal Employment Opport nity," as amended by E. O. 1 1478, " Amending Executive Order 11246 Relating to Equal Employment Opportunity," and as supplemented by regulations at 41 CFR Part 60, " Office of Federal Contract Compliance Programs, Equal Employment Opportunity, and Department of Labor."

31. Equipment
Equipment acquired under this grant agreement for use in highway safety program areas shall be used and kept in operation for highway safety purposes by the state; or the state, by formal agreement with appropriate officials of a political subdivision or state agency, shall cause such equipment to be used and kept in operation for highway safety purposes. ( Reference 23 C F R 1200. 31)

GRANT PROGRAM MANUAL
Appendix D- General Terms 8 Conditions, State Certifications

32. Expatriate Corporations
Subrecipient or contractor hereby declares that it is not an expatriate corporation or subsidiary of an expatriate corporation within the meaning of Public Contract Code Section 10286 and 10286. 1 , and is eligible to contract with the State of California.

33. Financial ManaQement Svstem
The subrecipient or contractor, will comply with all applicable state, local, and federal procurement procedures and will maintain a financial management system that complies with the minimum requirements of 2 CFR Part 200 Subpart D - 200. 303.

34. Gender ldentitv:

For contracts of $ 100, 000 or more, Contractor certifies that Contractor is in compliance with Public Contract Code Section 10295. 35.

35. Governinq Law
This contract is governed by and shall be interpreted in accordance with the laws of the State of California. ( Reference: DGS Standard Agreement General Terms and Conditions,")

36. Indemnification
Subrecipient 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 contractor in the performance of this agreement. ( Reference: DGS Standard Agreement General Terms and Conditions,"). Institutes of Hiaher Education, # 2.

37. Intangible Propertv
a. The subrecipient may copyright any work that is subject to copyright and was developed, or for which ownership was purchased, under award.

The California Office of Traffic Safety and the National Highway Traffic Safety Administration reserve a royalty-free, nonexclusive and irrevocable right to reproduce, publish, or otherwise use the work for federal purposes, and to authorize others to do so.
b. Subrecipients are subject to applicable regulations governing patents and inventions, including government-wide regulations issued by the Department of Commerce at 37 CFR Part 401, " Rights to Inventions Made

GRANT PROGRAM MANUAL
Appendix D - General Terms & Conditions, State Certifications by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts, and Cooperative Agreements."
c. The federal government has the right to:
1) obtain, reproduce, publish or otherwise use the data first produced under an award; and
2) authorize others to receive, reproduce, publish, or otherwise use such data for federal purposes.
d. Freedom of Information Act
1) In addition, in response to a Freedom of Information Act ( FOIA) request for research data relating to published research findings produced under an award that were used by the federal
government in developing an agency action that has the force and effect of law, the federal awarding agency shall request, and the subrecipient shall provide, within a reasonable time, the research data so that they can be made available to the public through the procedures established under the FOIA. If the federal awarding agency obtains the research data solely in response to a FOIA request, the agency may charge the requester a reasonable fee equaling the full incremental cost of obtaining the research data.

This fee should reflect costs incurred by the agency, the recipient, and applicable sub recipients. This fee is in addition to any fees the agency may assess under the FOIA ( 5 USC 552(A)( 4)( a)). 2) The following definitions apply for purposes of paragraph ( d) of this section:
i) Research data is defined as the recorded factual material commonly accepted in the scientific community as necessary to validate research findings, but not any of the following:
preliminary analyses, drafts of scientific papers, plans for future research, peer reviews, or communications with colleagues. This recorded" material excludes physical objects ( e. g., laboratory samples). Research data also do not include:

A) Trade secrets, commercial information, materials necessary to be held confidential by a researcher until they are
published, or similar information which is protected under law; and
B) Personnel and medical information and similar information the disclosure of which would constitute a clearly
unwarranted invasion of personal privacy, such as
information that could be used to identify a particular person in a research study.

GRANT PROGRAM MANUAL
Appendix D- General Terms & Conditions, State Certifications ii) Published is defined as either when:

A) Research findings are published in a peer-reviewed scientific of technical journal; or
B) A federal agency publicly and officially cites the research findings in support of an agency action that has the force and effect of law.
iii) Used by the federal government in developing an agency action that has the force and effect of law is defined as when an agency publicly and officially cites the research findings in support of an agency action that has the force and effect of law.
e. Title to intangible property and debt instruments acquired under a grant or contract vests upon acquisition in the recipient. The recipient shall use that property for the originally- authorized purpose, and the recipient shall not encumber the property without approval of the federal awarding agency. When no longer needed for the originally authorized purpose, disposition of the intangible property shall occur in accordance with the provisions of 2 CFR Subpart D - 200. 315.

38. Labor Code/ Workers' Compensation
Subrecipient or contractor needs to be aware of the provisions which require every employer to be insured against liability for Workers' Compensation or to undertake self-insurance in accordance with the provisions, and subrecipient or contractor affirms to comply with such provisions before commencing the performance of the work of this agreement. ( Labor Code Section 3700)

39. Limited Enqlish Proficiencv
The grant applicant will take reasonable steps to ensure meaningful access by persons with limited English proficiency to the information and services provided through federal financial assistance.

40. Loqos
The OTS logo will appear on all promotional materials where appropriate and practical. Contact the appropriate OTS Coordinator for copies.

41. Loss Leader
If this subrecipient agreement involves the furnishing of equipment, materials, or supplies then the following statement is incorporated: It is unlawful for any person engaged in business within this state to sell or use any article or product as a " loss leader" as defined in Section 17030 of the Business and Professions Code ( BPC 17130).

GRANT PROGRAM MANUAL
Appendix D - General Terms & Conditions, State Certifications

42. Proqress Schedule
Subrecipients entering into a contractual agreement for consultant services totaling five thousand dollars ($ 5, 000) or more shall include detailed criteria and a mandatory progress schedule. ( Reference: PCC § 10371)

43. Proaress Pavments
Subrecipients may provide for progress payments to consultants/ contractors for work performed or costs incurred in the performance of the contract. Not less than ten percent of the contract amount shall be withheld pending final completion of the contract and an evaluation of the contractor' s performance. If the contract consists of the performance of separate and distinct tasks, then any funds so withheld with regard to a particular task may be paid upon completion of that task and an evaluation of the contractor' s performance. ( Reference: PCC § 10346)

44. National Labor Relations Board Certification
Subrecipient or contractor certifies that no more than one ( 1) final unappealable finding of contempt of court by a federal court has been issued agcainst subrecipient or contractor within the immediately preceding two-year period because of subrecipient or contractor' s failure to comply with an order of a federal court which orders subrecipient or contractor to comply with an order of the National Labor Relations Board. ( PCC 10296) Not applicable to public entities.)

45. Non- Discrimination Clause:

During the performance of this Agreement, Contractor and its subcontractors shall not deny the contract' s benefits to any person on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status, nor shall they discriminate unlawfully against any employee or applicant for employment because of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status. Contractor shall insure that the evaluation and treatment of employees and applicants for employment are free of such discrimination. Contractor and subcontractors shall comply with the provisions of the Fair Employment and Housing Act ( Government Code Section 12990 ( a- f) et seq.), the regulations promulgated thereunder ( Cal. Code Regs., Title. 2, § 1 1000 et seq.), the provisions of Article 9. 5, Chapter 1, Part 1, Division 3, Title 2 of the Government Code ( Gov. Code §§ 1 1 1 35- 1 1 1 39. 5), and the regulations or standards adopted by the awarding state agency to implement such article.

GRANT PROGRAM MANUAL
Appendix D - General Terms & Conditions, State Certifications Contractor shali permit access by representatives of the Department of Fair Employment and Housing and the awarding state agency upon reasonable notice at any time during the normal business hours, but in no case less than 24 hours' notice, to such of its books, records, accounts, and all other sources of information and its facilities as said Department or Agency shall require to ascertain compliance with this clause. 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. ( Cal. Code Reas., Title 2, § 11105)

46. Non- Duplication of Grant Fundinq
The grant applicant has no ongoing or completed grants under agreement with other federal funding sources which duplicate or overlap any work contemplated or described in this traffic safety grant. It is further agreed that any pending or proposed request for other federal grant funds which would duplicate or overlap work under this traffic safety grant will be revised to exclude any such duplication of grant fund expenditures. It is understood that any such duplication of federal fund expenditures subsequently determined by audit will be subject to recovery by the Office of Traffic Safety.

47. Non- Enforcement Supplanting Avoidance
Non- enforcement salaried and hourly personnel assigned to this grant are conducting a new traffic safety program not previously funded with city, county or State funding or were previously in a grant- funded position.

48. Prioritv Hirinq Considerations
For agreements in excess of $200, 000, the subrecipient, in accordance with the California Public Contracting Code § 10353, shall consider filling vacancies in positions funded by the agreement to qualified recipients of aid under WIC Chapter2 ( commencing with Section 1 1200) of Part 3 of Division 9 of the Welfare and Institutions Code, in accordance with Article 3. 9 commencing with Section 1 1349) of Chapter 2 of Part 3 of Division 9 of the Welfare and Institutions Code.

This section and Article 3. 9 ( commencing with Section 1 1349) of Chapter 2 of Part 3 of Division 9 of the Welfare and Institutions Code shall not be applicable to any contracts for a grant as defined in Section 10105. ( Section 10105 defines a grant as ". . . the erection, construction, alteration, repair or improvement of any state structure, building, road, or other state improvement of any kind which will exceed a total cost calculated pursuant to subdivision ( b)."

GRANT PROGRAM MANUAL
Appendix D- Generai Terms & Conditions, State Certifications This section and Article 3.9 ( commencing with Section 1 1349) of Chapter 2 of Part 3 of Division 9 of the Welfare and Institutions Code shall not be construed so as to do any of the following:
a. Interfere with or create a violation of the terms of valid collective bargaining agreements.
b. Require the subrecipient to hire an unqualified recipient of aid. c. Interfere with, or create a violation of, any federal affirmative action obligation of a contractor for hiring disabled veterans or veterans of the Vietnam era.
d. Interfere with, or create a violation of, the requirements of Section 12990 of the Government Code. ( Reference: PCC § 10353)

49. Recvclina Certification
The subrecipient shall certify in writing under penalty of perjury, the minimum, if not exact, percentage of post- consumer material as defined in the Public Contract Code Section 12200, in products, materials, goods, or supplies offered or sold to the State regardless of whether the product meets the requirements of Public Contract Code Section 12209. With respect to printer or duplication cartridges that comply with the requirements of Section 12156( e), the certification required by this subdivision shall specify that the cartridges so comply ( Pub. Contract Code § 12205).

50. Resolution
Upon request, a county, city, district, or other local public body must provide the State with a copy of a resolution, order, motion, or ordinance of the local governing body which by law has authority to enter into an agreement, authorizing execution of the grant agreement.

51. Riqhts to Inventions Made Under a Contract or Agreement Contracts or agreements for the performance of experimental, developmental, or research work shall provide for the rights of the federal government and the recipient in any resulting invention in accordance with 37 CFR Part 401, " Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts, and Cooperative Agreements," and any implementing regulations issued by the awarding agency.

52. Sinqle Audit Act Certificafion
The OTS is the agency responsible for administering California' s' federal highway safety funds on behalf of the Governor. Federal funds are provided for this grant by the United States Department of Transportation. The records and supportive documentation for all completed grants are subject to an on- site audit and OTS reserves the right to inspect and review during normal

GRANT PROGRAM MANUAL
Appendix D - General Terms 8 Conditions, State Certifications working hours the work product of any independent auditor in support of their audit.

The subrecipient certifies that it will comply with the Single Audit Act of 1984 31 U. S. C. Chapter 75 - 7501- 7506 et seq.), as amended, which requires the following:
a. State or local governments that receive $ 750,000 or more a year in federal financial assistance shall have an audit made in accordance with the Office of Management and Budget ( 2 CFR Subpart F - 200. 501).
b. State or local governments that receive less than $ 750, 000 a year shall be exempt from compliance with the Act and other federal audit requirements.
c. Nothing in this paragraph exempts State or local governments from maintaining records of federal financial assistance or from providing access to such records to Federal Agencies, as provided for in federal law or in Circular A- 133 " Audits of States, Local Governments and NonProfit Organizations". d. The State Controller' s Office notifies OTS of those cities, counties, and special districts that have not submitted an audit report or have not indicated to SCO that they are exempt each fiscal year. Subrecipient agencies that are not in compliance will be notified and required to provide verification of compliance or be subject to sanctions including, reimbursement withholding or grant cancellation.

53. Solicitation
No employee of the applicant agency, the contractor, or any agency acting on behalf of the agency, may solicit or accept gratuities, favors, or anything of monetary value from contractors or potential contractors.

54. Statement of Compliance
Subrecipient has, unless exempted, complied with the nondiscrimination program requirements ( GC 12990 ( a- f) and CCR, Title 2, Section 1 1 102 and 1 1 103). ( Not applicable to public entities.)

55. Subrecipient/ Contractor Name Chanc e
An amendment is required to change the subrecipient or contractor' s name as listed on this grant agreement. Upon receipt of legal documentation of the name change an amendment will be processed. Payment of invoices presented with a new name cannot be paid prior to approval of said amendment.

GRANT PROGRAM MANUAL
Appendix D - General Terms & Conditions, State Certifications

56. Sweat Free Code of Conduct
All subrecipients contracting for the procurement or laundering of apparel, garments or corresponding accessories, or the procurement of equipment, materials, or supplies, other than procurement related to a public works contract, declare under penalty of perjury that no apparel, garments or corresponding accessories, equipment, materials, or supplies furnished to the state pursuant to the contract have been laundered or produced in whole or in part by sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor, or with the benefit of sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor. The subrecipient further declares under penalty of perjury that they adhere to the Sweat Free Code of Conduct as set forth on the California Department of Industrial Relations website located at www.dir.ca.gov, and Public Contract Code Section 6108.

The subrecipient agrees to cooperate fully in providing reasonable access to the subrecipient' s records, documents, agents or employees, or premises if reasonably required by authorized officials of the contracting agency, the Department of Industrial Relations, or the Department of Justice to determine the contractor' s compliance with the requirements under paragraph ( a).

57. Termination for Cause
The State may terminate this grant agreement and be relieved of any payments should the subrecipient fail to perform the requirements of this grant agreement at the time and in the manner herein provided.

58. Termination without Cause
Either party may terminate without cause upon thirty days written notice to the other party. All work performed pursuant to the contract and prior to the date of termination may be claimed for reimbursement ( Reference: State Contracting Manual, Chapter 9. 12).

59. Timeliness
Time is of the essence in this subrecipient agreement ( Reference: DGS Standard Agreement " General Terms and Conditions,").

60. Unenforceoble Provision
In the event that any provision of this subrecipients 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 effected thereby. ( Reference: DGS Standard Agreement " General Terms and Conditions")

GRANT PROGRAM MANUAL
Appendix D - General Terms 8 Conditions, State Certifications Instifutions of Higher Education
The Department of General Services requirements for universities contained within the document, UTC- 220 University Terms and Conditions (Effective 4/ 19), are hereby incorporated by reference and made a part of this Agreement by this reference as if attached hereto.

1. Subcontracts. Subrecipient may enter into contract(s) to perform applicable provisions of this grant agreement. The subrecipient is responsible for ensuring that all activities delegated to contractors are in support of this grant agreement.

Consultants and/ or contractors shall be selected in accordance with the subrecipient agency procurement policies and procedures in order to comply with the terms of this grant agreement and in accordance with the OTS GPM.

The subrecipient, consultant or contractor are subject to all applicable terms and conditions and are bound the applicable certifications of the grant agreement and 2 CFR Subpart F Aqqendix II and 2 CFR Subpart E 200.451 whichever is applicable.

OTS is not obligated to make any payment under any grant agreement prior to final execution or outside the terms of the contract period. Contractor expenditures incurred prior to final contract execution are taken at the risk of that contractor agency and will be considered unallowable if that agreement/ contract is not executed.

2. Indemnification. The University shall defend, indemnify and hold harmless the State, its officers, employees and agents from and against any and all liability, loss, expense, attorneys' fees, or claims for injury or damages arising out of the performance of this grant agreement but only the proportion to and to the extent such liability, loss, expense, attorneys' fees, or claims for injury or damages are caused by or result from the negligent or intentional acts or omissions of the University, its respective officers, agents or employees.

In accordance with Government Code Section 895. 4, the State shall defend, indemnify and hold harmless the University, its officers, employees and agents from and against any and all liability, loss, expense, attorneys' fees, or claims for injury or damages are caused by or result from the negligent or intentional acts or omissions of the State, its respective officers, agents or employees.

GRANT PROGRAM MANUAL
Appendix E - Document Examples

APPENDIX E- DOCUMENT EXAMPLES
Personnel Activity Report (PAR)
Sa e otCalitenla• Omee ot7n c S kq
PERSO\'' EL AC7I"[ T1' REPORi( PAR)
OTS?6( Nea 975)
1Qencc: Gnnt\ amher. Grant Period:

Emplocee\ ame: Posi6m Tide O7S Time• 4 i F{ ovrs:
touth l'ear.

CfDAIt Fl7ND 1 2 3 4 5 6 7 8 9 10 11 12 13 14. 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 Talal Onmt
Emploqee Si uatarNDate Supenisor Si nature Date
lonth. h'ear:

C DAk FtfDiD 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 I6 t7 Id 19 20 21 22 23 24 75 26 27 28 29 30 31 Tmal Oit x
Employee Si; aatore Date Sapenisor Sienature%Dah
touf6' Year:

CFDA# FUPID ! 2 3 4 5 b 7 8 9 10 II 12 13 14 IS 16 17 IS 19 20 21 72 23 2 TS 26 27 2E 29 30 31 Taal Ottgx
Emplo} ee SiQuatore?Date Supenisor SiqnaturoiDate
1 of?

GRANT PROGRAM MANUAL
Appendix E- Document Exampies
Snh af Catltornia• OAee of inffic Sa4q
PER50:' EL ACTI\' I7Y REPOR7( PAR)
OIS26a( New 9t13)
A PAR is an employee maintained log wltich accotmts for! 00 perceut of the employee' s time. The fonn is used to identify effort spent ou mnlriple pro¢ rams,' federal fiuids.

PAR' s mnst meet tl e follo cing standards:

Reflect the euiployee' s after- ffie- fact distributiou of tuue Uy proga am;'federa! fiwd.

Account for the totai acti• ity by pro ram/ federa fiuid for• luch each employee is compeusated( w•hether grant related or uot). r4ust be prepared at least montlily azid coiucide e•ith one or uiore pay periods. aud Must be signed by the employee and his, 9ier sup n•isor montlily.

INSTRUCTIONS -

1. Eutzr tl e name of Agency. Cnant Nimiber. Cirant Period. Employee Name. Position TiUe. and OTS Tiuie 9•o' Hoius.

2. Enter the nauie of the Month Tear Reporting.

3. OI' S Ho us - eu[ er actual homs w•orked ou tlie OTS¢ rant by CFDA aud Fund umuber.

4. Ofl er— enter tl e acmal hours reflected on tuuesheet BUI NO'I WORICED on the O'IS Grant.

5. Employee and Supen isor are requu• ed to sicn vid date by month. Please eusure 8iat e• ery employez has PAR sicned for ecery mou8i u orked divin¢ the¢ rant yeu.

6. Retain all PARs in a¢ ency grant file. Submit to OTS upon request. 2 of 2

GRANT PROGRAM MANUAL
Appendix E - Document Examples
Employee Time Certification
SF. 1I'& DF CALffQP. NL4 UFFBC OF TkAFEIC SAFEI' Y
Emplo ee Time Cei caHoa Foi n( Grantee. s.rSnbgrantecs) OT' 5-26( New i+i l)
Grautees aad sui gsantees recei ing 100 percent of fimding fram the Office of Traffic Safety( OTS) for persosmel seivices nn st co ie rertificatioms siatin that tl e emplayeels) worked sokly on that grogra fcx the geriod coveled by t1 e ce tificatian. The certificatic moust be paepa d at least semi- anuually and st be si ed by tl e emgloyee and supervisory official having fust- l d knowledge of the aork perfornme by the employce.

E IIPLOI E TIl1iE C.`ER'TIF'ICATTON
EhiPLOI' EE 1: 11 iE
i ctrsifr tLat I ha• e a orkcd 100 perceat of mr time on Aa Office of Traffic Safen•( OTS) Grant.

From: Octaber 1 I'o: 111arcL 31
EI1iPL04" EE SIG T iTL1iE
Date
SLTPER TSOR n 111E
SLTPER ZSOR SIGV TLiRE
Date
E1IIPLOI' EE TIl1IE C'ERTTFICATTON
I LOI' EE I: 1hIE
I ccrtif tLat I La- e nrorked 100 percent af m}• time on an Offire of TraH'ic 5afets•( 07S) Grant.

From: April 1 o: September 30
AiPLOI' EE 5IGY, TURE
Date
SLTP' ER TSOR;: 111iE
SITPER TSOR SIG'_T II'LiRE
Date

EXTERNAL"`] Welcome to GEMS
GEMS < otsgemsadmin@ots. ca. gov>

EXHIBIT C
Mon 11/ 21/ 2022 236 PM
To: Cristina Caguiat< cwguiat@ci. lathrop.ca. us>
Hi Cristina,
Welcome to GEMS! To get started, go to https:// ca- ots.force.com/ GEMS/ Ioqin7 c- qJ7XjrJasAksCbQQKLKL0A5DXwLhFQTZ3DwvqZGEp3s3TDc5q510RTAe2 LWquW TAG9Nt7H sqDTGa sC048DKnuRzRQBMuqOW21qxP2L9c8qT7xJ2N OMXRG8u59 ez 3NHrQi YJsmUCOP6h5EzzrSLGnqAXMVkfq4hw46quwpR. yHkaDMvSpQUXsacA04uDkPT Username:_ @ci. lathrop. ca. us
To login to the GEMS system in the future, go to this URL:
ca- ots.force. com/ G EM S
Thanks,
California Office of Traffic Safety