Compton City Council
June 14, 2022

WHEREAS,NV5, Inc. has been providing engineering and consulting services in the public and private sectors for more than 70 years, delivering solutions through six business verticals: Testing, Inspection and Consulting; Infrastructure; Utility Services; Environmental Health Sciences; Buildings and Program Management; and Geospatial Technology; and
WHEREAS,NV5, Inc. Irvine office specializes in the engineering design, construction management and inspection of capital improvement projects, including streets, traffic systems, water and wastewater systems, drainage and fold control, parks and recreational facilities, vertical construction, and landscaping and grading; and WHEREAS,NV5, Inc. team includes licensed civil engineers, license contractors, construction managers, certified inspectors and experienced public works professionals.

Their team members have extensive experience working within the structure of municipal government and public construction policy and will seamlessly integrate with the City’s team; and
WHEREAS,the firm has been providing services in Los Angeles County, including the City of Compton for many years and the firm was determined to be the most responsive consultants and demonstrated a high degree of technical proficiency combined with an understanding of the community and project needs; and WHEREAS,their staff, many of whom have experience as former public agency staff and management, understand the uniqueness of public agency needs and issues, are experienced and qualified to provide the expertise needed to perform the tasks of the projects in both civil and traffic engineering; and
WHEREAS,their fee schedules to provide the needed services are reasonable in regard to the consulting industry and the services will be provided on an “as needed” basis in accordance with the professional services agreement; and WHEREAS,funds in the amount of $500,000 will be available in the City’s FY 2022-2023 budget in Account No. 1001-710-000-4262; and
WHEREAS,funds in the amount of $500,000 for the remaining years including the two one-year extension options will be available in future approved City budgets; and WHEREAS,in order to authorize the City Manager to enter into a 3-year professional services agreements with and issue purchase orders to NV5, Inc. for On- Call Civil and Traffic Engineering Services in the amount of $500,000, City Council’s authorization is necessary.

NOW, THERFORE, THE CITY COUNCIL OF THE CITY OF COMPTON
RESOLVES AS FOLLOWS:

SECTION 1.That the City Manager, upon the advice and approval of the City Attorney is hereby authorized to enter into a 3-Year professional services agreement with two-one year options to renew with NV5, Inc. to provide On-Call Civil and Traffic Engineering Services in the amount of $500,000 annually.

SECTION 2. That funds in the amount of $500,000 annually will be available in the Public Works Engineering Department’s Fiscal Year 2022-2023 budget in Account No. 1001-710-000-4262.

SECTION 3.That the City Manager is hereby authorized to issue a purchase order in the amount of $500,000 annually to be established for NV5, Inc.

RESOLUTION NO. _______________

SECTION 4.That funds for the services for the remaining terms and the two year extensions will be allocated in the City’s future approved budgets.

SECTION 5.That copies of this resolution shall be filed in the offices of the City Manager, City Controller, City Clerk, and the Public Works Engineering Department.

SECTION 6.That the Mayor shall sign and the City Clerk shall attest to the adoption of this resolution.

ADOPTED this ________ day of _______________, 2022.

MAYOR OF THE CITY OF COMPTON
ATTEST:
___

CITY CLERK OF THE CITY OF COMPTON

STATE OF CALIFORNIA

COUNTY OF LOS ANGELES

CITY OF COMPTON
I, Alita Godwin, City Clerk of the City of Compton, hereby certify that the foregoing Ordinance was adopted by the City Council of the City of Compton, signed by the Mayor and attested by the City Clerk at a regular meeting thereof held on this ________ day of _______________, 2022.

That said Resolution was adopted by the following vote, to wit:

AYES: COUNCIL MEMBERS-
NOES: COUNCIL MEMBERS-
ABSENT: COUNCIL MEMBERS-
ABSTAIN: COUNCIL MEMBERS-
________

CITY CLERK OF THE CITY OF COMPTON

PROFESSIONAL SERVICES AGREEMENT

BETWEEN THE CITY OF COMPTON
AND
NV5, INC.

This AGREEMENT is entered into by and between the CITY OF COMPTON, a municipal corporation of the State of California (hereinafter referred to as “CITY”) located at 205 South Willowbrook Avenue, Compton, California 90220 and NV5, INC. located at 163 Technology Drive, Suite 100, Irvine, CA 92618.

RECITALS:

WHEREAS, the City has determined that there is a need to employ the services of a qualified and experienced civil engineering firm to provide plan review and final mapping services; and
WHEREAS, Consultant NV5, Inc. warrants that it is specifically trained, experienced, competent, and has the resources to provide such services which will be required by this project; and
WHEREAS, by Resolution No. _____, adopted on the____day of ______ the City Council gave approval to award a contract to the Consultant to provide the services required on an “as-needed” basis; and
WHEREAS, Consultant is willing to render such professional services, as hereinafter defined, on the following terms and conditions.

NOW, THEREFORE, Consultant and City, for the consideration, terms and conditions herein described, mutually agree as follows:

NOW, THEREFORE, Consultant and City, for the consideration, terms and conditions herein described, mutually agree as follows:

AGREEMENT:

1. Services to be rendered by Consultant.It is the mutual understanding of the parties that the Consultant shall perform and provide civil engineering services, to include but not be limited to: technical plan check for engineering documents and plans, map reviews, conformance with Federal, state and local regulations, particularly the California Subdivision Map Act and general compliance with City standards, ordinances and regulations on an “as- needed” basis as further detailed in Consultant’s “Proposal” dated March 16th, 2022, which is incorporated herein by this reference.

Consultant acknowledges that in entering into this Agreement the City is relying on Consultant's special skills and experience to do and perform the services in accordance with best standards of professional practice. While performing the Services, Consultant agrees to perform all the said work and furnish all the necessary materials at its own cost and expense necessary to complete said services in a manner consistent with that degree of care and skill ordinarily exercised by members of the same profession currently practicing under similar circumstances and to the reasonable satisfaction of the City.

Professional Services Agreement – NV5
On-Call Civil and Traffic Engineering Services
Resolution No. ____________
2 Consultant services hereunder shall be performed in good, workmanlike and professional manner. Consultant shall be responsible for correcting and completing all errors and omissions related to the services provided by the Consultant for this Agreement at no additional cost to the City. “Errors” and “Omissions” for purposes of this paragraph are defined to mean a failure by the Consultant to meet the standards of its profession as set forth in the preceding paragraph. The acceptance of the services by City does not release Consultant from these obligations.

Consultant will be responsible for employing or engaging all persons necessary to perform the services. All of Consultant's staff will be qualified by training and experience to perform their assigned tasks. Consultant will give its personal attention to the fulfillment of the provisions of this Agreement by all of its employees and subcontractors, if any, and will keep the services under its control. On demand of City, if any employee or subcontractor of Consultant fails or refuses to carry out the provisions of this Agreement or appears to be incompetent or to act in a disorderly or improper manner, he or she will be discharged immediately from the services.

Tamara O’Neal, PE, Project Manager of Consultant, shall be primarily responsible for representing Consultant in performance of this Agreement.

2. Duration of Contract.The term of this Agreement shall start from July 1 st, 2022 to June 30, 2025 on an “as-needed” basis with a two one-year extension options, unless this Agreement is terminated as provided herein.

3. Compensation.The method of payment for the services will be based on a fee-for- services basis, billable at the rates identified within CONSULTANT’s “Fee Schedule”, which is attached hereto and incorporated herein. It is understood and agreed between the parties that the total maximum compensation payable for each of the services to be provided by the CONSULTANT during the term of this Agreement shall be limited to a not-to-exceed amount of Five Hundred Thousand Dollars ($500,000.00) Annually. The total price paid the Consultant will include compensation for all work, including travel, materials, supplies, vendor services, expenses and subcontracted work. No additional compensation will be paid to the Consultant, unless there is a change in the scope of the work or the scope of the project. In the instance of a change in the scope of work or scope of the project, adjustment to the total compensation will be negotiated between the Consultant and the City. Adjustment in the total compensation will not be effective until authorized and approved in writing by the City.

Consultant will generally adhere to the schedule set forth by the City provided, that City will grant reasonable extensions of time for the performance of the services occasioned by unusually lengthy governmental reviews of Consultant’s work product or other unavoidable delays occasioned by unforeseen circumstances; provided, further, that such unavoidable delay will not include strikes, lockouts, work stoppages, or other labor disturbances conducted by, or on behalf of, Consultant’s officers or employees.

Consultant acknowledges the importance to City of City’s project schedule and agrees to put forth its best professional efforts to perform the services in a manner consistent with that schedule. City understands, however, that Consultant’s performance must be governed by sound practices. Consultant will work such overtime or engage such personnel and equipment as necessary to maintain the schedule, without additional compensation.

Professional Services Agreement – NV5
On-Call Civil and Traffic Engineering Services
Resolution No. ____________
3 Progress payments may be made in arrears based on the percentage of work and deliverables completed by the Consultant. If Consultant fails to submit the required deliverable items according to schedule or as required by the Agreement, except for those amounts that are due and not reasonably in dispute, the City shall have the right to delay payment and/or terminate this Agreement in accordance with the provisions noted herein.

Consultant shall be reimbursed within thirty (30) days, or as promptly as fiscal procedures may permit, upon receipt by the City of itemized invoices for services completed.

Invoices shall be submitted no later than 45 calendar days after the performance of work for which the Consultant is billing. Invoices shall detail the work performed on each task as applicable. Invoices shall be delivered or mailed to the Director of Public Works/Municipal Utilities Department at the following address: City of Compton, 205 South Willowbrook Avenue, Compton, California 90220.

In the event of termination, the Consultant shall be entitled to compensation for the undisputed reasonable value of services performed to the effective date of termination, including any noncancellable obligations incurred prior to termination; provided, however, that the City may condition payment of such compensation upon the Consultant’s delivery to the City of any and all City property, documents, reports, records, materials and work product associated with the performance of this Agreement.

4. Ownership of Materials.All product produced by Consultant or its agents, employees, and subcontractors pursuant to this Agreement (the “Work Product”) is the property of City. In the event this Agreement is terminated, all Work Product produced by Consultant or its agents, employees and subcontractors pursuant to this Agreement will be delivered to City pursuant to the termination clause of this Agreement. Consultant will have the right to make one (1) copy of the Work Product for Consultant’s records.

The Work Product may be used by City and its agents, employees, representatives, and assigns, in whole or in part, or in modified form, for all purposes City may deem advisable, without further employment of or payment of any compensation to Consultant; provided, however,
that if this Agreement is terminated for any reason prior to completion of the Project and if under such circumstances City uses, or engages the services of and directs another consultant to use, the Work Product, City agrees to hold Consultant harmless from any and all liability, costs, and expenses relative to claims arising out of matters and/or events which occur subsequent to the termination of this Agreement as a result of causes other than the fault or negligence of Consultant, or anyone for whose acts it is responsible, in preparation of the Work Product.

Consultant will not be responsible for deficiencies solely attributable to modifications of the Work Product performed by others, or that arise from use of the Documents in connection with a project or site other than that shown in the Work Product.

5. Independent Contractor Status.Consultant, its officers, employees, subconsultants, subcontractors, agents and volunteers (collectively hereinafter the “Consultant”), will perform the services in Consultant's own way and pursuant to this Agreement as an independent contractor and in pursuit of Consultant's independent calling, and not as an employee of City. The persons used by Consultant to provide the services under this Agreement will not be considered employees of City for any purposes. Neither the City nor any of its officers, employees, agents or volunteers shall have any control over the conduct of the Consultant, except as expressly set Professional Services Agreement – NV5
On-Call Civil and Traffic Engineering Services
Resolution No. ____________
4 forth in this Agreement. Consultant expressly warrants that while engaged in carrying out and complying with any terms and conditions of this Agreement that Consultant shall not at any time or in any manner, represent that Consultant is in any manner officers, employees, agents or volunteers of the City. Consultant shall obtain no rights to retirement, health care or any other benefit that accrue to City officials, officers, or employees. Consultant expressly waives any claim to such rights.

The payment made to Consultant pursuant to the Agreement will be the full and complete compensation to which Consultant is entitled. City will not make any federal or state tax withholdings on behalf of Consultant or its agents, employees or subcontractors. City will not pay any workers' compensation insurance, retirement contributions or unemployment contributions on behalf of Consultant or its employees or subcontractors. Consultant agrees to indemnify and pay City within thirty (30) days for any tax, retirement contribution, social security, overtime payment, unemployment payment or workers' compensation payment which City may be required to make on behalf of Consultant or any agent, employee, or contractor of Consultant for work done under this Agreement. At the City’s election, City may deduct the amounts paid pursuant to this Section, from any balance owing to Consultant.

6. Successors, Assignment and Delegation.City and the Consultant each binds themselves, their partners, successors, assigns and legal representatives to the other hereto and to partners, successors, assigns and legal representatives of such other party in respect to all covenants, agreements and obligations contained in this Agreement.

The expertise and experience of Consultant are material considerations for this Agreement. Consultant shall not assign or transfer any interest in this Agreement or the performance of any of Consultant’s obligations under this Agreement without the prior written consent of the City. Any attempted assignment or transfer of any of Consultant’s rights, duties or obligations arising under this Agreement shall be null and void.

7. Nondiscriminatory Employment Practices.During the performance of this Agreement, the Consultant agrees not to discriminate against any employee or applicant for employment because of race, sex, creed, color, religion, age, sexual orientation, marital status, national origin, political affiliation, handicap or belief in accordance with requirements of City, State or Federal laws and regulations. Consultant will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, sex, creed, color, religion, age, sexual orientation, marital status, national origin, political affiliation, handicap or belief in accordance with requirements of City, State or Federal laws and regulations. Such actions shall include, but not be limited to the following:
employment, upgrading, demotion or transfer; recruitment or recruitment advertising; layoffs or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees, applicants and subcontractors for employment, notices setting forth the provisions of this non- discrimination clause.

In the event of the Consultant’s non-compliance with the non-discrimination clause of this Agreement, this Agreement may be immediately canceled, terminated or suspended in whole or in part.

8. Subcontracting.Consultant's services are unique and personal. Except as may be specified in Consultant’s Proposal and agreed to by the City, Consultant will not subcontract any portion of the services without prior written approval of City Manager or his/her designee. If Professional Services Agreement – NV5
On-Call Civil and Traffic Engineering Services
Resolution No. ____________
5 Consultant subcontracts any of the services, Consultant will be fully responsible to City for the acts, errors and omissions of Consultant's subcontractor and of the persons either directly or indirectly employed by the subcontractor, as Consultant is for the acts and omissions of persons directly employed by Consultant. Nothing contained in this Agreement will create any contractual relationship between any subcontractor of Consultant and City. Consultant will be responsible for payment of subcontractors. Consultant will bind every subcontractor and every subcontractor of a subcontractor by the terms of this Agreement applicable to Consultant's work unless specifically noted to the contrary in the subcontract and approved in writing by City.

9. Other Consultants.The City reserves the right to employ other consultants in connection with the services.

10. Indemnification.Consultant shall indemnify and save harmless the City, its officials, officers, employees, agents and volunteers (collectively hereinafter the “City”), against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of the City and shall indemnify and save the City from any and all liability and expense including reimbursement of reasonable defense costs and legal fees, and claims, demands, suits, actions or proceedings of any kind or nature, including Workers’ Compensation claims, of or by anyone whomsoever to the extent resulting from or arising out of the negligent, reckless or willful misconduct for the Consultant, its officers, employees, subconsultants, subcontractors or agents in the performance of the duties undertaken by Consultant pursuant to this Agreement.

This indemnification and hold harmless obligation does not extend to claims arising out of the negligence or willful misconduct of the City.

11. Insurance.Without limiting the Consultant’s indemnification of the City, Consultant shall obtain and maintain, at its cost and expense, for the duration of the Agreement and any and all amendments, insurance against claims for injuries to persons or damage to property which may arise out of or in connection with performance of the services by Consultant or Consultant’s agents, representatives, employees or subcontractors. The insurance will be obtained from an insurance carrier admitted and authorized to do business in the State of California. Such evidence shall specifically identify this Agreement and shall contain express conditions that the City is to be given written notice at least thirty (30) days in advance of any termination or implementation of a reduction of limits or material change of insurance coverage as specified herein. Failure on the part of the Consultant to procure or maintain insurance shall constitute a material breach upon which the City may immediately terminate this Agreement. All insurance required hereunder shall be primary with respect to any insurance maintained by the City.

Coverages and Limits. Consultant will maintain the types of coverages and minimum limits indicated below, unless the Risk Manager or City Manager, in consultation with the City Attorney approves a lower amount. These minimum amounts of coverage will not constitute any limitations or cap on Consultant's indemnification obligations under this Agreement. City, its officers, agents, volunteers and employees make no representation that the limits of the insurance specified to be carried by Consultant pursuant to this Agreement are adequate to protect Consultant. The coverage will contain no special limitations on the scope of its protection to the below-indicated insureds except for Workers Compensation and errors and omissions insurance. Consultant will obtain occurrence coverage, excluding Professional Liability, which will be written as claims-made coverage. If Consultant believes that any Professional Services Agreement – NV5
On-Call Civil and Traffic Engineering Services
Resolution No. ____________
6 required insurance coverage is inadequate, Consultant will obtain such additional insurance coverage, as Consultant deems adequate, at Consultant's sole expense.

11.1 Commercial General Liability Insurance. $1,000,000 combined single- limit per occurrence for bodily injury, personal injury and property damage. If the submitted policies contain aggregate limits, general aggregate limits will apply separately to the work under this Agreement or the general aggregate will be twice the required per occurrence limit.

11.2 Automobile Liability. $1,000,000 combined single-limit per accident for bodily injury and property damage.

11.3 Workers' Compensation and Employer's Liability. Workers' Compensation limits as required by the California Labor Code and Employer's Liability limits of $1,000,000 per accident for bodily injury. Workers' Compensation and Employer's Liability insurance will not be required if Consultant has no employees and provides, to City's satisfaction, a declaration stating this.

11.4 Professional Liability. Errors and omissions liability appropriate to Consultant’s profession with limits of not less than $1,000,000 per claim. The coverage shall also provide an extended two (2) year reporting period commencing upon termination or cancellation of this Agreement.

Endorsements. For Commercial General Liability Insurance and Automobile Liability Insurance, Consultant will ensure that the policies are endorsed to name the City of Compton and its respective elected and appointed officers, officials, employees, agents and volunteers as “additional insureds” with respect to liability arising out of the activities of the Consultant. Any failure to comply with reporting provisions of the policies shall not affect coverage provided to the City. Prior to City's execution of this Agreement, Consultant will furnish certificates of insurance and endorsements to City.

Waiver of Subrogation. The policies shall contain a waiver of subrogation for the benefit of City.

12. Permits and Licenses.Consultant, at its own expense, during the term of this Agreement, shall obtain and maintain all appropriate business and professional permits, licenses and certificates that may be required in connection with the performance of services by the Consultant. Upon execution of this Agreement, the Consultant shall show evidence of a business license permit in conformance with Section 9-1.2 of the Compton Municipal Code.

13. Maintenance of Records. Consultant will maintain complete and accurate records with respect to costs incurred under this Agreement. All records will be clearly identifiable.

Consultant will allow a representative of City during normal business hours to examine, audit, and make transcripts or copies of records and any other documents created pursuant to this Agreement. Consultant will allow inspection of all work, data, documents, proceedings, and activities related to the Agreement for a period of three (3) years, or longer if required by law, from the date of final payment under this Agreement.

14. Warranties.Consultant represents and warrants (i) that Consultant has no obligations, legal or otherwise, inconsistent with the terms of this Agreement or with Consultant’s undertaking this relationship with City, (ii) that the performance of the services called for by this Agreement do not and will not violate any applicable law, rule or regulation or any proprietary or Professional Services Agreement – NV5
On-Call Civil and Traffic Engineering Services
Resolution No. ____________
7 other right of any third party, (iii) that Consultant will not use in the performance of his responsibilities under this Agreement any confidential information or trade secrets of any other person or entity and (iv) that Consultant has not knowingly entered into or will enter into any agreement (whether oral or written) in conflict with this Agreement.

15. Federal and State Withholding Taxes.Consultant shall be responsible for paying when due all federal and state income withholding taxes for all earning under this Agreement.

Consultant agrees to indemnify City for any claims, costs, losses, fees, penalties, interest, or damages suffered by City resulting from Consultant’s failure to comply with this provision.

16. General Compliance with Laws. Consultant will keep fully informed of federal, state and local laws and ordinances and regulations which in any manner affect those employed by Consultant, or in any way affect the performance of the services by Consultant. Consultant will at all times observe and comply with these laws, ordinances, and regulations and will be responsible for the compliance of the services with all applicable laws, ordinances and regulations.

17. Termination.In the event of the Consultant's failure to prosecute, deliver, or perform the services, after giving written notice of default and two (2) days to correct the same, then, in addition to any other remedies, City may terminate this Agreement for nonperformance by notifying Consultant in writing. Consultant has five (5) business days to deliver any documents owned by City and all work in progress to City address contained in this Agreement. City will make a determination of fact based upon the work product delivered to City and of the percentage of work that Consultant has performed which is usable and of worth to City in having the Agreement completed. Based upon that finding City will determine the final payment of the Agreement. In the event City elects to terminate, City will have the right to immediate possession of all Work Product and work in progress prepared by Consultant, whether located at the project site, at Consultant's place of business, or at the offices of a subconsultant.

The City’s obligation is payable only from funds appropriated for the purpose of this Agreement. All funds for payments after the end of the current fiscal year are subject to the City’s legislative appropriation for this purpose. In the event this Agreement extends into succeeding fiscal year periods and the City Council does not allocate sufficient funds for the next succeeding fiscal year payments, this Agreement shall terminate immediately upon written notice from the City.

Either Party, upon tendering thirty (30) calendar days written notice to the other Party, may terminate this Agreement for convenience. In this event and upon request of City, Consultant will assemble the work product without charge and put it in order for proper filing and closing and deliver it to City. Consultant will be paid for work performed to the termination date; however, the total will not exceed the lump sum fee payable under this Agreement. City will make the final determination as to the portions of tasks completed and the compensation to be made.

18. Covenants Against Contingent Fees. Consultant warrants that Consultant has not employed or retained any company or person, other than a bona fide employee working for Consultant, to solicit or secure this Agreement, and that Consultant has not paid or agreed to pay any company or person, other than a bona fide employee, any fee, commission, percentage, brokerage fee, gift, or any other consideration contingent upon, or resulting from, the award or making of this Agreement. For breach or violation of this warranty, City will have the right to terminate this Agreement for nonperformance, or, in its discretion, to deduct from the Professional Services Agreement – NV5
On-Call Civil and Traffic Engineering Services
Resolution No. ____________
8 Agreement price or consideration, or otherwise recover, the full amount of the fee, commission, percentage, brokerage fees, gift, or contingent fee.

19. Claims And Lawsuits. By signing this Agreement, Consultant agrees that any Agreement claim submitted to City must be asserted as part of the Agreement process as set forth in this Agreement and not in anticipation of litigation or in conjunction with litigation.

Consultant acknowledges that if a false claim is submitted to City by Consultant, it may be considered fraud and Consultant may be subject to criminal prosecution. Consultant acknowledges that California Government Code sections 12650 et seq., the False Claims Act, applies to this Agreement and, provides for civil penalties where a person knowingly submits a false claim to a public entity. These provisions include false claims made with deliberate ignorance of the false information or in reckless disregard of the truth or falsity of information. If City seeks to recover penalties pursuant to the False Claims Act, it is entitled to recover its litigation costs, including attorney's fees. Consultant acknowledges that the filing of a false claim may subject Consultant to an administrative debarment proceeding as the result of which Consultant may be prevented to act as a Consultant on any public work or improvement for a period of up to five (5) years. Consultant acknowledges debarment by another jurisdiction is grounds for City to terminate this Agreement.

20. Certifications.The Consultant, under penalty of perjury, certifies that, except as noted below, he/she or any other person associated therewith in the capacity of owner, partner, director, officer, manager:
is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any Federal, State or local agency;
• has not been suspended, debarred, voluntarily excluded or determined ineligible by any Federal, State or local agency within the past 3 years; • does not have a proposed debarment pending; and
• has not been indicted, convicted, or had a civil judgment rendered against he/she/it by a court of competent jurisdiction in any matter involving fraud or official misconduct 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 within the past 3 years; and
are not presently indicted or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in the preceding paragraph; and
have not had one or more public transactions (Federal, State or local) terminated for cause or default within the past 3 years.

If there are any exceptions to this certification, insert the exceptions in the following space. [Supply exceptions on separate page]
For any exception noted above, indicate below to whom it applies, initiating agency, and dates of action.
[Attach separate page]
Professional Services Agreement – NV5
On-Call Civil and Traffic Engineering Services
Resolution No. ____________
9 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. The above certifications are part of this contract.

Signing this agreement on the signature portion thereof shall also constitute signature of the above Certifications.
______________________________________ ___________________ NV5, Inc. Date

21. Jurisdiction, Venue and Governing Law. Any action at law or in equity brought by either of the Parties for the purpose of enforcing a right or rights provided for by this Agreement will be tried in a court of competent jurisdiction in the County of Los Angeles, State of California, and the Parties waive all provisions of law providing for a change of venue in these proceedings to any other county. This agreement will be governed by the laws of the State of California.

22. Testimony.Consultant will testify at City's request if litigation is brought against City in connection with Consultant's services under this agreement. Unless the action is brought by Consultant, or is based upon Consultant's actual or alleged negligence or other wrongdoing, City, upon prior written agreement with Consultant will compensate Consultant for time spent in preparation for testimony, testimony, and travel at Consultant's standard hourly rates at the time of actual testimony.

23. Waivers.The waiver by either Party of any breach or violation of any term, covenant, or condition of this Agreement or of any applicable law will not be deemed to be a waiver of such term, covenant, condition or law or of any subsequent breach or violation of same or of any other term, covenant, condition or law. The acceptance by either Party of any fee or other payment which may become due under this Agreement will not be deemed to be a waiver of any preceding breach or violation by the other Party of any term, covenant, or condition of this Agreement or any applicable law.

24. Authority.The individuals executing this Agreement and the instruments referenced in it on behalf of Consultant each represent and warrant that they have the legal power, right and actual authority to bind Consultant to the terms and conditions of this Agreement.

25. Severability.If any term, provision, condition or covenant of this Agreement or its application to any party or circumstances shall be held, to any extent, invalid or unenforceable, the remainder of this Agreement, or the application of the term, provision, condition or covenant to persons or circumstances other than those as to whom or which it is held invalid or unenforceable, shall not be affected, and shall be valid and enforceable to the fullest extent permitted by law.

26. Amendments.This Agreement may be modified or amended only be written document executed by both Consultant and City’s City Manager and approved as to form by the City Attorney. Such document shall expressly state that it is intended by the parties to amend the terms and conditions of this Agreement.

27. Confidentiality. All documents, reports, information, data, and exhibits prepared or assembled by Consultant in connection with the performance of the Services pursuant to the Agreement are confidential until released by the City to the public, and the Consultant will not make any of these documents or information available to any individual or organization not Professional Services Agreement – NV5
On-Call Civil and Traffic Engineering Services
Resolution No. ____________
10 employed by the Consultant or the City without the written consent of the City before any such release.

28. Entire Agreement. This Agreement, together with any other written document referred to or contemplated by it embody the entire Agreement and understanding between the parties relating to the subject matter of it. The City Manager is authorized, in consultation with the City Attorney, to agree to non-material amendments to this Agreement. Neither this Agreement nor any of its provisions may be amended, modified, waived or discharged except in a writing signed by both parties.

29. Notices.Any notices required or permitted under this Agreement shall be effective when delivered in person; and effective one (1) business day after delivery by facsimile transmission; and effective five (5) days after mailing by U.S. Mail, postage prepaid and properly addressed as follows:

TO CONSULTANT: NV5, INC.
163 Technology Drive, Suite 100
Irving, CA 92618
Attn: Jeffrey M. Cooper, PE
(949) 585-0477
(949) 409-8182
[email protected]
TO CITY: CITY OF COMPTON
205 South Willowbrook Avenue
Compton, California 90220
Attn: Director, Public Works Engineering
Department
(310) 605-5505
(310) 605-6326 – fax.

Note: A copy of any notice provided to the Director shall also be provided to: City Manager, 205 South Willowbrook Avenue, Compton, California 90220.

30. Miscellaneous.No provision of this Agreement is to be interpreted for or against either party because that party or that party’s legal representative drafted such provision.

Should either party hereto, or any representative, successor or assign of either party hereto, resort to litigation to enforce the provisions of this Agreement, the party or parties prevailing in such litigation shall be entitled, in addition to such other relief as may be granted, to recover its or their reasonable attorney’s fees and costs in such litigation from the party or parties against whom enforcement is sought.

IN WITNESS WHEREOF, CONSULTANT has executed this Agreement, and the CITY, by its City Manager, who is authorized to do so, has executed this Agreement.

Professional Services Agreement – NV5
On-Call Civil and Traffic Engineering Services
Resolution No. ____________
11 NV5, INC./CONSULTANT
Dated: _______________ By ____________________________________ JEFFREY M. COOPER, VICE-PRESIDENT
Approved By:

Dated: ________________ By ____________________________________ Thomas Thomas, City Manager
Approved as to form:

By _________________________________ Dated: ___________________ Eric J. Perrodin, City Attorney
ATTEST:

Dated: _________________ By _____________________________________ Alita Godwin, City Clerk

PROPOSAL
Submitted by NV5, Inc.
163 Technology Drive, Suite 100, Irvine, CA 92618
City of Compton
Plan Check and Traffic Engineering Services
March 16, 2022

TABLE OF CONTENTS
A. Company Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01 FIRM PROFILE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 02 PROJECT EXPERIENCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 03 ORGANIZATION CHART . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 06 RESUMES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 07 B. Engineer-in-Charge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 C. Approach and Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 D. Fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Separately Sealed Envelope E. Standard Form 330 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 City of Compton — Plan Check and Traffic Engineering Services NV5 163 Technology Drive, Suite 100 | Irvine, CA 92618 | www.nv5.com | Office: 949.585.0477 | Fax: 949.409.8182 Jeffrey M. Cooper, PE
Vice President

COMPANY INFORMATION/CONTACT
Name: NV5, Inc.

Address: 163 Technology Drive, Suite 100,
Irvine, CA 92618
Telephone Number: (949) 585-0477
Email of Contact: [email protected]
PN: P27022-0002111.00
March 16, 2022
City of Compton
Public Works Engineering Department
Attn: John Strickland, Project Manager
205 South Willowbrook Avenue
Compton, CA 90220
SUBJECT: Plan Checking and Traffic Engineering Services Dear Mr. Strickland,
NV5, Inc. is excited to have the opportunity to provide Plan Check and Traffic Engineering Services to the City of Compton (City). Our team has the technical knowledge and experience to deliver your projects in the most cost-efficient and cost- effective manner. NV5’s strengths include the following:

Current Partnership: Our experience and strong existing relationship with the City give us the ability to continue providing professional engineering support services for your capital improvement projects. We operate with a sound understanding of your organizational structure, administrative processes and the community you serve. This, in turn, allows us to provide the required engineering services in the most efficient manner. Specifically, our team provided the City with Engineering Design Services for its Annual Residential Streets Rehabilitation (Phases 1 and 2) and Wilmington Avenue Pedestrian and Bicycle Improvements projects and provided Construction Management and Inspection Services for the City’s CIP 13-01 Street Improvements and Central Avenue Pavement Rehabilitation projects.

Relevant Experience: We believe that past experience and success are key indicators of future performance. We are committed to providing high-quality service and believe that commitment is one reason why more than 90% of our work comes from repeat clients — an obvious indicator of client satisfaction. Our team has provided On-Call Plan Check Services to various cities throughout Southern California, including:
• City of El Monte
• City of La Habra Heights
• City of Pico Rivera
• City of Beaumont
• City of Dana Point
• City of Santa Ana
• City of Villa Park
• City of Costa Mesa
• City of Laguna Woods
• City of Murrieta
• County of San Bernardino
• City of Imperial Beach
Proposed Team: Our highest priority is exceeding your desires and goals, so we will strive to constantly provide you with top-notch customer service. Our Project Manager, Tamara O’Neal, PE, will provide hands-on, customer-oriented, proactive management of your contract. Ms. O’Neal will be joined by a team of professionals who will develop strong working relationships with staff at the City that will allow us to seamlessly interface with you and your stakeholders, maximizing efficiency and quality. Details on our proposed team can be found starting on page 6.

NV5 looks forward to the opportunity to work with the City and help you achieve your goals and objectives. If you need further information, we may be reached by phone at (949) 585-0477, or electronically at [email protected] and [email protected]. Thank you for your time and consideration.

Sincerely,
NV5
Tamara O’Neal, PE
Project Manager
A. COMPANY OVERVIEW
LABOR

COMPLIANCE
STAFF

AUGMENTATION

FEDERAL

FUNDING

MANAGEMENT

PLAN CHECK

AND REVIEW

PROJECT

MANAGEMENT
CIVIL

ENGINEERING
DESIGN

CONSTRUCTABILITY
REVIEW

CONSTRUCTION

MANAGEMENT

AND INSPECTION
PUBLIC

OUTREACH

ASSESSMENT

ENGINEERING
We maintain an extensive history of working with various local agencies. Throughout the course of completing myriad public works capital improvement projects, our team has demonstrated an unparalleled ability to work well with local agency staff, project stakeholders, engineers and contractors. We have successfully delivered projects in a timely and cost-effective manner, and we have acquired a keen understanding of local agency requirements, a critical element in the facilitation and resolution of project issues. We are excited about the opportunity to continue to serve the City and are committed to maintaining effective working relationships with your staff, relevant government agencies and project stakeholders.

With a demonstrated ability to address public concerns, we are experts in a broad range of governmental interface, public outreach and community involvement, and we are genuinely committed to public participation as a way of planning and completing projects. Our team routinely performs these services as part of our delivery of public works projects and regards them as a vital component to project success.

FIRM PROFILE
NV5, Inc. has been providing engineering and consulting services to public and private sectors for more than 70 years, delivering solutions through six business verticals: Testing, Inspection and Consulting; Infrastructure; Utility Services; Environmental Health Sciences; Buildings and Program Management; and Geospatial Technology. With more than 100 offices nationwide and abroad, NV5 has access to over 3,000 employees in a variety of fields who help clients plan, design, build, test, certify and operate projects that improve the communities where we live and work.

Our Irvine office specializes in the engineering design, construction management and inspection of capital improvement projects, including streets, traffic systems, water and wastewater systems, drainage and flood control, parks and recreational facilities, vertical construction, and landscaping and grading. Our team includes licensed civil engineers, licensed contractors, construction managers, certified inspectors and experienced public works professionals. All team members have extensive experience working within the structure of municipal government and public construction policy and will seamlessly integrate with the City’s team.

KEY SERVICES
The successful delivery of our products and services has resulted in repeat clients for a broad range of municipal projects.

Our key services include:

A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 2 A. COMPANY OVERVIEW

ON-CALL PLAN CHECK SERVICES
CITY OF PICO RIVERA | CITY OF PICO RIVERA, CA
Reviews include subdivision maps, parcel maps, boundary adjustments and legal descriptions for conformance with local and state ordinances and laws; grading plans, including preliminary grading, mass grading, rough grading and precise grading plans; street improvement plans, including street widening, rehabilitation and new street plans; utility improvement plans; stormwater quality management plans; hydrology and hydraulic calculations and reports; engineer’s cost estimate for the related items of work for bonding purposes; engineer’s reports, including stormwater pollution prevention plans; erosion and sediment control plans; and geotechnical report review.

Upon receipt of a request for plan check, NV5’s Project Manager prepares a task order proposal letter outlining the proposed scope, cost and timeline for the plan check. Upon award of the task order, NV5’s Project Manager coordinates with the team members and reviews the scope, priorities of the City, plan check expectations, schedule and detailed information regarding deliverable requirements. The plan check review is conducted according to the task order requirements and our proposal. NV5’s Project Manager coordinates and collaborates with the client for on-time delivery of the plan review comments.

DATES
September 2019-Current

CONTRACT AMOUNT
Not-to-Exceed $75,000

CONTACT
Kenner Guerrero
562.801.4351
[email protected]

KEY PERSONNEL
Tamara O’Neal (Project
Manager), David Niknafs,
Stephen Novak, Padma
Asam, Thomas Grace,
Michael Rocco (Plan
Check)

PROJECT EXPERIENCE
Provided below are references of clients for whom similar plan check review services have been performed that are comparable in quality and scope to that specified in this RFP.

ON-CALL PLAN CHECK, INSPECTION &

STORMWATER MANAGEMENT SERVICES
CITY OF BEAUMONT | BEAUMONT, CA
NV5 is providing plan check and inspection services for the City of Beaumont on an as-needed basis. Services include subdivision and parcel map review, grading, public and private street and utility improvements, storm drain, sewer, erosion control, geotechnical, hydrology/hydraulic, structural, water quality/NPDES, landscape reviews, and full-time public works inspection.

Upon award of the first contract to NV5 for these services, the NV5 Project Manager met with City staff to discuss procedures, protocol, communication preferences, items of special or significant interest to the client and areas of particular concern within the service area.

After discussion with the client and evaluation of the immediate needs of the City, NV5 prepared several project review checklists as well as additional materials to support the project intake/application process at the City development counter. In addition to plan review and application processes, NV5 also prepared similar checklists and template documents to support the City’s water quality management program, public works inspection and bond release process. All NV5 staff assigned to the City’s projects are thoroughly briefed to verify that they understand the scope of City plan review services, schedule and requirements for return delivery of review comments, including protocol for QC reviews. The NV5 project manager and subject matter experts hold regularly scheduled meetings with the client to coordinate project-specifics and discuss items of special significance to the City.

DATES
February 2016-Current

CONTRACT AMOUNT
N/A — Open Limit

CONTACT
Jeff Hart
Public Works Director
951.572.3213
[email protected]

KEY PERSONNEL
Tamara O’Neal (Project
Manager), Jay Fahrion
(Survey Manager), Padma
Asam, Thomas Grace,
Michael Rocco (Plan
Check)
City of Compton — Plan Check and Traffic Engineering Services NV5 | 3 A. COMPANY OVERVIEW

ON-CALL PLAN CHECK SERVICES
CITY OF EL MONTE | EL MONTE, CA
NV5 is contracted with the City of El Monte to provide plan check/review services and staff support to oversee the construction of various CIP projects and wireless communications facilities. Reviews include grading, soils report reviews, sewer, water, and storm drain improvements, hydrology reports, SWPPPs, Low Impact Development, street improvement plans, parcel/tract maps, easements and lot line adjustments. Example projects reviewed include:
• 10725 Mildred Street Grading Plan
• 3161 Granada Avenue Grading Plan
• 2015 East Redstone Street Grading Plan
• 3837 Clark Avenue Grading Plan
• 10141 Olney Street Grading, Drainage, and Erosion Control Plan Upon receipt of a request for plan check, NV5’s Project Manager prepares a task order proposal letter outlining the proposed scope, cost and timeline for the plan check. Upon award of the task order, NV5’s Project Manager coordinates with the team members and reviews the scope, priorities of the City, plan check expectations, schedule, and detailed information regarding deliverable requirements. The plan check review is conducted according to the task order requirements and our proposal. NV5’s Project Manager coordinates and collaborates with the client for on-time delivery of the plan review comments.

DATES
July 2019-Current

CONTRACT AMOUNT
Not-to-Exceed $1,500,000

CONTACT
Lee Torres
City Engineer
626.580.2055
[email protected]

KEY PERSONNEL
David Niknafs (Project
Manager), Stephen Novak
(Plan Check)

ON-CALL PLAN CHECK SERVICES
CITY OF DANA POINT | DANA POINT, CA
NV5 is currently under contract with the City of Dana Point to provide development review services for new projects within the City. NV5 serves as an extension of City staff to review projects involving grading, street and drainage improvements, building foundations and retaining walls, and parcel/tract maps for conformance with City standards, regional, and state regulations, and generally accepted engineering design practices.

Upon award of the first contract to NV5 for these services, the NV5 team leads met with City staff to discuss procedures, protocol, communication preferences, items of special or significant interest to the client and areas of particular concern within the service area.

All NV5 staff assigned to the City’s projects are onboarded to verify that they understand the requirements of City plan review, budget and schedule requirements and how project deliverables are to be prepared. The NV5 project manager and subject matter experts communicate with the client to address project-specific considerations and confirm client satisfaction on a regular basis. This regular communication has allowed for increases in staffing and the introduction of new service lines to adjust to our client’s changing needs.

DATES
January 2016-Current

CONTRACT AMOUNT
Not-to-Exceed $300,000

CONTACT
Matthew Kunk
949.248.3562
[email protected]

KEY PERSONNEL
Tamara O’Neal (Project
Manager), Padma
Asam, Thomas Grace,
Michael Rocco, Edgar
Bautista, Amir Mansour,
(Plan Check), Gene
Custenborder, Carl
Henderson (Geotech)
City of Compton — Plan Check and Traffic Engineering Services NV5 | 4

ON-CALL PLAN CHECK SERVICES
CITY OF IMPERIAL BEACH | IMPERIAL BEACH, CA
NV5 is currently providing engineer/plan check services for this beachside community.

The suite of services consists of three major elements: City Engineer services, plan check/development review and design of capital projects. A sample of the task orders under this contract include:
• Breakwater Development Review: plan check of grading, improvement and traffic plans for a 5-acre commercial redevelopment project at Palm Avenue and 9th Street • MF 1114: review of final Parcel Map for a multi-family project to evaluate conformance to development conditions and requirements of the Subdivision Map Act • MF 1169 and MF 1170 Development Reviews: review of Tentative Parcel Maps/ preliminary grading plans for multi-family infill projects to establish development conditions prior to final design
Upon award of the first contract to NV5 for these services, NV5 team leads met with City staff to discuss procedures, protocol, communication preferences, topics of significant interest to the client and areas of particular concern within the service area. All NV5 staff assigned to the City’s projects are onboarded to verify that they understand the requirements of City plan review, budget and schedule requirements and how project deliverables are to be prepared.

Project review staff are equipped with checklists, reference materials and supporting documents as needed to provide thorough, consistent reviews, including QA/QC reviews by senior technical staff with appropriate expertise. The NV5 project manager regularly communicates with the client to address project-specific considerations and client satisfaction.

A. COMPANY OVERVIEW
DATES
October 2014-Current

CONTRACT AMOUNT
Not-to-Exceed $350,000

REFERENCE/CONTACT
Tyler Foltz
619.628.2381
[email protected]

KEY PERSONNEL
Tamara O’Neal (Project
Manager), Padma Asam,
Thomas Grace, Michael
Rocco, Edgar Bautista
(Plan Check)
WHAT MAKES NV5

UNIQUELY QUALIFIED

TO PROVIDE THESE
SERVICES TO THE CITY?
Strong Design
Background
+ Relevant
Experience
Understanding
+ Delivering
Upon the Need
of the City
Ability to
Maintain
Close Working
Relationships
with City
Staff
Able to
Oversee,
Manage + Control
Schedules
and Cost
Dedicated
+ Qualified
Professional
Team
Members
City of Compton — Plan Check and Traffic Engineering Services NV5 | 5 A. COMPANY OVERVIEW

ORGANIZATION CHART
Our team of experts brings direct, relevant, successful and current experience working on projects of similar scope and complexity. We are equipped with the resources to provide the City with the requested Plan Check and Traffic Engineering services. Shown below are team roles and responsibilities.

PROJECT MANAGER
Tamara O’Neal, PE

TRAFFIC ENGINEERS
Akram Hindiyeh, PE, TE
James Miller, PE

PRINCIPAL-IN-CHARGE
Jeffrey M. Cooper, PE

PLAN CHECK ENGINEERS
Padma Asam, PE, QSD/QSP,

LEED AP
Mahrooz Ilkhanipour, PE
David Niknafs, PE
Stephen Novak
Art Biscocho
Edgar Bautista, CESSWI, QSD/P, EIT
Thomas Grace, EIT
Nhut Pham, EIT
Michael Rocco
Amir Mansour, EIT

MAPS/LEGALS/SURVEY
J Braley, PLS
Jay Fahrion, PLS

HYDROLOGY/HYDRAULICS
Nona Espinosa, PE

GEOTECH
Gene Custenborder, PG, CEG
Carl Henderson, PE, GE
City of Compton — Plan Check and Traffic Engineering Services NV5 | 6 On-Call Plan Check Services
CITY OF LAKE ELSINORE | LAKE ELSINORE, CA
Project Manager. Ms. O’Neal oversaw the review of Water Quality Technical Reports, grading plans, tract improvement plans, parcel mergers and lot line adjustments.

Due to the unique nature of Lake Elsinore’s water conservation requirements, NV5 developed delineating maps to distinguish “Highest and Best Use” areas for the City to streamline the plan review process.

On-Call Plan Check + Public Works Inspection Services
CITY OF BEAUMONT | BEAUMONT, CA
Project Manager. Ms. O’Neal is providing the City with review of as-needed private development projects and public works inspection services. Reviews include improvement, sewer and storm drain plans, hydrology and hydraulic reports, water quality reports, geotechnical reports, structural calculations and cost estimates. NV5 is assisting the City with the development of checklists, standard notes, unit price lists and other documents to standardize and streamline the review/inspection process.

Hollywood Park Development Review
CITY OF INGLEWOOD | INGLEWOOD, CA
Project Manager. Ms. O’Neal led the development review services contract for the redevelopment of Hollywood Park, Phase A, Phase 1, and a portion of Phase 2 Infrastructure Improvement. Plan reviews were conducted in accordance with city, county, state and federal ordinances and standards and included developing conditions of approval, mitigation monitoring reporting plans, specific plans and general plans, as well as completing grading, drainage and street improvement plan reviews. Ms. O’Neal also supported the creation of the development agreement and presented the project to City Council, recommending approval of the approximately 465-acre site into a mixed use development, anchored by the recently completed Sofi Stadium.

On-Call Plan Check Services
CITY OF PICO RIVERA | PICO RIVERA, CA
Project Manager. Ms. O’Neal oversees this on-call plan check contract for the City of Pico Rivera. Reviews include subdivision maps, parcel maps, boundary adjustments and legal descriptions for conformance with local and state ordinances and laws; grading plans, including preliminary grading, mass grading, rough grading and precise grading plans; street improvement plans, including street widening, rehabilitation and new street plans; utility improvement plans; stormwater quality management plans; Project Experience
Ms. O’Neal has more than 26 years of experience in municipal and private engineering services, including capital improvement and development review project management, sewer rehabilitation design and planning, stormwater quality regulatory, reporting and review services, asset management, floodplain development services and environmental restoration services. In addition to having direct public agency employment experience, Ms. O’Neal has provided extension of staff services on a consultant basis for numerous cities, as well as water and sanitation districts in San Diego, Orange and Los Angeles counties.

EXPERIENCE
26 years

EDUCATION
B.S. Civil Engineering

LICENSES/CERTIFICATES
Civil Engineer (CA)
No. 69107

CONTACT INFO
[email protected]
TAMARA O’NEAL
Project Manager
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 7 A. COMPANY OVERVIEW
hydrology and hydraulic calculations and reports; engineer’s cost estimate for the related items of work for bonding purposes; engineer’s reports, including stormwater pollution prevention plans; erosion and sediment control plans; and geotechnical report review.

Engineering and Plan Check Services
CITY OF IMPERIAL BEACH | IMPERIAL BEACH, CA
Project Manager. Ms. O’Neal is providing engineering services for this beachside community. The suite of services consists of three major elements: City Engineer services, plan check/development review and design of capital projects.

Development Review Services
CITIES OF DANA POINT, CARLSBAD, ENCINITAS AND INGLEWOOD | SOUTHERN CALIFORNIA Project Manager. Ms. O’Neal is serving as point of daily contact for the client as well as developers, working closely with City Planning and Traffic Engineering staff, and directing the efforts of various subconsultants to provide overall project coordination for a variety of projects. These range from single-family lot developments to large, multi-phase subdivisions with significant public infrastructure requirements. Projects also include large-scale habitat mitigation and floodplain development projects during all phases from discretionary review through project construction. Services include preparing conditions of approval, development agreements and staff reports, reviewing final maps, grading plans, public and private improvement drawings, associated calculations, and technical reports.

Civil & Water Quality Management Plan Check Services
COUNTY OF SAN BERNARDINO | SAN BERNARDINO, CA
Ms. O’Neal provided engineering development review services for a variety of projects ranging from single-family development to large, multi-phase subdivisions and commercial projects with significant public infrastructure requirements. NV5 reviewed Hydraulic and Hydrologic Analysis, Water Quality Management Plans (WQMPs), erosion control plans, soils reports, private grading and public improvement plans for conformance with project conditions of approval and compliance with County requirements.

Plan Check of Water Quality Management Plan Hydrology Reports and Plan Check Services COUNTY OF RIVERSIDE TRANSPORTATION DEPARTMENT | COUNTY OF RIVERSIDE, CA Project Manager. Ms. O’Neal served as the Project Manager overseeing plan checking of WQMP (Water Quality Management Plan) and Hydrology Reports associated with new development and significant redevelopment projects, and plan check services for private development projects for compliance with the county’s MS4 permits and the Riverside County WQMP for Urban Runoff. Review of P-WQMPs, F-WQMPs, Hydraulic and Hydrology reports, floodplain studies, and grading plans.

San Bernardino Development Review Services
COUNTY OF SAN BERNARDINO | SAN BERNARDINO, CA
Project Manager. Ms. O’Neal served as Project Manager overseeing the review of Water Quality Management Plans, drainage studies and grading plans for private land development applications.

City Engineering Services
CITY OF DEL MAR | DEL MAR, CA
Engineering Development Review Manager. Ms. O’Neal served as an extension of the City’s staff in reviewing proposed development projects, preparing conditions of approval and providing project coordination services and plan check reviews for conformance with City standards and project conditions. She was responsible for ensuring compliance with the City’s Clean Water Program and performing construction inspections. She assisted with preparation of the City Engineering long- and short-term Capital Improvement Program and preparation of the associated two- and five-year City budgets.

She prepared staff reports, resolutions, ordinances, and compliance reporting documents for satisfaction of a variety of State mandates. She also provided technical support at City management and community outreach meetings, and was instrumental in the preparation of the City’s Clean Water compliance reporting documents and program implementation.

City of Compton — Plan Check and Traffic Engineering Services NV5 | 8 On-Call Public Works Inspection and Plan Check Services CITY OF BEAUMONT | BEAUMONT, CA
Project Engineer. Ms. Asam is providing review of private development projects and public works inspection services. NV5 reviews all plans and associated technical reports for clarity, format, completeness and conformance to the City’s grading and roadway criteria, industry-standard design procedures, permit requirements, and conditions of development.

On-Call Plan Check Services
CITY OF LAKE ELSINORE | LAKE ELSINORE, CA
Plan Check Engineer. Ms. Asam provided review of Water Quality Technical Reports, grading plans, tract improvement plans, parcel mergers and lot line adjustments. Other tasks included reviewing hydrology and hydraulic data output calculations in conjunction with proposed storm drain design and reviewing NPDES documents for conformance to jurisdictional requirements and the City’s Standard Urban Stormwater Management Plan as needed and as required by the Regional Water Quality Control board.

Engineering and Plan Check Services
CITY OF IMPERIAL BEACH | IMPERIAL BEACH, CA
Project Engineer. Ms Asam is providing consultant City Engineer services for this beachside community. The suite of services consists of three major elements: City Engineer services, plan check/development review, design of capital improvement projects, and grant administration.

As-Needed Services
CITY OF CARLSBAD | CARLSBAD, CA
Project Engineer. Ms. Asam provided consultant services for the City, including review of grading plans, street improvement plans, geotech reports, hydrology reports and stormwater documents for residential and commercial developments.

Civil & Water Quality Management Plan Check Services
COUNTY OF SAN BERNARDINO | SAN BERNARDINO, CA
Project Engineer. Ms. Asam provided engineering development review services for a variety of projects ranging from single-family developments to large, multiphase subdivisions and commercial projects with significant public infrastructure requirements. NV5 reviewed Hydraulic and Hydrologic Analyses, Water Quality Management Plans (WQMPs), erosion control plans, soils reports, private grading and public improvement plans for conformance with project conditions of approval and compliance with County requirements.

Project Experience
Ms. Asam’s experience includes roadway widening and alignments, retaining walls, bridge abutments, pedestrian ramps and utility undergrounding. She routinely utilizes structural building codes, including the IBC and AISC, to perform design work and submittal reviews and frequently uses the Caltrans Bridge Design and Highway Design Manuals, the San Diego Regional Standards, Green Book and the SDG&E Undergrounding Standards. Ms. Asam is proficient in various structural design and modeling tools, such as AutoCAD CIVIL3D and RetainPro.

EXPERIENCE
15 years

EDUCATION
M.S. Structural
Engineering
B.S. Civil Engineering

LICENSES/CERTIFICATES
Civil Engineer (CA)
No. 83896
Qualified SWPPP
Developer/Practitioner
(CA) No. 27085

REGISTRATIONS
LEED Accredited
Professional

CONTACT INFO
[email protected]

PADMA ASAM, PE, QSD/QSP, LEED AP
Plan Check Engineer
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 9 As-Needed Plan Check Engineering Services
CITY OF LA HABRA HEIGHTS | LA HABRA HEIGHTS, CA
Plan Check Engineer. Ms. Ilkhanipour provides as-needed plan review services for the City of La Habra Heights. Her scope of work includes plan review and checking final maps, parcel maps, street improvement plans, grading plans, hydrologic/hydraulic studies, soils/geologic reports, engineer cost estimates, haul routes, easement documents, lot line adjustments, SUSMP/SWPPP/LID, erosion control plans, BMPs, and encroachment permits.

As-Needed Plan Check Engineering Services/Alternate City Engineer CITY OF VILLA PARK | VILLA PARK, CA
Plan Check Engineer/Alternate City Engineer. Ms. Ilkhanipour provides as-needed plan review services and as-needed City Engineering services for the City of Villa Park. She is responsible for plan review and checking final maps, parcel maps, street improvement plans, grading plans, hydrologic/hydraulic studies, soils/geologic reports, engineer cost estimates, haul routes, easement documents, lot line adjustments, SUSMP/SWPPP/LID, erosion control plans, BMPs, and encroachment permits.

Public Works/Infrastructure & Development Services

COUNTY OF ORANGE
Plan Check Manager. Ms. Ilkhanipour managed and led staff and consulting teams in reviewing and processing plans for major development, primarily Rancho Mission Viejo. This includes plan review of subdivision maps, survey, drainage plans and reports, grading, traffic improvements, proposed roads, and all aspects of wet and dry utilities. She also reviewed and approved all proposed encroachments within County property and the Flood Control District properties. This involved extensive coordination with public utilities.

Planning and Development Services/Subdivision and Grading Section

COUNTY OF ORANGE
Plan Check Engineer. Ms. Ilkhanipour was responsible for project management; review and plan check of grading plans prepared by consultants for approval and compliance with the Orange County Grading Code and Manual for residential and commercial/industrial developments in the unincorporated County of Orange; review of on-site hydrology and hydraulics calculations for compliance with the Orange County Hydrology Manual and Local Drainage Manual; and review of design and construction coordination of Geosynthetic Reinforced Segmental Retaining walls. For the last two years within this period, she served as the lead grading plan check representative for the software Automated Permitting and Planning System (APPS), which was used for permitting and plan check.

Project Experience
Ms. Ilkhanipour has more than 33 years in civil engineering and plan check experience at the County of Orange. She has managed departments and led plan check staff for major housing developments, grading, buildings, geotechnical, and plumbing mechanical and electrical, and has good working knowledge of the Orange County Hydrology Manual and Local Drainage Manual. She is well-versed in prioritizing projects, distributing staff workloads, monitoring budgets, client communication, high- level customer service and effective problem-solving.

EXPERIENCE
33 years

EDUCATION
M.S. Civil Engineering
(Major emphasis in Water
Resources and Structural)
B.S. Civil Engineering

LICENSES/CERTIFICATES
Civil Engineer (CA)
No. 55003

CONTACT INFO
mahrooz.ilkhanipour
@nv5.com

MAHROOZ ILKHANIPOUR, PE
Plan Check Engineer
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 10 Project Experience

DAVID NIKNAFS, PE
Plan Check Engineer
Mr. Niknafs has more than 30 years of civil engineering experience in the public and private sectors working on various capital improvement projects and has extensive experience working as a project director and project manager. He has managed numerous public works and development projects, including roadways, bridges, drainage, sewer, water, underground utilities, building facilities and related infrastructure improvement projects.

EXPERIENCE
30 years

EDUCATION
M.S. Civil Engineering
B.S. Civil Engineering

LICENSES
Civil Engineer (CA)
No. 42697

AFFILIATIONS
American Public Works
Association (APWA)
American Society of Civil
Engineers (ASCE)
Transportation &
Development Institute

CONTACT INFO
[email protected]
Plan Check Reviews
CITY OF EL MONTE | EL MONTE, CA
Project Manager. Mr. Niknafs is responsible for reviewing grading and drainage plans for various land development projects for the City. Our team is contracted with the City of El Monte to provide plan check/review services and staff support to oversee the construction of various CIP projects and wireless communications facilities. Reviews include grading, soils report reviews, sewer, water, and storm drain improvements, hydrology reports, SWPPPs, Low Impact Development, street improvement plans, parcel/tract maps, easements and lot line adjustments.

On-Call Plan Check Services
CITY OF PICO RIVERA | PICO RIVERA, CA
Lead Plan Check Engineer. Mr. Niknafs provides on-call plan check services for the City of Pico Rivera. Reviews include subdivision maps, parcel maps, boundary adjustments and legal descriptions for conformance with local and state ordinances and laws; grading plans; street improvement plans; utility improvement plans; stormwater quality management plans; hydrology and hydraulic calculations and reports; engineer’s cost estimate for the related items of work for bonding purposes; engineer’s reports, including stormwater pollution prevention plans; erosion and sediment control plans; and geotechnical report review.

On-Call Plan Check Services
CITY OF MORENO VALLEY | MORENO VALLEY, CA
Project Manager. Mr. Niknafs was responsible for plan check services for the City.

Services included plan review and checking final maps, parcel maps, improvement plans, grading plans, hydrologic/hydraulic studies, soil/geologic reports, Engineer Cost Estimates and easement documents, in addition to providing other support services as needed for the Land Development Division of Public Works.

Beryl Street Drainage and Street Improvements
CITY OF REDONDO BEACH | REDONDO BEACH, CA
Project Manager. Mr. Niknafs is responsible for providing engineering design services for the Beryl Street Drainage and Street Improvements (from Prospect Avenue to Flagler Lane) project, including the preparation of plans, specifications and estimates. The project includes roadway, intersection and drainage improvements, including: green street elements; modifications to catch basins; pedestrian crossing enhancements through curb ramp and pedestrian signal upgrades; incorporation of Living Street Design principles, traffic calming elements to enhance safety, mobility, and access for users to accommodate a variety of transportation modes; and signing and striping.

A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 11 Plan Check Reviews
CITY OF EL MONTE | EL MONTE, CA
Plan Check Engineer. Mr. Novak is reviewing grading and drainage plans for various land development projects for the City. Our team is contracted with the City of El Monte to provide plan check/review services and staff support to oversee the construction of various CIP projects and wireless communications facilities. Reviews include grading, soils report reviews, sewer, water, and storm drain improvements, hydrology reports, SWPPPs, Low Impact Development, street improvement plans, parcel/tract maps, easements and lot line adjustments.

On-Call Plan Check Services
CITY OF PICO RIVERA | PICO RIVERA, CA
Plan Check Engineer. Mr. Novak provides as-needed review of grading and drainage plans for various development projects for the City. Our team is contracted with the City to provide reviews of subdivision maps, parcel maps, boundary adjustments and legal descriptions for conformance with local and state ordinances and laws; grading plans; street improvement plans; utility improvement plans; stormwater quality management plans; hydrology and hydraulic calculations and reports; engineer’s cost estimate for the related items of work for bonding purposes; engineer’s reports, including stormwater pollution prevention plans; erosion and sediment control plans review.

Beryl Street Drainage and Street Improvements from Prospect Avenue to Flagler Lane Project
CITY OF REDONDO BEACH | REDONDO BEACH, CA
Project Engineer. Mr. Novak is providing engineering design services for the Beryl Street Drainage and Street Improvements project, including the preparation of plans, specifications and estimates. The project includes, but is not limited to, roadway, intersection and drainage improvements, including green street elements; modifications to catch basins; pedestrian crossing enhancements through curb ramp and pedestrian signal upgrades; incorporation of Living Street Design principles, traffic calming elements to enhance safety, mobility, and access for users to accommodate a variety of transportation modes; and signing and striping.

Project Experience
Mr. Novak has more than 25 years of experience in civil, environmental and geotechnical engineering. His expertise includes the conceptual planning, design and preparation of rough to precise grading plans; land use studies and preliminary engineering; street design; and water, sanitary sewer, street and storm drain plans. His projects encompass residential, wastewater and infrastructure, mountain and hillside, golf and resort, and commercial projects. His strengths as a designer/planner are first built on natural landforms development that integrates the environmental, cultural and economic imperatives of the client and community, providing creative and innovative design solutions. Mr. Novak is proficient with AutoCAD C3D, Word and Excel software applications.

EXPERIENCE
25 years

EDUCATION
A.S. Building Technology

LICENSES/CERTIFICATES
Certificate, Master
Planning Communities

CONTACT INFO
[email protected]

STEPHEN NOVAK
Plan Check Engineer
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 12 PCH Arterial Improvements
CITY OF REDONDO BEACH | REDONDO BEACH, CA
Project Engineer. Mr. Biscocho is providing engineering design services for this project. Our team provided comprehensive traffic analysis and the preparation of preliminary design recommendations to reduce congestion and increase safety on Pacific Coast Highway.

Wilmington Avenue Pedestrian and Bicycle Improvements
CITY OF COMPTON | COMPTON, CA
Project Designer. Mr. Biscocho was responsible for providing professional design engineering services, including plans, specifications, cost estimates and related bid documents for the Wilmington Avenue Safe Streets Pedestrian/Bicycle Improvement Project. The project included pavement rehabilitation on Wilmington Avenue from El Segundo Boulevard to Rosecrans Avenue. It also included various pedestrian and bicycle improvements; the installation of wider and colored crosswalks; countdown pedestrian signals; enhanced pedestrian lighting; the installation of Class II bike lanes with wayfinding signage and Class I bike paths; and the installation of four solar- powered speed feedback signs for speed control and attainment.

North La Brea Avenue “Green Street” Improvements
CITY OF INGLEWOOD | INGLEWOOD, CA
Project Designer. Mr. Biscocho prepared plans, specifications and estimates for improvements on north La Brea Avenue. The project included repairing damaged sidewalks, curbs and gutters, cross-gutters, alley gutters and driveway approaches; assessing if curb ramps are ADA-compliant; relocating water meter and other utility boxes away from reconstructed driveways into street parkways; landscaping and root pruning; installing pavement markers and striping to current standards; reconstructing or removing bus stop pads and channelization islands.

Citywide Street Rehabilitation
CITY OF POMONA | POMONA, CA
Project Designer. Mr. Biscocho prepared plans, specifications and estimates for the design of pavement rehabilitation, street improvements, bikeway Improvements, pedestrian/ADA improvements, and landscape/Green Street and irrigation improvements on several City streets identified to increase pedestrian safety and mobility. Bikeway infrastructure improvements included the associated bike facility striping, signing, crossing improvements and signal modifications for bike detection.

The project involved the landscaping and irrigation improvements associated with the City Corridor Specific Plan (CSP).

Project Experience
Mr. Biscocho has more than 30 years of experience as a Project Designer. He has a demonstrated ability to manage multiple projects from planning to construction close- out. He has a wealth of knowledge of the overall operational experience working with municipal agencies, and his qualifications include the ability to review and prepare construction plans, specifications and cost estimates; provide engineering counter assistance; process permits; and establish, maintain and foster positive working relationships with agency staff.

EXPERIENCE
30 years

EDUCATION
B.S. Civil Engineering

CONTACT INFO
[email protected]

ART BISCOCHO
Plan Check Engineer
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 13 WQMP Plan Review

VARIOUS LOCATIONS, CA
Assistant Engineer. Mr. Bautista is assisting with reviewing Water Quality Management Plans (WQMP) on behalf of the City of Beaumont, Riverside County Transportation Department, County of San Bernardino and City of Dana Point.

San Mateo Substation

SAN CLEMENTE, CA
Assistant Engineer. Mr. Bautista assisted with developing a Water Quality Management Plan (WQMP) for a San Diego Gas & Electric substation rebuilt project.

His services included gaining familiarity with the City of San Clemente WQMP template and South Orange County Technical Guidance Document. He performed calculations to Drainage Management Areas (DMA) to generate the Design Capture Volume and design flow rates for the proposed proprietary biofiltration device. He also took part in developing CAD exhibit to demonstrate DMA areas.

As-Needed Stormwater Services
UNIVERSITY OF CALIFORNIA AT SAN DIEGO (UCSD) | SAN DIEGO, CA Mr. Bautista supported this As-Needed Stormwater Contract in which NV5 is providing Owner’s rep services to support UCSD’s stormwater program, mainly related to the Construction General Permit (CGP) and the Phase II NPDES Permit. Services included conducting BMP audits for active construction sites, coordination of REAPS and all rain event inspections with contractors, review of SWPPP documents prepared by contractors, support of UCSD staff in filing Annual Reports and any other information needed for upload to SMARTS, providing contractor and owner training as needed on permit requirements, and representation of Owner (UCSD) in the event of any stormwater discharges or violations. Services for Phase II permit include helping UCSD revise design guidance for consultants, preparing worksheets for water quality calculations and documentation of project compliance, training management staff, and review of individual projects for water quality compliance.

Rio Estrella Development

BONSALL, CA
Assistant Engineer. Mr. Bautista assisted with developing a Water Pollution Control Plan for an underground utility project, which was submitted to Caltrans. His services included gaining familiarity with the Caltrans SWPPP/WPCP template and Caltrans BMP Manual. Selected appropriate BMPs for the construction project and outlined where recommended BMPs should be placed on the site map.

Project Experience
Mr. Bautista is well versed in environmental programs such as stormwater, fat oils and grease, and hazardous materials. His technical background includes stormwater inspections, hazardous materials spill response and safety audits. He has knowledge in ArcGIS and AutoCAD software and various inventory reporting tools. To further expand his stormwater compliance skillset, he is actively pursuing stormwater certifications.

EXPERIENCE
3 years

EDUCATION
M.S. Environmental
Engineering
B.S. Applied Physics

LICENSES/CERTIFICATES
Engineer-in-Training, No.
165948
Qualified SWPPP
Developer/Practitioner
No. 27593
Certified Erosion,
Sediment and Stormwater
Inspector
Certified Professional in
Stormwater Quality in
training
Hazardous & Universal
Waste Awareness
First Aid, CPR, AED
40-Hr. HAZWOPER with
current Annual 8-Hr.

Refresher

CONTACT INFO
[email protected]

EDGAR BAUTISTA, CESSWI, QSD/P, EIT
Plan Check Engineer
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 14 On-Call Public Works Inspection and Plan Check Services CITY OF BEAUMONT | BEAUMONT, CA
Project Engineer. Duties included drainage study reviews, assuring submitted drainage reports adhered to the City’s standards and providing review comments to be addressed for approval. Projects reviewed include 1010 West 4th Street WQMP, PA 33 Active Adult Development SWPPP Review, Heartland Development Drainage Study, Four Seasons Development Drainage Study, Olivewood Sewer Plans Review, and Any Size RV, Trailer and Boat Storage WQMP.

Drainage & WQMP Plan Reviews
COUNTY OF RIVERSIDE TRANSPORTATION DEPARTMENT | COUNTY OF RIVERSIDE, CA Project Engineer. Performed reviews of Water Quality Management Plans and Hydrology Reports associated with new development and significant redevelopment projects, and plan check services for private development projects for compliance with the county’s MS4 permits and the Riverside County WQMP for Urban Runoff. Review of P-WQMPs, F-WQMPs, Hydraulic and Hydrology reports, floodplain studies, and grading plans.

Drainage Study Reviews
CITY OF IMPERIAL BEACH | IMPERIAL BEACH, CA
Project Engineer. Duties included drainage study reviews, assuring submitted drainage reports adhered to the City’s standards and provided review comments to be addressed for approval. Projects reviewed include Eight Alley Paving Project, 1337 Molly Ave., and 245 Evergreen Ave.

Drainage Study Reviews
CITY OF DANA POINT | DANA POINT, CA
Project Engineer. Duties included drainage study reviews, assuring submitted drainage reports adhered to the City’s standards, precise grading and sewer review and providing review comments to be addressed for approval.

Civil & Water Quality Management Plan Check Services
COUNTY OF SAN BERNARDINO |SAN BERNARDINO, CA
Project Engineer. Provided engineering development review services for a variety of projects ranging from single-family development to large, multi-phase subdivisions and commercial projects with significant public infrastructure requirements. NV5 reviewed Hydraulic and Hydrologic Analyses, Water Quality Management Plans (WQMPs), erosion control plans, soils reports, private grading, and public improvement plans for conformance with project conditions of approval and compliance with County requirements.

Project Experience
Mr. Grace is a registered Engineer-in-Training with over 24 years of experience specializing in hydrologic and hydraulic engineering for urban drainage facilities, flood control improvements, floodplain studies and water quality compliance documentation.

His work includes preliminary and final engineering design phases, as well as SWPPP and SUSMP documentation. He is skilled in using HEC- RAS, Auto-CAD, WSPG, HEC- HMS, FlowMaster, CulvertMaster, HY-8, CivilCAD, AES Model, Pond Pack, StormCAD, and SWMM.

EXPERIENCE
24 years

EDUCATION
B.S. Civil Engineering

REGISTRATIONS
Engineer-in-Training (CA)
No. 103177

CONTACT INFO
[email protected]

THOMAS GRACE, EIT
Plan Check Engineer
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 15 Project Experience
Public Works Plan Check
PUBLIC WORKS DEPARTMENTS OF THE CITIES OF SANTA ANA, FULLERTON AND CHINO | SANTA

ANA, FULLERTON, CHINO, CA
Project Engineer. Mr. Pham provided plan checks for private developments within the cities. He performed technical review for Water Quality Management Plans and civil engineering plans (precise grading, streets, water/wastewater, erosion control).

Havenhurst Drive and Fountain Avenue Traffic Signal
CITY OF WEST HOLLYWOOD | WEST HOLLYWOOD, CA
Project Engineer. Mr. Pham provided plans and cost estimates for the street rehabilitation of this intersection improvement project. Improvements included new ADA curb ramps, sidewalk, bulb-out (curb extension), and new AC pavement.

Concrete Street Pavement Reconstruction
CITY OF NEWPORT BEACH | NEWPORT BEACH, CA
Project Engineer. Mr. Pham provided plans, specifications and cost estimates for concrete street rehabilitation. Improvements included construction of new concrete pavement and sidewalk and installation of new storm drain pipes and catch basins.

Citywide Curb Ramp Program
CITY OF LONG BEACH | LONG BEACH, CA
Project Engineer. Mr. Pham provided plans for construction of 50 curb ramps in the City. Improvements included new curb ramp construction and reconstruction of asphalt pavement, landscape, signage and striping.

Sewer Main Along Portuguese Bend
CITY OF ROLLING HILLS | ROLLING HILLS, CA
Project Engineer. Mr. Pham is providing engineering design services for the 8-inch Sewer Main along Portuguese Bend Road/Rolling Hills Road. The City evaluated the feasibility of connecting a portion of the City to a nearby existing wastewater conveyance system. Based on the sewer feasibility study, it was recommended to install a new 8-inch sewer main along Portuguese Bend Road and upgrade the existing sewer main along Rolling Hills Road to a 10-inch and 12-inch sewer main prior to connecting to the Los Angeles County Trunk line.

Horizon Drive Sewer
SANTA YNEZ COMMUNITY SERVICES DISTRICT | SANTA YNEZ, CA Project Engineer. Mr. Pham provided plans and cost estimates for the construction of 2,000 LF of gravity sewer. Improvements included construction of new 8-inch sewer main, laterals, asphalt pavement reconstruction, driveways and landscape reinstallation.

Mr. Pham has more than 5 years of experience in engineering design of Public Works projects, including water, wastewater, streets and storm drainage. He is experienced in preparing plans, specifications and estimates for various CIP projects, preparing exhibits to demonstrate design concepts to clients, and performing technical review for WQMP and civil engineering plans for residential and commercial developments. He is skilled in using AutoCAD Civil 3D, Microsoft Office Suite, ArcGIS, MatLab and Bluebeam Revu.

EXPERIENCE
5 years

EDUCATION
B.S. Civil Engineering

LICENSES/CERTIFICATES
Engineer-in-Training (CA)
No. 163240

CONTACT INFO
[email protected]

NHUT PHAM, EIT
Plan Check Engineer
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 16 On-Call Plan Check + Public Works Inspection Services
CITY OF BEAUMONT | BEAUMONT, CA
Plan Check Engineer. Mr. Rocco is providing review of as-needed private development projects. Services include subdivision and parcel map review, grading, public and private street and utility improvements, storm drain, sewer, erosion control, geotechnical, hydrology/hydraulic, structural, water quality/NPDES, and landscape reviews.

On-Call Plan Check Services
CITY OF PICO RIVERA | PICO RIVERA, CA
Plan Check Engineer. Our team is contracted with the City to provide reviews of subdivision maps, parcel maps, boundary adjustments and legal descriptions; grading plans; street improvement plans; utility improvement plans; stormwater quality management plans; hydrology and hydraulic calculations and reports; engineer’s cost estimate; engineer’s reports, including stormwater pollution prevention plans; and erosion and sediment control plans review.

Alley Paving Project
CITY OF IMPERIAL BEACH | IMPERIAL BEACH, CA
Senior Designer. Mr. Rocco was responsible for the preparation of plans, specifications and construction estimates of an award-winning “Green Streets” project. It incorporated Low Impact Development techniques and complied with new stormwater regulations. The project paved 13, 20-foot-wide alleys to provide improved access to residences whose homes front the alleyways. The improved alley design called for a ‘V’ shaped cross-section with a 2-foot strip of pervious concrete along the center flowline with filtration material and an underdrain connecting to an existing storm drain system. In instances where no outfall was available, the underdrain was connected to a new dry well structure that provided additional water quality benefits. In addition to providing an all-weather driving surface, drainage improvements, and water quality enhancements, the project repaired deteriorating sewer mains and relocated existing overhead utility poles within the City’s right-of-way.

Citracado Parkway Extension
CITY OF ESCONDIDO | ESCONDIDO, CA
Senior Transportation Designer. Mr. Rocco prepared geometric design, alignment, profile, and grading for a new roadway connection, including a bridge across Escondido Creek. He prepared design for various alternatives, including earthwork analysis, retaining wall layout, sight distance calculations, intersection details, striping plans, quantity calculations, cost estimates, and right-of-way maps. He developed geometric details for a Class I bike path adjacent to Escondido Creek.

Project Experience
Mr. Rocco has more than 22 years of experience working on capital improvement projects in all phases, from concept to construction. He excels in the development of complete plan sets and understands the importance of plan presentation and construction details. He is proficient in Americans with Disabilities Act (ADA) standards and design. He has the technical experience to lead plan development for local roadway geometric layouts, design, grading, retaining walls, signing and striping, and traffic control.

CONTACT INFO
[email protected]

EXPERIENCE
22 years

EDUCATION
AutoCAD University
NV5 Project Manager
Course

LICENSES/CERTIFICATES
CADD Drafting & Technical
Drawing Certificate

AFFILIATIONS
APWA

MICHAEL ROCCO
Plan Check Engineer
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 17 Staff Augmentation
CITY OF SAN JUAN CAPISTRANO | SAN JUAN CAPISTRANO, CA
Plan Check Engineer/Associate Engineer. Mr. Mansour provided Staff Augmentation services for the City’s Utilities Department. His duties included entering and organizing applications for Domestic Water, Fire Water, and Irrigation Meter Applications; providing as-needed plan review services, including grading plans, street improvements, and encroachment permits to ensure that there are no utility conflicts; reviewing the City’s existing sewer and storm drain facilities and prioritizing rehabilitation projects; and assisting on CIP projects. Mr. Mansour also assisted the City with as-needed miscellaneous engineering duties, such as preliminary designs for conversion of septic to public sewer lines, which includes preliminary cost estimates and exhibits. Mr.

Mansour conducted field inspections for proper determination of current and proposed conditions of construction. He also responded to various questions and inquiries from the general public regarding possible utility connections, easements and current utility conditions.

Diversion Pipeline
CITY OF CULVER CITY | CULVER CITY, CA
Project Engineer. Mr. Mansour provided engineering support services for this project, which included the construction of diversion sewer pipes to abandon Mesmer and Overland Sewer Pump Stations. The goal of the project is to divert flows from four of the City’s sewer pump stations to a new sewage pump station, Bankfield Station.

Sewer Main Along Portuguese Bend
CITY OF ROLLING HILLS | ROLLING HILLS, CA
Project Engineer. Mr. Mansour provided engineering support services for the 8-inch Sewer Main along Portuguese Bend Road/Rolling Hills Road. The City evaluated the feasibility of connecting a portion of the City to a nearby existing wastewater conveyance system. Based on the sewer feasibility study, it was recommended to install a new 8-inch sewer main along Portuguese Bend Road and upgrade the existing sewer main along Rolling Hills Road to a 10-inch and 12-inch sewer main prior to connecting to the Los Angeles County Trunk line. Services include a CEQA process overview; utility research; preparation of plans; and construction support services.

Project Experience
Mr. Mansour has over four years of land development and civil engineering experience, including water and sewer improvements, street improvements, retaining wall, grading and utility projects. He is proficient with AutoCAD C3D, ArcGIS, MATLAB, Bluebeam Revu and Microsoft Word and Excel software applications

EXPERIENCE
4 years

EDUCATION
B.S. Civil Engineering

LICENSES/CERTIFICATES
Engineer-in-Training (CA)
No. 166032

CONTACT INFO
[email protected]

AMIR MANSOUR, EIT
Plan Check Engineer
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 18 Project Experience
Olivewood Project
TAYLOR MORRISON | BEAUMONT, CA
Olivewood is a 982-lot, 12-phase subdivision project by William Lyon Homes. The scope of work included design surveying, including aerial and ground-specific topographic mapping, on/off-site street dedication easements, and construction staking for all 12 phases.

Various Construction Staking Projects
VARIOUS CLIENTS | SOUTHERN CALIFORNIA, CA
Survey Manager. Clients included KB Homes, Irvine Company, Watson Land Company, William Lyon Homes, Griffin Homes, Beazer Homes, Driver SPG, among others.

Mr. Braley was responsible for survey crew coordination, survey calculations, job logistics and quality control on all of the construction sites while maintaining a cordial relationship with clients, consultants and contractors.

Torrance Unified School District
TORRANCE UNIFIED SCHOOL DISTRICT | TORRANCE, CA
Survey Manager. Contracted to provide detailed topographic survey maps for over 20 elementary, middle, and high schools. Mr. Braley was responsible for GPS control, coordination with the aerial mapping consultant, logistics on the ground-specific topography, boundary resolution and managing the drafting of the final products, which were a compilation of the aerial mapping and the ground-specific topography surveys.

Rancho Santiago Community College District
RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT | ORANGE COUNTY, CA Projects within the district included:
• ALTA of Santiago Canyon College
• ADA Compliance Survey Santiago Canyon College
• ALTA Santa Ana College
• Identify and cure title and easement discrepancies on both above college sites.

J BRALEY, PLS
Plan Check Engineer
Mr. Braley has over 40 years of experience as a Land Surveyor in Southern and Northern California, Oregon, Washington, Nevada and Virginia. Mr. Braley has provided survey services to public works agencies, institutional agencies and private land developers. He has a strong background in right-of-way mapping, boundary- and title- related issues as well as topographic surveys, horizontal and vertical control, final monument and construction staking. Mr. Braley was the survey project manager on several large projects in the Mojave Desert and in Southern and Northern California.

These projects included mapping for over 100 sections and resolving the boundaries on over 1,800 parcels within those sections and resolved boundaries for 30 miles of the Los Angeles Aqueduct.

EXPERIENCE
41 years

EDUCATION
General Education, Virginia
Polytechnic University, VA
All courses Land Survey
related, Santa Ana College,
CA
Land Surveying
Fundamentals, California
State University, Fresno,
CA
AutoCAD level 1 & level
2, Sacramento State
University, CA
Global Positioning Survey
Class, Los Rios Community
College, CA
GIS class, Sierra College,
CA

LICENSES/CERTIFICATES
Professional Land Surveyor
(CA) No. 8446
(NV) No. 19903

CONTACT INFO
[email protected]
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 19 On-Call Public Works Inspection and Map/Plan Check Services CITY OF BEAUMONT | BEAUMONT, CA
Acting City Surveyor for the City of Beaumont under contract with NV5. Responsibilities include review of all Tract Maps, Parcel Maps, Lot Line Adjustments and Certificate of Corrections prepared in the City of Beaumont. Sign and seal all documents and Maps that are required in the duties of the City Surveyor. NV5 reviews all plans and associated technical reports for clarity, format, completeness, and conformance to the City’s grading and roadway criteria, industry-standard design procedures, permit requirements, and conditions of development. Reviews include improvement, grading, and erosion control plans, sewer and storm drain plans, hydrology and hydraulic reports, water quality reports, geotechnical reports, structural calculations and cost estimates.

On-Call Surveying Services
CITY OF LA QUINTA | LA QUINTA, CA
Survey manager providing on-call services as requested by the Public Works Department, work requested included:
• Street Cross Sections on Monroe Street at Mountain View Lane • Topographic Survey of the La Quinta Library
• Construction Staking Services for the West Parking Lot of La Quinta Library • Topographic Survey of the Art Park of the Desert at Avenida Montezuma • Construction Staking services for Fritz Burns Park
• Tie out of existing monument at the Intersection of Avenue 52 and Jefferson Street
All services were completed as scheduled and all information was provided to the City.

On-Call Surveying Services
CITY OF INDIO | INDIO, CA
Survey manager for on-call services as requested by the Public Works Department.

Services include topographic survey of the Indio Safety Campus, Boundary Survey and preparation of a Parcel Map at Dr. Carreon Blvd. All Services were completed as scheduled and all information was provided to the City.

Project Experience
Mr. Fahrion has over 42 years of surveying and mapping experience in Northwest New Mexico and Southern California. He worked in the public sector for San Juan County Public Works in Aztec, New Mexico for eight years where his duties included right- of-way surveys and acquisitions, topographic surveys, and construction staking. His experience includes boundary surveys, ALTA surveys, topographic surveys, construction staking, preparing and processing record of surveys, corner records, and parcel maps.

His duties also include daily assignment of field and office work, managing field and office personnel, proposal preparation, and client development.

EXPERIENCE
43 years

REGISTRATIONS
Professional Land Surveyor
(CA) No. 8207
AQMD PM-10 Certificate

CONTACT INFO
[email protected]

JAY FAHRION, PLS
Plan Check Engineer
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 20

NONA ESPINOSA, PE
Plan Check Engineer
Project Experience
Focused Update to City Drainage Master Plan
CITY OF IMPERIAL BEACH | IMPERIAL BEACH, CA
Ms. Espinosa performed hydrologic/hydraulic engineering services to model the surface drainage system for four localized areas of concern that include the area of 8th Street and Calla Avenue, Georgia Street and East Bound Imperial Beach Boulevard, 11th Street and Ebony Avenue, and Holly and Oneonta Avenue south of Grove Avenue.

Reviewed previous storm drainage study report and evaluated and performed hydrology calculations for various storm events. Created the hydraulic model to evaluate the feasibility of constructing a local stormwater pump system to alleviate flooding conditions under design storms, as well as possible diversions, potential for capacity increase, and options for attenuating low-flow events. Low-impact development (LID).

Newell Road Bridge Replacement at San Francisquito Creek CITY OF PALO ALTO | PALO ALTO, CA
Ms. Espinosa performed hydrologic/hydraulic engineering services for the replacement of a structurally and hydraulically deficient bridge at San Francisquito Creek. This bridge replacement is part of an overall project to increase the hydraulic capacity of the San Francisquito Creek channel and provide 100-year flood protection. Funding for this project is coming in part from the federal Highway Bridge Program.

Interstate 80/680/12 Interchange PS&E – ICP

SOLANO COUNTY, CA
Ms. Espinosa performed the hydrology and hydraulic analysis for the initial phase of the project. Provided the biofiltration basin design and calculations to comply with NPDES c.3 regulations for stormwater treatment. The ICP project consists of widening and realigning a mile of the I-80 mainline freeway lanes; constructing a new local interchange at Green Valley Road along with the demolition of the existing substandard interchange, and constructing a new freeway connector ramp from I-80W to SR 12W.

Canyon Road Bridge Replacement Project
CITY OF MORAGA | MORAGA, CA
Ms. Espinosa performed hydrologic/hydraulic engineering services for a bridge replacement project. Prepared technical memorandum hydrologic and hydraulic assessment for the Canyon Road West Branch San Leandro Creek (Moraga Creek) (Bridge No. 28C0137) under the existing conditions. She presented the hydraulic analysis and any unusual aspects of the design that require special attention.

Ms. Espinosa has more than 31 years of experience as a design engineer in numerous water resource projects. She has performed hydrology and hydraulic analysis of storm systems as well as hydraulic calculations to determine pipe size, flow demands, capacities, and other pertinent data for sanitary sewer and water systems. Her designs include erosion control sites, hydraulic structures, sanitary sewer systems, water systems, pump stations, wastewater and drainage systems, and a snow making system. Ms. Espinosa is skilled in a number of modeling and engineering design programs, including AutoCAD, Cybernet, WaterCAD,H2Onet, Flow Master, Culvert Master, StormCAD, XPSWMM, PondPack, HEC-RMS, HEC-RAS, HEC-1, HEC-HMS, HEC- 2, FAAST, and Primavera.

EXPERIENCE
31 years

EDUCATION
B.S. Civil Engineering

LICENSES/CERTIFICATES
Civil Engineer (CA)
No. C-60547
Erosion Control
Compliance with NPDES
Phase II
Erosion Control
Compliance and Rolled
Erosion Control Pro

AFFILIATIONS
APWA

CONTACT INFO
[email protected]
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 21 A. COMPANY OVERVIEW
Geotechnical Reviews

VARIOUS MUNICIPALITIES
Mr. Custenborder has provided geotechnical peer review services for the following agencies: City of San Diego, City of Santee, City of Encinitas, City of Poway, City of Menifee, City of San Bernardino, and City of Carlsbad. The peer review services consisted of reviewing the work products (geotechnical reports) of other geotechnical consultants and to provide an opinion as to whether the geotechnical aspects of proposed projects had been appropriately identified, analyzed, addressed and reported. If deficiencies were identified, recommendations were made to the municipalities to request additional analyses from the consultants.

On-Call Plan Check and Engineering Services
CITY OF MENIFEE | MENIFEE, CA
Mr. Custenborder provided geotechnical-related reviews, including soil reports and specialty inspections, as part of the project team on this contract awarded by the City of Menifee to support development review and to provide design of capital projects.

NV5 was retained to work with City staff in reviewing development projects for conformance to City codes and other development standards.

On-Call Public Works Inspection and Plan Check Services CITY OF BEAUMONT | BEAUMONT, CA
Mr. Custenborder provided geotechnical-related reviews of private development projects and public works inspection services. NV5 reviews all plans and associated technical reports for clarity, format, completeness, and conformance to the City’s grading and roadway criteria, industry-standard design procedures, permit requirements, and conditions of development.

Project Experience
Mr. Custenborder’s experience includes geotechnical feasibility studies and geotechnical investigations for public works, commercial and residential works projects in many types of terrain. He has performed geotechnical studies for roadways, railways, tunnels, pipelines, water tanks and two rock-fill dams. He has evaluated potential geologic hazards due to landslides, slope instability, coastal processes, surface fault rupture, liquefaction and seismic shaking. Geologic investigative techniques include field mapping, in-hole and up-hole geologic logging and sampling of borings and trenches, cone penetration testing (CPT), seismic refraction surveys, various technical computer applications and aerial photographic analyses of landforms. Mr.

Custenborder has performed geotechnical peer reviews for various municipal agencies.

EXPERIENCE
38 years

EDUCATION
B.S. Geology

LICENSES
Registered Geologist (CA)
No. 3992
Certified Engineering
Geologist (CA) No. 1319

CONTACT INFO
gene.custenborder@
nv5.com

GENE CUSTENBORDER, PG, CEG
Plan Check Engineer
City of Compton — Plan Check and Traffic Engineering Services NV5 | 22 Dr. Henderson has more than 23 years of experience performing geotechnical evaluations for a wide variety of projects, including buildings, bridges, highways, roadways, embankments, levees, land development, and commercial and industrial facilities. He has extensive experience with embankment construction and stability evaluations for many large roadway construction projects in California.

On-Call Public Works Inspection and Plan Check Services CITY OF BEAUMONT | BEAUMONT, CA
Principle Geotechnical Engineer. Mr. Henderson is serving as Principal Geotechnical Engineer for geotechnical-related reviews of private development projects and public works inspection services. NV5 reviews all plans and associated technical reports for clarity, format, completeness, and conformance to the City’s grading and roadway criteria, industry-standard design procedures, permit requirements, and conditions of development.

Annual Residential Street Rehabilitation
CITY OF COMPTON | COMPTON, CA
Geotechnical Engineer. Mr. Henderson provided geotechnical engineering services for the project. The scope of work includes review and analysis of the City’s existing Pavement Management Study; research of the City’s existing street plan information; performing necessary soil investigations and coring samples; utilities notification and coordination; topographic survey; field review; and improvements to street pavement, street drainage, curb and gutter, sidewalk, and ADA curb ramps.

Beryl Street Drainage and Street Improvements from Prospect Avenue to Flagler Lane Project
CITY OF REDONDO BEACH | REDONDO BEACH, CA
Geotechnical Engineer. Mr. Henderson is providing geotechnical engineering services as part of the team that is providing engineering design services for the Beryl Street Drainage and Street Improvements project. The project includes, but is not limited to, roadway, intersection and drainage improvements, including green street elements; modifications to catch basins; pedestrian crossing enhancements through curb ramp and pedestrian signal upgrades; incorporation of Living Street Design principles, traffic calming elements to enhance safety, mobility, and access for users to accommodate a variety of transportation modes; and signing and striping.

Residential Slurry Seal and Arterial Roadway Rehabilitation CITY OF PLACENTIA | PLACENTIA, CA
Geotechnical Engineer. Mr. Henderson provided geotechnical engineering services for the City’s various streets and ADA ramps rehabilitation. The project includes the rehabilitation of existing pavement and sidewalks and traffic signal modifications.

NV5’s services include obtaining existing as-built plans and available pertinent data; taking pavement core samples; conducting field review and assessing pavement conditions; utility notification and coordination; preliminary and final bid packages; and construction support services.

Project Experience

EXPERIENCE
23 years

EDUCATION
Ph.D. Civil Engineering
M.S. Civil Engineering
(Geotechnical)
B.S. Civil Engineering

LICENSES/CERTIFICATES
Geotechnical Engineer (CA)
No. 2886
Civil Engineer (CA)
No. 71115

AFFILIATIONS
Society of American
Military Engineers (SAME)
American Society for Civil
Engineers (ASCE)

CONTACT INFO
[email protected]

CARL HENDERSON, PE, GE
Plan Check Engineer
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 23 San Fernando/Burbank Boulevard Intersection and Street Improvements CITY OF BURBANK | BURBANK, CA
Constructability Review. Mr. Hindiyeh performed constructability review of the traffic design to confirm that all traffic control requirements were adequately addressed. The project included analysis of engineers plans, specifications and estimates, confirming compliance of ADA issues, utility challenges, field topography conditions, permits, and traffic control requirements and that bid schedules capture all scope of work.

On-Call City Engineering (Staff Augmentation)
CITY OF LA HABRA HEIGHTS | LA HABRA HEIGHTS, CA
City Engineer. Mr. Hindiyeh provides plan check services for all City plan reviews. Our team is currently providing comprehensive engineering services for assistance with project management, construction management and inspection, civil engineering design, NPDES, reviewing preliminary grading on planning applications, plan check applications, plan check for engineering and grading, review and approval of tentative and final tract maps, and other services typically provided to a municipality.

City Engineering (Staff Augmentation)
CITY OF VILLA PARK | VILLA PARK, CA
City Engineer. Mr. Hindiyeh provided direct city engineering services. Our team plays a role in helping the City Council and City Staff make appropriate decisions regarding City infrastructure. We provide a wide range of general engineering services. Services include plan checking; developing, reviewing, and modifying civil engineering plans, designs and specifications for public works projects; implementing modern methods and techniques used in the design and construction of a wide variety of municipal projects; providing construction management and inspection for a broad range of municipal public works projects; federal funding administration; and technical report writing.

General Engineering (Staff Augmentation)
CITY OF LAGUNA WOODS | LAGUNA WOODS, CA
City/Traffic Engineer. Mr. Hindiyeh and our team provide traffic and general engineering services on an as-needed basis. Services include conducting and reviewing traffic engineering, traffic analysis, and transportation planning studies; providing analysis of existing and projected traffic conditions; providing electronic traffic control device studies and design; performing pedestrian studies; plan check services; and reviewing new development projects involving traffic impact analysis, modeling, and road impact fee analyses.

Project Experience
Mr. Hindiyeh has more than 40 years of civil engineering experience in the public and private sectors. His responsibilities encompass serving as the City Engineer for the City of Villa Park, City Engineer for the City of La Habra Heights, and City Engineer/Traffic Engineer for the City of Laguna Woods. In addition, he is also responsible for administering the design and construction of several major public works, traffic and transportation projects for the City of San Clemente. Mr. Hindiyeh’s experience includes developing and implementing Pavement Management System Programs, Sidewalk Inventory Programs, Street Improvement Programs, Major Street Maintenance Programs, and Traffic Signals Operation and Maintenance Programs.

AKRAM HINDIYEH, PE, TE
Traffic Engineer

EXPERIENCE
40 years

EDUCATION
M.S. Civil Engineering
B.S. Civil Engineering

LICENSES/CERTIFICATES
Civil Engineer (CA)
No. 28510
Traffic Engineer (CA)
No. 1452
OCTA Prequalified
Pavement Inspector

CONTACT INFO
[email protected]
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 24 CityPlace Development – Phase I Plan Check
CITY OF SANTA CLARA | SANTA CLARA, CA
Senior Project Manager. Mr. Miller served as Senior Project Manager responsible for reviewing traffic signals, signing and striping, and street lighting design plans and photometrics prepared by others, on behalf of the City of Santa Clara. Mr. Miller reviewed the plans to assure conformance with the California MUTCD and Caltrans Standard Plans. Mr. Miller worked closely with the City of Santa Clara to understand the City’s concerns and design standards and best practices and provided comments to the designers.

Black Forest Road Widening Plan Check
CITY OF COLORADO SPRINGS | COLORADO SPRINGS, CO
Senior Project Manager. Mr. Miller served as Senior Project Manager responsible for reviewing traffic signal design plans prepared by others, on behalf of the City of Colorado Springs. Mr. Miller reviewed the plans to assure conformance with the Colorado MUTCD and Colorado Standards and provided comments to the designers.

In and Out Traffic Study Review
CITY OF NATIONAL CITY | NATIONAL CITY, CA
Senior Project Manager. Mr. Miller served as Senior Project Manager responsible for the review of a traffic impact study prepared by others, on behalf of the City of National City. Mr. Miller reviewed the traffic study per local and state guidelines and requirements. Mr. Miller worked closely with the City to understand the City’s concerns and prepared a memorandum.

As-Needed Traffic Control

SAN DIEGO, CA
Senior Transportation Engineer. Mr. Miller served as Senior Transportation Engineer for the design of traffic engineering plans, including new and modified traffic signals, signal interconnect, signing/striping, street and pedestrian lighting, temporary traffic control and detours. He conducted geometric analyses, sight distance evaluations, and site access assessments.

SR-1 Jamboree Road to Santa Ana River Traffic Signals

NEWPORT BEACH, CA
Project Manager/Project Engineer. Mr. Miller was responsible for designing traffic signal modification plans for 13 traffic signals along Pacific Coast Highway (SR-1).

Modifications included ADA and pedestrian upgrades, new loop detectors and count stations. Mr. Miller worked closely with Caltrans District 12 staff to expedite approval of the PS&E package.

Project Experience
Mr. Miller has over 15 years of experience in the traffic and transportation disciplines, including projects involving roadways, bridges, and other specialty civil projects. He has applied his traffic design expertise to major streetscape and multimodal projects for municipal and state agencies. His experience, combined with his knowledge of current standards and best practices, provides his clients with insightful, effective design solutions.

EXPERIENCE
15 years

EDUCATION
B.S. Civil Engineering

LICENSES/CERTIFICATES
Civil Engineer (CA)
No. 82522

AFFILIATIONS
American Society of Civil
Engineers (ASCE)
American Public Works
Association (APWA) Awards
Chair 2013-2019
Adjunct Professor, Civil
Engineering, San Diego
State University, 2014
Aztec Mentoring Program,
San Diego State University,
2013-present

CONTACT INFO
[email protected]

JAMES MILLER, PE
Traffic Engineer
A. COMPANY OVERVIEW
City of Compton — Plan Check and Traffic Engineering Services NV5 | 25 B. ENGINEER-IN-CHARGE

ENGINEER-IN-CHARGE
Project Manager Tamara O’Neal, PE, will be the Engineer-in-Charge for the duration of this contract. Her Civil Engineer License is from the State of California, and her license number is 69107.

City of Compton — Plan Check and Traffic Engineering Services NV5 | 26 C. APPROACH AND METHODOLOGY

PLAN CHECK APPROACH
Our primary approach is to serve as a direct extension
of the City staff. NV5 will take every measure possible to see that the City’s timeline is met. It is our intention to consistently beat the plan review turnaround times
while assuring continuous quality and reasonable
implementation of the state codes and all local
amendments. We will put forth a coordinated effort and
responsibility to track and coordinate all applications or requests received in the City.

All plan check services will be driven by the accepted
architect-engineering and industry professional practices, and will comply with the applicable regulations. Turnaround times of plan checks are crucial, and we intend to return plan checks within the timelines outlined by the City. We continually train existing employees and recruit new talent to exceed the expectations of our clients.

We understand how essential it is for individual
departments to work together in order to build a
successful project. Our philosophy is to work closely with all departments, divisions and agencies to eliminate
redundancy and increase efficiency. We understand the
difficulties in interpreting design standards, and we take pride in providing solutions for your constituents.

Outlined below is the general process the NV5 team
utilizes to provide plan review services. This is presented as a guideline to be adjusted according to the processing procedures of your jurisdiction. We will work with the
City in a seamless manner for review of plans for code
compliance and keeping projects moving to the finish line.

PROJECT DELIVERABLES: PLAN CHECK PROJECTS
Deliverables for a typical plan check project include:
○ Cost confirmation letter (if required)
○ Signed comment letter with checklist (hard copy and PDF) ○ Redlined plans (hard copy and PDF)
In compliance with state law, all plan check services will be performed by or under the responsible charge of a
California licensed professional eligible to prepare and sign the type of map, plan, or professional study being reviewed.

All plan review memos will be signed and sealed by a duly licensed professional.

PLAN CHECK SUBMITTALS SEQUENCE
Each submittal will generally follow the following sequence:

First Plan Check
The initial plan check will be comprehensive and identify all significant issues. It is important to present significant issues to the developer as early in the review process as possible, so that the developer can respond in a timely manner. In addition to the typical scope of services, the first plan check will include the following:
○ Plan Review Checklist
○ Review of Conditions of Discretionary Approval
○ Analysis of Easement Requirements and Right-Of-Way
Needs
○ Identification of Required Coordination with Inter-Agency Jurisdictional Issues
Subsequent Submittals
Plan check resubmittals are reviewed for completeness
and to determine if all previous comments have been fully addressed. If the developer has made significant changes to the submittal, new review comments may be necessary.

The NV5 plan checker will identify remaining deficiencies in the documents for subsequent reiterations of the plan check submittals.

Final Review
We anticipate that after no more than three (3) plan checks, NV5 will request that the developer submit final plans and associated documents, as required by the City for final review. NV5 will confirm that plans are complete and that all associated documents have been submitted. NV5 will then provide an approval letter and other required documents and transmittals, depending on the type of review.

Transmittal
NV5 will maintain accurate and comprehensive records
related to all plans, calculations and documents received.

We will screen and log every application to assure they are routed to all plan checkers in a timely manner. All City of Compton — Plan Check and Traffic Engineering Services NV5 | 27 C. APPROACH AND METHODOLOGY
submittals are checked for compliance with relevant state and local requirements. The log serves as a tracking device to assure turnarounds and completeness of review.

Corrections
NV5 will assure that corrections are handled as quickly and as clearly as possible. We will identify all corrections based on compliance with specific standards, codes and
regulations. We will either provide notes on the plans as appropriate, or provide a correction sheet detailing which items need to be addressed for plan approval.

Each project will be reviewed with strict adherence to our company policy of independent objectivity as a third party.

Projects have ranged from the simple to the complex
across all types of construction. Our wide exposure and expertise allow us to provide impartial and comprehensive plan reviews clearly indicating the applicable codes and standards and documenting noted deficiencies. Our
reviews are individually prepared for each project and, while we use Agency standard checklists as a basis for
our review, we also review each individual project for site- specific impacts and technical merits — including boundary conditions and general construction considerations. Our Plan Review Reports are written to provide the design
team with a clear and concise understanding of the issues.

Comments from each discipline are grouped together for
easy reference, and each comment references a specific
item in the plans or specifications as well as a reference.

Approvals
Upon completion of each plan review, plans and supporting documents will be returned to the City recommending
approval. Approval will only be given when all compliance issues are resolved to the best of our team’s knowledge and all requirements of the City are satisfied.

Accelerated Plan Review
In most cases, we will complete the initial plan review in 10 working days and considerably less time for re-checks.

However, some plans may require expedited review. At
your request, we will perform plan review services within an accelerated time frame. Accelerated plan review may
require an additional fee, agreed upon by the applicant and NV5.

Meetings
We will conduct and coordinate all communications with
the City for plan review comments to assure that plan
review issues are handled efficiently. During the plan
review process, we are prepared to meet with City staff and the applicant at any time. Our goal is to issue approved plans as quickly as possible, but in full compliance with local codes, ordinances and guidelines. Our experience
suggests greater involvement early in the design process yields exceptional benefits. We feel it is helpful to be involved in Development Review meetings for projects
subject to the Planning Review process.

MANAGEMENT PLAN + QA/QC
Our managerial approach is based on shared expectations and clear and consistent communication with City staff
throughout the delivery of projects.

Our plan review process highlights the tools and
techniques we will employ to deliver quality, accurate, timely and responsive plan reviews:

Reliable and Responsive Service. Our project manager
will provide proactive communication, utilize proven project management tools and best practices, and will anticipate your needs and quickly respond with accurate and detailed information every step of the way. We are available to meet with the City at kickoff and progress meetings to discuss procedures, projects, and to maintain momentum and
project schedules.

Efficiently Meet Turnaround Deadlines and Maintain
Development Momentum. An emphasis will be placed on
our staff’s experience with the City and requirements to proactively facilitate communication and processing. We will work to assure proven quality assurance and schedule control measures are implemented.

Maintain Accuracy and Cost Savings Through Proven
Processes and Continuity. We can implement integrated,
standardized processes, including electronic plan reviews that will be utilized by seasoned staff members who deliver plan review comments that are consistent, thorough,
accurate, and done right the first time.

City of Compton — Plan Check and Traffic Engineering Services NV5 | 28 C. APPROACH AND METHODOLOGY

INTEGRATED PLAN REVIEW PROCESS
The step-by-step review process that we follow for every plan check/review assures that review standards are
consistently implemented on each project.

We will implement a comprehensive program based on
best practices to validate that each and every review is thorough, accurate, consistent and timely. This system’s success is based on thousands of hours of practical, real- world experience by our dedicated personnel and their
unique ability to interact quickly and efficiently with your staff. The specific action items in our process include:

Coordination and Communication: Our staff will handle
the necessary administrative functions, such as project tracking, managing project controls, maintaining and
distributing communications, reviewing agendas and
ordinance issues, and fielding calls on project status.

Analyzing Submittals: Our team will review and assess
initial submittals for completeness, review title sheets and non-technical issues; maintain files; monitor due dates; monitor contract budget and status tracking reports; and coordinate invoicing. Consistency will be maintained by assigning the project to the same reviewer that performed the previous reviews, unless circumstances dictate
otherwise.

Facilitating Quality Reviews: Our experienced public
works plan reviewers will routinely review agency
standards, ordinances, guidelines, and update checklists; write comment letters; coordinate project returns;
attend review meetings; and communicate comments
to the applicant and designers. Because of our depth of resources and project tools (checklists, comment letters), reassigned projects can be reviewed without missing
deadlines or causing unnecessary rechecks.

Providing Expertise: Our experts will provide a quality, comprehensive review of plans, studies, maps and reports in accordance with all accepted engineering practices,
the Subdivision Map Act, applicable regulations and City development standards. Our experts are also available
to meet with your staff to clarify comments and discuss solutions, as well as provide full and complete reviews for each project that will minimize the number of resubmittals by the customer.

Quality Assurance/Quality Control: We are committed to
a Quality Assurance, Quality Control and Constructability Review protocol for all deliverables submitted to a client.

Our QC policy requires our project engineer and project manager to sign off on the cover sheet and commit that
they have reviewed the submittal and are accepting
responsibility for the quality of the documents prior to being submitted for review by peers.
 PROVIDING RELIABLE, RESPONSIVE AND COST-EFFECTIVE PLAN CHECK SERVICES  USING LOCAL KNOWLEDGE FROM PREVIOUS LOCAL AGENCY PARTNERSHIPS AND EXPERIENCE  MEETING THE CITY’S NEEDS
 PROVIDING RELIABLE, RESPONSIVE AND COST -EFFECTIVE ENGINEERING SERVICES  USING LOCAL KNOWLEDGE FROM PREVIOUS LOCAL AGENCY PARTNERSHIPS AND EXPERIENCE MEETING THE CITY’S NEEDS:

UNDERSTANDING THE NATURE OF AS-NEEDED CONTRACTS AND ITS

CHALLENGES ALLOWS US TO MEET YOUR NEEDS AND ACHIEVE YOUR GOALS

MOBILIZE QUICKLY

TO PROVIDE SERVICES

CLEAR COMMUNICA TION

ONE POINT OF CONTACT

EQUIPPED

WITH RESOURCES

QUICK RESPONSES TO

ISSUES AND CONCERNS

UNDERSTANDING THE NATURE OF ON-CALL CONTRACTS AND THEIR CHALLENGES ALLOWS US TO MEET THE CITY’S NEEDS AND ACHIEVE ITS GOALS WHY NV5?
City of Compton — Plan Check and Traffic Engineering Services NV5 | 29 D. FEE

FEE SCHEDULE
Our Fee Schedule is included in a separately sealed envelope.

City of Compton — Plan Check and Traffic Engineering Services NV5 | 30 E. STANDARD FORM 330

5. NAME OF FIRM

PART I - CONTRACT-SPECIFIC QUALIFICATIONS

ARCHITECT-ENGINEER QUALIFICATIONS
A. CONTRACT INFORMATION

1. TITLE AND LOCATION (City and State)

2. PUBLIC NOTICE DATE 3. SOLICITATION OR PROJECT NUMBER B. ARCHITECT-ENGINEER POINT OF CONTACT
C. PROPOSED TEAM
(Complete this section for the prime contractor and all key subcontractors.)

4. NAME AND TITLE

8. E-MAIL ADDRESS7. FAX NUMBER6. TELEPHONE NUMBER
(Check)PRIME
J-V

PARTNER

SUBCON-

TRACTOR

9. FIRM NAME 10. ADDRESS 11. ROLE IN THIS CONTRACT
a.
b.
c.
d.
e.
f.

STANDARD FORM 330 (REV. 7/2021)
D. ORGANIZATIONAL CHART OF PROPOSED TEAM (Attached)

CHECK IF BRANCH OFFICE

CHECK IF BRANCH OFFICE

CHECK IF BRANCH OFFICE

CHECK IF BRANCH OFFICE

CHECK IF BRANCH OFFICE

CHECK IF BRANCH OFFICE

AUTHORIZED FOR LOCAL REPRODUCTION
Plan Check & Traffic Engineering Services for the City of Compton, CA February 16, 2022
NV5, Inc.

Jeffrey M. Cooper, PE, Vice President
949.585.0477 949.409.8182 [email protected]
NV5, Inc. PrimeIrvine Office: 163 Technology Drive,
Suite 100, Irvine, CA 92618
NV5, Inc. 15092 Avenue of Science, Suite 200,
San Diego, CA 92128 Prime
City of Compton — Plan Check and Traffic Engineering Services NV5 | 31 E. STANDARD FORM 330
SECTION D. ORGANIZATIONAL CHART OF PROPOSED TEAM
Below is NV5’s proposed team, showing the names and roles of all key personnel listed in Section E.

PROJECT MANAGER
Tamara O’Neal, PE

TRAFFIC ENGINEERS
Akram Hindiyeh, PE, TE
James Miller, PE

PRINCIPAL-IN-CHARGE
Jeffrey M. Cooper, PE

PLAN CHECK ENGINEERS
Padma Asam, PE, QSD/QSP,

LEED AP
Mahrooz Ilkhanipour, PE
David Niknafs, PE
Stephen Novak
Art Biscocho
Edgar Bautista, CESSWI, QSD/P, EIT
Thomas Grace, EIT
Nhut Pham, EIT
Michael Rocco
Amir Mansour, EIT

MAPS/LEGALS/SURVEY
J Braley, PLS
Jay Fahrion, PLS

HYDROLOGY/HYDRAULICS
Nona Espinosa, PE

GEOTECH
Gene Custenborder, PG, CEG
Carl Henderson, PE, GE
City of Compton — Plan Check and Traffic Engineering Services NV5 | 32 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
a.
b.
c.
d.
(1) TITLE AND LOCATION (City and State)
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e.

Check if project performed with current firm
Check if project performed with current firm
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE (3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE (3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm
Check if project performed with current firm
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3)
Tamara O'Neal, PE Project Manager 7 years26 years
NV5, Inc., 163 Technology Drive, Suite 100, Irvine, CA 92618 B.S. Civil Engineering Civil Engineer (CA) No. 69107
On-Call Plan Check + Public Works Inspection Services, City of Beaumont, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt MMaannaaggeerr.. Ms. O’Neal is providing the City with review of as-needed private development projects and public works inspection services. Reviews include improvement, sewer and storm drain plans, hydrology and hydraulic reports, water quality reports, geotechnical reports, structural calculations and cost estimates. Status: Current PPrroojjeecctt MMaannaaggeerr.. Ms. O’Neal oversees this contract, which includes reviews of subdivision maps, parcel maps, boundary adjustments and legal descriptions; grading plans; street improvement plans; utility improvement plans; stormwater quality management plans; hydrology and hydraulic calculations and reports; cost estimate; erosion and sediment control plans; and geotechnical report review. Status: Current
On-Call Plan Check Services, City of Pico Rivera, CA
PPrroojjeecctt MMaannaaggeerr.. Ms. O’Neal oversaw the review of Water Quality Technical Reports, grading plans, tract improvement plans, parcel mergers and lot line adjustments. Due to the unique nature of Lake Elsinore’s water conservation requirements, NV5 developed delineating maps to distinguish “Highest and Best Use” areas for the City to streamline the plan review process.

On-Call Plan Check Services, City of Lake Elsinore, CA
Hollywood Park Development Review, City of Inglewood, CA PPrroojjeecctt MMaannaaggeerr.. Ms. O’Neal led the development review services contract for the redevelopment of Hollywood Park, Phase A, Phase 1, and a portion of Phase 2 Infrastructure Improvement. Plan reviews included developing conditions of approval, mitigation monitoring reporting plans, specific plans and general plans, as well as completing grading, drainage and street improvement plan reviews.

Plan Check of Water Quality Management Plan Hydrology Reports and Plan Check Services, County of Riverside, CA
PPrroojjeecctt MMaannaaggeerr.. Ms. O’Neal oversaw plan checking of WQMP and Hydrology Reports associated with new development and significant redevelopment projects, and plan check services for private development projects for compliance with the county’s MS4 permits and the Riverside County WQMP for Urban Runoff. Status: Current 2019
2010
City of Compton — Plan Check and Traffic Engineering Services NV5 | 33 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
a.
b.
c.
d.
(1) TITLE AND LOCATION (City and State)
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e.
(3)
(3)
(3)
(3)

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3)
Padma Asam, PE, QSD/QSP, LEED AP Plan Check Engineer 15 years15 years NV5, Inc., 163 Technology Drive, Suite 100, Irvine, CA 92618 M.S. Structural Engineering
B.S. Civil Engineering
Civil Engineer (CA) No. 83896
Qualified SWPPP Developer/Practitioner (CA) No. 27085
LEED Accredited Professional
On-Call Public Works Inspection and Plan Check Services, City of Beaumont, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt EEnnggiinneeeerr.. Ms. Asam is providing review of private development projects and public works inspection services. NV5 reviews all plans and associated technical reports for clarity, format, completeness and conformance to the City’s grading and roadway criteria, industry-standard design procedures, permit requirements, and conditions of development. Status: Current On-Call Plan Check Services, City of Lake Elsinore, CA
2019
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPllaann CChheecckk EEnnggiinneeeerr.. Ms. Asam provided review of Water Quality Technical Reports, grading plans, tract improvement plans, parcel mergers and lot line adjustments. Other tasks included reviewing hydrology and hydraulic data output calculations in conjunction with proposed storm drain design and reviewing NPDES documents for conformance to jurisdictional requirements and the City’s Standard Urban Stormwater Management Plan.

Engineering and Plan Check Services, City of Imperial Beach, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt EEnnggiinneeeerr.. Ms Asam is providing consultant City Engineer services for this beachside community. The suite of services consists of three major elements: City Engineer services, plan check/development review, design of capital improvement projects, and grant administration. Status: Current As-Needed Services, City of Carlsbad, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt EEnnggiinneeeerr.. Ms. Asam provided consultant services for the City, including review of grading plans, street improvement plans, geotech reports, hydrology reports and stormwater documents for residential and commercial developments. 2021
Civil & Water Quality Management Plan Check Services,
County of San Bernardino, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt EEnnggiinneeeerr.. Ms. Asam provided engineering development review services for a variety of projects ranging from single- family developments to large, multiphase subdivisions and commercial projects. NV5 reviewed Hydraulic and Hydrologic Analyses, WQMPs, erosion control plans, soils reports, private grading and public improvement plans. Status: Current City of Compton — Plan Check and Traffic Engineering Services NV5 | 34 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
a. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
a.
b.
c.
d.
(1) TITLE AND LOCATION (City and State)
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e. Check if project performed with current firm
(3)
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE (3)
Check if project performed with current firm
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3)
Mahrooz Ilkhanipour, PE Plan Check Engineer b. WITH CURRENT FIRM 3 years33 years
NV5, Inc., 163 Technology Drive, Suite 100, Irvine, CA 92618 M.S. Civil Engineering (Major emphasis in Water
Resources and Structural)
B.S. Civil Engineering
Civil Engineer (CA) No. 55003
As-Needed Plan Check Engineering Services, City of La Habra Heights, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPllaann CChheecckk EEnnggiinneeeerr.. Ms. Ilkhanipour provides as-needed plan review services for the City of La Habra Heights. Her scope of work includes plan review and checking final maps, parcel maps, street improvement plans, grading plans, hydrologic/ hydraulic studies, soils/geologic reports, engineer cost estimates, haul routes, easement documents, lot line adjustments, SUSMP/SWPPP/LID, erosion control plans, BMPs, and encroachment permits. Status: Current As-Needed Plan Check Engineering Services/Alternate City Engineer, City of Villa Park, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPllaann CChheecckk EEnnggiinneeeerr//AAlltteerrnnaattee CCiittyy EEnnggiinneeeerr.. Ms. Ilkhanipour provides as-needed plan review services and as-needed City Engineering services. She is responsible for plan review and checking final maps, parcel maps, street improvement plans, grading plans, hydrologic/hydraulic studies, soils/geologic reports, engineer cost estimates, haul routes, easement documents, lot line adjustments, SUSMP/SWPPP/LID, erosion control plans, BMPs, and encroachment permits. Status: Current Public Works/Infrastructure & Development Services, County of Orange, CA PPllaann CChheecckk MMaannaaggeerr.. Ms. Ilkhanipour managed and led staff and consulting teams in reviewing and processing plans for major development. This includes plan review of subdivision maps, survey, drainage plans and reports, grading, traffic improvements, proposed roads, and all aspects of wet and dry utilities. She also reviewed and approved all proposed encroachments within County property and the Flood Control District properties.

Public Works/Development Services/Permitting, County of Orange, CA 2017 BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm Ms. Ilkhanipour managed day-to-day review of building, grading, drainage plans and reports, and permit applications for both public and private improvement works plans. This involved extensive interaction with engineers, architects, contractors, developers, property owners and utilities. She was in charge of two teams, a total of 18 staff. 2018
City of Compton — Plan Check and Traffic Engineering Services NV5 | 35 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
a.
b.
c.
d.
(1) TITLE AND LOCATION (City and State)
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e.
(3)
(3)
(3)
(3)

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3)
David Niknafs, PE Plan Check Engineer 7 years30 years
NV5, Inc., 163 Technology Drive, Suite 100, Irvine, CA 92618 M.S. Civil Engineering
B.S. Civil Engineering
Civil Engineer (CA) No. 42697
American Public Works Association (APWA); American Society of Civil Engineers (ASCE); Transportation & Development Institute Plan Check Reviews, City of El Monte, CA
On-Call Plan Check Services, City of Pico Rivera, CA
On-Call Plan Check Services, City of Moreno Valley, CA
2019
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt MMaannaaggeerr.. Mr. Niknafs is responsible for reviewing grading and drainage plans for various land development projects for the City. Reviews include grading, soils report reviews, sewer, water, and storm drain improvements, hydrology reports, SWPPPs, Low Impact Development, street improvement plans, parcel/tract maps, easements and lot line adjustments.

Status: Current
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt MMaannaaggeerr.. Reviews include subdivision maps, parcel maps, boundary adjustments and legal descriptions; grading plans; street improvement plans; utility improvement plans; stormwater quality management plans; hydrology and hydraulic calculations and reports; engineer’s cost estimate; engineer’s reports, including stormwater pollution prevention plans; erosion and sediment control plans; and geotechnical report review. Status: Current BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt MMaannaaggeerr.. Services included plan review and checking final maps, parcel maps, improvement plans, grading plans, hydrologic/hydraulic studies, soil/geologic reports, Engineer Cost Estimates and easement documents, in addition to providing other support services as needed for the Land Development Division of Public Works.

Beryl Street Drainage and Street Improvements, City of Redondo Beach, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt MMaannaaggeerr.. The project includes roadway, intersection and drainage improvements, including: green street elements; modifications to catch basins; pedestrian crossing enhancements through curb ramp and pedestrian signal upgrades; incorporation of Living Street Design principles, traffic calming elements; and signing and striping. Status: Current Wilmington Avenue Pedestrian and Bicycle Improvements, City of Compton, CA 2016 BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm Mr. Niknafs was responsible for providing professional design engineering services, including plans, specifications, cost estimates and related bid documents for the project. Scope of work consisted of pedestrian and bicycle improvements; installation of wider and colored crosswalks; countdown pedestrian signals; enhanced pedestrian lighting; installation of Class II bike lanes with wayfinding signage and Class I bike paths; and the installation of four solar-powered speed feedback signs.

City of Compton — Plan Check and Traffic Engineering Services NV5 | 36 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
a.
b.
c.
d.
(1) TITLE AND LOCATION (City and State)
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e.

Check if project performed with current firm
Check if project performed with current firm
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE (3)
(3)
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3)
Stephen Novak Plan Check Engineer 2 1/2 years25 years
NV5, Inc., 163 Technology Drive, Suite 100, Irvine, CA 92618 A.S. Building Technology
Certificate, Master Planning Communities
Plan Check Reviews, City of El Monte, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPllaann CChheecckk EEnnggiinneeeerr.. Mr. Novak is reviewing grading and drainage plans for various land development projects for the City.

Our team is providing reviews include grading, soils report reviews, sewer, water, and storm drain improvements, hydrology reports, SWPPPs, Low Impact Development, street improvement plans, parcel/tract maps, easements and lot line adjustments. Status: Current
On-Call Plan Check Services, City of Pico Rivera, CA
PPllaann CChheecckk EEnnggiinneeeerr.. Mr. Novak provides as-needed review of grading and drainage plans for development projects. Our team is providing reviews of subdivision maps, parcel maps, boundary adjustments and legal descriptions; grading plans; street improvement plans; utility improvement plans; stormwater quality management plans; hydrology and hydraulic calculations and reports; engineer’s cost estimate; stormwater pollution prevention plans; erosion and sediment control plans review. Status: Current Beryl Street Drainage and Street Improvements, City of Redondo Beach, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt EEnnggiinneeeerr.. Mr. Novak is providing engineering design services for the project, including the preparation of plans, specifications and estimates. The project includes roadway, intersection and drainage improvements, including green street elements; modifications to catch basins; pedestrian crossing enhancements through curb ramp and pedestrian signal upgrades; incorporation of Living Street Design principles, traffic calming elements; and signing and striping. Status: Current El Monte Avenue and Baldwin Avenue Street Improvements, City of El Monte, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt DDeessiiggnneerr.. Mr. Novak is providing civil engineering design services for the project. Services include topographical survey; reviewing existing pavement conditions and treatment recommendations; potholing existing pavement sections and subgrade; preparing plans, specifications, and estimates; implementing City’s Bike Master Plan recommended bike route; and preparing final bid documents. Status: Current
City of Compton — Plan Check and Traffic Engineering Services NV5 | 37 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
a.
b.
c.
d.
(1) TITLE AND LOCATION (City and State)
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e.
(3)
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE (3)
Check if project performed with current firm
(3)

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3)
Art Biscocho Plan Check Engineer 30 years 11 years
NV5, Inc., 163 Technology Drive, Suite 100, Irvine, CA 92618 B.S. Civil Engineering
PCH Arterial Improvements, City of Redondo Beach, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt EEnnggiinneeeerr.. Mr. Biscocho is providing engineering design services for this project. Our team provided comprehensive traffic analysis and the preparation of preliminary design recommendations to reduce congestion and increase safety on Pacific Coast Highway. Status: Current
Wilmington Avenue Pedestrian and Bicycle Improvements, City of Compton, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt DDeessiiggnneerr. Mr. Biscocho was responsible for providing professional design engineering services for the project, which included pavement rehabilitation, various pedestrian and bicycle improvements; the installation of wider and colored crosswalks; countdown pedestrian signals; enhanced pedestrian lighting; the installation of Class II bike lanes with wayfinding signage and Class I bike paths; and the installation of four solar-powered speed feedback signs. 2016
North La Brea Avenue “Green Street” Improvements, City of Inglewood, CA X
2018
PPrroojjeecctt DDeessiiggnneerr.. Mr. Biscocho prepared plans, specifications and estimates for improvements on north La Brea Avenue. The project included repairing damaged sidewalks, curbs and gutters, cross-gutters, alley gutters and driveway approaches; assessing if curb ramps are ADA-compliant; landscaping and root pruning; installing pavement markers and striping to current standards; and reconstructing or removing bus stop pads and channelization islands.

Citywide Street Rehabilitation, City of Pomona, CA 2016 BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt DDeessiiggnneerr.. Mr. Biscocho prepared plans, specifications and estimates for the design of pavement rehabilitation, street improvements, bikeway improvements, pedestrian/ADA improvements, and landscape/Green Street and irrigation improvements on several City streets. Bikeway infrastructure improvements included the associated bike facility striping, signing, crossing improvements and signal modifications for bike detection.

El Monte Avenue and Baldwin Avenue Street Improvements, City of El Monte, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt DDeessiiggnneerr.. Mr. Biscocho is providing engineering design services for the project. Services include topographical survey; reviewing existing pavement conditions and treatment recommendations; potholing existing pavement sections and subgrade t; preparing plans, specifications, and estimates; implementing City’s Bike Master Plan recommended bike route; and preparing final bid documents. Status: Current
City of Compton — Plan Check and Traffic Engineering Services NV5 | 38 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
a.
b.
c.
d.
(1) TITLE AND LOCATION (City and State)
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e.
(3)
(3)
(3)
Check if project performed with current firm
(3)

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3)
Edgar Bautista, CESSWI, QSD/P, EIT Plan Check Engineer 3 years 3 years NV5, Inc., 15092 Avenue of Science, Suite 200, San Diego, CA 92128 M.S. Environmental Engineering
B.S. Applied Physics
Engineer-in-Training (CA) No. 165948
Qualified SWPPP Developer/Practitioner
(CA) No. 27593
Certified Erosion, Sediment and Stormwater Inspector; Certified Professional in Stormwater Quality in training; Hazardous & Universal Waste Awareness; First Aid, CPR, AED; 40-Hr. HAZWOPER with current Annual 8-Hr. Refresher WQMP Plan Review, Southern California
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm AAssssiissttaanntt EEnnggiinneeeerr.. Mr. Bautista is assisting with reviewing Water Quality Management Plans (WQMP) on behalf of the City of Beaumont, Riverside County Transportation Department, County of San Bernardino and City of Dana Point. Status: Current
San Mateo Substation, City of San Clemente, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm AAssssiissttaanntt EEnnggiinneeeerr.. Mr. Bautista assisted with developing a Water Quality Management Plan (WQMP) for a San Diego Gas & Electric substation rebuilt project. He performed calculations to Drainage Management Areas (DMA) to generate the Design Capture Volume and design flow rates for the proposed proprietary biofiltration device. He also took part in developing CAD exhibit to demonstrate DMA areas.
2021
As-Needed Stormwater Services, UC San Diego (UCSD), San Diego, CA Mr. Bautista supported this As-Needed Stormwater Contract in which NV5 is providing Owner’s rep services to support UCSD’s stormwater program, mainly related to the Construction General Permit (CGP) and the Phase II NPDES Permit.

Status: Current
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Rio Estrella Development, Bonsall, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm AAssssiissttaanntt EEnnggiinneeeerr.. Mr. Bautista assisted with developing a Water Pollution Control Plan for an underground utility project, which was submitted to Caltrans. His services included gaining familiarity with the Caltrans SWPPP/WPCP template and Caltrans BMP Manual. Selected appropriate BMPs and outlined where recommended BMPs should be placed on the site map. 2018
Water Quality Management Plan, City of Santa Ana, CA 2021 BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm AAssssiissttaanntt EEnnggiinneeeerr.. Mr. Bautista assisted with developing a Water Quality Management Plan (WQMP) for the City of Santa Ana. The site improvements were categorized as a redevelopment project to make improvements to a pedestrian and bike walkway along the City’s right-of-way.

City of Compton — Plan Check and Traffic Engineering Services NV5 | 39 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
a.
b.
c.
d.
(1) TITLE AND LOCATION (City and State)
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e.
(3)
(3)
(3)
(3)

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3)
Thomas Grace, EIT Plan Check Engineer 24 years 6 years
On-Call Public Works Inspection and Plan Check Services, City of Beaumont, CA
NV5, Inc., 15092 Avenue of Science, Suite 200, San Diego, CA 92128 B.S. Civil Engineering Engineer-in-Training (CA) No. 103177 BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt EEnnggiinneeeerr.. Duties included drainage study reviews, assuring submitted drainage reports adhered to the City’s standards and providing review comments to be addressed for approval. Projects reviewed include 1010 West 4th Street WQMP, PA 33 Active Adult Development SWPPP Review, Heartland Development Drainage Study, Four Seasons Development Drainage Study, Olivewood Sewer Plans Review, and Any Size RV, Trailer and Boat Storage WQMP. Status: Current Drainage & WQMP Plan Reviews, County of Riverside, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt EEnnggiinneeeerr.. Performed reviews of Water Quality Management Plans and Hydrology Reports associated with new development and significant redevelopment projects, and plan check services for private development projects for compliance with the county’s MS4 permits and the Riverside County WQMP for Urban Runoff. Review of P-WQMPs, F-WQMPs, Hydraulic and Hydrology reports, floodplain studies, and grading plans. Status: Current Drainage Study Reviews, City of Imperial Beach, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt EEnnggiinneeeerr.. Duties included drainage study reviews, assuring submitted drainage reports adhered to the City’s standards and provided review comments to be addressed for approval. Projects reviewed include Eight Alley Paving Project, 1337 Molly Ave., and 245 Evergreen Ave. Status: Current Drainage Study Reviews, City of Dana Point, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt EEnnggiinneeeerr.. Duties included drainage study reviews, assuring submitted drainage reports adhered to the City’s standards, precise grading and sewer review and providing review comments to be addressed for approval. Status: Current Civil & Water Quality Management Plan Check Services,
County of San Bernardino, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt EEnnggiinneeeerr.. Provided engineering development review services for a variety of projects ranging from single-family development to large, multiphase subdivisions and commercial projects with significant public infrastructure requirements.

NV5 reviewed Hydraulic and Hydrologic Analyses, Water Quality Management Plans (WQMPs), erosion control plans, soils reports, private grading, and public improvement plans. Status: Current City of Compton — Plan Check and Traffic Engineering Services NV5 | 40 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
a.
b.
c.
d.
(1) TITLE AND LOCATION (City and State)
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e.

Check if project performed with current firm
Check if project performed with current firm
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE (3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE (3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm
Check if project performed with current firm
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm Nhut Pham, EIT Plan Check Engineer 5 years 6 months
NV5, Inc., 163 Technology Drive, Suite 100, Irvine, CA 92618 B.S. Civil Engineering Engineer-in-Training (CA) No. 163240 Public Works Plan Check, Cities of Santa Ana, Fullerton and Chino, CA PPrroojjeecctt EEnnggiinneeeerr.. Mr. Pham provided plan checks for private developments within the cities. He performed technical review for Water Quality Management Plans and civil engineering plans (precise grading, streets, water/wastewater, erosion control).

Havenhurst Drive and Fountain Avenue Traffic Signal, City of West Hollywood, CA
PPrroojjeecctt EEnnggiinneeeerr.. Mr. Pham provided plans and cost estimates for the street rehabilitation of this intersection improvement project. Improvements included new ADA curb ramps, sidewalk, bulb-out (curb extension), and new AC pavement.

Concrete Street Pavement Reconstruction, City of Newport Beach, CA PPrroojjeecctt EEnnggiinneeeerr.. Mr. Pham provided plans, specifications and cost estimates for concrete street rehabilitation.

Improvements included construction of new concrete pavement and sidewalk and installation of new storm drain pipes and catch basins.

Citywide Curb Ramp Program, City of Long Beach, CA
PPrroojjeecctt EEnnggiinneeeerr.. Mr. Pham provided plans for construction of 50 curb ramps in the City. Improvements included new curb ramp construction and reconstruction of asphalt pavement, landscape, signage and striping.

Sewer Main Along Portuguese Bend, City of Rolling Hills, CA PPrroojjeecctt EEnnggiinneeeerr.. Mr. Pham is providing engineering design services for the project. The City evaluated the feasibility of connecting a portion of the City to a nearby existing wastewater conveyance system. Based on the sewer feasibility study, it was recommended to install a new 8-inch sewer main along Portuguese Bend Road and upgrade the existing sewer main along Rolling Hills Road to a 10-inch and 12-inch sewer main prior to connecting to the Los Angeles County Trunk line. Status: Current 2021
2021
2020
2020
City of Compton — Plan Check and Traffic Engineering Services NV5 | 41 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
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(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e. Check if project performed with current firm
(3)
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE (3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm
Check if project performed with current firm
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3)
Michael Rocco Plan Check Engineer 6 years22 years
NV5, Inc., 163 Technology Drive, Suite 100, Irvine, CA 92618 AutoCAD University
NV5 Project Manager Course
CADD Drafting & Technical Drawing Certificate; American Public Works Association On-Call Plan Check + Public Works Inspection Services, City of Beaumont, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPllaann CChheecckk EEnnggiinneeeerr.. Mr. Rocco is providing review of as-needed private development projects. Services include subdivision and parcel map review, grading, public and private street and utility improvements, storm drain, sewer, erosion control, geotechnical, hydrology/hydraulic, structural, water quality/NPDES, and landscape reviews. Status: Current On-Call Plan Check Services, City of Pico Rivera, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPllaann CChheecckk EEnnggiinneeeerr.. Our team is contracted with the City to provide reviews of subdivision maps, parcel maps, boundary adjustments and legal descriptions; grading plans; street improvement plans; utility improvement plans; stormwater quality management plans; hydrology and hydraulic calculations and reports; engineer’s cost estimate; engineer’s reports, including stormwater pollution prevention plans; and erosion and sediment control plans review. Status: Current Alley Paving Project, City of Imperial Beach, CA
SSeenniioorr DDeessiiggnneerr.. Mr. Rocco was responsible for the preparation of plans, specifications and construction estimates of an award-winning “Green Streets” project. It incorporated Low Impact Development techniques and complied with new stormwater regulations. The improved alley design called for a ‘V’ shaped cross-section with a 2-foot strip of pervious concrete along the center flowline with filtration material and an underdrain connecting to an existing storm drain system.

Citracado Parkway Extension, City of Escondido, CA
SSeenniioorr TTrraannssppoorrttaattiioonn DDeessiiggnneerr.. Mr. Rocco prepared geometric design, alignment, profile, and grading for a new roadway connection, including a bridge across Escondido Creek. He prepared design for various alternatives, including earthwork analysis, retaining wall layout, sight distance calculations, intersection details, striping plans, quantity calculations, cost estimates, and right-of-way maps. He developed geometric details for a Class I bike path adjacent to Escondido Creek.

Encinitas Boulevard Safe Routes To Schools, City of Encinitas, CA SSeenniioorr TTrraannssppoorrttaattiioonn DDeessiiggnneerr.. Mr. Rocco was responsible the preparation of Plans, Specifications, and Cost Estimate (PS&E) for improvements on the north side of Encinitas Boulevard. The project included design of curb, gutter, sidewalk, and retaining wall improvements to allow safer access to the nearby Oak Crest Middle School and the City of Encinitas Community & Senior Center.
2017
2012
2014
City of Compton — Plan Check and Traffic Engineering Services NV5 | 42 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
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(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e. Check if project performed with current firm
(3)
(3)
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm (3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3)
Amir Mansour, EIT Plan Check Engineer 1 year4 years
NV5, Inc., 163 Technology Drive, Suite 100, Irvine, CA 92618 B.S. Civil Engineering Engineer-in-Training (CA) No. 166032 Staff Augmentation, City of San Juan Capistrano, CA 2021 BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPllaann CChheecckk EEnnggiinneeeerr//AAssssoocciiaattee EEnnggiinneeeerr.. Mr. Mansour's duties included providing as-needed plan review services, including grading plans, street improvements, and encroachment permits; reviewing the City’s existing sewer and storm drain facilities and prioritizing rehabilitation projects; and assisting on CIP projects. Mr. Mansour also assisted the City with as-needed miscellaneous engineering duties, such as preliminary designs for conversion of septic to public sewer lines.

Diversion Pipeline, City of Culver City, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt EEnnggiinneeeerr.. Mr. Mansour provided engineering support services for this project, which included the construction of diversion sewer pipes to abandon Mesmer and Overland Sewer Pump Stations. The goal of the project is to divert flows from four of the City’s sewer pump stations to a new sewage pump station, Bankfield Station. 2021
Sewer Main Along Portuguese Bend, City of Rolling Hills, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt EEnnggiinneeeerr.. The City evaluated the feasibility of connecting a portion of the City to a nearby existing wastewater conveyance system. Based on the study, it was recommended to install a new 8-inch sewer main along Portuguese Bend Road and upgrade the existing sewer main along Rolling Hills Road to a 10-inch and 12-inch sewer main prior to connecting to the Los Angeles County Trunk line. Status: Current
Engineering Technician, County of Riverside, CA 2021
Designed water improvement, sewer improvement, and fire service plans for residential and commercial developments in the County of Riverside. Utilized Civil 3D to create pipe networks, profile views, and set up plan sheets. Contacted the plan checkers and addressed comments until final approval. Designed and prepared street light plans, and signing and striping plans. In addition, he prepared street improvement plans and collaborated on street profile designs.

City of Compton — Plan Check and Traffic Engineering Services NV5 | 43 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
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(1) TITLE AND LOCATION (City and State)
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e.

Check if project performed with current firm
Check if project performed with current firm
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE (3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE (3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm
Check if project performed with current firm
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm J Braley, PLS Plan Check Engineer 3 months41 years
NV5, Inc., 15092 Avenue of Science, Suite 200, San Diego, CA 92128 General Education, Virginia Polytechnic University, VA; All courses Land Survey-related, Santa Ana College, CA; Land Surveying Fundamentals, CSU Fresno, CA; AutoCAD level 1 & level 2, Sacramento State University, CA; Global Positioning Survey Class, Los Rios Community College, CA; GIS class, Sierra College, CA Professional Land Surveyor (CA) No. 8446
(NV) No. 19903
Olivewood Project, City of Beaumont, CA
Olivewood is a 982-lot, 12-phase subdivision project by William Lyon Homes. The scope of work included design surveying, including aerial and ground-specific topographic mapping, on/off-site street dedication easements, and construction staking for all 12 phases.

Various Construction Staking Projects, Southern California SSuurrvveeyy MMaannaaggeerr.. Clients included KB Homes, Irvine Company, Watson Land Company, William Lyon Homes, Griffin Homes, Beazer Homes, Driver SPG, among others. Mr. Braley was responsible for survey crew coordination, survey calculations, job logistics and quality control on all of the construction sites while maintaining a cordial relationship with clients, consultants and contractors.

Torrance Unified School District, City of Torrance, CA
SSuurrvveeyy MMaannaaggeerr.. Contracted to provide detailed topographic survey maps for over 20 elementary, middle, and high schools.

Mr. Braley was responsible for GPS control, coordination with the aerial mapping consultant, logistics on the ground-specific topography, boundary resolution and managing the drafting of the final products, which were a compilation of the aerial mapping and the ground-specific topography surveys.

Rancho Santiago Community College District, Orange County, CA Projects within the district included ALTA of Santiago Canyon College, ADA Compliance Survey Santiago Canyon College, ALTA Santa Ana College, identifying and curing title and easement discrepancies on both college sites. 2020
2021
2020
2021
City of Compton — Plan Check and Traffic Engineering Services NV5 | 44 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
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(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e. Check if project performed with current firm
(3)
(3)
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm (3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3)
Jay Fahrion, PLS Plan Check Engineer 31 years43 years
NV5, Inc., 15092 Avenue of Science, Suite 200, San Diego, CA 92128 Professional Land Surveyor (CA) No. 8207
AQMD PM-10 Certificate
On-Call Public Works Inspection and Map/Plan Check Services, City of Beaumont, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm AAccttiinngg CCiittyy SSuurrvveeyyoorr for the City of Beaumont under contract with NV5. Responsibilities include review of all Tract Maps, Parcel Maps, Lot Line Adjustments and Certificate of Corrections prepared in the City of Beaumont. Sign and seal all documents and Maps that are required in the duties of the City Surveyor. Status: Current On-Call Surveying Services, City of La Quinta, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm Suurrvveeyy MMaannaaggeerr providing on-call services. Work included Street Cross Sections on Monroe Street at Mountain View Lane; Topographic Survey of the La Quinta Library; Construction Staking Services for the West Parking Lot of La Quinta Library; Topographic Survey of the Art Park of the Desert at Avenida Montezuma; Construction Staking services for Fritz Burns Park; Tie out of existing monument at the Intersection of Avenue 52 and Jefferson Street. Status: Current On-Call Surveying Services, City of Indio, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm SSuurrvveeyy MMaannaaggeerr for on-call services as requested by the Public Works Department. Services include topographic survey of the Indio Safety Campus and Boundary Survey and preparation of a Parcel Map at Dr. Carreon Boulevard. All Services were completed as scheduled and all information was provided to the City. Status: Current City of Compton — Plan Check and Traffic Engineering Services NV5 | 45 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
a. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
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(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e.

Check if project performed with current firm
Check if project performed with current firm
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE (3)
(3)
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3)
Nona Espinosa, PE Plan Check Engineer
b. WITH CURRENT FIRM
25 years31 years
Focused Update to City Drainage Master Plan, City of Imperial Beach, CA NV5, Inc., 15092 Avenue of Science, Suite 200, San Diego, CA 92128 B.S. Civil Engineering Civil Engineer (CA) No. C-60547
Erosion Control Compliance with NPDES Phase II; Erosion Control Compliance and Rolled Erosion Control Pro; American Public Works Association BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm Ms. Espinosa performed hydrologic/hydraulic engineering services to model the surface drainage system for four areas.

Reviewed previous storm drainage study report and evaluated and performed hydrology calculations for storm events. Created the hydraulic model to evaluate the feasibility of constructing a local stormwater pump system to alleviate flooding conditions under design storms, as well as possible diversions and options for attenuating low-flow events. Status: Current

PROFESSIONAL SERVICES
Canyon Road Bridge Replacement Project, City of Moraga, CA Ms. Espinosa performed hydrologic/hydraulic engineering services for a bridge replacement project. Prepared technical memorandum hydrologic and hydraulic assessment for the Canyon Road West Branch San Leandro Creek (Moraga Creek) (Bridge No. 28C0137) under the existing conditions. She presented the hydraulic analysis and any unusual aspects of the design that require special attention, and clarify the procedures, methodology, and criteria used in the analysis. Status: Current Newell Road Bridge Replacement at San Francisquito Creek, City of Palo Alto, CA
Interstate 80/680/12 Interchange PS&E – ICP, Solano County, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm Ms. Espinosa performed hydrologic/hydraulic engineering services for the replacement of a structurally and hydraulically deficient bridge at San Francisquito Creek. This bridge replacement is part of an overall project to increase the hydraulic capacity of the San Francisquito Creek channel and provide 100-year flood protection. Funding for this project is coming in part from the federal Highway Bridge Program. Status: Current BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm Ms. Espinosa performed the hydrology and hydraulic analysis for the initial phase of the project. Provided the biofiltration basin design and calculations to comply with NPDES c.3 regulations for stormwater treatment. The ICP project consisted of widening and realigning a mile of the I-80 mainline freeway lanes; constructing a new local interchange at Green Valley Road along with the demolition of the existing substandard interchange, and constructing a new freeway connector ramp from I-80W to SR 12W. 2003

PROFESSIONAL SERVICES
City of Compton — Plan Check and Traffic Engineering Services NV5 | 46 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
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PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
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(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e. Check if project performed with current firm
(3)
(3)
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm (3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3)
Gene Custenborder, PG, CEG Plan Check Engineer 38 years 15 years NV5, Inc., 15092 Avenue of Science, Suite 200, San Diego, CA 92128 B.S. Geology Registered Geologist (CA) No. 3992
Certified Engineering Geologist (CA) No. 1319
Geotechnical Reviews, Southern California
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm Mr. Custenborder has provided peer review services for the following agencies: City of San Diego, City of Santee, City of Encinitas, City of Poway, City of Menifee, City of San Bernardino, and City of Carlsbad. The services consisted of reviewing geotechnical reports and to provide an opinion as to whether the geotechnical aspects of proposed projects had been appropriately identified, analyzed, addressed and reported. Status: Current On-Call Plan Check and Engineering Services, City of Menifee, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm Mr. Custenborder provided geotechnical-related reviews, including soil reports and specialty inspections, as part of the project team on this contract awarded by the City of Menifee to support development review and to provide design of capital projects. NV5 was retained to work with City staff in reviewing development projects for conformance to City codes and other development standards. Status: Current
On-Call Public Works Inspection and Plan Check Services, City of Beaumont, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm Mr. Custenborder provided geotechnical-related reviews of private development projects and public works inspection services. NV5 reviews all plans and associated technical reports for clarity, format, completeness, and conformance to the City’s grading and roadway criteria, industry-standard design procedures, permit requirements, and conditions of development. Status: Current
City of Compton — Plan Check and Traffic Engineering Services NV5 | 47 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
a.
b.
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(1) TITLE AND LOCATION (City and State)
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e.

Check if project performed with current firm(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE (3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE (3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm
Check if project performed with current firm
(3)

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm Carl Henderson, PE, GE Plan Check Engineer 23 years 3 1/2 years NV5, Inc., 15092 Avenue of Science, Suite 200, San Diego, CA 92128 Ph.D. Civil Engineering
M.S. Civil Engineering (Geotechnical)
B.S. Civil Engineering
Geotechnical Engineer (CA) No. 2886
Civil Engineer (CA) No. 71115
Society of American Military Engineers (SAME); American Society for Civil Engineers (ASCE) On-Call Public Works Inspection and Plan Check Services, City of Beaumont, CA
PPrriinncciippllee GGeeootteecchhnniiccaall EEnnggiinneeeerr.. Mr. Henderson is serving as Principal Geotechnical Engineer for geotechnical-related reviews of private development projects and public works inspection services. NV5 reviews all plans and associated technical reports for clarity, format, completeness, and conformance to the City’s grading and roadway criteria, industry-standard design procedures, permit requirements, and conditions of development. Status: Current Annual Residential Street Rehabilitation, City of Compton, CA GGeeootteecchhnniiccaall EEnnggiinneeeerr.. Mr. Henderson provided geotechnical engineering services for the project. The scope of work includes review and analysis of the City’s existing Pavement Management Study; research of the City’s existing street plan information; performing necessary soil investigations and coring samples; utilities notification and coordination; topographic survey; field review; and improvements to street pavement, street drainage, curb and gutter, sidewalk, and ADA curb ramps. 2019
Beryl Street Drainage and Street Improvements, City of Redondo Beach, CA GGeeootteecchhnniiccaall EEnnggiinneeeerr.. The project includes roadway, intersection and drainage improvements, including green street elements; modifications to catch basins; pedestrian crossing enhancements through curb ramp and pedestrian signal upgrades; incorporation of Living Street Design principles, traffic calming elements; and signing and striping. Status: Current Residential Slurry Seal and Arterial Roadway Rehabilitation, City of Placentia, CA
GGeeootteecchhnniiccaall EEnnggiinneeeerr.. Mr. Henderson provided geotechnical engineering services for the City’s various streets and ADA ramps rehabilitation. The project includes the rehabilitation of existing pavement and sidewalks and traffic signal modifications.
2019
Mitigation of Paseo de Colinas Seepage, City of Laguna Niguel, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt MMaannaaggeerr.. NV5’s geotechnical and engineering geology services included the review of available literature on subsurface conditions, drilling and associated documentation of seven (7) borings, appropriate laboratory testing for assessment of subsurface characteristics, and engineering evaluation of the data collected to develop geotechnical recommendations for the proposed mitigation of seepage conditions. 2020
STANDARD FORM 330 (REV. 7/2021) PAGE 2
City of Compton — Plan Check and Traffic Engineering Services NV5 | 48 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
a.
b.
c.
d.
(1) TITLE AND LOCATION (City and State)
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e. Check if project performed with current firm
(3)
(3)
(3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm (3) BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3)
Akram Hindiyeh, PE, TE Traffic Engineer 5 years40 years NV5, Inc., 163 Technology Drive, Suite 100, Irvine, CA 92618 M.S. Civil Engineering
B.S. Civil Engineering
Civil Engineer (CA) No. 28510
Traffic Engineer (CA) No. 1452
OCTA Prequalified Pavement Inspector
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm City Engineering (Staff Augmentation), City of Villa Park, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm CCiittyy EEnnggiinneeeerr.. Mr. Hindiyeh provided direct city engineering services. Our team provides services including plan checking; developing, reviewing, and modifying civil engineering plans, designs and specifications for public works projects; implementing modern methods and techniques used in the design and construction of municipal projects; providing construction management and inspection for public works projects; federal funding administration; and technical report writing.

General Engineering (Staff Augmentation), City of Laguna Woods, CA PROFESSIONAL SERVICES BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm CCiittyy//TTrraaffffiicc EEnnggiinneeeerr.. Mr. Hindiyeh and our team provide traffic and general engineering services. Services include conducting and reviewing traffic engineering, traffic analysis, and transportation planning studies; providing analysis of existing and projected traffic conditions; providing electronic traffic control device studies and design; performing pedestrian studies; plan check services; and reviewing new development projects involving traffic impact analysis, modeling, and road impact fee analyses. Status: Current On-Call City Engineering (Staff Augmentation), City of La Habra Heights, CA CCiittyy EEnnggiinneeeerr.. Mr. Hindiyeh provides plan check services for all City plan reviews. Our team is providing comprehensive engineering services for assistance with project management, construction management and inspection, civil engineering design, NPDES, reviewing preliminary grading on planning applications, plan check applications, plan check for engineering and grading, and review and approval of tentative and final tract maps. Status: Current 2022
City of Compton — Plan Check and Traffic Engineering Services NV5 | 49 E. STANDARD FORM 330

12. NAME 13. ROLE IN THIS CONTRACT

18. OTHER PROFESSIONAL QUALIFICATIONS (Publications, Organizations, Training, Awards, etc.) E. RESUMES OF KEY PERSONNEL PROPOSED FOR THIS CONTRACT
(Complete one Section E for each key person.)

14. YEARS EXPERIENCE
b. WITH CURRENT FIRMa. TOTAL

17. CURRENT PROFESSIONAL REGISTRATION (State and Discipline)16. EDUCATION (Degree and Specialization)

15. FIRM NAME AND LOCATION (City and State)
STANDARD FORM 330 (REV. 7/2021) PAGE 2
a.
b.
c.
d.
(1) TITLE AND LOCATION (City and State)
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
e.
(3)
(3)
(3)
(3)

19. RELEVANT PROJECTS
(1) TITLE AND LOCATION (City and State) (2) YEAR COMPLETED PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
(2) YEAR COMPLETED
(3)
James Miller, PE Traffic Engineer
B.S. Civil Engineering
15 years 1 year
Civil Engineer (CA) No. 82522
NV5, Inc., 15092 Avenue of Science, Suite 200, San Diego, CA 92128 American Society of Civil Engineers (ASCE); American Public Works Association (APWA) Awards Chair 2013-2019; Adjunct Professor, Civil Engineering, San Diego State University, 2014; Aztec Mentoring Program, San Diego State University, 2013-present CityPlace Development – Phase I Plan Check,, City of Santa Clara, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm SSeenniioorr PPrroojjeecctt MMaannaaggeerr.. Mr. Miller was responsible for reviewing traffic signals, signing and striping, and street lighting design plans and photometrics prepared by others, on behalf of the City of Santa Clara. He reviewed the plans to assure conformance with the California MUTCD and Caltrans Standard Plans and provided comments to the designers. Status: Current Black Forest Road Widening Plan Check, City of Colorado Springs, CO BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm SSeenniioorr PPrroojjeecctt MMaannaaggeerr.. Mr. Miller served as Senior Project Manager responsible for reviewing traffic signal design plans prepared by others, on behalf of the City of Colorado Springs. Mr. Miller reviewed the plans to assure conformance with the Colorado MUTCD and Colorado Standards and provided comments to the designers.

In and Out Traffic Study Review, City of National City, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm SSeenniioorr PPrroojjeecctt MMaannaaggeerr.. Mr. Miller was responsible for the review of a traffic impact study prepared by others, on behalf of the City of National City. Mr. Miller reviewed the traffic study per local and state guidelines and requirements. Mr. Miller worked closely with the City to understand the City’s concerns and prepared a memorandum. Status: Current SR-1 Jamboree Road to Santa Ana River Traffic Signals,
City of Newport Beach, CA
BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt MMaannaaggeerr//PPrroojjeecctt EEnnggiinneeeerr.. Mr. Miller was responsible for designing traffic signal modification plans for 13 traffic signals along Pacific Coast Highway (SR-1). Modifications included ADA and pedestrian upgrades, new loop detectors and count stations. Mr. Miller worked closely with Caltrans District 12 staff to expedite approval of the PS&E package.

PCH Ruby Street to Ledroit Street Traffic Signals, City of Laguna Beach, CA BRIEF DESCRIPTION (Brief scope, size, cost, etc.) AND SPECIFIC ROLE Check if project performed with current firm PPrroojjeecctt MMaannaaggeerr//PPrroojjeecctt EEnnggiinneeeerr.. Mr. Miller managed the design of traffic signal modification plans for 18 intersections along PCH (SR-1). Modifications included ADA and pedestrian upgrades and new loop detectors. He worked closely with Caltrans District 12 to expedite the project.
2021
2020
2020
City of Compton — Plan Check and Traffic Engineering Services NV5 | 50 E. STANDARD FORM 330
F. EXAMPLE PROJECTS WHICH BEST ILLUSTRATE PROPOSED TEAM'S

QUALIFICATIONS FOR THIS CONTRACT
(Present as many projects as requested by the agency, or 10 projects, if not specified.

Complete one Section F for each project.)
a. PROJECT OWNER

21. TITLE AND LOCATION (City and State)

25. FIRMS FROM SECTION C INVOLVED WITH THIS PROJECT

24. BRIEF DESCRIPTION OF PROJECT AND RELEVANCE TO THIS CONTRACT (Include scope, size, and cost)

20. EXAMPLE PROJECT KEY
NUMBER
a.
b.
c.
d.
e.
f.
(1) FIRM NAME (2) FIRM LOCATION (City and State)
(3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State) (3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State) (3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State) STANDARD FORM 330 (REV. 7/2021) PAGE 3
(3) ROLE
(1) FIRM NAME (2) FIRM LOCATION (City and State) (3) ROLE b. POINT OF CONTACT NAME

23. PROJECT OWNER'S INFORMATION
c. POINT OF CONTACT TELEPHONE NUMBER
(3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State)

22. YEAR COMPLETED
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
1 On-Call Plan Check Services, City of Pico Rivera, CA
City of Pico Rivera Kenner Guerrero 562.801.4351
Reviews include subdivision maps, parcel maps, boundary adjustments and legal descriptions for conformance with local and state ordinances and laws; grading plans, including preliminary grading, mass grading, rough grading and precise grading plans; street improvement plans, including street widening, rehabilitation and new street plans; utility improvement plans; stormwater quality management plans; hydrology and hydraulic calculations and reports; engineer’s cost estimate for the related items of work for bonding purposes; engineer’s reports, including stormwater pollution prevention plans; erosion and sediment control plans; and geotechnical report review.

Upon receipt of a request for plan check, NV5’s Project Manager prepares a task order proposal letter outlining the proposed scope, cost and timeline for the plan check. Upon award of the task order, NV5’s Project Manager coordinates with the team members and reviews the scope, priorities of the City, plan check expectations, schedule and detailed information regarding deliverable requirements. The plan check review is conducted according to the task order requirements and our proposal. NV5’s Project Manager coordinates and collaborates with the client for on-time delivery of the plan review comments.

Contract Status: Current
Contract Amount: Not-to-Exceed $75,000
NV5, Inc. 163 Technology Drive, Suite
100, Irvine, CA 92618 Prime
NV5, Inc. 15092 Avenue of Science, Suite
200, San Diego, CA 92128 Prime
City of Compton — Plan Check and Traffic Engineering Services NV5 | 51 E. STANDARD FORM 330
F. EXAMPLE PROJECTS WHICH BEST ILLUSTRATE PROPOSED TEAM'S

QUALIFICATIONS FOR THIS CONTRACT
(Present as many projects as requested by the agency, or 10 projects, if not specified.

Complete one Section F for each project.)
a. PROJECT OWNER

21. TITLE AND LOCATION (City and State)

25. FIRMS FROM SECTION C INVOLVED WITH THIS PROJECT

24. BRIEF DESCRIPTION OF PROJECT AND RELEVANCE TO THIS CONTRACT (Include scope, size, and cost)

20. EXAMPLE PROJECT KEY
NUMBER
a.
b.
c.
d.
e.
f.
(1) FIRM NAME (2) FIRM LOCATION (City and State)
(3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State) (3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State) (3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State) STANDARD FORM 330 (REV. 7/2021) PAGE 3
(3) ROLE
(1) FIRM NAME (2) FIRM LOCATION (City and State) (3) ROLE b. POINT OF CONTACT NAME

23. PROJECT OWNER'S INFORMATION
c. POINT OF CONTACT TELEPHONE NUMBER
(3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State)

22. YEAR COMPLETED
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
2 On-Call Plan Check, Inspection, & Stormwater Management Services, City of Beaumont, CA
City of Beaumont Jeff Hart 951.572.3213
NV5 is providing plan check and inspection services for the City of Beaumont on an as-needed basis. Services include subdivision and parcel map review, grading, public and private street and utility improvements, storm drain, sewer, erosion control, geotechnical, hydrology/hydraulic, structural, water quality/NPDES, landscape reviews, and full-time public works inspection.

Upon award of the first contract to NV5 for these services, the NV5 Project Manager met with City staff to discuss procedures, protocol, communication preferences, items of special or significant interest to the client and areas of particular concern within the service area. After discussion with the client and evaluation of the immediate needs of the City, NV5 prepared several project review checklists as well as additional materials to support the project intake/application process at the City development counter. In addition to plan review and application processes, NV5 also prepared similar checklists and template documents to support the City’s water quality management program, public works inspection and bond release process. All NV5 staff assigned to the City’s projects are thoroughly briefed to verify that they understand the scope of City plan review services, schedule and requirements for return delivery of review comments, including protocol for QC reviews. The NV5 project manager and subject matter experts hold regularly scheduled meetings with the client to coordinate project-specifics and discuss items of special significance to the City.

Contract Status: Current
Contract Amount: Open Limit
NV5, Inc. 163 Technology Drive, Suite 100,
Irvine, CA 92618
Prime
NV5, Inc. 15092 Avenue of Science, Suite 200,
San Diego, CA 92128 Prime
City of Compton — Plan Check and Traffic Engineering Services NV5 | 52 E. STANDARD FORM 330
F. EXAMPLE PROJECTS WHICH BEST ILLUSTRATE PROPOSED TEAM'S

QUALIFICATIONS FOR THIS CONTRACT
(Present as many projects as requested by the agency, or 10 projects, if not specified.

Complete one Section F for each project.)
a. PROJECT OWNER

21. TITLE AND LOCATION (City and State)

25. FIRMS FROM SECTION C INVOLVED WITH THIS PROJECT

24. BRIEF DESCRIPTION OF PROJECT AND RELEVANCE TO THIS CONTRACT (Include scope, size, and cost)

20. EXAMPLE PROJECT KEY
NUMBER
a.
b.
c.
d.
e.
f.
(1) FIRM NAME
(3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State) (3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State) (3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State) STANDARD FORM 330 (REV. 7/2021) PAGE 3
(3) ROLE
(1) FIRM NAME (2) FIRM LOCATION (City and State) (3) ROLE b. POINT OF CONTACT NAME

23. PROJECT OWNER'S INFORMATION
c. POINT OF CONTACT TELEPHONE NUMBER
(3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State)

22. YEAR COMPLETED
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
3 On-Call Plan Check Services, City of El Monte, CA
City of El Monte Lee Torres 626.580.2055
NV5 is contracted with the City of El Monte to provide plan check/review services and staff support to oversee the construction of various CIP projects and wireless communications facilities. Reviews include grading, soils report reviews, sewer, water, and storm drain improvements, hydrology reports, SWPPPs, Low Impact Development, street improvement plans, parcel/ tract maps, easements and lot line adjustments. Example projects reviewed include:
• 10725 Mildred Street Grading Plan
• 3161 Granada Avenue Grading Plan
• 2015 East Redstone Street Grading Plan
• 3837 Clark Avenue Grading Plan
• 10141 Olney Street Grading, Drainage, and Erosion Control Plan Upon receipt of a request for plan check, NV5’s Project Manager prepares a task order proposal letter outlining the proposed scope, cost and timeline for the plan check. Upon award of the task order, NV5’s Project Manager coordinates with the team members and reviews the scope, priorities of the City, plan check expectations, schedule, and detailed information regarding deliverable requirements. The plan check review is conducted according to the task order requirements and our proposal. NV5’s Project Manager coordinates and collaborates with the client for on-time delivery of the plan review comments.

Contract Status: Current
Contract Amount: Not-to-Exceed $1,500,000
NV5, Inc. 163 Technology Drive, Suite 100,
Irvine, CA 92618
Prime
(2) FIRM LOCATION (City and State)
City of Compton — Plan Check and Traffic Engineering Services NV5 | 53 E. STANDARD FORM 330
F. EXAMPLE PROJECTS WHICH BEST ILLUSTRATE PROPOSED TEAM'S

QUALIFICATIONS FOR THIS CONTRACT
(Present as many projects as requested by the agency, or 10 projects, if not specified.

Complete one Section F for each project.)
a. PROJECT OWNER

21. TITLE AND LOCATION (City and State)

25. FIRMS FROM SECTION C INVOLVED WITH THIS PROJECT

24. BRIEF DESCRIPTION OF PROJECT AND RELEVANCE TO THIS CONTRACT (Include scope, size, and cost)

20. EXAMPLE PROJECT KEY
NUMBER
a.
b.
c.
d.
e.
f.
(1) FIRM NAME (2) FIRM LOCATION (City and State)
(3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State) (3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State) (3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State) STANDARD FORM 330 (REV. 7/2021) PAGE 3
(3) ROLE
(1) FIRM NAME (2) FIRM LOCATION (City and State) (3) ROLE b. POINT OF CONTACT NAME

23. PROJECT OWNER'S INFORMATION
c. POINT OF CONTACT TELEPHONE NUMBER
(3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State)

22. YEAR COMPLETED
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
4 On-Call Plan Check Services, City of Dana Point, CA
City of Dana Point Matthew Kunk 949.248.3562
NV5 is currently under contract with the City of Dana Point to provide development review services for new projects within the City. NV5 serves as an extension of City staff to review projects involving grading, street and drainage improvements, building foundations and retaining walls, and parcel/tract maps for conformance with City standards, regional, and state regulations, and generally accepted engineering design practices.

Upon award of the first contract to NV5 for these services, the NV5 team leads met with City staff to discuss procedures, protocol, communication preferences, items of special or significant interest to the client and areas of particular concern within the service area. All NV5 staff assigned to the City’s projects are onboarded to verify that they understand the requirements of City plan review, budget and schedule requirements and how project deliverables are to be prepared. The NV5 project manager and subject matter experts communicate with the client to address project-specific considerations and confirm client satisfaction on a regular basis. This regular communication has allowed for increases in staffing and the introduction of new service lines to adjust to our client’s changing needs.

Contract Status: Current
Contract Amount: Not-to-Exceed $300,000
NV5, Inc. Prime163 Technology Drive, Suite 100,
Irvine, CA 92618
NV5, Inc. 15092 Avenue of Science, Suite 200,
San Diego, CA 92128
Prime
City of Compton — Plan Check and Traffic Engineering Services NV5 | 54 E. STANDARD FORM 330
F. EXAMPLE PROJECTS WHICH BEST ILLUSTRATE PROPOSED TEAM'S

QUALIFICATIONS FOR THIS CONTRACT
(Present as many projects as requested by the agency, or 10 projects, if not specified.

Complete one Section F for each project.)
a. PROJECT OWNER

21. TITLE AND LOCATION (City and State)

25. FIRMS FROM SECTION C INVOLVED WITH THIS PROJECT

24. BRIEF DESCRIPTION OF PROJECT AND RELEVANCE TO THIS CONTRACT (Include scope, size, and cost)

20. EXAMPLE PROJECT KEY
NUMBER
a.
b.
c.
d.
e.
f.
(1) FIRM NAME (2) FIRM LOCATION (City and State)
(3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State) (3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State) (3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State) STANDARD FORM 330 (REV. 7/2021) PAGE 3
(3) ROLE
(1) FIRM NAME (2) FIRM LOCATION (City and State) (3) ROLE b. POINT OF CONTACT NAME

23. PROJECT OWNER'S INFORMATION
c. POINT OF CONTACT TELEPHONE NUMBER
(3) ROLE(1) FIRM NAME (2) FIRM LOCATION (City and State)

22. YEAR COMPLETED
PROFESSIONAL SERVICES CONSTRUCTION (If applicable)
5 On-Call Plan Check Services, City of Imperial Beach, CA City of Imperial Beach Tyler Foltz 619.628.2381
NV5 is currently providing engineer/plan check services for this beachside community. The suite of services consists of three major elements: City Engineer services, plan check/development review and design of capital projects. A sample of the task orders under this contract include:
• Breakwater Development Review: plan check of grading, improvement and traffic plans for a 5-acre commercial redevelopment project at Palm Avenue and 9th Street
• MF 1114: review of final Parcel Map for a multi-family project to evaluate conformance to development conditions and requirements of the Subdivision Map Act
• MF 1169 and MF 1170 Development Reviews: review of Tentative Parcel Maps/preliminary grading plans for multi-family infill projects to establish development conditions prior to final design Upon award of the first contract to NV5 for these services, NV5 team leads met with City staff to discuss procedures, protocol, communication preferences, topics of significant interest to the client and areas of particular concern within the service area. All NV5 staff assigned to the City’s projects are onboarded to verify that they understand the requirements of City plan review, budget and schedule requirements and how project deliverables are to be prepared. Project review staff are equipped with checklists, reference materials and supporting documents as needed to provide thorough, consistent reviews, including QA/QC reviews by senior technical staff with appropriate expertise. The NV5 project manager regularly communicates with the client to address project-specific considerations and client satisfaction.

Contract Status: Current
Contract Amount: Not-to-Exceed $350,000
NV5, Inc. Prime163 Technology Drive, Suite 100,
Irvine, CA 92618
NV5, Inc. 15092 Avenue of Science, Suite 200,
San Diego, CA 92128
Prime
City of Compton — Plan Check and Traffic Engineering Services NV5 | 55 E. STANDARD FORM 330
TITLE OF EXAMPLE PROJECT (From Section F)
G. KEY PERSONNEL PARTICIPATION IN EXAMPLE PROJECTS
1 2
3 4
5 6
7 8
9 10
STANDARD FORM 330 (REV. 7/2021) PAGE 4

26. NAMES OF KEY

PERSONNEL
(From Section E, Block 12)

27. ROLE IN THIS

CONTRACT
(From Section E, Block 13)
1 2 3 4 5 6 7 8 9 10

29. EXAMPLE PROJECTS KEY
NUMBER TITLE OF EXAMPLE PROJECT (From Section F) NUMBER

28. EXAMPLE PROJECTS LISTED IN SECTION F
(Fill in "Example Projects Key" section below before completing table.

Place "X" under project key number for participation in same or similar role.) Tamara O'Neal, PE Project Manager X X X X
Padma Asam, PE, QSD/QSP,
LEED AP Plan Check Engineer
Plan Check Engineer

X X X X
Mahrooz Ilkhanipour, PE
David Niknafs, PE
Stephen Novak
Plan Check Engineer
Plan Check Engineer
Plan Check Engineer
Plan Check Engineer
Plan Check Engineer
Art Biscocho
Edgar Bautista, CESSWI,

QSD/P, EIT
Thomas Grace, EIT
Plan Check EngineerNhut Pham, EIT
Plan Check EngineerMichael Rocco
Amir Mansour, EIT
J Braley, PLS
Jay Fahrion, PLS
Plan Check Engineer
Plan Check Engineer
Plan Check Engineer
Nona Espinosa, PE Plan Check Engineer
Gene Custenborder, PG, CEG Plan Check Engineer
Plan Check EngineerCarl Henderson, PE, GE
Akram Hindiyeh, PE, TE Traffic Engineer
Traffic Engineer
X
XX
X X

X X X X

X X X X
X
X
X
X
On-Call Plan Check Services, City of Pico Rivera, CA
On-Call Plan Check, Inspection & Stormwater
Management Services, City of Beaumont, CA
On-Call Plan Check Services, City of El Monte, CA
On-Call Plan Check Services, City of Dana Point, CA
On-Call Plan Check Services, City of
Imperial Beach, CA
X
James Miller, PE
City of Compton — Plan Check and Traffic Engineering Services NV5 | 56 E. STANDARD FORM 330
H. ADDITIONAL INFORMATION

30. PROVIDE ANY ADDITIONAL INFORMATION REQUESTED BY THE AGENCY. ATTACH ADDITIONAL SHEETS AS NEEDED.

I. AUTHORIZED REPRESENTATIVE
The foregoing is a statement of facts.

31. SIGNATURE 32. DATE

33. NAME AND TITLE
STANDARD FORM 330 (REV. 7/2021) PAGE 5
Jeffrey M. Cooper, PE, Vice President
3/16/22
City of Compton — Plan Check and Traffic Engineering Services NV5 | 57 E. STANDARD FORM 330

PART II - GENERAL QUALIFICATIONS
(If a firm has branch offices, complete for each specific branch office seeking work.) a. SIGNATURE

ARCHITECT-ENGINEER QUALIFICATIONS
2a. FIRM (or Branch Office) NAME
2b. STREET
2c. CITY 2d. STATE 2e. ZIP CODE

3. YEAR ESTABLISHED

5. OWNERSHIP
b. Discipline c. Number of Employees

10. PROFILE OF FIRM'S EXPERIENCE
AND ANNUAL AVERAGE REVENUE FOR LAST 5 YEARS
b. Experience
c. Revenue Index
Number
(see below)
STANDARD FORM 330 (REV. 7/2021) PAGE 6

1. SOLICITATION NUMBER (If any)
8a. FORMER FIRM NAME(S) (If any) 8b. YEAR ESTABLISHED

9. EMPLOYEES BY DISCIPLINE
Total
(1) FIRM (2) BRANCH

1. Less than $100,000

2. $100,000 to less than $250,000

3. $250,000 to less than $500,000

4. $500,000 to less than $1 million

5. $1 million to less than $2 million

11. ANNUAL AVERAGE PROFESSIONAL

SERVICES REVENUES OF FIRM
FOR LAST 3 YEARS
(Insert revenue index number shown at right)

7. NAME OF FIRM (If Block 2a is a Branch Office)
6a. POINT OF CONTACT NAME AND TITLE
6c. EMAIL ADDRESS
8c. UNIQUE ENTITY IDENTIFIER
a. Federal Work
b. Non-Federal Work
c. Total Work

12. AUTHORIZED REPRESENTATIVE
The foregoing is a statement of facts.
b. DATE
c. NAME AND TITLE
a. Function
Code
a. Profile
Code
6b. TELEPHONE NUMBER
a. TYPE
b. SMALL BUSINESS STATUS

PROFESSIONAL SERVICES REVENUE INDEX NUMBER

6. $2 million to less than $5 million

7. $5 million to less than $10 million

8. $10 million to less than $25 million

9. $25 million to less than $50 million

10. $50 million or greater
Other Employees
NV5, Inc.
163 Technology Drive, Suite 100
Irvine CA 92618
2016
No
California Corporation
NV5 Global
Jeffrey M. Cooper, Vice President
949.585.0477 [email protected]
CivilSource 2006 603864807

4. UNIQUE ENTITY IDENTIFIER
XYBFFC85YEK9
9 10
10 Jeffrey M. Cooper, Vice President
3/16/2022
A06
C15
E02
E09
F05
G02
G05
H03
H07
H09
H10
L02
O01
P07
P12
S04
S05
S09
T02
T03
U03
W03
8 10
8 8
6 9
10 6
8 8
7 9
6 7
10 7
9 6
9 8
9 8
Airports; Terminals & Hangars; Freight
Construction Management
Educational Facilities; Classrooms
Environmental Impact Studies, Assessmnt
Forensic Engineering
Gas Systems (Propane, Natural, Etc.)
Geospatial Data Conversion
Hazardous, Toxic, Radioactive Waste Rem
Highways; Streets; Airfield Paving; Parking
Hospital & Medical Facilities
Hotels; Motels
Land Surveying
Office Buildings; Industrial Parks
Plumbing & Piping Design
Power Generation, Transmission, Distrib.

Sewage Collection, Treatment, & Disp.

Soils & Geologic Studies; Foundations
Structural Design; Special Structures
Testing & Inspection Services
Traffic & Transportation Engineering
Utilities (Gas & Steam)
Water Supply; Treatment and Distribution
01 02
03 06
08 12
14 15
21 23
24 27
29 30
38 42
48 49
58 60
Acoustical Engineer
Administrative
Aerial Photographer
Architect
CADD Technician
Civil Engineer
Computer Programmer
Construction Inspector
Electrical Engineer
Environmental Engineer
Environmental Scientist
Geotechnical Engineer
GIS Specialist
Geologist
Land Surveyor
Mechanical Engineer
Project Manager
Remote Sensing Specialist
Technician/Analyst
Transportation Engineer
43 767
20 25
246
269
37 158
88 44
55 18
46 52
116
122
285
59 541
23 256
3270
23 6
2 8
5 2
4 11
61 City of Compton — Plan Check and Traffic Engineering Services NV5 | 58 E. STANDARD FORM 330

PART II - GENERAL QUALIFICATIONS
(If a firm has branch offices, complete for each specific branch office seeking work.) a. SIGNATURE

ARCHITECT-ENGINEER QUALIFICATIONS
2a. FIRM (or Branch Office) NAME
2b. STREET
2c. CITY 2d. STATE 2e. ZIP CODE

5. OWNERSHIP
b. Discipline c. Number of Employees

10. PROFILE OF FIRM'S EXPERIENCE
AND ANNUAL AVERAGE REVENUE FOR LAST 5 YEARS
b. Experience
c. Revenue Index
Number
(see below)
STANDARD FORM 330 (REV. 7/2021) PAGE 6

1. SOLICITATION NUMBER (If any)
8a. FORMER FIRM NAME(S) (If any) 8b. YEAR ESTABLISHED

9. EMPLOYEES BY DISCIPLINE
Total
(1) FIRM (2) BRANCH

1. Less than $100,000

2. $100,000 to less than $250,000

3. $250,000 to less than $500,000

4. $500,000 to less than $1 million

5. $1 million to less than $2 million

11. ANNUAL AVERAGE PROFESSIONAL

SERVICES REVENUES OF FIRM
FOR LAST 3 YEARS
(Insert revenue index number shown at right)

7. NAME OF FIRM (If Block 2a is a Branch Office)
6a. POINT OF CONTACT NAME AND TITLE
6c. EMAIL ADDRESS
8c. UNIQUE ENTITY IDENTIFIER
a. Federal Work
b. Non-Federal Work
c. Total Work

12. AUTHORIZED REPRESENTATIVE
The foregoing is a statement of facts.
b. DATE
c. NAME AND TITLE
a. Function
Code
a. Profile
Code
6b. TELEPHONE NUMBER
a. TYPE
b. SMALL BUSINESS STATUS

PROFESSIONAL SERVICES REVENUE INDEX NUMBER

6. $2 million to less than $5 million

7. $5 million to less than $10 million

8. $10 million to less than $25 million

9. $25 million to less than $50 million

10. $50 million or greater
Other Employees
NV5, Inc.
15092 Avenue of Science, Suite 200
San Diego CA 92128

3. YEAR ESTABLISHED
1949
No
California Corporation
NV5 Global
Carmen Kasner, PE, Senior Vice President
858.385.0500 [email protected]

4. UNIQUE ENTITY IDENTIFIER
XYBFFC85YEK9
9 10
10 Carmen C. Kasner, Senior Vice President
3/16/2022
A06
C15
E02
E09
F05
G02
G05
H03
H07
H09
H10
L02
O01
P07
P12
S04
S05
S09
T02
T03
U03
W03
8 10
8 8
6 9
10 6
8 8
7 9
6 7
10 7
9 6
9 8
9 8
Airports; Terminals & Hangars; Freight
Construction Management
Educational Facilities; Classrooms
Environmental Impact Studies, Assessmnt
Forensic Engineering
Gas Systems (Propane, Natural, Etc.)
Geospatial Data Conversion
Hazardous, Toxic, Radioactive Waste Rem
Highways; Streets; Airfield Paving; Parking
Hospital & Medical Facilities
Hotels; Motels
Land Surveying
Office Buildings; Industrial Parks
Plumbing & Piping Design
Power Generation, Transmission, Distrib.

Sewage Collection, Treatment, & Disp.

Soils & Geologic Studies; Foundations
Structural Design; Special Structures
Testing & Inspection Services
Traffic & Transportation Engineering
Utilities (Gas & Steam)
Water Supply; Treatment and Distribution
02 06
08 12
14 15
21 23
24 25
30 38
42 48
50 58
Administrative
Architect
CADD Technician
Civil Engineer
Computer Programmer
Construction Inspector
Electrical Engineer
Environmental Engineer
Environmental Scientist
Fire Protection Engineer
Geologist
Land Surveyor
Mechanical Engineer
Project Manager
Risk Assessor
Technician/Analyst
767
25 246
269
37 158
88 44
55 15
52 116
122
285
4 541
355
3270
9 31
70 64
54 22
1 27
2 16 Construction Manager 48 3
47 Planner: Urban/Regional 18 1
51 Safety/Occupational Health Eng. 7
57 Structural Engineer 18 3
20 307
City of Compton — Plan Check and Traffic Engineering Services NV5 | 59 On-Call Traffic and Engineering Scoring Sheet
IEG 4 INTERWEST 3 LADAYU 5
Rating Criteria
Rater
#1
Rater
#2 Total
Rater
#1
Rater
#32 Total
Rater
#1
Rater
#2 Total
Completeness of Proposal 19 14 33 18 17 35 18 15 33
Demonstrated Understanding of the Scope of Services 19 14 33 19 17 36 17 15 32 Firm's and key project team member's experience in
performing similar work for the public sector with
exceptional tracking and record-keeping capability 19 14 33 19 16 35 17 15 32 Firm's key project team member's record in accomplishing work assignments 14 13 27 14 13 27 14 13 27
The resources to meet a compressed time schedule and
fee required to perform the requested specific services 13 13 26 14 13 27 13 13 26 Schedule of Work 4 2 6 4 3 7 4 3 7
Location of Office 3 3 6 3 3 6 4 3 7
TOTAL 91 73 164 91 82 173 87 77 164
Ranking Order
On-Call Traffic and Engineering Scoring Sheet
NV5 1 GTS 6 TRANSTECH 2
Rating Criteria
Rater
#2
Rater
#3 Total
Rater
#2
Rater
#3 Total
Rater
#2
Rater
#3 Total
Completeness of Proposal 18 18 36 18 14 32 19 17 36
Demonstrated Understanding of the Scope of Services 19 18 37 19 13 32 19 17 36 Quality of Work Previously Performed by Firm 18 18 36 18 14 32 18 18 36 Depth of Resources to Perform Work 14 14 28 14 13 27 14 14 28 Proposed Schedule of Work 14 15 29 13 13 26 14 14 28
Quality of Staff For Work to be Performed 4 4 8 4 3 7 4 4 8 Location of Office 3 4 7 4 3 7 4 3 7
TOTAL 90 91 181 90 73 163 92 87 179
Ranking Order
On-Call Traffic and Engineering Scoring Sheet
Rating Criteria
Rater
#2
Rater
#3 Total
Rater
#2
Rater
#3 Total
Rater
#2
Rater
#3 Total
Completeness of Proposal
Demonstrated Understanding of the Scope of Services
Quality of Work Previously Performed by Firm
Depth of Resources to Perform Work
Proposed Schedule of Work
Quality of Staff For Work to be Performed
Location of Office
TOTAL
Ranking Order
CENTRAL AVENUE PAVEMENT REHABILITATION PROJECT (CIP# 15-03) - CONSTRUCTION MGT.

FIRM RANK # RATER #1 RATER #2 RATER #3 RATER #4 RATER #5 Total AMC 1 94 94 96 87 96 467
LAE 2 78 91 92 81 96 438
INTERWEST 3 90 84 84 98 80 436
CIVIL SOURCE 4 92 89 86 84 83 434
KOA 5 81 84 99 86 80 430
ENGINEERING RSC 6 76 91 92 76 84 419
RTEA 7 79 83 92 74 81 409
SOUTHSTAR 8 75 85 92 79 76 407
AIM 9 75 84 90 73 76 398
FCG 10 73 84 87 72 80 396
June 14, 2022
TO: MAYOR AND CITY COUNCIL
FROM: CITY MANAGER
SUBJECT: A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF

COMPTON AUTHORIZING THE CITY MANAGER TO AMEND

THE PROFESSIONAL SERVICES AGREEMENT TO EXTEND

THE TERMS WITH AND ESTABLISH A PURCHASE ORDER FOR
JMC2 ENGINEERING + SURVEYING TO PROVIDE

ENGINEERING DESIGN AND CONSTRUCTION SUPPORT
SERVICES PURSUANT TO THE ALAMEDA-STATE ROUTE 91

URBAN GREENING/FORESTRY AND WATER RECLAMATION
GRANT PROJECT ($91,481.80)

SUMMARY
This resolution will authorize the City Manager to amend the professional services agreement to extend the terms with and establish a purchase order in the amount of Ninety One Thousand Four Hundred Eighty One Dollars and Eighty Cents ($91,481.80) for JMC2 Engineering + Surveying to provide engineering design and construction support services pursuant to the Urban Greening/Forestry and Water Reclamation Grant Project.

BACKGROUND
In 2018, the City was the recipient of two (2) Urban Greening/Forestry and Water Reclamation Grants from separate State of California agencies: the Natural Resources Agency (“NRA”) and the Department of Forestry and Fire Protection (“Cal Fire”).

Natural Resources Agency Grant
The NRA Grant, titled the “Alameda-SR91 Urban Greening and Water Reclamation Project Greening Compton’s State Route 91 (Agreement No.

U29107-0)”, involves the planting of trees and shrubs, installing irrigation and bioswales, creating water retention and filtration system and installing interpretive signage at the locations of Alameda Street and Artesia Boulevard – State Route 91 Interchange. The project location (i.e. interchange at State Route 91 at South Alameda Street and South Santa Fe Avenue) has eight (8) sites between ramps, Compton Creek, frontage roads, freeway, streets and properties which currently has few trees. The project proposes installation of over 100 carbon sequestering, low water, low drought trees and 200 low water, drought tolerant shrubs to green approximately 8.34 acres of blighted land in and around State Route 91, in addition

12.12.12. Staff Report – Resolution Authorizing Amendment to the Professional Services Agreement with JMC2 Engineering + Surveying
Engineering Design/SR91 Urban Greening/Forestry & Reclamation June 14, 2022, Page 2
to permeable surfacing allowing for storm water infiltration and retention (e.g. bioswales), signage, installation of 1,811 linear feet of fencing, park seating, trash receptacles and solar lights. The Grant amount was for $1,207,921.00.

Cal Fire Grant
The Cal Fire Grant, titled the “Greening Compton’s State Route 91 (Agreement No. 8GG16423)” involves planting of trees and shrubs, installing irrigation and bioswales, creating storm water filtration systems and installing Cal Fire and Compton signage at the locations of State Route 91 Highway and Artesia Boulevard between Central Avenue and Harbor Avenue. This project location (i.e. north side of State Route 91, from the Compton Creek to South Central Avenue) has eight (8) sites bounded by the freeway, frontage roads and freeway ramps which currently has no trees and limited landscaping. The project proposed the installation of 600 trees to decrease greenhouse gas emissions, landscaping, construct 4,150 linear feet of bioswales to reduce soil erosion and provide educational materials about the project to the surrounding communities and schools. The Grant amount was for $580,952.00. Unfortunately, due to the project delay, the City is no longer the recipient of the Cal Fire Grant funding.

On January 16, 2019, the Public Works staff solicited proposals for consulting services to provide the necessary engineering review, design, and recommended services to achieve the goals and requirements outlined in the grants and the preparation of construction documents. The selected firm shall act as the Engineer for the project and shall be responsible for all elements of implementing, design and execution of the project.

On February 13, 2019, proposals were due in the City Clerk’s office; however, no proposals were received. Subsequently, City staff contacted qualified engineering firms to obtain proposals. This effort garnered receipt of two (2) proposals from the following firms:

Firm Location Amount Responsive
JMC2 San Pedro, CA $381,270.40 Yes
CA Urban Foresters, Inc. Long Beach, CA Rate Sheet Only No The City’s Request for Proposals selection criteria indicated that the firm must be licensed to practice civil engineering in the State of California and that the firm provide the cost to provide the necessary engineering review, design and recommended services.

Review of the proposal submitted by California Urban Foresters, Inc. revealed that this firm did not have a licensed civil engineer on staff, failed to provide examples of projects that were representative of the type of projects that the firm had designed in the past five years, did not identify experience with site improvements Staff Report – Resolution Authorizing Amendment to the Professional Services Agreement with JMC2 Engineering + Surveying
Engineering Design/SR91 Urban Greening/Forestry & Reclamation June 14, 2022, Page 3
including owner contact information, final project costs and time frame of projects, did not identify the Lead Engineer that will be responsible for the project, did not identify the individual(s) that will be responsible for information gathering on the project and did not demonstrate and provide specific examples of projects where the identified individual had provided site improvement information, did not describe the project team approach to developing the project from design to completion, and did not demonstrate and provide examples of its ability to complete the design of project of this size and nature within a predetermined schedule.

After careful considerations, City staff determined that the proposal submitted by JMC2 Engineering + Surveying (“JMC2”) demonstrated their possession of the requisite experience, training, expertise and personnel to provide the engineering services needed pursuant to the Alameda-State Route 91 Urban Greenling/Forestry and Water Reclamation Grant Projects, at the fee amount of $381,270.40.

On May 21, 2019, pursuant to Resolution No. 25,027, City Council authorized the City Manager to enter into professional services agreement with JMC2 in an amount not to exceed $381,270.40.

JMC2 is a Los Angeles based, project management and design firm providing public works solutions for a wide variety of projects throughout Southern California.

JMC2 services include: Project Management, Civil Engineering, Structural Engineering, Land Surveying, Permit Processing, and Construction Support. JMC has a twenty one person (21) staff with four licensed professional engineers, one professional land surveyor, one licensed structural engineer, and five (5) engineers in training.

For the projects JMC2 was to provide the following scope of work:

Task 1 – Research
JMC2 team to work with the City of Compton to gather up all available record drawings, hydrology/Hydraulic reports, and technical data related to both project sites.
JMC2 to reach out to utility purveyors for as-builts and future system upgrade plans
Task 2 - Survey and Base Map
JMC2 survey team to research centerline ties and benchmarks through the City. JMC2 to gather and prepare limited topographic and boundary surveys required for plan preparation
JMC2 civil engineers to prepare survey base map for preliminary and final design
Staff Report – Resolution Authorizing Amendment to the Professional Services Agreement with JMC2 Engineering + Surveying
Engineering Design/SR91 Urban Greening/Forestry & Reclamation June 14, 2022, Page 4
Task 3 - Preliminary Design
JMC2 team to meet with the City’s team to get their project vision and to put those ideas onto the survey base map to start the preliminary design process. JMC2 uses a proven process to develop construction documents that includes all team members
Lynn Capouya, Inc. (LCI) will prepare site plans (landscaping, benches, signage, etc.) to send to JMC2 to develop grading and drainage concepts. Coordinate for crossovers, SMART controllers, State AB 1881 water conservation standards and low impact development (LID) drainage
The conceptual plans will be shared and discussed with the City to get their approval before starting the PS&E
JMC2 has full, in-house design capabilities and will develop/compile the 30% plan set with alternatives
Task 4 - Design Documents
The JMC2 team has full, in-house design capabilities and will develop/compile the 90% and final PS&E submissions
JMC2 will develop the following civil engineering plans per Caltrans standards: Title Sheet, Key Map and Line Index, Demolition Plans, Construction Details, Contour Grading and Paving Plans, Drainage Plans, Drainage Details, Utility Plans and Details, Temporary Traffic Control Plans, Construction Area Signs, Summary of Quantities, and Sign Plan and Quantities
LCI will prepare Planting and Irrigation Plans and Details per Caltrans and California AB 1881 standards
LCI understands a big part of their work is water use allocations and calculation. They will coordinate for crossovers, SMART controllers, and LID drainage
Task 5 - Meetings and Coordination
John Cruikshank is the designated Project Manager for the City’s Urban Greening/Forestry and Water Reclamation Project.
The JMC2 team will prepare colorful and easy to understand presentation materials, agendas, minutes, and schedules, as warranted The goal of the project meetings is to ensure the project is meeting the public’s goals while complying with all necessary design standards and staying within the City’s budget
Task 6 - Bidding and Construction Support Services
JMC2 team to attend job walk to answer all questions
JMC2 team to be responsive to critical RFIs, RFCs, and to contractor submittals
Staff Report – Resolution Authorizing Amendment to the Professional Services Agreement with JMC2 Engineering + Surveying
Engineering Design/SR91 Urban Greening/Forestry & Reclamation June 14, 2022, Page 5
JMC2 team to walk the completed project providing written, corrective actions as warranted.
JMC2 team to closeout by providing Record Drawings and critical project correspondence to the City for their records

STATEMENT OF ISSUE
On October 31, 2019, City staff directed JMC2 to stop work on the project due to a lack of funding to complete the project. In June 2021, City staff identified additional funding and requested that the consultant resume design work on the project. However, City staff was informed that the agreement between the City and JMC2 had expired and that a purchase order be prepared allocating the remaining balance due in the amount of 91,481.80.

In order to complete the design work, JMC would need to revise and update the following design documents:

Revised Design Document (Task 4)
Permits and encroachment agreements
Title Sheets
Hydrology study
Demolition Plans
Construction details
Contour grading and paving plans
Utility plans and details
Temporary traffic control plans
Planting plans
Irrigation plans
Erosion control plans
SWPPP
Specifications
Cost estimates
Additional meetings and coordination (Task 5)
JMC2 will conduct a “kick off” meeting along with additional design coordination meetings.

Therefore, in order for the City Manager to amend the professional services agreement to extend the professional service agreement time and issue a purchase order in the amount of $91,481.80 to JMC2 Engineering + Surveying to provide engineering design services and construction support services pursuant to the Urban Greening/Forestry and Water Reclamation Grant Project, City Council’s authorization is necessary.

Staff Report – Resolution Authorizing Amendment to the Professional Services Agreement with JMC2 Engineering + Surveying
Engineering Design/SR91 Urban Greening/Forestry & Reclamation June 14, 2022, Page 6

ALTERNATIVE
There are no other alternatives being recommended at this time. The City desires to complete the design portion of the project pursuant to the Urban Greening Grant.

FISCAL IMPACT
Funds in the amount of $91,481.80 are available in the Public Works Engineering Department 2021-2022 fiscal year budget in Account No. 1001-710-000-4262.

RECOMMENDATION
Staff recommends the City Council adopt the attached Resolution.

JOHN D. STRICKLAND, JR., PROJECT MANAGER

PUBLIC WORKS ENGINEERING DEPARTMENT
APPROVED FOR FORWARDING:

THOMAS THOMAS

CITY MANAGER
RESOLUTION NO. ____________

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF COMPTON

AUTHORIZING THE CITY MANAGER TO AMEND THE PROFESSIONAL

SERVICES AGREEMENT TO EXTEND THE TERM WITH AND ESTABLISH A PURCHASE ORDER FOR JMC2 ENGINEERING + SURVEYING TO PROVIDE

ENGINEERING DESIGN AND CONSTRUCTION SERVICES PURSUANT TO THE ALAMEDA-STATE ROUTE 91 URBAN GREENING/FORESTRY AND
WATER RECLAMATION GRANT PROJECT ($91,481.80)

WHEREAS, in 2018, the City is a recipient of two (2) Urban Greening/Forestry and Water Reclamation Grants from separate State of California agencies: the Natural Resources Agency (“NRA”) and the Department of Forestry and Fire Protection (“Cal Fire”); and
WHEREAS, the NRA Grant, titled the “Alameda-SR91 Urban Greening and Water Reclamation Project Greening Compton’s State Route 91 (Agreement No. U29107-0)”, involves the planting of trees and shrubs, installing irrigation and bioswales, creating water retention and filtration system and installing interpretive signage at the locations of Alameda Street and Artesia Boulevard – State Route 91 Interchange; and WHEREAS, the project location (i.e. interchange at State Route 91 at South Alameda Street and South Santa Fe Avenue) has eight (8) sites between ramps, Compton Creek, frontage roads, freeway, streets and properties which currently has few trees; and
WHEREAS,the project proposes installation of over 100 carbon sequestering, low water, low drought trees and 200 low water, drought tolerant shrubs to green approximately 8.34 acres of blighted land in and around State Route 91, in addition to permeable surfacing allowing for storm water infiltration and retention (e.g. bioswales), signage, installation of 1,811 linear feet of fencing, park seating, trash receptacles and solar lights and the Grant amount was for $1,207,921.00; and WHEREAS,the Cal Fire Grant, titled the “Greening Compton’s State Route 91 (Agreement No. 8GG16423)” involves planting of trees and shrubs, installing irrigation and bioswales, creating storm water filtration systems and installing Cal Fire and Compton signage at the locations of State Route 91 Highway and Artesia Boulevard between Central Avenue and Harbor Avenue; and
WHEREAS,this project location (i.e. north side of State Route 91, from the Compton Creek to South Central Avenue) has eight (8) sites bounded by the freeway, frontage roads and freeway ramps which currently has no trees and limited landscaping; and
WHEREAS,the project proposed the installation of 600 trees to decrease greenhouse gas emissions, landscaping, construct 4,150 linear feet of bioswales to reduce soil erosion and provide educational materials about the project to the surrounding communities and schools; and
WHEREAS, the Grant amount was for $580,952.00 and unfortunately, due to the project delay, the City is no longer the recipient of the Cal Fire Grant funding; and WHEREAS,on January 16, 2019, the Public Works staff solicited proposals for consulting services to provide the necessary engineering review, design, and recommended services to achieve the goals and requirements outlined in the grants and the preparation of construction documents and the selected firm shall act as the Engineer for the project and shall be responsible for all elements of implementing, design and execution of the project; and
Resolution No. _______________

WHEREAS,on February 13, 2019, proposals were due in the City Clerk’s office; however, no proposals were received. Subsequently, City staff contacted qualified engineering firms to obtain proposals. This effort garnered receipt of two (2) proposals from the following firms:

Firm Location Amount Responsive
JMC2 San Pedro, CA $381,270.40 Yes
CA Urban Foresters, Inc. Long Beach, CA Rate Sheet Only No; and WHEREAS,the City’s Request for Proposals selection criteria indicated that the firm must be licensed to practice civil engineering in the State of California and that the firm provide the cost to provide the necessary engineering review, design and recommended services; and
WHEREAS,review of the proposal submitted by California Urban Foresters, Inc. revealed that this firm did not have a licensed civil engineer on staff, failed to provide examples of projects that were representative of the type of projects that the firm had designed in the past five years, did not identify experience with site improvements including owner contact information, final project costs and time frame of projects, did not identify the Lead Engineer that will be responsible for the project, did not identify the individual(s) that would be responsible for information gathering on the project and did not demonstrate and provide specific examples of projects where the identified individual had provided site improvement information, did not describe the project team approach to developing the project from design to completion, and did not demonstrate and provide examples of its ability to complete the design of project of this size and nature within a predetermined schedule; and
WHEREAS,after careful considerations, City staff determined that the proposal submitted by JMC2 Engineering + Surveying (“JMC2”) demonstrated their possession of the requisite experience, training, expertise and personnel to provide the engineering services needed pursuant to the Alameda-State Route 91 Urban Greenling/Forestry and Water Reclamation Grant Projects, at the fee amount of $381,270.40; and WHEREAS,on May 21, 2019, pursuant to Resolution No. 25,027, City Council authorized the City Manager to enter into professional services agreement with JMC2 in an amount not to exceed $381,270.40; and
WHEREAS,JMC2 is a Los Angeles based, project management and design firm providing public works solutions for a wide variety of projects throughout Southern California. JMC2 services include: Project Management, Civil Engineering, Structural Engineering, Land Surveying, Permit Processing, and Construction Support. JMC has a twenty one person (21) staff with four licensed professional engineers, one professional land surveyor, one licensed structural engineer, and five (5) engineers in training; and JMC2 is to provide the following scope of work:

Task 1 – Research
JMC2 team to work with the City of Compton to gather up all available record drawings, hydrology/Hydraulic reports, and technical data related to both project sites
JMC2 to reach out to utility purveyors for as-builts and future system upgrade plans
Resolution No. _____________

Task 2 - Survey and Base Map
JMC2 survey team to research centerline ties and benchmarks through the City. JMC2 to gather and prepare limited topographic and boundary surveys required for plan preparation
JMC2 civil engineers to prepare survey base map for preliminary and final design
Task 3 - Preliminary Design
JMC2 team to meet with the City’s team to get their project vision and to put those ideas onto the survey base map to start the preliminary design process.

JMC2 uses a proven process to develop construction documents that includes all team members
Lynn Capouya, Inc. (LCI) will prepare site plans (landscaping, benches, signage, etc.) to send to JMC2 to develop grading and drainage concepts.

Coordinate for crossovers, SMART controllers, State AB 1881 water conservation standards and low impact development (LID) drainage The conceptual plans will be shared and discussed with the City to get their approval before starting the PS&E
JMC2 has full, in-house design capabilities and will develop/compile the 30% plan set with alternatives
Task 4 - Design Documents
The JMC2 team has full, in-house design capabilities and will develop/compile the 90% and final PS&E submissions
JMC2 will develop the following civil engineering plans per Caltrans standards:

Title Sheet, Key Map and Line Index, Demolition Plans, Construction Details, Contour Grading and Paving Plans, Drainage Plans, Drainage Details, Utility Plans and Details, Temporary Traffic Control Plans, Construction Area Signs, Summary of Quantities, and Sign Plan and Quantities
LCI will prepare Planting and Irrigation Plans and Details per Caltrans and California AB 1881 standards
LCI understands a big part of their work is water use allocations and calculation.

They will coordinate for crossovers, SMART controllers, and LID drainage Task 5 - Meetings and Coordination
John Cruikshank is the designated Project Manager for the City’s Urban Greening/Forestry and Water Reclamation Project.
The JMC2 team will prepare colorful and easy to understand presentation materials, agendas, minutes, and schedules, as warranted The goal of the project meetings is to ensure the project is meeting the public’s goals while complying with all necessary design standards and staying within the City’s budget
Task 6 - Bidding and Construction Support Services
JMC2 team to attend job walk to answer all questions
JMC2 team to be responsive to critical RFIs, RFCs, and to contractor submittals JMC2 team to walk the completed project providing written, corrective actions as warranted.
JMC2 team to closeout by providing Record Drawings and critical project correspondence to the City for their records; and
WHEREAS,on October 31, 2019, City staff directed JMC2 to stop work on the project due to a lack of funding to complete the project and in June 2021, City staff identified additional funding and requested that the consultant resume design work on the project; and
Resolution No.___________

WHEREAS,city staff was informed that the agreement between the City and JMC2 had expired and that a supplemental purchase order be prepared allocating the remaining balance owed in the amount of $91,481.80; and WHEREAS,in order to complete the design work, JMC would need to revise and update the following design documents:

Revised Design Document (Task 4)
Permits and encroachment agreements
Title Sheets
Hydrology study
Demolition Plans
Construction details
Contour grading and paving plans
Utility plans and details
Temporary traffic control plans
Planting plans
Irrigation plans
Erosion control plans
SWPPP
Specifications
Cost estimates
Additional meetings and coordination (Task 5)
JMC2 will conduct a “kick off” meeting along with additional design coordination meetings; and
WHEREAS,funds in the amount of $91,481.80 are available in the Public Works Engineering Department 2021-2022 fiscal year budget in Account No. 1001-710-000- 4262; and
WHEREAS,in order for the City Manager to amend the professional services agreement to extend the professional service agreement time and issue a supplemental purchase order in the amount of $91,481.80 to JMC2 Engineering + Surveying to provide engineering design services and construction support services pursuant to the Urban Greening/Forestry and Water Reclamation Grant Project, City Council’s authorization is necessary.

NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF COMPTON DOES HEREBY RESOLVE AS FOLLOWS:

SECTION 1.That the City Manager, upon the advice and approval of the City Attorney is hereby authorized to amend the professional services agreement to extend the terms with and establish a purchase order in the amount of Ninety One Thousand Four Hundred Eighty One Dollars and Eighty Cents ($91,481.80) for JMC2 Engineering + Surveying to provide engineering design and construction support services pursuant to the Urban Greening/Forestry and Water Reclamation Grant Project.

SECTION 2.That funds in the amount of $91,481.80 are available in the Public Works 2021-2022 Fiscal Year’s budget in Account No. 1001-710-000-4262.

SECTION 3.That a purchase order in the amount of Ninety One Thousand Four Hundred Eighty One Dollars and Eighty Cents ($91,481.80) shall be established for JMC2 for services rendered.

Resolution No.___________

SECTION 4.That copies of this Resolution shall be filed in the offices of the City Manager, City Controller, City Clerk, City Attorney and the Public Works Engineering Department.

SECTION 5.That the Mayor shall sign and the City Clerk shall attest to the adoption of this Resolution.

ADOPTED this _________ day of ____________, 2022.
________________________________

MAYOR OF THE CITY OF COMPTON
ATTEST:
____________________________________

CITY CLERK OF THE CITY OF COMPTON

STATE OF CALIFORNIA

COUNTY OF LOS ANGELES
CITY OF COMPTON: ss
I, Alita Godwin, City Clerk of the City of Compton, hereby certify that the foregoing Resolution was adopted by the City Council of the City of Compton, signed by the Mayor and attested by the City Clerk, at a regular meeting thereof held on the ________ day of ___________________, 2022.

That said Resolution was adopted by the following vote, to wit:

AYES: COUNCIL MEMBERS-
NOES: COUNCIL MEMBERS-
ABSTAIN: COUNCIL MEMBERS-
ABSENT: COUNCIL MEMBERS-
____________________________________

CITY CLERK OF THE CITY OF COMPTON

FIRST AMENDMENT
TO

PROFESSIONAL SERVICES AGREEMENT

BETWEEN

CITY OF COMPTON
AND
JMC2 ENGINEERING + SURVEYING
This FIRST AMENDMENT to the Professional Services Agreement is made by and between the CITY OF COMPTON, a municipal corporation of the State of California (hereinafter referred to as “CITY”) and JMC2 ENGINEERING + SURVEYING (hereinafter referred to as “CONSULTANT”).

RECITALS:

WHEREAS, the City is a recipient of two (2) Urban Greening/Forestry and Water Reclamation Grants from separate State of California agencies: the Natural Resources Agency (“NRA”) and the Department of Forestry and Fire Protection (“Cal Fire”); and WHEREAS, the NRA Grant (“Project 1”), titled the “Alameda-SR91 Urban Greening and Water Reclamation Project Greening Compton’s State Route 91 (Agreement No. U29107-0)”, involves the planting of trees and shrubs, installing irrigation and bioswales, creating water retention and filtration system and installing interpretive signage at the locations of Alameda Street and Artesia Boulevard – State Route 91 Interchange (the Grant amount is $1,207,921.00); and
WHEREAS, the Cal Fire Grant (“Project 2”), titled the “Greening Compton’s State Route 91 (Agreement No. 8GG16423)” involves planting of trees and shrubs, installing irrigation and bioswales, creating storm water filtration systems and installing Cal Fire and Compton signage at the locations of State Route 91 Highway and Artesia Boulevard between Central Avenue and Harbor Avenue (the Grant amount is $580,952.00); and
WHEREAS, the City has determined that it will be prudent to engage the services of a professional and experienced engineering firm to act as the City’s Engineer for this project and be responsible to provide design and engineering services for Urban Greening/Forestry and Water Reclamation Grant Projects; and
WHEREAS, by Resolution No. 25,027, adopted on the 21 st of 2019, the City Council authorized the City Manager to accept the proposal of the Consultant (JMC2 Engineering + Surveying) and enter into a contract to provide the necessary services; and WHEREAS, by Resolution No. _____, adopted on the ___ day of _________ 2022, the City Council authorized the City Manager to enter into a first (1ST ) amendment to the professional services agreement with the Consultant; and
WHEREAS, Consultant warrants that it is specifically trained, experienced, competent, and has the resources to provide such services which will be required by this Project; and WHEREAS, Consultant is willing to render such professional services subject to the terms and conditions set forth in this Agreement.

First Amendment to Professional Services Agreement – JMC2 Engineering + Surveying Compton Boulevard Street Improvement Project
Public Works/Resolution No. ______
2 NOW, THEREFORE, Consultant and City, for the consideration, terms and conditions herein described, do hereby mutually agree to amend the original Agreement as follows:

AMENDMENTS:

1.The parties agree to amend Section 1 – Services to be rendered by Consultant of the original Agreement to authorize the continued performance of the services specified within the original Agreement and expand the scope of services to include performance of the following services:

Task 1 – Research
JMC2 team to work with the City of Compton to gather up all available record drawings, hydrology/Hydraulic reports, and technical data related to both project sites.
JMC2 to reach out to utility purveyors for as-builts and future system upgrade plans
Task 2 - Survey and Base Map
JMC2 survey team to research centerline ties and benchmarks through the City. JMC2 to gather and prepare limited topographic and boundary surveys required for plan preparation
JMC2 civil engineers to prepare survey base map for preliminary and final design
Task 3 - Preliminary Design
JMC2 team to meet with the City’s team to get their project vision and to put those ideas onto the survey base map to start the preliminary design process.

JMC2 uses a proven process to develop construction documents that includes all team members
Lynn Capouya, Inc. (LCI) will prepare site plans (landscaping, benches, signage, etc.) to send to JMC2 to develop grading and drainage concepts.

Coordinate for crossovers, SMART controllers, State AB 1881 water conservation standards and low impact development (LID) drainage The conceptual plans will be shared and discussed with the City to get their approval before starting the PS&E
JMC2 has full, in-house design capabilities and will develop/compile the 30% plan set with alternatives
First Amendment to Professional Services Agreement – JMC2 Engineering + Surveying Compton Boulevard Street Improvement Project
Public Works/Resolution No. ______
3 Task 4 - Design Documents
The JMC2 team has full, in-house design capabilities and will develop/compile the 90% and final PS&E submissions
JMC2 will develop the following civil engineering plans per Caltrans standards:

Title Sheet, Key Map and Line Index, Demolition Plans, Construction Details, Contour Grading and Paving Plans, Drainage Plans, Drainage Details, Utility Plans and Details, Temporary Traffic Control Plans, Construction Area Signs, Summary of Quantities, and Sign Plan and Quantities
LCI will prepare Planting and Irrigation Plans and Details per Caltrans and California AB 1881 standards
LCI understands a big part of their work is water use allocations and calculation.

They will coordinate for crossovers, SMART controllers, and LID drainage Task 5 - Meetings and Coordination
John Cruikshank is the designated Project Manager for the City’s Urban Greening/Forestry and Water Reclamation Project.
The JMC2 team will prepare colorful and easy to understand presentation materials, agendas, minutes, and schedules, as warranted The goal of the project meetings is to ensure the project is meeting the public’s goals while complying with all necessary design standards and staying within the City’s budget
Task 6 - Bidding and Construction Support Services
JMC2 team to attend job walk to answer all questions
JMC2 team to be responsive to critical RFIs, RFCs, and to contractor submittals JMC2 team to walk the completed project providing written, corrective actions as warranted.
JMC2 team to closeout by providing Record Drawings and critical project correspondence to the City for their records

2.The parties agree to amend Section 2 – Duration of Contract of the original Agreement to extend the term of the Agreement to provide that the Agreement shall terminate upon the completion of the project and/or on exhaustion of the authorized maximum compensation of Ninety One Thousand Four Hundred Eighty One Dollars and Eighty Cents ($91,481.80), unless otherwise extended or terminated.

3.The parties agree to amend Section 3 – Compensation of the original Agreement to provide additional compensation to Consultant for services rendered during the extended term of the original Agreement, as specified above, in the not-to-exceed amount of Ninety One Thousand Four Hundred Eighty One Dollars and Eighty Cents ($91,481.80).

4.Except as provided for above, all other terms and conditions of the original Agreement and any amendments thereto between the City and the Contractor all remain in effect.

IN WITNESS WHEREOF, the authorized representatives of the parties have executed this FIRST AMENDMENT to the above-identified PROFESSIONAL SERVICES AGREEMENT.

First Amendment to Professional Services Agreement – JMC2 Engineering + Surveying Compton Boulevard Street Improvement Project
Public Works/Resolution No. ______
4 JMC2/CONSULTANT
Dated: _______________ By ___________________________________________ John M. Cruikshank, P.E., President/CEO
Approved by:

Dated: _______________ By ___________________________________________ Thomas Thomas, City Manager
Approved as to form:

By _________________________________ Dated: ______________ Eric J. Perrodin, City Attorney
ATTEST:

Dated: ___________________ By _____________________________________ Alita Godwin, City Clerk
June 14, 2022
TO: HONORABLE MAYOR AND COUNCIL MEMBERS
FROM: CITY OF COMPTON FIRE CHIEF
SUBJECT: A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF COMPTON AMENDING THE 2021-2022 FISCAL YEAR BUDGET TO

TRANSFER FUNDS FROM THE AMERICAN RESCUE PLAN ACT AND

AUTHORIZING THE CITY MANAGER TO ENTER INTO AN
AGREEMENT WITH SOUTH COAST FIRE EQUIPMENT INC. (PIERCE
MANUFACTURING) FOR THE PURCHASE OF FOUR (4) PIERCE
ARROW XT FIRE ENGINES AND ONE (1) PIERCE ARROW XT 107’
QUINT CAPABLE TRUCK ($4,998,817.35)

SUMMARY
Adoption of this resolution will amend the 2021-2022 Fiscal Year budget to transfer funds from the American Rescue Plan Act in the amount of Four Million Nine Hundred Ninety-Eight Thousand Eight Hundred Seventeen Dollars and Thirty-Five Cents ($4,998,817.35) and authorize the City Manager to enter into an agreement with and issue a purchase order in the amount of Four Million Nine Hundred Ninety-Eight Thousand Eight Hundred Seventeen Dollars and Thirty-Five Cents ($4,998,817.35) to South Coast Fire Equipment Inc. (Pierce Manufacturing) for the purchase of four (4) Pierce Arrow XT fire engines and One (1) Pierce Arrow XT 107’ Quint capable truck.

BACKGROUND
The City’s fire engines are over sixteen (16) years old or older and due to the high volume of emergency responses, the costs of repair to an aging fleet are continuing to increase.

STATEMENT OF ISSUE
In March 2021, as these crises continued, the American Rescue Plan Act (ARPA) of 2021 established the Coronavirus State and Local Fiscal Recovery Funds (SLFRF) to provide state, local, and Tribal governments with the resources needed to respond to the pandemic and its economic effects and to build a stronger, more equitable economy during the recovery; this allows for the acquisition of emergency services equipment per the SLFRF final rule published on May 17, 2021, with amendments.

The City of Compton expects to receive approximately $34 million in aid because of ARPA. On June 10, 2021, the City received ARPA funds from the U.S. Department of the Treasury for $17 million dollars for the first half of the allocation.

13.13.13.13. Staff Report – Resolution authorizing a budget modification And P.O. with South Coast Fire Equipment Inc. (Pierce Manufacturing) June 14, 2022, page 2
The U.S. Department of the Treasury has adopted guidance regarding the use of ARPA funds.

According to the guidance, recipients may use ARPA funds to invest in necessary improvements to respond to the public health emergency or its negative economic impacts.

Please see ARP Final Rule Attached:

According to: Federal Register / Vol. 87, No. 18 / Thursday, January 27, 2022 / Rules and Regulations DEPARTMENT OF THE TREASURY 31 CFR Part 35 RIN 1505–AC77 Coronavirus State and Local Fiscal Recovery Funds AGENCY: Department of the Treasury. ACTION:

Final rule: PAGE 4354 SECTION: FIRE TRUCK AND AMBULANCE EQUIPMENT:
“For clarity, Treasury has addressed the eligibility standard for capital expenditures, or investments in property, facilities, or equipment, in one section of this Supplementary Information; see section Capital Expenditures in General Provisions: Other. In recognition of the importance of capital expenditures in the COVID –19 public health response, Treasury enumerates that the following projects are examples of eligible capital expenditures, as long as they meet the standards for capital expenditures in section Capital Expenditures in General Provisions: Other:
 Improvements or construction of COVID –19 testing sites and laboratories, and acquisition of related equipment;  Improvements or construction of COVID –19 vaccination sites; • Improvements or construction of medical facilities generally dedicated to COVID –19 treatment and mitigation (e.g., emergency rooms, intensive care units, telemedicine capabilities for COVID –19 related treatment);  Expenses of establishing temporary medical facilities and other measures to increase COVID –19 treatment capacity, including related construction costs;  Acquisition of equipment for COVID –19 prevention and treatment, including ventilators, ambulances, and other medical or emergency services equipment;
• Improvements to or construction of emergency operations centers and acquisition of emergency response equipment (e.g., emergency response radio systems);
• Installation and improvements of ventilation systems; • Costs of establishing public health data systems, including technology infrastructure;
• Adaptations to congregate living facilities, including skilled nursing facilities, other long-term care facilities, incarceration settings, homeless shelters, residential foster care facilities, residential behavioral health treatment, and other group living facilities, as well as public facilities and schools (excluding construction of new facilities for the purpose of mitigating spread of COVID – 19 in the facility); and
Mitigation measures in small businesses, nonprofits, and impacted industries (e.g., developing outdoor spaces)”
Staff Report – Resolution authorizing a budget modification And P.O. with South Coast Fire Equipment Inc. (Pierce Manufacturing) June 14, 2022, page 3
An RFP (#113021) was published on October 12, 2021, closed on November 30, 2021, and administered by Sourcewell/72 Hour LLC dba: National Auto Fleet Group (Sourcewell).

Sourcewell is a State of Minnesota local government unit and service cooperative created a competitive public solicitation and contract award process for the benefit of its 50,000+ participating entities across the United States and Canada.

After reviewing the submittal proposals, Sourcewell and staff recommends that, the City purchases four (4) Fire Engines and one (1) Quint capable truck from South Coast Fire Equipment Inc. (Pierce Manufacturing).

City Council approval is needed because the expenditures exceed $25,000 Dollars.

FISCAL IMPACT
The Fire Department request that a Purchase Order be issued in the name of South Coast Fire Equipment Inc. (Pierce Manufacturing) in the amount of $4,998.817.35 (including sales tax, radio allowance, discounts, and fees). The budget shall be amended to receive Funds from ARPA. The funds for this expenditure will be available in the fire departments 2021-2022 Fiscal Year budget in the following Account No.

From:

Increase Revenue Description Amount
2810-690-000-3565 Other Federal Grants $4,998,817.35
To:

Increase Expenditure Description Amount
2810-690-000-4333 Automotive Equipment $4,998,817.35
The funds for this expenditure, in the amount of $4,998,817.35, will be available in the Department’s 2021-2022 Fiscal Year budget in Account No. 2810-690-000-4333.

RECOMMENDATION
Staff recommends that Council adopt attached Resolution.

RONERICK SIMPSON

FIRE CHIEF
APPROVED FOR FORWARDING:

THOMAS THOMAS

CITY MANAGER
RESOLUTION NO. __________

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF COMPTON AMENDING THE 2021-2022 FISCAL YEAR BUDGET TO TRANSFER FUNDS FROM THE

AMERICAN RESCUE PLAN ACT AND AUTHORIZING THE CITY MANAGER TO ENTER INTO AN AGREEMENT WITH SOUTH COAST FIRE EQUIPMENT INC. (PIERCE MANUFACTURING) FOR THE PURCHASE OF FOUR (4) PIERCE ARROW XT FIRE ENGINES AND ONE (1) PIERCE ARROW XT 107’ QUINT CAPABLE TRUCK ($4,998,817.35)
WHEREAS,the Fire Department (“Department”) Fire Engines are essential for safe and efficient emergency response and operation; furthermore, all vehicles are required to meet the Department of Transportation and California Highway Patrol regulatory statues concerning emergency vehicles; and

WHEREAS, the Departments fire engines are over sixteen (16) years old or older and due to the high volume of emergency responses, the costs of repair to an aging fleet are continuing to increase; and
WHEREAS, an RFP (#113021) was published by Sourcewell on October 12, 2021 and closed on November 30, 2021 to receive quotes for Firefighting Apparatus and Fire Service Vehicles; and
WHEREAS, based upon bids received and reviewed, it has been determined that South Coast Fire Equipment Inc. (Pierce Manufacturing) submitted the most responsive, complete and responsible bid (including taxes and fees); and WHEREAS, in selecting South Coast Fire Equipment Inc. (Pierce Manufacturing), which is our current Fire Engine fleet manufacturer and the preferred Fire Engine Manufacturer for Other Area E Cities; and
WHEREAS, Staff is requesting to amend the Departments’ 2021-2022 Fiscal Year budget to transfer funds between accounts as follows:

From:

Increase Revenue Description Amount
2810-690-000-3565 Other Federal Grants $4,998,817.35
To:

Increase Expenditure Description Amount
2810-690-000-4333 Automotive Equipment $4,998,817.35

NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF COMPTON DOES HEREBY RESOLVE AS FOLLOWS:

SECTION 1.That the bid/proposal of South Coast Fire Equipment Inc. (Pierce Manufacturing) for $4,998,817.35 is hereby accepted.

SECTION 2. That the City Manager, on the advice and approval of the City Attorney, is authorized to enter into an agreement with South Coast Fire Equipment Inc. (Pierce Manufacturing) for the purchase of four (4) Fire engines and one (1) Quint capable truck.

Resolution No. ____________

SECTION 3. That the Fire Departments 2021-2022 Fiscal Year budget shall be amended to transfer funds between accounts as follows:

From:

Increase Revenue Description Amount
2810-690-000-3565 Other Federal Grants $4,998,817.35
To:

Increase Expenditure Description Amount
2810-690-000-4333 Automotive Equipment $4,998,817.35
SECTION 4. That a purchase order in the amount of $4,998,817.35 is authorized to be issued for South Coast Fire Equipment Inc. (Pierce Manufacturing) SECTION 5.That funds for this expenditure are available in the Fire Department’s 2021-2022 Fiscal Year budget in Account No. 2810-690-000-4333.

SECTION 6.That a copy of this Resolution shall be forwarded to the offices of the City Clerk, City Manager, City Attorney, City Controller and the Fire Department.

SECTION 7.That the Mayor shall sign and the City Clerk shall attest to the adoption of this Resolution.

ADOPTED this ____ day of _____________ 2022.
_______________________________

MAYOR OF THE CITY OF COMPTON
ATTEST:
_____________________________________

CITY CLERK OF THE CITY OF COMPTON

STATE OF CALIFORNIA

COUNTY OF LOS ANGELES
CITY OF COMPTON: ss
I, Alita Godwin, City Clerk of the City of Compton, hereby certify that the foregoing Resolution was adopted by the City Council, signed by the Mayor and attested by the City Clerk at a regular meeting thereof held on the _____ day of ________________, 2022.

That said Resolution was adopted by the following vote, to wit:

AYES: COUNCIL MEMBERS-
NOES: COUNCIL MEMBERS-
ABSENT: COUNCIL MEMBERS-
ABSTAIN: COUNCIL MEMBERS-
___________________________________

CITY CLERK OF THE CITY OF COMPTON

May 27, 2022
City of Compton Fire Department
201 S. Acacia Ave.

Compton, CA 90220

The undersigned is prepared to manufacture for you, upon an order being placed by you, for final acceptance by Pierce Manufacturing at its corporate office in Appleton, Wisconsin, the apparatus and equipment herein name for the following prices per Sourcewell Contract #113021-PMI
Each Extended
4) Pierce Arrow XT 1500 GPM Triple Combination Pumper $806,555.00 $3,226,220.00 Sourcewell Base Model ID# 789
1) Pierce Arrow XT 107’ Rearmount Quint $1,363,161.00 $1,363,161.00 Sourcewell Base Model ID# 772
1) Radio Allowance $120,000.00 $120,000.00

Total Cost for Apparatus $4,709,381.00

Discounts
100% Prepayment Discount for 4 Pumpers ($33,730.00) ($134,920.00) 100% Prepayment Discount for 1 Rearmount Quint ($52,372.00) ($52,372.00)

Total Discounts ($187,292.00)

Cost of Vehicles after Discounts $4,522,089.00

10.25% Sales Tax $463,514.12
4) Pumper Performance Bond $1,958.91 $7,835.64 1) Rearmount Performance Bond $3,322.59 $3,322.59 4) CA Tire Fee Pumper $10.50 $42.00 1) CA Tire Fee Tractor Drawn Aerial $14.00 $14.00 1) Sourcewell Consortium Fee $2,000.00 $2000.00

Total Pre-Pay Purchase Price $4,998,817.35

Balance Due at Delivery $0.00

Said apparatus and equipment are to be built and shipped in accordance with the specifications here to attached, delays due to strikes, war or international conflict, failures to obtain chassis, materials, or other causes beyond our control not preventing, within about 16-18 months for the Engines, and 13-15 months for the Quint after receipt of this order and the acceptance thereof at our office in Appleton, Wisconsin and delivered to you at Compton,CA.

The specifications herein contained shall form a part of the final contract, and are subject to changes desired by the purchaser, provided such altercations are interlined prior to the acceptance by the company or the order to purchase, and provided such alternations do not materially affect the cost of the construction of the apparatus.

The proposal for the apparatus conforms with all Federal Department of Transportation (DOT) rules and regulations in effect at the time of initial purchase. Any increased costs incurred by the first party because of future changes in or additions to said DOT standards will be passed along to the customers as an addition to the price set forth above.

Unless accepted within thirty (30) days from date, the right is reserved to withdraw this proposition.

South Coast Fire Equipment

Adrian Beyer
Sales Representative

4338 Federal Register / Vol. 87, No. 18 / Thursday, January 27, 2022 / Rules and Regulations 1 Public Law 117–2. https://www.congress.gov/
117/plaws/publ2/PLAW-117publ2.pdf.
2 Throughout this Supplementary Information,
Treasury uses ‘‘state, local, and Tribal
governments’’ or ‘‘recipients’’ to refer generally to
governments receiving SLFRF funds; this includes
states, territories, Tribal governments, counties,
metropolitan cities, and nonentitlement units of
local government.
3 86 FR 26786 (May 17, 2021).
4 Centers for Disease Control and Prevention,
COVID Data Tracker: COVID–19 Vaccinations in the
United States, https://covid.cdc.gov/covid-data-
tracker/#vaccinations (last visited December 31,
2021).
5 Centers for Disease Control and Prevention,
COVID Data Tracker, http://www.covid.cdc.gov/
covid-data-tracker/#datatracker-home (last visited
December 7, 2021).
6 U.S. Bureau of Labor Statistics, Unemployment
Rate [UNRATE], retrieved from FRED, Federal
Reserve Bank of St. Louis; https://fred.
stlouisfed.org/series/UNRATE (last visited
December 7, 2021).
7 Id.
8 U.S. Bureau of Economic Analysis, Real Gross
Domestic Product [GDPC1], retrieved from FRED,
Federal Reserve Bank of St. Louis, https://fred.
stlouisfed.org/series/GDPC1 (last visited December
7, 2021).
9 U.S. Bureau of Labor Statistics, supra note 6.
10 U.S. Bureau of Labor Statistics, All Employees,
State Government [CES9092000001] and All
Employees, Local Government [CES9093000001],
retrieved from FRED, Federal Reserve Bank of St.

Louis, https://fred.stlouisfed.org/series/
CES9092000001 and https://fred.stlouisfed.org/
series/CES9093000001 (last visited December 7,
2021).
11 The ARPA adds section 602 of the Social
Security Act, which creates the State Fiscal
Recovery Fund, and section 603 of the Social
Security Act, which creates the Local Fiscal
Recovery Fund (together, SLFRF). Sections 602 and
603 contain substantially similar eligible uses; the
primary difference between the two sections is that
section 602 establishes a fund for states, territories, and Tribal governments and section 603 establishes
a fund for metropolitan cities, nonentitlement units
of local government, and counties.

DEPARTMENT OF THE TREASURY
31 CFR Part 35
RIN 1505–AC77
Coronavirus State and Local Fiscal
Recovery Funds
AGENCY: Department of the Treasury.

ACTION: Final rule.

SUMMARY: The Secretary of the Treasury
(Treasury) is adopting as final the
interim final rule published on May 17,
2021, with amendments. This rule
implements the Coronavirus State Fiscal
Recovery Fund and the Coronavirus
Local Fiscal Recovery Fund established
under the American Rescue Plan Act.

DATES: The provisions in this final rule
are effective April 1, 2022.

FOR FURTHER INFORMATION CONTACT :

Katharine Richards, Director,
Coronavirus State and Local Fiscal
Recovery Funds, Office of Recovery
Programs, Department of the Treasury,
(844) 529–9527.

SUPPLEMENTARY INFORMATION:

I. Introduction
Overview
Since the first case of coronavirus
disease 2019 (COVID–19) was
discovered in the United States in
January 2020, the pandemic has caused
severe, intertwined public health and
economic crises. In March 2021, as
these crises continued, the American
Rescue Plan Act of 2021 (ARPA)
1 established the Coronavirus State and
Local Fiscal Recovery Funds (SLFRF) to
provide state, local, and Tribal
governments
2 with the resources
needed to respond to the pandemic and
its economic effects and to build a
stronger, more equitable economy
during the recovery. The U.S.

Department of the Treasury (Treasury)
issued an interim final rule
implementing the SLFRF program on
May 10, 2021
3 and has since disbursed
over $240 billion to state, local, and
Tribal governments and received over
1,500 public comments on the interim
final rule. Treasury is now issuing this
final rule which responds to public
comments, implements the ARPA
statutory provisions on eligible and
ineligible uses of SLFRF funds, and
makes several changes to the provisions
of the interim final rule, summarized
below in the section Executive
Summary of Major Changes.

Since Treasury issued the interim
final rule in May 2021, both the public
health and economic situations facing
the country have evolved. On the public
health front, the United States has made
tremendous progress in the fight against
COVID–19, including a historic
vaccination campaign that has reached
over 80 percent of adults with at least
one dose and is reaching millions of
children as well.
4 However, the disease
continues to present an imminent threat
to public health, especially among
unvaccinated individuals. As the Delta
variant spread across the country this
summer and fall, the United States faced
another severe wave of cases, deaths,
and strain on the healthcare system,
with the risk of hospitalization and
mortality exponentially greater to
unvaccinated Americans. COVID–19 has
now infected over 50 million and killed
over 800,000 Americans since January
2020; tens of thousands of Americans
continue to be infected each day.
5 Even
as the nation recovers, new and
emerging COVID–19 variants may
continue to pose threats to both public
health and the economy. Moving
forward, state, local, and Tribal
governments will continue to play a
major role in responding through
vaccination campaigns, testing, and
other services.

The economic recovery similarly has
made tremendous progress but faces
continued risks from the disease and the
disruptions it has caused. In the early
months of the pandemic, the United
States experienced the sharpest
economic downturn on record, with
unemployment spiking to 14.8 percent
in April 2020.
6 The economy has
gradually added back jobs, with growth
accelerating in the first half of 2021.
7 However, as the Delta variant spread,
the intensified health risks and renewed
disruptions slowed growth,
demonstrating the continued risks from
the virus. By fall 2021, the economy had
exceeded its pre-pandemic size
8 and
unemployment had fallen below 5
percent,9 but despite this progress, too
many Americans remain unemployed,
out of the labor force, or unable to pay
their bills, with this pain particularly
acute among lower-income Americans
and communities of color. Again,
moving forward, state, local, and Tribal
governments will remain on the
frontlines of the economic response and
rebuilding a stronger economy in the
aftermath of the pandemic.

However, as state, local, and Tribal
governments continue to face
substantial needs to respond to public
health and economic conditions, they
have also experienced severe impacts
from the pandemic and resulting
recession. State, local, and Tribal
governments cut over 1.5 million jobs in
the early months of the pandemic amid
sharp declines in revenue and remain
over 950,000 jobs below their pre-
pandemic levels.
10 As the Great
Recession demonstrated, austerity
among state, local, and Tribal
governments can hamper overall
economic growth and severely curtail
the ability of governments to serve their
constituents.

Recognizing these imperatives, the
SLFRF program provides vital resources
for state, local, and Tribal governments
to respond to the pandemic and its
economic effects and to replace revenue
lost due to the public health emergency,
preventing cuts to government services.

Specifically, the ARPA provides that
SLFRF funds
11 may be used:
(a) To respond to the public health
emergency or its negative economic
impacts, including assistance to
households, small businesses, and
nonprofits, or aid to impacted industries
such as tourism, travel, and hospitality;
(b) To respond to workers performing
essential work during the COVID–19
VerDate Sep<11>2014 19:24 Jan 26, 2022 Jkt 256001 PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 E:\FR\FM\27JAR2.SGM 27JAR2lotter on DSK11XQN23PROD with RULES2 4339 Federal Register / Vol. 87, No. 18 / Thursday, January 27, 2022 / Rules and Regulations public health emergency by providing
premium pay to eligible workers;
(c) For the provision of government
services to the extent of the reduction in
revenue due to the COVID–19 public
health emergency relative to revenues
collected in the most recent full fiscal
year prior to the emergency; and
(d) To make necessary investments in
water, sewer, or broadband
infrastructure.

In addition, Congress specified two
types of ineligible uses of funds: funds
may not be used for deposit into any
pension fund or, for states and
territories only, to directly or indirectly
offset a reduction in net tax revenue
resulting from a change in law,
regulation, or administrative
interpretation.

Issued May 10, 2021, Treasury’s
interim final rule provided further detail
on eligible uses of funds within the four
statutory categories, ineligible uses of
funds, and administration of the
program. The interim final rule
provided state, local, and Tribal
governments substantial flexibility to
determine how best to use payments
from the SLFRF program to meet the
needs of their communities. The interim
final rule aimed to facilitate swift and
effective implementation by establishing
a framework for determining the types
of programs and services that are
eligible under the ARPA along with
examples of eligible uses of funds that
state, local, and Tribal governments may
consider.

State, local, and Tribal governments
are already deploying SLFRF funds to
make an impact in their communities.

The SLFRF program ensures that state,
local, and Tribal governments have the
resources needed to fight the pandemic,
sustain and strengthen the economic
recovery, maintain vital public services,
and make investments that support
long-term growth, opportunity, and
equity. Treasury looks forward to
supporting and engaging with state,
local, and Tribal governments as they
use these funds to make transformative
investments in their communities.

Finally, with so many pressing and
effective ways to use SLFRF funds, there
is no excuse for waste, fraud, or abuse
of these funds.

Treasury received over 1,500
comments spanning nearly all aspects of
the interim final rule. The final rule
considers and responds to comments,
provides clarification to many aspects of
the interim final rule, and makes several
changes to eligible uses under the
program, summarized immediately
below.

Executive Summary of Major Changes
and Clarifications
The final rule provides broader
flexibility and greater simplicity in the
program, in response to public
comments. Among other clarifications
and changes, the final rule provides for
the following:
• Public Health and Negative
Economic Impacts: In addition to
programs and services, the final rule
clarifies that recipients may use funds
for capital expenditures that support an
eligible COVID–19 public health or
economic response. For example,
recipients may build certain affordable
housing, childcare facilities, schools,
hospitals, and other projects consistent
with the requirements in this final rule
and the Supplementary Information.

In addition, the final rule presumes
that an expanded set of households and
communities are ‘‘impacted’’ or
‘‘disproportionately impacted’’ by the
pandemic, thereby allowing recipients
to provide responses to a broad set of
households and entities without
requiring additional analysis. Further,
the final rule provides a broader set of
enumerated eligible uses available for
these communities as part of COVID–19
public health and economic response,
including making affordable housing,
childcare, and early learning services
eligible in all impacted communities
and making certain community
development and neighborhood
revitalization activities eligible for
disproportionately impacted
communities.

Further, the final rule allows for a
broader set of uses to restore and
support government employment,
including hiring above a recipient’s pre-
pandemic baseline, providing funds to
employees that experienced pay cuts or
furloughs, avoiding layoffs, and
providing retention incentives.
• Premium Pay: The final rule offers
more streamlined options to provide
premium pay, by broadening the share
of essential workers who can receive
premium pay without a written
justification while maintaining a focus
on lower-income and frontline essential
workers.
• Revenue Loss: The final rule offers
a standard allowance for revenue loss of
up to $10 million, not to exceed a
recipient’s SLFRF award amount,
allowing recipients to select between a
standard amount of revenue loss or
complete a full revenue loss calculation.

Recipients that select the standard
allowance may use that amount for
government services.
• Water, Sewer, and Broadband
Infrastructure: The final rule
significantly broadens eligible
broadband infrastructure investments to
address challenges with broadband
access, affordability, and reliability, and
adds additional eligible water and sewer
infrastructure investments, including a
broad range of lead remediation and
stormwater management projects.

Structure of the Supplementary
Information
In addition to this Introduction, this
Supplementary Information is organized
into four sections: (1) Eligible Uses, (2)
Restrictions on Use, (3) Program
Administration Provisions, and (4)
Regulatory Analyses.

The Eligible Uses section describes
the standards to determine eligible uses
of funds in each of the four eligible use
categories:
(1) Responding to the public health
and negative economic impacts of the
pandemic (which includes several sub-
categories)
(2) Providing premium pay to
essential workers
(3) Providing government services to
the extent of revenue loss due to the
pandemic, and
(4) Making necessary investments in
water, sewer, and broadband
infrastructure.

Each eligible use category has
separate and distinct standards for
assessing whether a use of funds is
eligible. Standards, restrictions, or other
provisions in one eligible use category
do not apply to the others. Therefore,
recipients should first determine which
eligible use category a potential use of
funds fits within, then assess whether
the potential use of funds meets the
eligibility standard or criteria for that
category. In the case of uses to respond
to the public health and negative
economic impacts of the pandemic,
recipients should also determine which
sub-category the eligible use fits within
(i.e., public health, assistance to
households, assistance to small
businesses, assistance to nonprofits, aid
to impacted industries, or public sector
capacity and workforce), then assess
whether the potential use of funds
meets the eligibility standard for that
sub-category. Treasury does not pre-
approve uses of funds; recipients are
advised to review the final rule and may
pursue eligible projects under it.

In some sections of the rule, Treasury
identifies specific uses of funds that are
eligible, called ‘‘enumerated eligible
uses’’; for example, Treasury provides
many enumerated eligible uses of funds
to respond to the public health and
negative economic impacts of the
pandemic. Uses of funds that are not
specifically named as eligible in this
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COVID Data Tracker, http://www.covid.cdc.gov/
covid-data-tracker/#datatracker-home (last visited
December 31, 2021).
13 U.S. Bureau of Labor Statistics, All Employees,
Total Nonfarm [PAYEMS] https://fred.
stlouisfed.org/series/PAYEMS (last visited
December 7, 2021).
final rule may still be eligible in two
ways. First, under the revenue loss
eligible use category, recipients have
broad latitude to use funds for
government services up to their amount
of revenue loss due to the pandemic. A
potential use of funds that does not fit
within the other three eligible use
categories may be permissible as a
government service, which recipients
can fund up to their amount of revenue
loss. For example, transportation
infrastructure projects are generally
ineligible as a response to the public
health and negative economic impacts
of the pandemic; however, a recipient
could fund these projects as a
government service up to its amount of
revenue loss, provided that other
restrictions on use do not apply. See
sections Revenue Loss and Restrictions
on Use for further information. Second,
the eligible use category for responding
to the public health and negative
economic impacts of the pandemic
provides a non-exhaustive list of
enumerated eligible uses, which means
that the listed eligible uses include
some, but not all, of the uses of funds
that could be eligible. The Eligible Uses
section provides a standard for
determining if other uses of funds,
beyond those specifically enumerated,
are eligible. If a recipient would like to
pursue a use of funds that is not
specifically enumerated, the recipient
should use the standard and other
guidance provided in the section Public
Health and Negative Economic Impacts
to assess whether the use of funds is
eligible.

Next, the Restrictions on Use section
describes limitations on how funds may
be used. Treasury has divided the
Restriction on Use section into (A)
statutory restrictions under the ARPA,
which include (1) offsetting a reduction
in net tax revenue, and (2) deposits into
pension funds, and (B) other restrictions
on use, which include (1) debt service
and replenishing reserves, (2)
settlements and judgments, and (3)
general restrictions. These restrictions
apply to all eligible use categories;
however, some restrictions apply only
to certain types of recipient
governments, and recipients are advised
to review the final rule to determine
which restrictions apply to their type of
government (e.g., state, territory, Tribal
government, county, metropolitan city,
or nonentitlement unit of government).

To reiterate, for recipient governments
covered by a specific restriction, that
restriction applies to all eligible use
categories and any use of funds under
the SLFRF program. Specifically:
• For states and territories only, funds
may not be used to offset directly or
indirectly a reduction in net tax revenue
resulting from a change in state or
territory law.
• For all recipients except Tribal
governments, funds may not be used for
deposits into a pension fund.
• For all recipients, funds may not be
used for debt service or replenishing
financial reserves.
• All recipients must also comply
with three general restrictions. First, a
recipient may not use SLFRF funds for
a program, service, or capital
expenditure that conflicts with or
contravenes the statutory purpose of
ARPA, including a program, service, or
capital expenditure that includes a term
or condition that undermines efforts to
stop the spread of COVID–19. Second,
recipients may not use SLFRF funds in
violation of the conflict-of-interest
requirements contained in the Award
Terms and Conditions, including any
self-dealing or violation of ethics rules.

Lastly, recipients should be aware that
federal, state, and local laws and
regulations, outside of SLFRF program
requirements, also apply, including for
example, environmental laws and
federal civil rights and
nondiscrimination requirements, which
include prohibitions on discrimination
on the basis of race, color, national
origin, sex (including sexual orientation
and gender identity), religion, disability,
age, or familial status (having children
under the age of 18).

The Program Administration
Provisions section describes the
processes and requirements for
administering the program on an
ongoing basis, specifically as relates to
the following: Distribution of funds,
timeline for using funds, transfer of
funds from a recipient to different
organizations, use of funds for program
administration, reporting on use of
funds, and remediation and recoupment
of funds used for ineligible purposes. Of
note, SLFRF funds may only be used for
costs incurred within a specific time
period, beginning March 3, 2021, with
all funds obligated by December 31,
2024 and all funds spent by December
31, 2026. Recipients are advised to also
consult Treasury’s Reporting and
Compliance Guidance for additional
information on program administration
processes and requirements, including
applicability of the Uniform Guidance.

Finally, the section Regulatory
Analyses provides Treasury’s analysis of
the impacts of this rulemaking, as
required by several laws, regulations,
and Executive Orders.

Throughout this Supplementary
Information, statements using the terms
‘‘should’’ or ‘‘must’’ refer to
requirements, except when used in
summarizing opinions expressed in
public comments. Statements using the
term ‘‘encourage’’ refer to
recommendations, not requirements.

II. Eligible Uses
A. Public Health and Negative
Economic Impacts
Background
Since the first case of COVID–19 was
discovered in the United States in
January 2020, the disease has infected
over 50 million and killed over 800,000
Americans.
12 The disease—and
necessary measures to respond—have
had an immense public health and
economic impact on millions of
Americans across many areas of life, as
detailed below in the respective sections
on Public Health and Negative
Economic Impacts. Since the release of
the interim final rule in May 2021, the
country has made major progress in
fighting the disease and rebuilding the
economy but faces continued risks, as
illustrated by the spread of the Delta
variant and the resulting slowdown in
the economic recovery. The SLFRF
program, and Treasury’s interim final
rule, provide substantial flexibility to
recipients to respond to pandemic
impacts in their local community; this
flexibility is designed to help state,
local, and Tribal governments adapt to
the evolving public health emergency
and tailor their response as needs evolve
and to the particular local needs of their
communities.

Indeed, state, local, and Tribal
governments face continued needs to
respond at scale to the public health
emergency. This includes continued
public health efforts to slow the spread
of the disease, to increase vaccination
rates and provide vaccinations to new
populations as they become eligible, to
protect individuals living in congregate
facilities, and to address the broader
impacts of the pandemic on public
health. Similarly, while a strong
economic recovery is underway, the
economy remains 3.9 million jobs below
its pre-pandemic level, pointing to the
continued need for response efforts,
with low-income workers and
communities of color facing elevated
rates of unemployment and economic
hardship.
13 Long-standing disparities in
health and economic outcomes in
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populations sharing a particular characteristic, as
well as geographic communities, that have been
systematically denied a full opportunity to
participate in aspects of economic, social, and civic
life. In the interim final rule, Treasury generally
used the term ‘‘disadvantaged’’ to refer to these
same populations and communities.
15 U.S. Bureau of Labor Statistics, All Employees,
State Government [CES9092000001] and All
Employees, Local Government [CES9093000001],
retrieved from FRED, Federal Reserve Bank of St.

Louis, https://fred.stlouisfed.org/series/
CES9092000001 and https://fred.stlouisfed.org/
series/CES9093000001 (last visited December 7,
2021).
16 Tracy Gordon, State and Local Budgets and the
Great Recession, Brookings Institution (Dec. 31,
2012), http://www.brookings.edu/articles/state-and-
local-budgets-and-the-great-recession.
17 In some cases, a use may be permissible under
another eligible use category even if it falls outside
the scope of section (c)(1)(A) of section 602 and 603
of the Social Security Act.
underserved 14 communities, that
amplified and exacerbated the impacts
of the pandemic, also present continued
barriers to full and equitable recovery.

As state, local, and Tribal
governments work to meet the public
health and economic needs of their
communities, these governments are
also confronting the need to rebuild
their own capacity. Facing severe
budget challenges during the pandemic,
many state, local, and Tribal
governments have been forced to make
cuts to services or their workforces,
including cutting over 1.5 million jobs
from February to May 2020, or delay
critical investments. As of fall 2021,
state, local, and Tribal government
employment remained over 950,000 jobs
below pre-pandemic levels.
15 In the
recovery from the Great Recession, cuts
to state, local, and Tribal governments
became a meaningful drag on economic
growth for several years, and the SLFRF
program provides the resources needed
to re-invest in vital public services and
workers to avoid this outcome.
16 1. General Provisions: Structure and
Standards
Background: Sections 602(c)(1)(A)
and 603(c)(1)(A) of the Social Security
Act establish that recipients may use
funds ‘‘to respond to the public health
emergency with respect to COVID–19 or
its negative economic impacts,
including assistance to households,
small businesses, and nonprofits, or aid
to impacted industries such as tourism,
travel, and hospitality.’’ The interim
final rule established three categories
within this eligible use: (1) Public
health responses for those impacted by
the pandemic, including the general
public; (2) responses to the negative
economic impacts that were
experienced by those impacted as a
result of the pandemic; and (3)
additional services, either as a public
health response or a response to the
negative economic impacts of the
pandemic, for disproportionately
impacted communities.

The interim final rule established the
method to determine which specific
programs or services may be eligible to
respond to the public health emergency
or to respond to the negative economic
impacts of the public health emergency
within this framework. The interim final
rule included multiple enumerated uses
that are eligible within each of these
categories when provided to eligible
populations, including populations that
the interim final rule presumed to have
been impacted (in the case of public
health responses and responses to
negative economic impacts) or
disproportionately impacted (in the case
of disproportionately impacted
communities). Finally, the interim final
rule also allowed recipients to designate
additional individuals or classes as
impacted or disproportionately
impacted. The standards for each of
these criteria under the interim final
rule are discussed below.

To assess whether a program or
service would be eligible to respond to
the public health emergency or its
negative economic impacts, the interim
final rule stated that, ‘‘the recipient [is
required] to, first, identify a need or
negative impact of the COVID–19 public
health emergency and, second, identify
how the program, service, or other
intervention addresses the identified
need or impact [. . . .] [E]ligible uses
under this category must be in response
to the disease itself or the harmful
consequences of the economic
disruptions resulting from or
exacerbated by the COVID–19 public
health emergency.’’ The enumerated
eligible uses were presumed to meet this
criterion.

With respect to uses not specifically
enumerated in the interim final rule as
eligible public health responses, the
interim final rule stated that, ‘‘[t]o assess
whether additional uses would be
eligible under this category, recipients
should identify an effect of COVID–19
on public health, including either or
both of immediate effects or effects that
may manifest over months or years, and
assess how the use would respond to or
address the identified need.’’
With respect to uses not specifically
enumerated in the interim final rule as
eligible responses to a negative
economic impact of the public health
emergency, the interim final rule stated
that ‘‘[e]ligible uses that respond to the
negative economic impacts of the public
health emergency must be designed to
address an economic harm resulting
from or exacerbated by the public health
emergency. In considering whether a
program or service would be eligible
under this category, the recipient should
assess whether, and the extent to which,
there has been an economic harm, such
as loss of earnings or revenue, that
resulted from the COVID–19 public
health emergency and whether, and the
extent to which, the use would respond
to or address this harm.
17 A recipient
should first consider whether an
economic harm exists and whether this
harm was caused or made worse by the
COVID–19 public health emergency.’’
The interim final rule went on to say
that: ‘‘In addition, the eligible use must
‘respond to’ the identified negative
economic impact. Responses must be
related and reasonably proportional to
the extent and type of harm
experienced; uses that bear no relation
or are grossly disproportionate to the
type or extent of harm experienced
would not be eligible uses.’’
Throughout this final rule, Treasury
refers to households, communities,
small businesses, nonprofits, and
industries that experienced public
health or negative economic impacts of
the pandemic as ‘‘impacted.’’ The first
section in the interim final rule under
this eligible use category included
public health responses for these
impacted classes. The second category
in the interim final rule under this
eligible use category included responses
to the negative economic impacts that
were experienced by these impacted
classes as a result of the pandemic.

The interim final rule further
recognized that certain populations
have experienced disproportionate
health or negative economic impacts
during the pandemic, as pre-existing
disparities in these communities
amplified the impacts of the pandemic.

For example, the interim final rule
recognized that the negative economic
effects of the pandemic were
particularly pronounced among lower-
income families, who were more likely
to experience income loss and more
likely to have a job that required in-
person work. The interim final rule
recognized the role of pre-existing social
vulnerabilities and disparities in driving
the disparate health and economic
outcomes and presumed that programs
designed to address these health or
economic disparities are responsive to
the public health or negative economic
impacts of the COVID–19 public health
emergency, when provided in
disproportionately impacted
communities. In addition to identifying
certain populations and communities
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industries may also function as subrecipients. For
additional information on these distinctions see
section Distinguishing Subrecipients versus
Beneficiaries.
presumed to be disproportionately
impacted, it also empowered recipients
to identify other disproportionately
impacted households, populations,
communities, or small businesses. The
interim final rule provided that, in
identifying these disproportionately
impacted communities, recipients
should be able to support their
determination that the pandemic
resulted in disproportionate public
health or economic outcomes to the
specific populations, households, or
geographic areas to be served.

Throughout this final rule, Treasury
refers to those households,
communities, small businesses, and
nonprofits that experienced
disproportionate public health or
negative economic impacts of the
pandemic as ‘‘disproportionately
impacted.’’ The third category in the
interim final rule under this eligible use
included public health responses and
responses to the negative economic
impacts for these disproportionately
impacted classes.

The interim final rule provided
significant flexibility for recipients to
determine which households,
populations, communities, or small
businesses have been impacted and/or
disproportionately impacted by the
pandemic and to identify appropriate
responses. The interim final rule
included several provisions to provide
simple methods for recipients to
identify impacts and design programs to
address those impacts. First, the interim
final rule allowed recipients to
demonstrate a negative economic
impact on a population or class and
provide assistance to households or
small businesses that fall within that
population or class. In such cases, the
recipient need only demonstrate that an
individual household or business is
within the class that experienced a
negative economic impact, rather than
requiring a recipient to demonstrate that
each individual household or small
business experienced a negative
economic impact, because the impact
was already identified for the class.

Second, in the interim final rule,
Treasury presumed that certain
populations have been impacted or
disproportionately impacted and are
thus eligible for services that respond to
these impacts or disproportionate
impacts. Specifically, the interim final
rule permitted recipients to presume
that households that experienced
unemployment, increased food or
housing insecurity, or are low- or
moderate-income experienced a
negative economic impact from the
pandemic. The interim final rule also
permitted recipients to presume that
certain services provided in Qualified
Census Tracts (QCTs), to individuals
living in QCTs, or by Tribal
governments are responsive to
disproportionate impacts of the
pandemic. In addition to the
populations presumed to be impacted or
disproportionately impacted, under the
interim final rule, recipients could
identify other impacted households or
classes, as described above, as well as
other populations, households, or
geographic areas that are
disproportionately impacted by the
pandemic.

Third, as mentioned previously, the
interim final rule included a non-
exhaustive list of uses of funds that
Treasury identified as responsive to the
impacts or disproportionate impacts of
the pandemic. Treasury refers to these
as ‘‘enumerated eligible uses.’’
To summarize, the interim final rule
identified certain populations that are
presumed to be impacted by the
pandemic (and specific enumerated
uses of funds that are responsive to that
impact) and populations that are
presumed to be disproportionately
impacted by the pandemic (and specific
enumerated uses of funds that are
responsive to those disproportionate
impacts). In addition, the interim final
rule provided standards for recipients to
assess whether additional uses of funds,
beyond the enumerated eligible uses,
are eligible for impacted and
disproportionately impacted
populations and permitted recipients to
identify other households or classes that
experienced impacts of the pandemic or
disproportionate impacts of the
pandemic.

Rule Structure
Public Comment: Many commenters
expressed concern regarding the
structure of the eligible uses, indicating
they found the structure of the public
health and negative economic impacts
section of the interim final rule to be
confusing or difficult to navigate. Other
commenters indicated that they
understood the enumerated uses to be
the only eligible uses and/or the
presumed eligible populations to be the
only eligible populations. Several
commenters expressed frustration about
the number of eligible uses specifically
enumerated in the interim final rule,
which they considered too few, and
commenters proposed a wide range of
additional enumerated eligible uses (for
further discussion, see the section
Public Health and section Negative
Economic Impacts). Commenters
expressed concern with pursuing uses
of funds not explicitly enumerated in
the eligible use section or uncertainty
regarding the broad flexibility provided
under the interim final rule to pursue
additional programs that respond to the
public health or negative economic
impacts of the pandemic or the process
for doing so.

Treasury Response: Treasury
recognizes that many commenters felt
the structure of the interim final rule
could be clarified. These comments are
consistent with many of the questions
that Treasury has received from
recipients, which requested clarification
regarding the category their desired
response fits into. Treasury observes
that these comments and questions
generally fall into four categories: (1)
How to identify the correct public
health or negative economic impact
category for a particular response, (2)
how to identify whether a particular use
is eligible, (3) how to identify an
impacted or disproportionately
impacted class, and (4) whether an
enumerated use can be provided to a
class other than those presumed
impacted or disproportionately
impacted. In response to comments,
Treasury is adjusting the structure of the
public health and negative economic
impacts eligible use section of the final
rule to improve clarity and make it
easier for recipients to interpret and
apply the final rule.

Specifically, Treasury is restructuring
the rule to aid recipients in determining
whether a particular response is eligible
and how the particular response might
be eligible under a particular category.

This restructuring reinforces the
fundamental criteria that a use of funds
is eligible based on its responsiveness to
a public health or negative economic
impact experienced by individuals,
households, small businesses,
nonprofits, or impacted industries
(together ‘‘beneficiaries’’).
18 This
restructuring is intended to make the
rule easier to navigate and to
implement, including any criteria or
conditions on particular uses of funds.

The reorganization of the public
health and negative economic impacts
section of the final rule is also intended
to clarify the enumerated eligible uses
described in the interim final rule. The
reorganization itself is not intended to
change the scope of the enumerated
uses that were included in the interim
final rule or that were allowable under
the interim final rule. In some cases,
specific enumerated uses are being
altered, and those changes are discussed
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COVID–19, the recipient should consider guidance
from public health authorities, particularly the
Centers for Disease Control and Prevention (CDC),
in assessing appropriate COVID–19 mitigation and
prevention strategies (see Centers for Disease
Control and Prevention, COVID–19, https://
www.cdc.gov/coronavirus/2019-ncov/index.html).

A program or service that imposes conditions on
participation in or acceptance of the service that
would undermine efforts to stop the spread of
COVID–19 or discourage compliance with practices
in line with CDC guidance for stopping the spread
of COVID–19 is not a permissible use of funds.
as changes within the section on that
enumerated use.

The final rule streamlines and aligns
services and standards that are generally
applicable or are provided for public
health purposes. Under this approach,
eligible uses to respond to the public
health emergency are organized based
on the type of public health problem: (1)
COVID–19 mitigation and prevention,
(2) medical expenses, (3) behavioral
health care, and (4) preventing and
responding to violence. Under this
approach, eligible uses to respond to the
negative economic impacts of the public
health emergency are organized based
on the type of beneficiary: (1) Assistance
to households, (2) assistance to small
businesses, and (3) assistance to
nonprofits, alongside a fourth
standalone eligibility category for aid to
travel, tourism, hospitality, and other
impacted industries. The first three
categories, assistance to households,
small businesses, and nonprofits,
include enumerated eligible uses for
impacted and disproportionately
impacted beneficiaries. This change in
structure is intended to provide a
framework that clearly identifies the
intended beneficiaries of uses of funds
and provides clarity about what types of
assistance are ‘‘responsive to the
pandemic or its negative economic
impacts’’ for these beneficiaries.
a. Standards for Identifying a Public
Health or Negative Economic Impact
Standards: Designating a Public Health
Impact
Public Comment: Many commenters
expressed uncertainty about how to
determine whether a use of funds,
beyond those specifically enumerated as
eligible, might be an eligible public
health response. For example, many
commenters submitted questions asking
whether specific uses of funds would be
eligible. Others described what they
considered to be impacts of the
pandemic and argued that uses of funds
to respond to these issues should be
eligible. Some commenters requested
that Treasury provide additional detail
to guide their assessments of eligible
uses of funds. For example, a
commenter requested more clarification
around exactly what and whose medical
expenses can be covered. These
comments ranged in their specificity
and covered the full range of the
enumerated eligible uses.

Treasury Response: Treasury is
clarifying that when assessing whether
a program or service is an eligible use
to respond to the public health impacts
of the COVID–19 public health
emergency, the Department will
consider the two eligibility
requirements discussed below. These
standards apply to all proposed public
health uses.

First, there must be a negative public
health impact or harm experienced by
an individual or a class. For ease of
administration, the interim final rule
allowed, and the final rule maintains
the ability for, recipients to identify a
public health impact on a population or
group of individuals, referred to as a
‘‘class,’’ and to provide assistance to
that class. In determining whether an
individual is eligible for a program
designed to address a harm experienced
by a class, the recipient need only
document that the individual is within
the class that experienced a public
health impact, see section Standards:

Designating Other Impacted Classes. In
the case of some impacts, for example
impacts of COVID–19 itself that are
addressed by providing prevention and
mitigation services, such a class could
reasonably include the general public.

Second, the program, service, or other
intervention must address or respond to
the identified impact or harm. The final
rule maintains the interim final rule
requirement that eligible uses under this
category must be in response to the
disease itself or other public health
harms that it caused.
19 Responses must be reasonably
designed to benefit the individual or
class that experienced the public health
impact or harm. Uses of funds should be
assessed based on their responsiveness
to their intended beneficiaries and the
ability of the response to address the
impact or harm experienced by those
beneficiaries.

Responses must also be related and
reasonably proportional to the extent
and type of public health impact or
harm experienced. Uses that bear no
relation or are grossly disproportionate
to the type or extent of harm
experienced would not be eligible uses.

Reasonably proportional refers to the
scale of the response compared to the
scale of the harm. It also refers to the
targeting of the response to beneficiaries
compared to the amount of harm they
experienced. In evaluating whether a
use is reasonably proportional,
recipients should consider relevant
factors about the harm identified and
the response. For example, recipients
may consider the size of the population
impacted and the severity, type, and
duration of the impact. Recipients may
also consider the efficacy, cost, cost-
effectiveness, and time to delivery of the
response.

If a recipient intends to fund capital
expenditures in response to the public
health impacts of the pandemic,
recipients should refer to the section
Capital Expenditures for details about
the eligibility of capital expenditures.

Standards: Designating a Negative
Economic Impact
Public Comment: Many commenters
expressed uncertainty about how to
determine whether uses of funds,
beyond those specifically enumerated as
eligible, might be eligible responses to
negative economic impacts. For
example, many commenters submitted
questions asking whether specific uses
of funds would be eligible. Others
described what they considered to be
impacts of the pandemic and argued
that uses of funds to respond to these
issues should be eligible. Some
commenters requested that Treasury
provide additional detail to guide their
assessments of eligible uses of funds.

These comments ranged in their
specificity and covered the full range of
eligible uses to respond to negative
economic impacts. Several commenters
asked for clarification about what types
of food assistance would be considered
eligible. Another commenter requested
that the establishment of outdoor dining
be eligible. Many commenters inquired
about homeless shelters as an eligible
use of SLFRF funds.

Commenters also expressed
uncertainty about the ability to establish
classes, including geographic areas, that
experienced a negative economic impact
or disagreed with the requirement that
an individual entity be impacted by the
pandemic in order to receive assistance.

For example, a commenter argued that
interventions should not be limited to
individuals or businesses that
experienced an economic impact and
should instead be used broadly to
support economic growth. These
commenters argued that an expenditure
that supports a more robust economy
may help combat the pandemic’s
negative economic impacts, and it can
do so even if funding is provided to
individuals or entities that did not
themselves experience a negative
economic impact during the pandemic.

Treasury Response: The final rule
maintains the standard articulated in
VerDate Sep<11>2014 19:24 Jan 26, 2022 Jkt 256001 PO 00000 Frm 00007 Fmt 4701 Sfmt 4700 E:\FR\FM\27JAR2.SGM 27JAR2lotter on DSK11XQN23PROD with RULES2 4344 Federal Register / Vol. 87, No. 18 / Thursday, January 27, 2022 / Rules and Regulations 20 For example, expenses such as excessive
compensation to employees or expenses which
have already been reimbursed through another
federal program, are not reasonably designed to
address a negative economic impact to a
beneficiary.
21 For example, a program or service that imposes
conditions on participation in or acceptance of the
service that would undermine efforts to stop the
spread of COVID–19 or discourage compliance with
practices in line with CDC guidance for stopping
the spread of COVID–19 is not a permissible use of
funds.
the interim final rule. For clarity, the
final rule re-articulates that when
assessing whether a program or service
is an eligible use to respond to the
negative economic impacts of the
COVID–19 public health emergency,
Treasury will consider the two
eligibility requirements discussed
below.

First, there must be a negative
economic impact, or an economic harm,
experienced by an individual or a class.

The recipient should assess whether,
and the extent to which, there has been
an economic harm, such as loss of
earnings or revenue, that resulted from
the COVID–19 public health emergency.

A recipient should first consider
whether an economic harm exists and
then whether this harm was caused or
made worse by the COVID–19 public
health emergency. This approach is
consistent with the text of the statute,
which provides that funds in this
category must be used to ‘‘respond to
the public health emergency with
respect to . . . its negative economic
impacts.’’
While economic impacts may either
be immediate or delayed, individuals or
classes that did not experience a
negative economic impact from the
public health emergency would not be
eligible beneficiaries under this
category. As noted above, the interim
final rule permitted recipients to
presume that households that
experienced unemployment, increased
food or housing insecurity, or are low-
or moderate-income experienced a
negative economic impact from the
pandemic. For discussion of the final
rule’s approach to this presumption, see
section Populations Presumed Eligible.

The final rule also maintains several
provisions included in the interim final
rule and subsequent guidance that are
intended to ease administration of
identifying that the beneficiary
experienced a negative economic impact
or harm. For example, the interim final
rule allowed, and the final rule
maintains the ability for, recipients to
demonstrate a negative economic
impact on a population or group,
referred to as a ‘‘class,’’ and to provide
assistance to households, small
businesses, or nonprofits that fall within
that class. In such cases, the recipient
need only demonstrate that the
household, small business, or nonprofit
is within the class that experienced a
negative economic impact, see section
Standards: Designating Other Impacted
Classes. This would allow, for example,
an internet access assistance program
for all households with children to
support those households’ ability to
participate in healthcare, work, and
educational activities like extending
learning opportunities, among other
critical activities. In that case, the
recipient would only need to identify a
negative economic impact to the class of
‘‘households with children’’ and would
not need to document or otherwise
demonstrate that each individual
household served experienced a
negative economic impact.

Second, the response must be
designed to address the identified
economic harm or impact resulting from
or exacerbated by the public health
emergency. In selecting responses, the
recipient must assess whether, and the
extent to which, the use would respond
to or address this harm or impact. This
approach is consistent with the text of
the statute, which provides that funds
may be used to ‘‘respond to’’ the
‘‘negative economic impacts’’ of the
public health emergency ‘‘including
assistance to households, small
businesses, and nonprofits, or aid to
impacted industries such as tourism,
travel, and hospitality.’’ The list of
potential responses (‘‘assistance’’ or
‘‘aid’’) suggests that responses should
address the ‘‘negative economic
impacts’’ of particular types of
beneficiaries (e.g., households or small
businesses).

Responses must be reasonably
designed to benefit the individual or
class that experienced the negative
economic impact or harm. Uses of funds
should be assessed based on their
responsiveness to their intended
beneficiary and the ability of the
response to address the impact or harm
experienced by that beneficiary.
20 Responses must also be related and
reasonably proportional to the extent
and type of harm experienced; uses that
bear no relation or are grossly
disproportionate to the type or extent of
harm experienced would not be eligible
uses.
21 Reasonably proportional refers
to the scale of the response compared to
the scale of the harm. It also refers to the
targeting of the response to beneficiaries
compared to the amount of harm they
experienced; for example, it may not be
reasonably proportional for a cash
assistance program to provide assistance
in a very small amount to a group that
experienced severe harm and in a much
larger amount to a group that
experienced relatively little harm. In
evaluating whether a use is reasonably
proportional, recipients should consider
relevant factors about the harm
identified and the response. For
example, recipients may consider the
size of the population impacted and the
severity, type, and duration of the
impact. Recipients may also consider
the efficacy, cost, cost-effectiveness, and
time to delivery of the response.

Finally, recipients should be aware of
the distinction between beneficiaries of
funds and subrecipients; a recipient
may provide services to beneficiaries
through subrecipients that did not
experience a negative economic impact,
see section Distinguishing Subrecipients
versus Beneficiaries. That is, a recipient
may award SLFRF funds to an entity
that did not experience a negative
economic impact in order to implement
a program or provide a service to
beneficiaries on its behalf. Such
transfers, when implementing a public
health or negative economic impact
response, should be responsive to and
designed to benefit individuals,
households, small businesses,
nonprofits, or impacted industries that
did experience a public health or
negative economic impact.

Determining the Appropriate Eligible
Use Category
Public Comment: Some commenters
expressed uncertainty about how to
analyze negative economic impacts to
different entities (e.g., households, small
businesses, nonprofits). For example,
commenters asked whether a nonprofit,
which did not experience a negative
economic impact itself, could be granted
funds to provide services to individuals
experiencing homelessness, who did
experience negative economic impacts.

Other commenters proposed providing
assistance to support the expansion of
small businesses, under the theory that
this would create more job
opportunities for unemployed workers
who experienced negative economic
impacts.

Treasury Response: In the final rule,
Treasury is clarifying that recipients
should assess a potential use of funds
based on which beneficiary experienced
the negative economic impact, in other
words, the households, small
businesses, nonprofits, or impacted
industries that experienced the negative
economic impact.

Treasury notes that recipients may
award SLFRF funds to many different
types of organizations to carry out
eligible uses of funds and serve
beneficiaries on behalf of a recipient.

VerDate Sep<11>2014 19:24 Jan 26, 2022 Jkt 256001 PO 00000 Frm 00008 Fmt 4701 Sfmt 4700 E:\FR\FM\27JAR2.SGM 27JAR2lotter on DSK11XQN23PROD with RULES2 4345 Federal Register / Vol. 87, No. 18 / Thursday, January 27, 2022 / Rules and Regulations 22 AMI is also often referred to as median family
income for the area. Since AMI is synonymous with
this term and used more generally, the final rule
refers to AMI.
23 For the six New England states of Connecticut,
Maine, Massachusetts, New Hampshire, Rhode
Island, and Vermont, HUD provides AMI for towns
rather than counties. Recipients in these states
should use the AMI corresponding to their town
when determining thresholds for both low and
moderate income.

When a recipient provides funds to
another entity to carry out eligible uses
of funds and serve beneficiaries the
entity becomes a subrecipient (see
section Distinguishing a Subrecipient
versus a Beneficiary). For example, a
recipient may grant funds to a nonprofit
organization to provide food assistance
(an eligible use) to low-income
households (the beneficiaries).

Recipients only need to assess whether
the beneficiaries experienced a negative
economic impact and whether the
eligible use responds to that impact,
consistent with the two-part framework
described above; the organization
carrying out the eligible use does not
need to have experienced a negative
economic impact if it is serving as the
vehicle for reaching the beneficiaries.

When making determinations about
how to implement a program, recipients
should consider whether that method of
program implementation is an effective
and efficient method to implement the
program and do so in accordance with
the Uniform Guidance provisions that
govern procurements and sub-granting
of federal funds, as applicable.

As noted above, recipients should
analyze eligible uses based on the
beneficiary of the assistance or the
entity that experienced a negative
economic impact. Assistance to a small
business or to an impacted industry
must respond to a negative economic
impact experienced by that small
business or industry. Recipients may
not provide assistance to small
businesses or impacted industries that
did not experience a negative economic
impact, although recipients can identify
negative economic impacts for classes,
rather than individual businesses, and
may also presume that small businesses
in certain areas experienced impacts;
see section General Provisions:

Structure and Standards and section
Assistance to Small Businesses for
details.

Several examples illustrate the
application of these concepts. For
example, a recipient could provide
assistance to households via a contract
with a business to create subsidized jobs
for the long-term unemployed; in this
case the business is a subrecipient and
need not have experienced a negative
economic impact, but the recipient
would need to identify a specific
connection between the assistance
provided and addressing the negative
economic impact experienced by the
unemployed households. The recipient
could, for instance, document the
subsidized jobs created under the
contract and their reservation for long-
term unemployed individuals.

Similarly, a recipient might provide
assistance to a small business that
experienced a pandemic-related loss of
revenue. This small business is a
beneficiary and may use those funds in
many ways, potentially including hiring
or retaining staff. However, general
assistance to a business that did not
experience a negative economic impact
under the theory that this assistance
generally grows the economy and
therefore enhances opportunities for
unemployed workers would not be an
eligible use, because such assistance is
not reasonably designed to impact the
individuals or classes that experienced
a negative economic impact. In other
words, there is not a reasonable
connection between the assistance
provided and an impact on the
beneficiaries. Such an activity would be
attenuated from and thus not reasonably
designed to benefit the households that
experienced the negative economic
impact.
b. Populations Presumed Eligible
Presumed Eligibility: Impacted and
Disproportionately Impacted
Households and Communities
Background: As noted above, the
interim final rule allowed recipients to
presume that certain households were
impacted or disproportionately
impacted by the pandemic and thus
eligible for responsive programs or
services. Specifically, under the interim
final rule, recipients could presume that
a household or population that
experienced unemployment,
experienced increased food or housing
insecurity, or is low- or moderate-
income experienced negative economic
impacts resulting from the pandemic,
and recipients may provide services that
respond to these impacts.

The interim final rule also recognized
that pre-existing health, economic, and
social disparities contributed to
disproportionate pandemic impacts in
certain communities and allowed for a
broader list of enumerated eligible uses
to respond to the pandemic in
disproportionately impacted
communities. Under the interim final
rule, recipients were allowed to
presume that families residing in QCTs
or receiving services provided by Tribal
governments were disproportionately
impacted by the pandemic.

Definition of Low- and Moderate-
Income
Public Comment: As noted earlier,
many commenters sought a definition
for ‘‘low- and moderate-income’’ to
provide recipients greater clarity on
which specific households could be
presumed to be impacted by the
pandemic.

Treasury Response: The final rule
maintains the presumptions identified
in the interim final rule and defines
low- and moderate-income for the
purposes of determining which
households and populations recipients
may presume to have been impacted. To
simplify the administration of this
presumption, the final rule adopts a
definition of low- and moderate-income
based on thresholds established and
used in other federal programs.

Definitions. The final rule defines a
household as low income if it has (i)
income at or below 185 percent of the
Federal Poverty Guidelines (FPG) for the
size of its household based on the most
recently published poverty guidelines
by the Department of Health and Human
Services (HHS) or (ii) income at or
below 40 percent of the Area Median
Income (AMI) for its county and size of
household based on the most recently
published data by the Department of
Housing and Urban Development
(HUD).
22 The final rule defines a household as
moderate income if it has (i) income at
or below 300 percent of the FPG for the
size of its household based on the most
recently published poverty guidelines
by HHS or (ii) income at or below 65
percent of the AMI for its county and
size of household based on the most
recently published data by HUD.
23 Recipients may determine whether to
measure income levels for specific
households or for a geographic area
based on the type of service to be
provided. For example, recipients
developing a program that serves
specific households (e.g., a subsidy for
internet access, a childcare program)
may measure income at the household
level. Recipients providing a service
that reaches a general geographic area
(e.g., a park) may measure median
income of that area.

Further, recipients should generally
use the income threshold for the size of
the household to be served (e.g., when
providing childcare to a household of
five, recipients should reference the
income threshold for a household of
five); however, recipients may use the
income threshold for a default
household size of three if providing
VerDate Sep<11>2014 19:24 Jan 26, 2022 Jkt 256001 PO 00000 Frm 00009 Fmt 4701 Sfmt 4700 E:\FR\FM\27JAR2.SGM 27JAR2lotter on DSK11XQN23PROD with RULES2 4346 Federal Register / Vol. 87, No. 18 / Thursday, January 27, 2022 / Rules and Regulations 24 U.S. Department of Health and Human Service,
HHS Poverty Guidelines for 2021, available at
https://aspe.hhs.gov/topics/poverty-economic-
mobility/poverty-guidelines.
25 U.S. Department of Housing and Urban
Development, FY 2021 Section 8 Income Limits,
available at https://www.huduser.gov/portal/
datasets/il/il21/Section8-FY21.xlsx. Recipients may
refer to the list of counties (and New England
towns) identified by state and metropolitan area for
identifying the appropriate area. U.S. Department of
Housing and Urban Development, FY 2021 List of
Counties (and New England Towns) Identified by
State and Metropolitan Area, available at https://
www.huduser.gov/portal/datasets/il/il21/area-
definitions-FY21.pdf.
26 The U.S. Census Bureau provides an interactive
map: U.S. Census Bureau, Median Household
Income State Selection Map, available at https://
data.census.gov/cedsci/map?q=Median
%20Household%20Income&g=0100000US
%2404000%24001&tid=ACSST5Y2019.S1901&cid=
S1901_C01_012E&vintage=2019. The U.S. Census
Bureau also provides an interactive table: U.S.

Census Bureau, Median Household Income In The
Past 12 Months (In 2019 Inflation-Adjusted Dollars),
available at https://data.census.gov/cedsci/table?q=
b19013&tid=ACSDT5Y2019.B19013&hidePreview=
true.
27 See U.S. Bureau of Labor Statistics,
Occupational Employment and Wage Estimates,
https://www.bls.gov/oes/current/oes_nat.htm (last
visited December 7, 2021).
28 U.S. Census Bureau, Poverty Status by State,
https://www.census.gov/data/tables/time-series/
demo/income-poverty/cps-pov/pov-46.html (last
visited December 7, 2021).
services that reach a general geographic
area or if doing so would simplify
administration of the program to be
provided (e.g., when developing a park,
recipients should use the income
threshold for a household size of three
and compare it to median income of the
geographic area to be served).

Note that recipients can also identify
and serve other classes of households
that experienced negative economic
impacts or disproportionate impacts
from the pandemic; recipients can
identify these classes based on their
income levels, including above the
levels defined as low- and moderate-
income in the final rule. For example,
a recipient may identify that households
in their community with incomes above
the final rule threshold for low-income
nevertheless experienced
disproportionate impacts from the
pandemic and provide responsive
services. See section General Provisions:

Standards for Identifying Other Eligible
Populations for details on applicable
standards.

Applicable levels. For reference, the
FPG is commonly referred to as the
federal poverty level (FPL) and is
related to—although distinct from—the
U.S. Census Bureau’s poverty threshold.

The final rule uses the FPG when
referring specifically to the HHS
guidelines, as these are the quantitative
metrics used for determining low- and
moderate-income households.

The FPG by household size for 2021
is included in the table below.

Recipients should refer to HHS Poverty
Guidelines for this information, which
is updated annually and available on
the HHS website.
24 For calculating the
thresholds of 40 percent and 65 percent
of AMI, recipients should refer to the
annual HUD Section 8 50 percent
income limits by county and household
size published by HUD and available on
the HUD website; in particular,
recipients should calculate the 40
percent threshold as 0.8 times the 50
percent income limit, and recipients
should calculate the 65 percent
threshold as 1.3 times the 50 percent
income limit.
25 Finally, for median
income of Census Tracts and other
geographic areas, recipients should refer
to the most recent American
Community Survey 5-year estimates
available through the Census website.
26 2021 FEDERAL POVERTY GUIDELINES
Household size
48 contiguous
states and the
District of
Columbia
Alaska Hawaii
1 .............................................................................................................................. ..................... $12,880 $16,090 $14,820 2 .............................................................................................................................. ..................... 17,420 21,770 20,040 3 .............................................................................................................................. ..................... 21,960 27,450 25,260 4 .............................................................................................................................. ..................... 26,500 33,130 30,480 5 .............................................................................................................................. ..................... 31,040 38,810 35,700 6 .............................................................................................................................. ..................... 35,580 44,490 40.920 7 .............................................................................................................................. ..................... 40,120 50,170 46,140 8 .............................................................................................................................. ..................... 44,660 55,850 51,360 For families/households with more than 8 persons, add the following amounts for each additional person:
48 Contiguous States and the District of Columbia: $4,540.

Alaska: $5,680.

Hawaii: $5,220.

Source: ‘‘HHS Poverty Guidelines for 2021,’’ available at https://aspe.hhs.gov/topics/poverty-economic-mobility/poverty-guidelines.

Rationale. In defining low income, the
final rule uses both the FPG and AMI to
account for national trends and regional
differences. The metric of 185 percent of
FPG aligns with some other programs;
for instance, under the National School
Lunch Program, students with
household incomes under 185 percent
of FPG qualify for free or reduced-price
lunch, and schools often use eligibility
for free or reduced-price lunch as an
indicator of low-income status under
Title 1–A of the Elementary and
Secondary Education Act. Eligibility for
other programs, such as the Federal
Communications Commission’s e-Rate
program and the Special Supplemental
Nutrition Program for Women, Infants
and Children employ this metric as
well. In addition, 185 percent of the
FPG for a family of four is $49,025,
which is approximately the wage
earnings for a two-earner household in
which both earners receive the median
wage in occupations, such as waiters
and waitresses and hotel clerks, that
were heavily impacted by COVID–19.
27 This measure is targeted toward those at
the bottom of the income distribution
and thus helps to promote use of SLFRF
funds towards populations with the
greatest needs. At the same time, with
approximately one-quarter of Americans
below 185 percent of the poverty
threshold, this approach is broad
enough to facilitate use of SLFRF funds
across many jurisdictions.
28 Because
regions have different cost and income
levels, this definition also allows for
upward adjustment based on AMI for
those regions where 40 percent of AMI
exceeds 185 percent of FPG. The metric
of 40 percent of AMI is based on the
midpoint of values often used to
designate certain categories of low-
income households; specifically, it is
the midpoint of the 30 percent income
limit and the 50 percent income limit
VerDate Sep<11>2014 19:24 Jan 26, 2022 Jkt 256001 PO 00000 Frm 00010 Fmt 4701 Sfmt 4700 E:\FR\FM\27JAR2.SGM 27JAR2lotter on DSK11XQN23PROD with RULES2 4347 Federal Register / Vol. 87, No. 18 / Thursday, January 27, 2022 / Rules and Regulations 29 For instance, Melissa Kearney et al. (2013) cap
the ‘‘struggling lower middle-income class’’ at 250
percent of the federal poverty level, while Isabel
Sawhill and Edward Rodrigue (2015) define the
‘‘middle class’’ as those with incomes of at least 300
percent of the poverty line. Melissa Kearney et al.,
‘‘A Dozen Facts about America’s Struggling Lower-
Middle Class,’’ The Hamilton Project (December
2013), https://www.hamiltonproject.org/assets/
legacy/files/downloads_and_links/THP_12Low
IncomeFacts_Final.pdf; Isabel Sawhill and Edward
Rodrigue, ‘‘An Agenda for Reducing Poverty and
Improving Opportunity,’’ Brookings Institution,
https://www.brookings.edu/wp-content/uploads/
2016/07/Sawhill_FINAL.pdf.
30 Data on median annual wages from: U.S.

Bureau of Labor and Statistics, Occupational
Employment and Wage Statistics, available at
https://www.bls.gov/oes/current/oes_nat.htm (last
visited December 7, 2021).
31 For instance, households earning between 200
and 300 percent of the FPG have significantly
higher rates of food and housing insecurity than
those earning above 300 percent of the FPG. Table
1, Kyle J. Caswell and Stephen Zuckerman, Food
Insecurity, Housing Hardship, and Medical Care
Utilization, Urban Institute (June 2018), https://
www.urban.org/sites/default/files/publication/
98701/2001896_foodinsecurity_housinghardship_
medicalcareutilization_finalized.pdf.
used in programs such as the
Community Development Block Grant
(CDBG) Program.

In defining moderate income, the final
rule uses both the FPG and AMI to
account for national trends and regional
differences. While there are different
definitions of moderate income, 300
percent of FPG falls within the range
commonly used by researchers.
29 Analysis of median wages among a
sample of occupations likely impacted
by the pandemic also suggests that an
income cutoff of 300 percent of FPG
would include many households with
workers in such occupations.
30 Moreover, the metric of 300 percent of
FPG covers households that, while
above the poverty line, often lack
economic security.
31 Treasury
determined the AMI threshold for
moderate income by maintaining the
same ratio of FPG multiplier to AMI
multiplier as in the definition of low
income. This anchors the threshold to
the existing definitions of moderate
income from the literature while taking
into account geographical variation in
income and expenses in the same
manner as the definition of low income.

Eligibility Presumptions
Public Comment: Many commenters
believed that a broader range of groups
should be considered presumptively
impacted and disproportionately
impacted, arguing that many
households had been affected by the
pandemic and that broader presumed
eligibility would help recipients provide
assistance quickly and effectively.

Treasury also received many
comments on the presumption that
families living in QCTs or receiving
services from Tribal governments were
disproportionately impacted by the
pandemic. While many commenters
supported the interim final rule’s
recognition of disproportionate impacts
of the pandemic on low-income
communities, many commenters
disagreed with treating QCTs as the only
presumed eligible group of
disproportionately impacted
households, apart from households
served by Tribal governments. While
acknowledging a potential increase in
administrative burden, commenters
recommended that Treasury presume
other households or geographic areas, in
addition to QCTs, were
disproportionately impacted;
suggestions included all low- and
moderate-income households,
geographic areas designated as
Opportunity Zones, Difficult
Development Areas (DDAs), areas with
a certain amount of Real Estate
Advantage Program (REAP) recipients,
or use of eligibility criteria from the
Community Reinvestment Act. One
commenter generally recommended that
a clearer definition of
‘‘disproportionately impacted’’ should
be provided and that any definition
should include communities of color
and people of limited means. Another
recommended specific eligibility for
people that had recently interacted with
the criminal justice system. Many
commenters representing Tribal
governments and groups recommended
a presumption of eligibility for all Tribal
uses of funds, clarification that off
reservation members remained eligible,
and broad flexibility on use of funds.

Additionally, commenters noted that
some areas are technically eligible to be
QCTs but fall short because of the
aggregate population of eligible tracts.

One commenter noted that these areas
should be considered the same as QCTs
for the purpose of SLFRF funds. Some
commenters argued that rural counties
typically have few QCTs despite high
levels of poverty and disruption caused
by the COVID–19 pandemic. Other rural
commenters recommended that the
designation be by county rather than at
a more granular level, arguing that the
QCT designation is biased towards
urban areas and understates the harm
done to rural America. Many
commenters representing Tribal
governments supported the
presumption that services provided by
Tribal governments respond to
disproportionate impacts.

Treasury Response
Summary: While households residing
in QCTs or served by Tribal
governments were presumed to be
disproportionately impacted, Treasury
emphasizes that under the interim final
rule recipients could also identify other
households, populations, or geographic
areas that were disproportionately
impacted by the pandemic and provide
services to respond.

The final rule maintains the
presumptions identified in the interim
final rule, as well as recipients’ ability
to identify other impacted or
disproportionately impacted classes.

The final rule also allows recipients to
presume that low-income households
were disproportionately impacted, and
as discussed above, defines low- and
moderate-income. Finally, under the
final rule recipients may also presume
that households residing in the U.S.
territories or receiving services from
territorial governments were
disproportionately impacted.

Households presumed to be impacted:

Impacted households are those that
experienced a public health or negative
economic impact from the pandemic.

With regard to public health impacts,
recipients may presume that the general
public experienced public health
impacts from the pandemic for the
purposes of providing services for
COVID–19 mitigation and behavioral
health. In other words, recipients may
provide a wide range of enumerated
eligible uses in these categories to the
general public without further analysis.

As discussed in the introduction,
COVID–19 as a disease has directly
affected the health of tens of millions of
Americans, and efforts to prevent and
mitigate the spread of the disease are
needed and in use across the country.

Further, the stress of the pandemic and
resulting recession have affected nearly
all Americans. Accordingly, the final
rule presumes that the general public
are impacted by and eligible for services
to respond to COVID–19 mitigation and
prevention needs, as well as behavioral
health needs.

With regard to negative economic
impacts, as with the interim final rule,
under the final rule recipients may
presume that a household or population
that experienced unemployment,
experienced increased food or housing
insecurity, or is low- or moderate-
income experienced negative economic
impacts resulting from the pandemic.

The final rule’s definition of low- and
moderate-income, by providing
standard metrics based on widely
available data, is intended to simplify
administration for recipients.

Households presumed to be
disproportionately impacted:

Disproportionately impacted
households are those that experienced a
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does not include all territories. U.S. Census Bureau,
Areas Published, https://www.census.gov/
programs-surveys/acs/geography-acs/areas-
published.html (last visited November 9, 2021).
33 U.S. Department of Health and Human
Services, supra note 24.
34 For instance, data from the American
Community Survey is based on geographical
location rather than Tribal membership. U.S.

Census Bureau, My Tribal Area, https://
www.census.gov/Tribal/Tribal_glossary.php.
35 Lina Stoylar et. al., Challenges in the U.S.

Territories: COVID–19 and the Medicaid Financing
Cliff, Kaiser Family Foundation (May 18, 2021),
https://www.kff.org/coronavirus-covid-19/issue-
brief/challenges-in-the-u-s-territories-covid-19-and-
the-medicaid-financing-cliff/.
disproportionate, or meaningfully more
severe, impact from the pandemic. As
discussed in the interim final rule, pre-
existing disparities in health and
economic outcomes magnified the
impact of the COVID–19 public health
emergency on certain households and
communities. As with the interim final
rule, under the final rule recipients may
presume that households residing in
QCTs or receiving services provided by
Tribal governments were
disproportionately impacted by the
pandemic. In addition, under the final
rule recipients may presume that low-
income households were
disproportionately impacted by the
pandemic. Finally, under the final rule
recipients may also presume that
households residing in the U.S.
territories or receiving services from
territorial governments were
disproportionately impacted.

Treasury notes that households
presumed to be disproportionately
impacted would also be presumptively
impacted, as these households have not
only experienced pandemic impacts but
have experienced disproportionate
pandemic impacts; as a result, these
households are presumptively eligible
for responsive services for both
impacted and disproportionately
impacted households.

Many different geographic, income-
based, or poverty-based presumptions
could be used to designate
disproportionately impacted
populations. The combination of
permitting recipients to use QCTs, low-
income households, and services
provided by Tribal or territorial
governments as presumptions balances
these varying methods. Specifically,
QCTs are a commonly used designation
of geographic areas based on low
incomes or high poverty rates of
households in the community; for
recipients providing geographically
targeted services, QCTs may provide a
simple metric with readily available
maps for use. However, Treasury
recognizes that QCTs do not capture all
underserved populations, including for
reasons noted by commenters. By
allowing recipients to also presume that
low-income households were
disproportionately impacted, the final
rule provides greater flexibility to serve
underserved households or
communities. Data on household
incomes is also readily available at
varying levels of geographic granularity
(e.g., Census Tracts, counties), again
permitting flexibility to adapt to local
circumstances and needs. Finally,
Treasury notes that, as discussed further
below, recipients may also identify
other households, populations, and
communities disproportionately
impacted by the pandemic, in addition
to those presumed to be
disproportionately impacted.

Additionally, Tribal and territorial
governments may face both
disproportionate impacts of the
pandemic and administrability
challenges with operationalizing the
income-based standard; therefore,
Treasury has presumed that services
provided by these governments respond
to disproportionate pandemic impacts.

Given a lack of regularly published data
on household incomes in most
territories,
32 as well as a lack of poverty
guidelines developed for these
jurisdictions,
33 it may be highly
challenging to assess disproportionate
impact in these communities according
to an income- or poverty-based
standard. Similarly, data on incomes in
Tribal communities are not readily
available.
34 Finally, as described in the
sections on Public Health and Negative
Economic Impacts, Tribal communities
have faced particularly severe health
and economic impacts of the pandemic.

Similarly, available research suggests
that preexisting health and economic
disparities in the territories amplified
the impact of the pandemic on these
communities.
35 Categorical Eligibility
Public Comment: Several commenters
suggested that the final rule permit
recipients to rely on a beneficiary’s
eligibility for other federal benefits
programs as an easily administrable
proxy for identifying a group or
population that experienced a negative
economic impact as a result of the
COVID–19 public health emergency
(i.e., categorical eligibility). In other
words, a recipient would determine that
individuals or households are eligible
for an SLFRF-funded program based on
the individual or household’s eligibility
in another program, typically another
federal benefit program. Commenters
noted that categorical eligibility is a
common policy in program
administration that can significantly
ease administrative burden on both
program administrators and
beneficiaries.

Treasury Response: Treasury agrees
that allowing recipients to identify
impacted and disproportionately
impacted beneficiaries based on their
eligibility for other programs with
similar income tests would ease
administrative burden. To the extent
that the other program’s eligibility
criteria align with a population or class
that experienced a negative economic
impact of the pandemic, this approach
is also consistent with the process
allowed under the final rule for
recipients to determine that a class has
experienced a negative economic
impact, and then document that an
individual receiving services is a
member of the class. For these reasons,
the final rule recognizes categorical
eligibility for the following programs
and populations:
• Impacted households. Treasury will
recognize a household as impacted if it
otherwise qualifies for any of the
following programs:

Æ Children’s Health Insurance
Program (CHIP)
Æ Childcare Subsidies through the
Child Care and Development Fund
(CCDF) Program
Æ Medicaid
Æ National Housing Trust Fund
(HTF), for affordable housing programs
only
Æ Home Investment Partnerships
Program (HOME), for affordable housing
programs only
• Disproportionately impacted
households. Treasury will recognize a
household as disproportionately
impacted if it otherwise qualifies for any
of the following programs:

Æ Temporary Assistance for Needy
Families (TANF)
Æ Supplemental Nutrition Assistance
Program (SNAP)
Æ Free and Reduced-Price Lunch
(NSLP) and/or School Breakfast (SBP)
programs
Æ Medicare Part D Low-income
Subsidies
Æ Supplemental Security Income
(SSI)
Æ Head Start and/or Early Head Start
Æ Special Supplemental Nutrition
Program for Women, Infants, and
Children (WIC)
Æ Section 8 Vouchers
Æ Low-Income Home Energy
Assistance Program (LIHEAP)
Æ Pell Grants
Æ For services to address educational
disparities, Treasury will recognize Title
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receive services under section 1113 of Title I, Part
A of the Elementary and Secondary Education Act
of 1965, as amended (20 U.S.C. 6313), including
schools served under section 1113(b)(1)(C) of that
Act.

I eligible schools 36 as
disproportionately impacted and
responsive services that support the
school generally or support the whole
school as eligible
c. Standards for Identifying Other
Eligible Populations
Standards: Designating Other Impacted
Classes
Public Comment: Treasury received
multiple comments requesting
additional clarification about how
classes of impacted individuals may be
designated, as well as questions asking
whether recipients must demonstrate a
specific public health or negative
economic impact to each entity served
(e.g., each household receiving
assistance under a program). There were
several comments requesting that
specific geographic designations, like a
county or Impact Zone, be eligible to
use as a determining boundary.

Treasury Response: The interim final
rule allowed, and the final rule
maintains, the ability for recipients to
demonstrate a public health or negative
economic impact on a class and to
provide assistance to beneficiaries that
fall within that class. Consistent with
the scope of beneficiaries included in
sections 602(c)(1)(A) and 603(c)(1)(A) of
the Social Security Act, Treasury is
clarifying that a recipient may identify
such impacts for a class of households,
small businesses, or nonprofits. In such
cases, the recipient need only
demonstrate that the household, small
business, or nonprofit is within the
relevant class. For example, a recipient
could determine that restaurants in the
downtown area had generally
experienced a negative economic impact
and provide assistance to those small
businesses to respond. When providing
this assistance, the recipient would only
need to demonstrate that the small
businesses receiving assistance were
restaurants in the downtown area. The
recipient would not need to
demonstrate that each restaurant served
experienced its own negative economic
impact.

In identifying an impacted class and
responsive program, service, or capital
expenditure, recipients should consider
the relationship between the definition
of the class and proposed response.

Larger and less-specific classes are less
likely to have experienced similar
harms and thus the responses are less
likely to be responsive to the harms
identified. That is, as the group of
entities being served by a program has
a wider set of fact patterns, or the type
of entities, their circumstances, or their
pandemic experiences differ more
substantially, it may be more difficult to
determine that the class has actually
experienced the same or similar
negative economic impact and that the
response is appropriately tailored to
address that impact.

Standard: Designating Other
Disproportionately Impacted Classes
Summary of Interim Final Rule: As
noted above, the interim final rule
provided a broad set of enumerated
eligible uses of funds in
disproportionately impacted
communities, including to address pre-
existing disparities that contributed to
more severe pandemic impacts in these
communities. The interim final rule
presumed that these services are eligible
uses when provided in a QCT, to
families and individuals living in QCTs,
or when these services are provided by
Tribal governments. Recipients may also
provide these services to ‘‘other
populations, households, or geographic
areas disproportionately impacted by
the pandemic’’ and, in identifying these
disproportionately impacted
communities, should be able to support
their determination that the pandemic
resulted in disproportionate public
health or economic outcomes to the
group identified.

Public Comment: A significant
number of commenters expressed
uncertainty regarding the process for
determining eligibility for
disproportionately impacted
communities beyond QCTs. A
commenter noted that a clearer
definition of ‘‘disproportionately
impacted’’ should be delineated and
that any definition should include
communities of color and people of
limited means. Some commenters
suggested a template or checklist to see
if an area meets the standard for
disproportionately impacted
communities outside of QCTs. Some
commenters stated that QCT and non-
QCT beneficiaries should be treated the
same.

Treasury Response: Under the interim
final rule, presuming eligibility for
services in QCTs, for populations living
in QCTs, and for Tribal governments
was intended to ease administrative
burden, providing a simple path for
recipients to offer services in
underserved communities, and is not an
exhaustive list of disproportionately
impacted communities. To further
clarify, the final rule codifies the
interpretive framework discussed above,
including presumptions of groups
disproportionately impacted, as well as
the ability to identify other
disproportionately impacted
populations, households, or geographies
(referred to here as disproportionately
impacted classes).

As discussed in the interim final rule,
in identifying other disproportionately
impacted classes, recipients should be
able to support their determination that
the pandemic resulted in
disproportionate public health or
economic outcomes to the specific
populations, households, or geographic
areas to be served. For example, the
interim final rule considered data
regarding the rate of COVID–19
infections and deaths in low-income
and socially vulnerable communities,
noting that these communities have
experienced the most severe health
impacts, compared to national averages.

Similarly, the interim final rule
considered the high concentration of
low-income workers performing
essential work, the reduced ability to
socially distance, and other pre-existing
public health challenges, all of which
correlate with more severe COVID–19
outcomes. The interim final rule also
considered the disproportionate
economic impacts of the pandemic,
citing, for example, the rate of job losses
among low-income persons as compared
to the general population. The interim
final rule then identified QCTs, a
common, readily accessible, and
geographically granular method of
identifying communities with a large
proportion of low-income residents, as
presumed to be disproportionately
impacted by the pandemic.

In other words, the interim final rule
identified disproportionately impacted
populations by assessing the impacts of
the pandemic and finding that some
populations experienced meaningfully
more severe impacts than the general
public. Similarly, to identify
disproportionately impacted classes,
recipients should compare the impacts
experienced by that class to the typical
or average impacts of the pandemic in
their local area, state, or nationally.

Recipients may identify classes of
households, communities, small
businesses, nonprofits, or populations
that have experienced a
disproportionate impact based on
academic research or government
research publications, through analysis
of their own data, or through analysis of
other existing data sources. To augment
their analysis, or when quantitative data
is not readily available, recipients may
also consider qualitative research and
sources like resident interviews or
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Prevention, First Travel-related Case of 2019 Novel
Coronavirus Detected in United States (Jan. 21,
2020), https://www.cdc.gov/media/releases/2020/
p0121-novel-coronavirus-travel-case.html.
38 Centers for Disease Control and Prevention,
COVID Data Tracker: Trends in Number of COVID–
19 Cases and Deaths in the US Reported to CDC,
by State/Territory, https://covid.cdc.gov/covid-data-
tracker/#trends_dailytrendscases (last visited
December 7, 2021).
39 Id.
40 Centers for Disease Control and Prevention,
COVID Data Tracker, http://www.covid.cdc.gov/
covid-data-tracker/#datatracker-home (last visited
December 31, 2021).
41 Centers for Disease Control and Prevention,
COVID Data Tracker: COVID–19 Vaccinations in the
United States, https://covid.cdc.gov/covid-data-
tracker/#vaccinations (last visited December 7,
2021).
42 Id.
43 Columbus, Ohio Recovery Plan, https://
www.columbus.gov/recovery/.
44 Luzerne County, Pennsylvania Recovery Plan,
https://www.luzernecounty.org/DocumentCenter/
View/26304/Final-Interim-Recovery-Plan-
Performance-Report-83121.
45 This includes implementing mitigation
strategies consistent with the Centers for Disease
Control and Prevention’s (CDC) Guidance for
COVID–19 Prevention in K–12 Schools (November
5, 2021), available at https://www.cdc.gov/
coronavirus/2019-ncov/community/schools-
childcare/k-12-guidance.html.
feedback from relevant state and local
agencies, such as public health
departments or social services
departments. In both cases, recipients
should consider the quality of the
research, data, and applicability of
analysis to their determination.

In designing a program or service that
responds to a disproportionately
impacted class, a recipient must first
identify the impact and then identify an
appropriate response. To assess
disproportionate impact, recipients
should rely on data or research that
measures the public health or negative
economic impact. An assessment of the
effects of a response (e.g., survey data on
levels of resident support for various
potential responses) is not a substitute
for an assessment of the impact
experienced by a particular class. Data
about the appropriateness or desirability
of a response may be used to assess the
reasonableness of a response, once an
impact or disproportionate impact has
been identified but should not be the
basis for assessing impact.

2. Public Health
Background
On January 21, 2020, the Centers for
Disease Control and Prevention (CDC)
identified the first case of novel
coronavirus in the United States.
37 Since that time, and through present
day, the United States has faced
numerous waves of the virus that have
brought acute strain on health care and
public health systems. At various points
in the pandemic, hospitals and
emergency medical services have seen
significant influxes of patients; response
personnel have faced shortages of
personal protective equipment; testing
for the virus has been scarce; and
congregate living facilities like nursing
homes have seen rapid spread.

Since the initial wave of the COVID–
19 pandemic, the United States has
faced several additional major waves
that continued to impact communities
and stretch public health services. The
summer 2020 wave impacted
communities in the south and
southwest. As the weather turned colder
and people spent more time indoors, a
wave throughout fall and winter 2020
impacted communities in almost every
region of the country as the virus
reached a point of uncontrolled spread
and over 3,000 people died per day due
to COVID–19.
38 In December 2020, the Food and Drug
Administration (FDA) authorized
COVID–19 vaccines for emergency use,
and soon thereafter, mass vaccination in
the United States began. At the time of
the interim final rule publication in May
2021, the number of daily new
infections was steeply declining as
rapid vaccination campaigns progressed
across the country. By summer 2021,
COVID–19 cases had fallen to their
lowest level since early months of the
pandemic, when testing was scarce.

However, throughout late summer and
early fall, the Delta variant, a more
infectious and transmittable variant of
the SARS–CoV–2 virus, sparked yet
another surge. From June to early
September, the seven-day moving
average of reported cases rose from
12,000 to 165,000.
39 As of December 2021, COVID–19 in
total has infected over 50 million and
killed over 800,000 Americans.
40 Preventing and mitigating the spread of
COVID–19 continues to require a major
public health response from federal,
state, local, and Tribal governments.

First, state, local, and Tribal
governments across the country have
mobilized to support the national
vaccination campaign. As of December
2021, more than 80 percent of adults
have received at least one dose, with
more than 470 million total doses
administered.
41 Additionally, more than
15 million children over the age of 12
have received at least one dose of the
vaccine and over 47 million people have
received a booster dose.
42 Vaccines for
younger children, ages 5 through 11,
have been approved and are reaching
communities and families across the
country. As new variants continue to
emerge globally, the national effort to
administer vaccinations and other
COVID–19 mitigation strategies will be
a critical component of the public
health response.

In early reporting on uses of SLFRF
funds, recipients have indicated that
they plan to put funds to immediate use
to support continued vaccination
campaigns. For example, one recipient
has indicated that it plans to use SLFRF
funds to support a vaccine incentive
program, providing $100 gift cards to
residents at community vaccination
clinics. The program aimed to target
communities with high public health
needs.
43 Another recipient reported that
it is partnering with multiple agencies,
organizations, and providers to
distribute COVID–19 vaccinations to
homebound residents in assisted living
facilities.
44 State, local, and Tribal governments
have also continued to execute other
aspects of a wide-ranging public health
response, including increasing access to
COVID–19 testing and rapid at-home
tests, contact tracing, support for
individuals in isolation or quarantine,
enforcement of public health orders,
new public communication efforts,
public health surveillance (e.g.,
monitoring case trends and genomic
sequencing for variants), enhancement
to health care capacity through
alternative care facilities, and
enhancement of public health data
systems to meet new demands or scaling
needs.

State, local, and Tribal governments
have also supported major efforts to
prevent COVID–19 spread through
safety measures at key settings like
nursing homes, schools, congregate
living settings, dense worksites,
incarceration settings, and in other
public facilities. This has included, for
example, implementing infection
prevention measures or making
ventilation improvements.

In particular, state, local, and Tribal
governments have mounted significant
efforts to safely reopen schools. A key
factor in school reopening is the ability
to implement COVID–19 mitigation
strategies such as providing masks and
other hygiene resources, improving air-
quality and ventilation, increasing
outdoor learning and eating spaces,
testing and contact tracing protocols,
and a number of other measures.
45 For
example, one recipient described plans
to use SLFRF funds to further invest in
school health resources that were
critical components of school reopening
and reducing the spread of COVID–19 in
schools. Those investments include the
increasing school nurses and social
VerDate Sep<11>2014 19:24 Jan 26, 2022 Jkt 256001 PO 00000 Frm 00014 Fmt 4701 Sfmt 4700 E:\FR\FM\27JAR2.SGM 27JAR2lotter on DSK11XQN23PROD with RULES2 4351 Federal Register / Vol. 87, No. 18 / Thursday, January 27, 2022 / Rules and Regulations 46 Nirmita Panchal et al., The Implications of
COVID–19 for Mental Health and Substance Abuse
(Feb. 10, 2021), https://www.kff.org/coronavirus
covid-19/issue-brief/the-implications-of-covid-19-
for-mental-health-and-substance-use/#:∼:text=
Older%20adults%20are%20also%20 more,
prior%20to%20the%20current%20crisis; Mark E´ .

Czeisler et al., Mental Health, Substance Abuse, and
Suicidal Ideation During COVID–19 Pandemic—
United States, June 24–30 2020, Morb. Mortal.

Wkly. Rep. 69(32):1049–57 (Aug. 14, 2020), https://
www.cdc.gov/mmwr/volumes/69/wr/
mm6932a1.htm.
47 Id.
48 Rebecca T. Leeb et al., Mental Health-Related
Emergency Department Visits Among Children
Aged <18 Years During the COVID Pandemic—
United States, January 1–October 17, 2020, Morb.

Mortal. Wkly. Rep. 69(45):1675–80 (Nov. 13, 2020),
https://www.cdc.gov/mmwr/volumes/69/wr/
mm6945a3.htm.
49 Centers for Disease Prevention and Control,
National Center for Health Statistics, Provisional
Drug Overdose Death Counts, https://www.cdc.gov/
nchs/nvss/vsrr/drug-overdose-data.htm (last visited
May 8 December 6, 2021).
50 Panchal, supra note 46; Mark E´. Czeisler et al.,
supra note 46.
51 The White House, FACT SHEET: More Details
on the Biden-Harris Administration’s Investments
in Community Violence Interventions (April 7,
2021), https://www.whitehouse.gov/briefing-room/
statements-releases/2021/04/07/fact-sheet-more-
details-on-the-biden-harris-administrations-
investments-in-community-violence-interventions/.
52 Federal Bureau of Investigation, FBI Releases
2020 Crime Statistics (September 27, 2021) https://
www.fbi.gov/news/pressrel/press-releases/fbi-
releases-2020-crime-statistics.
53 Id.
54 Id.
55 The Educational Fund to Stop Gun Violence,
Community Gun Violence, https://efsgv.org/learn/
type-of-gun-violence/community-gun-violence/ (last
visited November 9, 2021).
56 Giffords Law Center, Healing Communities in
Crisis: Lifesaving Solutions to the Urban Gun
Violence Epidemic (March 2016), https://giffords.
org/wp-content/uploads/2019/01/Healing-
Communities-in-Crisis.pdf.
57 St. Louis, MO Recovery Plan, https://
www.stlouis-mo.gov/government/recovery/covid-19/
arpa/plan/.
58 Los Angeles County, CA Recovery Plan, http://
file.lacounty.gov/SDSInter/bos/supdocs/
160391.pdf.
59 Office of the White House, National Strategy for
the COVID–19 Response and Pandemic
Preparedness (Jan. 21, 2021), https://
www.whitehouse.gov/wp-content/uploads/2021/01/
National-Strategy-for-the-COVID-19-Response-and-
Pandemic-Preparedness.pdf.
60 In a study of 13 states from October to
December 2020, the CDC found that Hispanic or
Latino and Native American or Alaska Native
individuals were 1.7 times more likely to visit an
emergency room for COVID–19 than White
individuals, and Black individuals were 1.4 times
more likely to do so than White individuals. See
Sebastian D. Romano et al., Trends in Racial and
Ethnic Disparities in COVID–19 Hospitalizations,
by Region—United States, March–December 2020,
MMWR Morb Mortal Wkly Rep 2021, 70:560–565
(Apr. 16, 2021), https://www.cdc.gov/mmwr/
volumes/70/wr/mm7015e2.htm?s_cid=mm7015e2_
w.
61 Centers for Disease Control and Prevention,
COVID Data Tracker: Trends in COVID–19 Cases
and Deaths in the United States, by County-level
Population Factors, https://covid.cdc.gov/covid-
data-tracker/#pop-factors_totaldeaths (last visited
December 7, 2021).
62 The CDC’s Social Vulnerability Index includes
fifteen variables measuring social vulnerability,
including unemployment, poverty, education
levels, single-parent households, disability status,
non-English speaking households, crowded
housing, and transportation access.

Centers for Disease Control and Prevention,
COVID Data Tracker: Trends in COVID–19 Cases
and Deaths in the United States, by Social
Continued
workers, improved ventilation systems,
and other health and safety measures.

The need for public health measures
to respond to COVID–19 will continue
moving forward. This includes the
continuation of vaccination campaigns
for the general public, booster doses,
and children. This also includes
monitoring the spread of COVID–19
variants, understanding the impact of
these variants, developing approaches to
respond, and monitoring global COVID–
19 trends. Finally, the long-term health
impacts of COVID–19 will continue to
require a public health response,
including medical services for
individuals with ‘‘long COVID,’’ and
research to understand how COVID–19
impacts future health needs and raises
risks for the tens of millions of
Americans who have been infected.

The COVID–19 pandemic also
negatively impacted other areas of
public health, particularly mental health
and substance use. In January 2021, over
40 percent of American adults reported
symptoms of depression or anxiety, up
from 11 percent in the first half of
2019.
46 The mental health impacts of
the pandemic have been particularly
acute for adults ages 18 to 24, racial and
ethnic minorities, caregivers for adults,
and essential workers, with all reporting
significantly higher rates of considering
suicide.
47 The proportion of children’s
emergency department visits related to
mental health has also risen
noticeably.
48 Similarly, rates of
substance use and overdose deaths have
spiked: Preliminary data from the CDC
show a nearly 30 percent increase in
drug overdose mortality from April 2020
to April 2021, bringing the estimated
overdose death toll for a 12-month
period over 100,000 for the first time
ever.
49 The CDC also found that 13
percent of adults started or increased
substance use to cope with stress related
to COVID–19 and 26 percent reported
having symptoms of trauma- and
stressor-related disorder (TRSD) related
to the pandemic.
50 Another public health challenge
exacerbated by the pandemic was
violent crime and gun violence, which
increased during the pandemic and has
disproportionately impacted low-
income communities.
51 According to
the Federal Bureau of Investigation
(FBI), although the property crime rate
fell 8 percent in 2020, the violent crime
rate increased 6 percent in 2020
compared to 2019 data.
52 In particular,
the estimated number of aggravated
assault offenses rose 12 percent, while
murder and manslaughter increased 30
percent from 2019 to 2020.
53 The
proportion of homicides committed
with firearms rose from 73 percent in
2019 to 76 percent in 2020.
54 Exposure
to violence can create serious short-term
and long-term harmful effects to health
and development, and repeated
exposure to violence may be connected
to negative health outcomes.
55 Addressing community violence as a
public health issue may help prevent
and even reduce additional harm to
individuals, households, and
communities.
56 Many communities are using SLFRF
funds to invest in holistic approaches in
violence prevention that are rooted in
targeted outreach and addressing root
causes. For example, the City of St.

Louis is planning to invest in expanding
a ‘‘community responder’’ model
designed to provide clinical help and to
divert non-violent calls away from the
police department. Additionally, the
city will expand access to mental health
services, allowing residents to seek
support at city recreation centers,
libraries, and other public spaces.
57 Similarly, Los Angeles County will
further invest in its ‘‘Care First, Jails
Last’’ program which seeks to replace
‘‘arrest and incarceration’’ responses
with health interventions.
58 While the pandemic affected
communities across the country, it
disproportionately impacted some
demographic groups and exacerbated
health inequities along racial, ethnic,
and socioeconomic lines.
59 The CDC
has found that racial and ethnic
minorities are at increased risk for
infection, hospitalization, and death
from COVID–19, with Hispanic or
Latino and Native American or Alaska
Native patients at highest risk.
60 Similarly, low-income and socially
vulnerable communities have seen the
most severe health impacts. For
example, counties with high poverty
rates also have the highest rates of
infections and deaths, with 308 deaths
per 100,000 compared to the U.S.
average of 238 deaths per 100,000, as of
December 2021.
61 Counties with high
social vulnerability, as measured by
factors such as poverty and educational
attainment, have also fared more poorly
than the national average, with 325
deaths per 100,000 as of December
2021.
62 Over the course of the
VerDate Sep<11>2014 19:24 Jan 26, 2022 Jkt 256001 PO 00000 Frm 00015 Fmt 4701 Sfmt 4700 E:\FR\FM\27JAR2.SGM 27JAR2lotter on DSK11XQN23PROD with RULES2 4352 Federal Register / Vol. 87, No. 18 / Thursday, January 27, 2022 / Rules and Regulations Vulnerability Index, https://covid.cdc.gov/covid-
data-tracker/#pop-factors_totaldeaths (last visited
December 7, 2021).
63 Centers for Disease Control and Prevention,
Risk for COVID–19 Infection, Hospitalization, and
Death By Race/Ethnicity, https://www.cdc.gov/
coronavirus/2019-ncov/covid-data/investigations-
discovery/hospitalization-death-by-race-
ethnicity.html (last visited December 7, 2021).
64 See, e.g., Centers for Disease Control and
Prevention, Risk of Severe Illness or Death from
COVID–19 (Dec. 10, 2020), https://www.cdc.gov/
coronavirus/2019-ncov/community/health-equity/
racial-ethnic-disparities/disparities-illness.html
(last visited December 7, 2021).
65 Milena Almagro et al., Racial Disparities in
Frontline Workers and Housing Crowding During
COVID–19: Evidence from Geolocation Data (Sept.
22, 2020), NYU Stern School of Business
(forthcoming), available at https://papers.ssrn.com/
sol3/papers.cfm?abstract_id=3695249; Grace
McCormack et al., Economic Vulnerability of
Households with Essential Workers, JAMA
324(4):388–90 (2020), available at https://jamanet
work.com/journals/jama/fullarticle/2767630.
66 See, e.g., Joseph G. Courtney et al., Decreases
in Young Children Who Received Blood Lead Level
Testing During COVID–19—34 Jurisdictions,
January–May 2020, Morb. Mort. Wkly. Rep.
70(5):155–61 (Feb. 5, 2021), https://www.cdc.gov/
mmwr/volumes/70/wr/mm7005a2.htm; Emily A.

Benfer & Lindsay F. Wiley, Health Justice Strategies
to Combat COVID–19: Protecting Vulnerable
Communities During a Pandemic, Health Affairs
Blog (Mar. 19, 2020), https://www.healthaffairs.org/
do/10.1377/hblog20200319.757883/full/.
67 See, e.g., Centers for Disease Control and
Prevention, supra note 62; Benfer & Wiley, supra
note 66; Nathaniel M. Lewis et al., Disparities in
COVID–19 Incidence, Hospitalizations, and Testing,
by Area-Level Deprivation—Utah, March 3–July 9,
2020, Morb. Mortal. Wkly. Rep. 69(38):1369–73
(Sept. 25, 2020), https://www.cdc.gov/mmwr/
volumes/69/wr/mm6938a4.htm.
68 Generally, funding uses eligible under CRF as
a response to the direct public health impacts of
COVID–19 will continue to be eligible under the
ARPA, including those not explicitly listed in the
final rule, with the following two exceptions: (1)
The standard for eligibility of public health and
safety payrolls has been updated (see section Public
Sector Capacity and Workforce in General
Provisions: Other) and (2) expenses related to the
issuance of tax-anticipation notes are no longer an
eligible funding use (see section Restrictions on
Use: Debt Service).
pandemic, Native Americans have
experienced more than one and a half
times the rate of COVID–19 infections,
more than triple the rate of
hospitalizations, and more than double
the death rate compared to White
Americans.
63 Low-income and minority
communities also exhibit higher rates of
pre-existing conditions that may
contribute to an increased risk of
COVID–19 mortality.
64 In addition,
individuals living in low-income
communities may have had more
limited ability to socially distance or to
self-isolate when ill, resulting in faster
spread of the virus, and were over-
represented among essential workers,
who face greater risk of exposure.
65 Social distancing measures in
response to the pandemic may have also
exacerbated pre-existing public health
challenges. For example, for children
living in homes with lead paint,
spending substantially more time at
home raises the risk of developing
elevated blood lead levels, while
screenings for elevated blood lead levels
declined during the pandemic.
66 The
combination of these underlying social
and health vulnerabilities may have
contributed to more severe public health
outcomes of the pandemic within these
communities, resulting in an
exacerbation of pre-existing disparities
in health outcomes.
67 Summary of the Interim Final Rule
Approach to Public Health
Summary: As discussed above, the
interim final rule provided flexibility for
recipients to pursue a wide range of
eligible uses to ‘‘respond to’’ the
COVID–19 public health emergency.

Uses of funds to ‘‘respond to’’ the public
health emergency address the SARS-
CoV–2 virus itself, support efforts to
prevent or decrease spread of the virus,
and address other impacts of the
pandemic on public health. The interim
final rule implemented these provisions
by identifying a non-exhaustive list of
programs or services that may be funded
as responding to COVID–19
(‘‘enumerated eligible uses’’), along with
considerations for evaluating other
potential uses of funds not explicitly
listed. Enumerated eligible uses are
discussed below. For guidance on how
to determine whether a particular use is
allowable, beyond those enumerated,
see section Standards: Identifying a
Public Health Impact.

Enumerated eligible uses under this
section built and expanded upon
permissible expenditures under the
Coronavirus Relief Fund; for clarity, the
interim final rule expressly listed as
eligible uses the uses permissible under
the Coronavirus Relief Fund, with
minor exceptions.
68 The interim final
rule also recognized that the nature of
the COVID–19 public health emergency,
and responsive policy measures,
programs, and services, had changed
over time and is expected to continue
evolving.

The interim final rule categorized
enumerated eligible uses to respond to
the public health emergency into several
categories: (1) COVID–19 mitigation and
prevention, (2) medical expenses, (3)
behavioral health care, (4) public health
and safety staff, (5) expenses to improve
the design and execution of health and
public health programs, and (6) eligible
uses to address disparities in public
health outcomes. For each category in
turn, this section describes public
comments received and Treasury’s
responses, as well as comments received
proposing additional enumerated
eligible uses.

Reorganizations and Cross-
References: In some cases, enumerated
eligible uses included in the interim
final rule under responding to the
public health emergency have been re-
categorized in the organization of the
final rule to enhance clarity. For
discussion of eligible uses for public
health and safety staff and to improve
the design and execution of public
health programs, please see section
Public Sector Capacity and Workforce in
General Provisions: Other. For
discussion of eligible uses to address
disparities in public health outcomes,
please see section Assistance to
Households in Negative Economic
Impacts.

Conversely, discussion of eligible
assistance to small businesses and
nonprofits to respond to public health
impacts has been moved from
Assistance to Small Businesses and
Assistance to Nonprofits in Negative
Economic Impacts to this section. This
change is consistent with the interim
final rule, which provides that
appropriate responses to address the
public health impacts of COVID–19 may
be provided to any type of entity.
a. COVID–19 Mitigation and Prevention
COVID–19 public health response and
mitigation tactics. Recognizing the
broad range of services and
programming needed to contain
COVID–19, the interim final rule
provided an extensive list of
enumerated eligible uses to prevent and
mitigate COVID–19 and made clear that
the public health response to the virus
is expected to continue to evolve over
time, necessitating different uses of
funds.

Enumerated eligible uses of funds in
this category included: Vaccination
programs; medical care; testing; contact
tracing; support for isolation or
quarantine; supports for vulnerable
populations to access medical or public
health services; public health
surveillance (e.g., monitoring case
trends, genomic sequencing for
variants); enforcement of public health
orders; public communication efforts;
enhancement to health care capacity,
including through alternative care
facilities; purchases of personal
protective equipment; support for
prevention, mitigation, or other services
in congregate living facilities (e.g.,
nursing homes, incarceration settings,
homeless shelters, group living
facilities) and other key settings like
schools; ventilation improvements in
congregate settings, health care settings,
or other key locations; enhancement of
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COVID Data Tracker, https://covid.cdc.gov/covid-
data-tracker/#trends_dailycases (last visited
December 7, 2021).
70 See Centers for Disease Control and Prevention,
COVID–19, https://www.cdc.gov/coronavirus/2019-
ncov/index.html (last visited November 8, 2021).
71 See § 35.6(b); Coronavirus State and Local
Fiscal Recovery Funds, 86 FR at 26786.
72 Centers for Disease Control and Prevention,
COVID Data Tracker: COVID–19 Vaccinations in the
United States, https://covid.cdc.gov/covid-data-
tracker/#vaccinations (last visited October 18,
2021).
73 U.S. Food and Drug Administration,
Coronavirus (COVID–19) Update: FDA Takes
Additional Actions on the Use of a Booster Dose for
COVID–19 Vaccines, https://www.fda.gov/news-
events/press-announcements/fda-authorizes-pfizer-
biontech-covid-19-vaccine-emergency-use-children-
5-through-11-years-age (last visited November 8,
2021).
74 U.S. Food and Drug Administration, FDA
Authorizes Pfizer-BioNTech COVID–19 Vaccine for
Emergency Use in Children 5 through 11 Years of
Age, https://www.fda.gov/news-events/press-
announcements/fda-authorizes-pfizer-biontech-
covid-19-vaccine-emergency-use-children-5-
through-11-years-age (last visited November 8,
2021).
public health data systems; other public
health responses; and capital
investments in public facilities to meet
pandemic operational needs, such as
physical plant improvements to public
hospitals and health clinics or
adaptations to public buildings to
implement COVID–19 mitigation tactics.

These enumerated uses are consistent
with guidance from public health
authorities, including the CDC.

Public Comment: Many commenters
were supportive of expansive
enumerated eligible uses for mitigating
and preventing COVID–19, noting the
wide range of activities that
governments may undertake and the
continued changing landscape of
pandemic response. Some commenters
requested that Treasury engage in
ongoing consideration of and
consultation on evolving public health
needs and resulting eligible expenses.

Some commenters noted that their
jurisdiction does not have an official
public health program, for example
smaller jurisdictions or those that do not
have a health department, and requested
clarification on whether their public
health expenses would still be eligible
in compliance with program rules.

Treasury Response: In the final rule,
Treasury is maintaining an expansive
list of enumerated eligible uses to
mitigate and prevent COVID–19, given
the wide-ranging activities that
governments may take to further these
goals, including ‘‘other public health
responses.’’ Note that the final rule
discusses several of these enumerated
uses in more detail below.

Treasury is further clarifying that
when providing COVID–19 prevention
and mitigation services, recipients can
identify the impacted population as the
general public. Treasury presumes that
all enumerated eligible uses for
programs and services, including
COVID–19 mitigation and prevention
programs and services, are reasonably
proportional responses to the harm
identified unless a response is grossly
disproportionate to the type or extent of
harm experienced. Note that capital
expenditures are not considered
‘‘programs and services’’ and are not
presumed to be reasonably proportional
responses to an identified harm except
as provided in section Capital
Expenditures in General Provisions:

Other. In other words, recipients can
provide any COVID–19 prevention or
mitigation service to members of the
general public without any further
analysis of impacts of the pandemic on
those individuals and whether the
service is responsive.

This approach gives recipient
governments an extensive set of eligible
uses that can adapt to local needs, as
well as evolving response needs and
developments in understanding of
transmission of COVID–19. Treasury
emphasizes how the enumerated
eligible uses can adapt to changing
circumstances. For example, when the
interim final rule was released, national
daily COVID–19 cases were at relatively
low levels and declining;
69 as the Delta
variant spread and cases peaked in
many areas of the country, particularly
those with low vaccination rates,
government response needs and tactics
evolved, and the SLFRF funds provided
the ability to quickly and nimbly adapt
to new public health needs. Treasury
also notes that funds may be used to
support compliance with and
implementation of COVID–19 safety
requirements, including vaccination
requirements, testing programs, or other
required practices.

Recipient governments do not need to
have an official health or public health
program in order to utilize these eligible
uses; any recipient can pursue these
eligible uses, though Treasury
recommends consulting with health and
public health professionals to support
effective implementation.

The CDC has provided
recommendations and guidelines to
help mitigate and prevent COVID–19.

The interim final rule and final rule
help support recipients in stopping the
spread of COVID–19 through these
recommendations and guidelines.
70 The
final rule reflects changing
circumstances of COVID–19 and
provides a broad range of permissible
uses for mitigating and preventing the
spread of the disease, in a manner
consistent with CDC guidelines and
recommendations.

The purpose of the SLFRF funds is to
mitigate the fiscal effects stemming from
the COVID–19 public health emergency,
including by supporting efforts to stop
the spread of the virus. The interim final
rule and final rule implement this
objective by, in part, providing that
recipients may use SLFRF funds for
COVID–19 mitigation and prevention.
71 A program or service that imposes
conditions on participation in or
acceptance of the service that would
undermine efforts to stop the spread of
COVID–19 or discourage compliance
with recommendations and guidelines
in CDC guidance for stopping the spread
of COVID–19 is not a permissible use of
funds. In other words, recipients may
not use funds for a program that
undermines practices included in the
CDC’s guidelines and recommendations
for stopping the spread of COVID–19.

This includes programs that impose a
condition to discourage compliance
with practices in line with CDC
guidance (e.g., paying off fines to
businesses incurred for violation of
COVID–19 vaccination or safety
requirements), as well as programs that
require households, businesses,
nonprofits, or other entities not to use
practices in line with CDC guidance as
a condition of receiving funds (e.g.,
requiring that businesses abstain from
requiring mask use or employee
vaccination as a condition of receiving
SLFRF funds).

Vaccination programs and vaccine
incentives. At the time of the interim
final rule release, many vaccination
programs were using mass vaccination
tactics to rapidly reach Americans en
masse for first vaccine doses.
72 Since
that time, the FDA has authorized
booster vaccine doses for certain groups
and certain vaccines and has also
authorized vaccines for youths
73 74 The
inclusion of ‘‘vaccination programs’’ as
an eligible use allows for adaptation as
the needs of programs change or new
groups become eligible for different
types of vaccinations.

Public Comment: Since the release of
the interim final rule, many recipient
governments have also requested
clarification on whether vaccine
incentives are a permissible use of
funds.

Treasury Response: Treasury issued
guidance clarifying that ‘‘[vaccine]
programs that provide incentives
reasonably expected to increase the
number of people who choose to get
vaccinated, or that motivate people to
get vaccinated sooner than they
otherwise would have, are an allowable
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Funds, Frequently Asked Questions, as of July 19,
2021; https://home.treasury.gov/system/files/136/
SLFRPFAQ.pdf. Note that programs may provide
incentives to individuals who have already received
a vaccination if the incentive is reasonably expected
to increase the number of people who choose to get
vaccinated or motivate people to get vaccinated
sooner and the costs are reasonably proportional to
the expected public health benefit.
use of funds so long as such costs are
reasonably proportional to the expected
public health benefit.’’
75 This use of
funds remains permissible under the
final rule.

Capital Expenditures
Public Comment: Many commenters
requested clarification around the types
and scope of permissible capital
investments in public facilities to meet
pandemic operational needs; ventilation
improvements in congregate settings,
health care settings, or other key
locations; and whether support for
prevention and mitigation in congregate
facilities could include facilities
renovations, improvements, or
construction of new facilities, or if the
facilities must solely be used for
COVID–19 response.

Treasury Response: For clarity,
Treasury has addressed the eligibility
standard for capital expenditures, or
investments in property, facilities, or
equipment, in one section of this
Supplementary Information; see section
Capital Expenditures in General
Provisions: Other. In recognition of the
importance of capital expenditures in
the COVID–19 public health response,
Treasury enumerates that the following
projects are examples of eligible capital
expenditures, as long as they meet the
standards for capital expenditures in
section Capital Expenditures in General
Provisions: Other:
• Improvements or construction of
COVID–19 testing sites and laboratories,
and acquisition of related equipment;
• Improvements or construction of
COVID–19 vaccination sites;
• Improvements or construction of
medical facilities generally dedicated to
COVID–19 treatment and mitigation
(e.g., emergency rooms, intensive care
units, telemedicine capabilities for
COVID–19 related treatment);
• Expenses of establishing temporary
medical facilities and other measures to
increase COVID–19 treatment capacity,
including related construction costs;
• Acquisition of equipment for
COVID–19 prevention and treatment,
including ventilators, ambulances, and
other medical or emergency services
equipment;
• Improvements to or construction of
emergency operations centers and
acquisition of emergency response
equipment (e.g., emergency response
radio systems);
• Installation and improvements of
ventilation systems;
• Costs of establishing public health
data systems, including technology
infrastructure;
• Adaptations to congregate living
facilities, including skilled nursing
facilities, other long-term care facilities,
incarceration settings, homeless
shelters, residential foster care facilities,
residential behavioral health treatment,
and other group living facilities, as well
as public facilities and schools
(excluding construction of new facilities
for the purpose of mitigating spread of
COVID–19 in the facility); and
• Mitigation measures in small
businesses, nonprofits, and impacted
industries (e.g., developing outdoor
spaces).

Other clarifications on COVID–19
mitigation: Medical care, supports for
vulnerable populations, data systems,
carceral settings. Based on public
comments and questions received from
recipients following the interim final
rule, Treasury is making several further
clarifications on enumerated eligible
uses in this category.

Public Comment: Several commenters
requested clarification on eligible uses
of funds for medical care; Treasury
addresses those comments in the section
Medical Expenses below.

Public Comment: Recipients posed
questions on the type and scope of
activities eligible as ‘‘supports for
vulnerable populations to access
medical or public health services.’’
Treasury Response: Enumerated
eligible uses should be considered in
the context of the eligible use category
or section where they appear; in this
case, ‘‘supports for vulnerable
populations to access medical or public
health services’’ appears in the section
COVID–19 Mitigation and Prevention.

As such, these eligible uses should help
vulnerable or high-risk populations
access services that mitigate COVID–19,
for example, transportation assistance to
reach vaccination sites, mobile
vaccination or testing programs, or on-
site vaccination or testing services for
homebound individuals, those in group
homes, or similar settings.

Public Comment: Some commenters
asked whether ‘‘enhancement of public
health data systems’’ could include
investments in software, databases, and
other information technology resources
that support responses to the COVID–19
public health emergency but also
provide benefits for other use cases and
long-term capacity of public health
departments and systems.

Treasury Response: These are
permissible uses of funds under the
interim final rule and remain eligible
under the final rule.

Assistance to Businesses and Nonprofits
To Implement COVID–19 Mitigation
Strategies
Background: As detailed above,
Treasury received many public
comments describing uncertainty about
which eligible use category should be
used to assess different potential uses of
funds. As a result, Treasury has re-
categorized some uses of funds in the
final rule to provide greater clarity,
consistent with the principle that uses
of funds should be assessed based on
their intended beneficiary. For example,
COVID–19 mitigation and prevention
serves the general public or specific
populations within the public.

However, in the interim final rule,
assistance to small businesses,
nonprofits, and impacted industries to
implement COVID–19 mitigation and
prevention strategies was categorized in
the respective sections within Negative
Economic Impacts. The final rule
consolidates all COVID–19 mitigation
and prevention within Public Health.

Public Comment: Treasury has
received multiple comments and
questions about which eligible use
permits the recipient to provide
assistance to businesses and nonprofits
to address the public health impacts of
COVID–19.

Treasury Response: In the final rule,
these services have been re-categorized
under COVID–19 mitigation and
prevention to reflect the fact that this
assistance responds to public health
impacts of the pandemic rather than the
negative economic impacts to a small
business, nonprofit, or impacted
industry. When providing COVID–19
mitigation and prevention services,
recipients can identify the impacted
entity as small businesses, nonprofits, or
businesses in impacted industries in
general. As with all enumerated eligible
uses, recipients may presume that all
COVID–19 mitigation and prevention
programs and services are reasonably
proportional responses to the harm
identified unless a response is grossly
disproportionate to the type or extent of
harm experienced. Note that capital
expenditures are not considered
‘‘programs and services’’ and are not
presumed to be reasonably proportional
responses to an identified harm except
as provided in section Capital
Expenditures in General Provisions:

Other. In other words, recipients can
provide any COVID–19 prevention or
mitigation service to small businesses,
nonprofits, and businesses in impacted
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Participate in Outdoor and Indoor Activities,
https://www.cdc.gov/coronavirus/2019-ncov/daily-
life-coping/outdoor-activities.html (last visited
November 8, 2021).
77 Hotlines or warmlines, crisis intervention,
overdose prevention, infectious disease prevention,
and services or outreach to promote access to
physical or behavioral health primary care and
preventative medicine.
industries without any further analysis
of impacts of the pandemic on those
entities and whether the service is
responsive.

In some cases, this means that an
entity not otherwise eligible to receive
assistance to respond to negative
economic impacts of the pandemic, for
example an entity that did not
experience a negative economic impact,
may still be eligible to receive assistance
under this category for COVID–19
mitigation and prevention services.

Uses of funds can include loans,
grants, or in-kind assistance to small
businesses, nonprofits, or other entities
to implement COVID–19 prevention or
mitigation tactics, such as vaccination;
testing; contact tracing programs;
physical plant changes to enable greater
use of outdoor spaces or ventilation
improvements; enhanced cleaning
efforts; and barriers or partitions. For
example, this would include assistance
to a restaurant to establish an outdoor
patio, given evidence showing much
lower risk of COVID–19 transmission
outdoors.
76 Uses of funds can also
include aid to travel, tourism,
hospitality, and other impacted
industries to implement COVID–19
mitigation and prevention measures to
enable safe reopening, for example,
vaccination or testing programs,
improvements to ventilation, physical
barriers or partitions, signage to
facilitate social distancing, provision of
masks or personal protective equipment,
or consultation with infection
prevention professionals to develop safe
reopening plans.

Recipients providing assistance to
small businesses, nonprofits, or
impacted industries that includes
capital expenditures (i.e., expenditures
on property, facilities, or equipment)
should also review the section Capital
Expenditures in General Provisions:

Other, which describes eligibility
standards for these expenditures.

Recipients providing assistances in the
form of loans should review the section
Treatment of Loans Made with SLFRF
Funds in General Provisions: Other.

Recipients should also be aware of the
difference between beneficiaries of
assistance and subrecipients when
working with small businesses,
nonprofits, or impacted industries. As
noted above, Treasury presumes that the
general public, as well as small
businesses, nonprofits, and impacted
industries in general, has been impacted
by the COVID–19 disease itself and is
eligible for services that mitigate or
prevent COVID–19 spread. As such, a
small business, nonprofit, or impacted
industry receiving assistance to
implement COVID–19 mitigation
measures is a beneficiary of assistance
(e.g., granting funds to a small business
to develop an outdoor patio to reduce
transmission). In contrast, if a recipient
contracts with, or grants funds to, a
small business, nonprofit, or impacted
industry to carry out an eligible use for
COVID–19 mitigation on behalf of the
recipient, the entity is a subrecipient
(e.g., contracting with a small business
to operate COVID–19 vaccination sites).

For further information on
distinguishing between beneficiaries
and subrecipients, as well as the
impacts of the distinction on reporting
and other requirements, see section
Distinguishing Subrecipients versus
Beneficiaries.
b. Medical Expenses
Background: The interim final rule
also included as an enumerated eligible
use medical expenses, including
medical care and services to address the
near-term and potential longer-term
impacts of the disease on individuals
infected.

Public Comment: Some commenters
sought clarification on the types of
medical expenses eligible and for
whom, including whether funds could
be used under this category for
expanding health insurance coverage
(e.g., subsidies for premiums, expanding
a group health plan), improvements to
healthcare facilities or establishment of
new medical facilities, direct costs of
medical services, and costs to a self-
funded health insurance plan (e.g., a
county government health plan) for
COVID–19 medical care.

Treasury Response: In the final rule,
Treasury is maintaining this enumerated
eligible use category and clarifying that
it covers costs related to medical care
provided directly to an individual due
to COVID–19 infection (e.g., treatment)
or a potential infection (e.g., testing).

This can include medical costs to
uninsured individuals; deductibles, co-
pays, or other costs not covered by
insurance; costs for uncompensated care
at a health provider; emergency medical
response costs; and, for recipients with
a self-funded health insurance plan,
excess health insurance costs due to
COVID–19 medical care. These are
medical expenses due to COVID–19 and
distinguish this category of eligible uses
from other related eligible uses, like
COVID–19 mitigation and prevention
and health insurance expenses to
households, to provide greater clarity
for recipients in determining which
category of eligible uses they should
review to assess a potential use of funds.

For discussion of eligibility for
programs to expand health insurance
coverage, see section Assistance to
Households.
c. Behavioral Health Care
Background: Recognizing that the
public health emergency, necessary
mitigation measures like social
distancing, and the economic downturn
have exacerbated mental health and
substance use challenges for many
Americans, the interim final rule
included an enumerated eligible use for
mental health treatment, substance use
treatment, and other behavioral health
services, including a non-exhaustive list
of specific services that would be
eligible under this category.

Public Comment: Many commenters
expressed support for the interim final
rule’s recognition of behavioral health
impacts of the pandemic and eligible
uses under this category. Several
commenters requested clarification on
the types of eligible services under this
category, specifically whether both
acute and chronic care are included as
well as services that often do not
directly accept insurance payments, like
peer support groups. Some commenters
highlighted the importance of cultural
competence in providing effective
behavioral health services. Some
commenters suggested that funding
should be available broadly and quickly
for this purpose, recommending that
funding available for behavioral health
not be tied to the amount of revenue
loss experienced by the recipient.

Treasury Response: In the final rule,
Treasury is maintaining this enumerated
eligible use category and clarifying that
it covers an expansive array of services
for prevention, treatment, recovery, and
harm reduction for mental health,
substance use, and other behavioral
health challenges caused or exacerbated
by the public health emergency. The
specific services listed in the interim
final rule also remain eligible.
77 Treasury is further clarifying that
when providing behavioral health
services, recipients can identify the
impacted population as the general
public and, as with all enumerated
eligible uses, presume that all programs
and services are reasonably proportional
responses to the harm identified unless
a response is grossly disproportionate to
the type or extent of harm experienced.

In contrast, capital expenditures are not
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reimburse a service that was also billed to
insurance.
79 In line with the Department of Health and
Human Services, Overdose Prevention Strategy,
https://www.hhs.gov/overdose-prevention/, and the
Office of National Drug Control Policy,
Administration’s Statement on Drug Policy
Priorities for Year One (April 1, 2021), https://
www.whitehouse.gov/wp-content/uploads/2021/03/
BidenHarris-Statement-of-Drug-Policy-Priorities-
April-1.pdf.
considered ‘‘programs and services’’ and
are not presumed to be reasonably
proportional responses to an identified
harm except as provided in section
Capital Expenditures in General
Provisions: Other.

In other words, recipients can provide
behavioral health services to members
of the general public without any
further analysis of impacts of the
pandemic on those individuals and
whether the service is responsive.

Recipients may also use this eligible use
category to respond to increased rates of
behavioral health challenges at a
population level or, at an individual
level, new behavioral health challenges
or exacerbation of pre-existing
challenges, including new barriers to
accessing treatment.

Services that respond to these impacts
of the public health emergency may
include services across the continuum
of care, including both acute and
chronic care, such as prevention,
outpatient treatment, inpatient
treatment, crisis care, diversion
programs (e.g., from emergency
departments or criminal justice system
involvement), outreach to individuals
not yet engaged in treatment, harm
reduction, and supports for long-term
recovery (e.g., peer support or recovery
coaching, housing, transportation,
employment services).

Recipients may also provide services
for special populations, for example,
enhanced services in schools to address
increased rates of behavioral health
challenges for youths, mental health
first responder or law enforcement-
mental health co-responder programs to
divert individuals experiencing mental
illness from the criminal justice system,
or services for pregnant women with
substance use disorders or infants born
with neonatal abstinence syndrome.

Finally, recipients may use funds for
programs or services to support
equitable access to services and reduce
racial, ethnic, or socioeconomic
disparities in access to high-quality
treatment.

Eligible uses of funds may include
services typically billable to
insurance
78 or services not typically
billable to insurance, such as peer
support groups, costs for residence in
supportive housing or recovery housing,
and the 988 National Suicide Prevention
Lifeline or other hotline services.

Recipients may also use funds in
conjunction with other federal grants or
programs (see section Program
Administration Provisions), though
eligible services under SLFRF are not
limited to those eligible under existing
federal programs.

Given the public health emergency’s
exacerbation of the ongoing opioid and
overdose crisis, Treasury highlights
several ways that funds may be used to
respond to opioid use disorder and
prevent overdose mortality.
79 Specifically, eligible uses of funds
include programs to expand access to
evidence-based treatment like
medications to treat opioid use disorder
(e.g., direct costs or incentives for
emergency departments, prisons, jails,
and outpatient providers to offer
medications and low-barrier treatment),
naloxone distribution, syringe service
programs, outreach to individuals in
active use, post-overdose follow up
programs, programs for diversion from
the criminal justice system, and
contingency management interventions.

Finally, for clarity, Treasury has
addressed the eligibility standard for
capital expenditures, or investments in
property, facilities, or equipment, in one
section of this Supplementary
Information; see section Capital
Expenditures in General Provisions:

Other. Examples of capital expenditures
related to behavioral health that
Treasury recognizes as eligible include
behavioral health facilities and
equipment (e.g., inpatient or outpatient
mental health or substance use
treatment facilities, crisis centers,
diversion centers), as long as they
adhere to the standards detailed in the
Capital Expenditures section.
d. Preventing and Responding to
Violence
Background: The interim final rule
highlighted that some types of violence
had increased during the pandemic and
that the ability of victims to access
services had decreased, noting as an
example the challenges that individuals
affected by domestic violence face in
accessing services. Accordingly, the
interim final rule enumerated as an
eligible use, in disproportionately
impacted communities, evidence-based
community violence intervention
programs. Following the release of the
interim final rule, Treasury received
several recipient questions regarding
whether and how funds may be used to
respond to an increase in crime,
violence, or gun violence in some
communities during the pandemic.

Treasury released further guidance
identifying how enumerated eligible
uses and eligible use categories under
the interim final rule could support
violence reduction efforts, including
rehiring public sector staff, behavioral
health services, and services to address
negative economic impacts of the
pandemic that may aid victims of crime.

The guidance also identified an
expanded set of enumerated eligible
uses to address increased gun violence.

Public Comment: Several commenters
expressed support for this use of funds.

Treasury Response: In the final rule,
Treasury is maintaining enumerated
eligible uses in this area and clarifying
how to apply eligibility standards.

Throughout the final rule, enumerated
eligible uses should respond to an
identified impact of the COVID–19
public health emergency in a reasonably
proportional manner to the extent and
type of harm experienced. Many of the
enumerated eligible uses—like
behavioral health services, services to
improve employment opportunities, and
services to address educational
disparities in disproportionately
impacted communities—that respond to
the public health and negative economic
impacts of the pandemic may also have
benefits for reducing crime or aiding
victims of crime. For example, the
pandemic exacerbated the impact of
domestic violence, sexual assault, and
human trafficking; enumerated eligible
uses like emergency housing assistance,
cash assistance, or assistance with food,
childcare, and other needs could be
used to support survivors of domestic
violence, sexual assault, or human
trafficking who experienced public
health or economic impacts due to the
pandemic.

Public Comment: Several commenters
expressed support for community
violence intervention programs or
argued that traditional public safety
approaches had negatively impacted the
social determinants of health in their
communities. Several commenters
recommended inclusion of approaches
like mental health or substance use
diversion programs.

Treasury Response: Treasury
recognizes the importance of
comprehensive approaches to
challenges like violence. The final rule
includes an enumerated eligible use for
community violence intervention
programs in all communities, not just
the disproportionately impacted
communities eligible under the interim
final rule. Given the increased rate of
violence during the pandemic, Treasury
has determined that this enumerated
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Total Nonfarm [PAYEMS], retrieved from FRED,
Federal Reserve Bank of St. Louis; https://
fred.stlouisfed.org/series/PAYEMS (last visited
December 7, 2021).
81 Id.
82 U.S. Bureau of Labor Statistics, Unemployment
Rate [UNRATE], retrieved from FRED, Federal
Reserve Bank of St. Louis; https://fred.
stlouisfed.org/series/UNRATE (last visited
December 7, 2021).
83 U.S. Bureau of Labor Statistics, supra note 80.
84 U.S. Bureau of Labor Statistics, supra note 82.
85 U.S. Bureau of Economic Analysis, Real Gross
Domestic Product [GDPC1], retrieved from FRED,
Federal Reserve Bank of St. Louis, https://fred.
stlouisfed.org/series/GDPC1 (last visited December
7, 2021).
86 U.S. Department of the Treasury, Economy
Statement by Catherine Wolfram, Acting Assistant
Secretary for Economy Policy, for the Treasury
Borrowing Advisory Committee (November 1,
2021), available at https://home.treasury.gov/news/
press-releases/jy0453.
87 Yuka Hayashi, IMF Cuts Global Growth
Forecast Amid Supply-Chain Disruptions,
Pandemic Pressures, Wall Street Journal (October
12, 2021), available at https://www.wsj.com/
articles/imf-cuts-global-growth-forecast-amid-
supply-chain-disruptions-warns-of-inflation-risks-
11634043601.
88 U.S. Bureau of Labor Statistics, supra note 80.
89 U.S. Bureau of Labor Statistics, Civilian Labor
Force Level [CLF16OV], retrieved from FRED,
Federal Reserve Bank of St. Louis, https://fred.
stlouisfed.org/series/CLF16OV (last visited
December 7, 2021).
90 U.S. Bureau of Labor Statistics, Labor Force
Statistics from the Current Population Survey:

Employment status of the civilian population by sex
and age (December 6, 2021), https://www.bls.gov/
news.release/empsit.t01.htm (last visited December
7, 2021); U.S. Bureau of Labor Statistics, Labor
Force Statistics from the Current Population
Survey: Employment status of the civilian
noninstitutional population by race, Hispanic or
Latino ethnicity, sex, and age (December 6, 2021),
https://www.bls.gov/web/empsit/cpseea04.htm (last
visited December 7, 2021); U.S. Bureau of Labor
Statistics, Labor Force Statistics from the Current
Population Survey: Employment status of the
civilian noninstitutional population 25 years and
over by educational attainment (December 6, 2021),
https://www.bls.gov/web/empsit/cpseea05.htm (last
visited December 7, 2021).
91 Elise Gould & Jori Kandra, Wages grew in 2020
because the bottom fell out of the low-wage labor
market, Economic Policy Institute (Feb. 24, 2021),
https://files.epi.org/pdf/219418.pdf. See also,
Michael Dalton et al., The K-Shaped Recovery:

Examining the Diverging Fortunes of Workers in the
Recovery from the COVID–19 Pandemic using
Business and Household Survey Microdata, U.S.

Bureau of Labor Statistics Working Paper Series
(July 2021), https://www.bls.gov/osmr/research-
papers/2021/pdf/ec210020.pdf.
92 Center on Budget and Policy Priorities,
Tracking the COVID–19 Recession’s Effects on
Food, Housing, and Employment Hardships,
https://www.cbpp.org/research/poverty-and-
inequality/tracking-the-covid-19-economys-effects-
on-food-housing-and (last visited December 17,
2021).
eligible use is responsive to the impacts
of the pandemic in all communities.

The final rule incorporates guidance
issued after the interim final rule on
specifically types of services eligible,
including:
• Evidence-based practices like
focused deterrence, street outreach,
violence interrupters, and hospital-
based violence intervention models,
complete with wraparound services
such as behavioral therapy, trauma
recovery, job training, education,
housing and relocation services, and
financial assistance; and
• Capacity-building efforts at
community violence intervention
programs like funding more
intervention workers, increasing their
pay, providing training and professional
development for intervention workers,
and hiring and training workers to
administer the programs.

Public Comment: Some commenters
sought further clarification on whether
some of the enumerated eligible uses are
considered responsive to all crime,
violent crime, or gun violence.

Treasury Response: Enumerated
eligible uses that respond to an increase
in gun violence may be pursued in
communities experiencing an increase
in gun violence associated with the
pandemic, specifically: (1) Hiring law
enforcement officials—even above pre-
pandemic levels—or paying overtime
where the funds are directly focused on
advancing community policing
strategies for gun violence, (2)
additional enforcement efforts to reduce
gun violence exacerbated by the
pandemic, including prosecuting gun
traffickers, dealers, and other parties
contributing to the supply of crime
guns, as well as collaborative federal,
state, and local efforts to identify and
address gun trafficking channels, and (3)
investing in technology and equipment
to allow law enforcement to more
efficiently and effectively respond to the
rise in gun violence resulting from the
pandemic, for example technology to
assist in the identification of guns
whose serial numbers have been
damaged.

3. Negative Economic Impacts
a. Assistance to Households
Background
While the U.S. economy is now on the
path to a strong recovery, the public
health emergency, including the
necessary measures taken to protect
public health, resulted in significant
economic and financial hardship for
many Americans. As businesses closed,
consumers stayed home, schools shifted
to remote education, and travel declined
precipitously, over 22 million jobs were
lost in March and April 2020.
80 One
year later, in April 2021, the economy
still remained over 8 million jobs below
its pre-pandemic peak,
81 and the
unemployment rate hovered around 6
percent.
82 In the months since Treasury issued
the interim final rule in May 2021, the
economy has made large strides in its
recovery. The economy gained over 4
million jobs in the seven months from
May to November 2021;
83 the
unemployment rate fell more than 1.5
percentage points to 4.2 percent, which
is the lowest rate since February 2020;
84 and the size of the nation’s economy
surpassed the pre-pandemic peak in the
second quarter of 2021.
85 While the economy has made
immense progress in its recovery since
May 2021, the economy has also faced
setbacks that illustrate the continued
risks to the recovery. As the Delta
variant spread across the country this
summer and fall, the United States faced
another severe wave of cases, deaths,
and strain on the healthcare system,
which contributed to a slowdown in the
pace of recovery in the third quarter.
86 Supply chain disruptions have also
demonstrated the difficulties of
restarting a global economy.
87 Moreover, although many Americans
have returned to work as of November
2021, the economy remains 3.9 million
jobs below its pre-pandemic peak,
88 and

2.4 million workers have dropped out of
the labor market altogether relative to
February 2020.
89 Thus, despite much
progress, there is a continued need to
respond to the pandemic’s economic
effects to ensure a full, broad-based, and
equitable recovery.

Indeed, the pandemic’s economic
impacts continue to affect some
demographic groups more than others.

Rates of unemployment remain
particularly severe among workers of
color and workers with lower levels of
educational attainment; for example, the
overall unemployment rate in the
United States was 4.2 percent in
November 2021, but certain groups saw
much higher rates: 6.7 percent for Black
workers, 5.2 percent for Hispanic or
Latino workers, and 5.7 percent for
workers without a high school
diploma.
90 Job losses have also been
particularly steep among low-wage
workers, with these workers remaining
furthest from recovery as of the end of
2020.
91 A severe recession, and its
concentrated impact among low-income
workers, has amplified food and
housing insecurity, with an estimated
nearly 20 million adults living in
households where there is sometimes or
often not enough food to eat and an
estimated 12 million adults living in
households that were not current on
rent.
92 While economic effects have been
seen across many communities, there
are additional disparities by race and
income. For example, approximately
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M. Kenney, Parents Are Struggling to Provide for
Their Families during the Pandemic, Urban
Institute (May 2020), https://www.urban.org/
research/publication/parents-are-struggling-
provide-their-families-during-pandemic?utm_
source=urban_researcher&utm_
medium=email&utm_campaign=covid_
parents&utm_term=lhp.
94 Women have carried a larger share of childcare
responsibilities than men during the COVID–19
crisis. See, e.g., Gema Zamarro & Marı´a J. Prados,
Gender differences in couples’ division of
childcare, work and mental health during COVID–
19, Rev. Econ. Household 19:11–40 (2021),
available at https://link.springer.com/article/

10.1007/s11150-020-09534-7; Titan Alon et al., The
Impact of COVID–19 on Gender Equality, National
Bureau of Economic Research Working Paper 26947
(April 2020), available at https://www.nber.org/
papers/w26947.
95 U.S. Bureau of Labor Statistics, Labor Force
Participation Rate—20 Yrs. & Over, Black or African
American Women [LNS11300032], retrieved from
FRED, Federal Reserve Bank of St. Louis; https://
fred.stlouisfed.org/series/LNS11300032 (last visited
December 7, 2021).
96 U.S. Bureau of Labor Statistics, Labor Force
Participation Rate—20 Yrs. & Over, Black or African
American Men [LNS11300031], retrieved from
FRED, Federal Reserve Bank of St. Louis; https://
fred.stlouisfed.org/series/LNS11300031 (last visited
December 7, 2021).
97 U.S. Bureau of Labor Statistics, Labor Force
Participation Rate—20 Yrs. & Over, White Women
[LNS11300029], retrieved from FRED, Federal
Reserve Bank of St. Louis; https://fred.stlouis
fed.org/series/LNS11300029 (last visited December
7, 2021).
98 See, e.g., Michael Greenstone & Adam Looney,
Unemployment and Earnings Losses: A Look at
Long-Term Impacts of the Great Recession on
American Workers, Brookings Institution (Nov. 4,
2011), https://www.brookings.edu/blog/jobs/2011/
11/04/unemployment-and-earnings-losses-a-look-
at-long-term-impacts-of-the-great-recession-on-
american-workers/.
99 Chi Chi Wu, Solving the Credit Conundrum:

Helping Consumers’ Credit Records Impaired by the
Foreclosure Crisis and Great Recession, National
Consumer Law Center (Dec. 2013), https://
www.nclc.org/images/pdf/credit_reports/report-
credit-conundrum-2013.pdf.
100 Irwin Garfinkel, Sara McLanahan, Christopher
Wimer, eds., Children of the Great Recession,
Russell Sage Foundation (Aug. 2016), available at
https://www.russellsage.org/publications/children-
great-recession.
101 Kyle J. Casewell and Stephen Zuckerman,
Food Insecurity, Housing Hardship, and Medical
Care Utilization, Urban Institute (June 2018),
available at https://www.urban.org/sites/default/
files/publication/98701/2001896_foodinsecurity_
housinghardship_medicalcareutilization_
finalized.pdf.
102 Housing insecurity is defined as not paying
the full amount of rent or mortgage and/or utility
bills (gas, oil, or electricity) sometime in the
previous 12 months.
103 Housing quality hardship is defined as an
affirmative response to one or more questions
related to problems with a respondent’s physical
dwelling: Pests and/or insects; leaking roof or
ceiling; windows that are broken or cannot shut;
exposed electrical wires; broken plumbing (toilet,
hot water, other); holes in walls, ceiling, or floor;
no appliances (refrigerator or stove); and no phone
(of any kind).
104 Id.
105 Elise Gould and Melat Kassa. Low-wage, low-
hours workers were hit hardest in the COVID–19
recession: The State of Working America 2020
employment report, Economic Policy Institute (May
2021), available at https://www.epi.org/publication/
swa-2020-employment-report/.
106 Id.
107 Id.
108 Id.
109 R. Chetty, J. Friedman, N. Hendren, M.

Stepner, & Team, T. O. I., The Economic Impacts
of COVID–19: Evidence from a New Public Database
Built Using Private Sector Data (No. w27431; p.
w27431) (2020), National Bureau of Economic
Research. https://doi.org/10.3386/w27431.
110 M. Despard, Michal Grinstein-Weiss, Yung
Chun, and Stephen Roll, COVID–19 job and income
loss leading to more hunger and financial hardship,
Brookings Institute (July 13, 2020), https://
www.brookings.edu/blog/upfront/2020/07/13/
covid-19-job-and-income-loss-leading-to-more-
hunger-and-financial-hardship/.
111 N. Panchal, R. Kamal, C. Mun˜ana, & P.

Chidambaram, The Implications of COVID–19 for
Mental Health and Substance Use, Kaiser Family
Foundation (February 10, 2021), https://
half of low-income, Black, and Hispanic
parents reported difficulty covering
costs related to food, housing, utility, or
medical care.
93 Over the course of the
pandemic, inequities also manifested
along gender lines, as schools closed to
in-person activities, leaving many
working families without childcare
during the day.
94 Women of color have
been hit especially hard: The labor force
participation rate for Black women has
fallen by 3.6 percentage points
95 during
the pandemic as compared to 1.3
percentage points for Black men
96 and

1.7 percentage points for White
women.
97 As the economy recovers, the effects
of the pandemic-related recession may
continue to impact households,
including a risk of longer-term effects on
earnings and economic potential. For
example, unemployed workers,
especially those who have experienced
longer periods of unemployment, earn
lower wages over the long term once
rehired.
98 In addition to the labor
market consequences for unemployed
workers, recessions can also cause
longer-term economic challenges
through, among other factors, damaged
consumer credit scores
99 and reduced
familial and childhood wellbeing.100
These potential long-term economic
consequences underscore the continued
need for robust policy support.

Low- and moderate-income
households, those with income levels at
or below 300 percent of the federal
poverty level (FPL), face particular
hardships and challenges. These
households report much higher rates of
food insecurity and housing hardships
than households with higher incomes.

For example, households with incomes
at or below 300 percent FPL are several
times more likely to have reported
struggling with food insecurity
compared to households with income
above 300 percent FPL.
101 Similarly,
low- and moderate-income households
reported being housing insecure
102 at
rates more than twice as high as higher-
income households, and low- and
moderate-income households reported
housing quality hardship
103 at rates
statistically significantly greater than
the rate for higher-income
households.
104 The economic crisis
caused by the pandemic worsened
economic outcomes for workers in many
low- and moderate-income households.

Industries that employed low-wage
workers experienced a disproportionate
level of job loss. For example, from
February 2020 to February 2021, the
hospitality and leisure industry lost
nearly 3.5 million jobs.
105 While the
entire industry was impacted, 72
percent of the job losses occurred in the
lowest wage service occupations
compared to only a 6 percent rate of job
loss in the highest wage management
and finance jobs.
106 Similar trends exist
in other heavily impacted industries. In
public education, the lowest wage
occupations, service and transportation
jobs, saw a job loss rate of 20 and 26
percent, respectively.
107 During that
same time period, the highest wage
occupations in public education,
management, actually saw jobs increase
by 7 percent.
108
While many households suffered
negative economic outcomes as a result
of the COVID–19 pandemic and
economic recession, households with
low incomes were impacted in
disproportionate and exceptional ways.

From January 2020 to March 2021, low-
wage workers experienced job loss at a
rate five times higher than middle-wage
workers, and high-wage workers
actually experienced an increase in job
opportunities.
109 Because workers in
low-income households were more
likely to lose their job or experience
reductions in pay, those same
households were also more likely to
experience economic hardships like
trouble paying utility bills, affording
rent or mortgage payments, purchasing
food, and paying for medical
expenses.
110 The disproportionate
negative impacts the pandemic has had
on low-income families extend beyond
financial insecurity. For example, low-
income families have reported higher
levels of social isolation, stress, and
other negative mental health outcomes
during the pandemic. While over half of
all U.S. adults report that their mental
health was negatively affected by the
pandemic, adults with low incomes
reported major negative mental health
impacts at a rate nearly twice that of
adults with high incomes.
111
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implications-of-covid-19-for-mental-health-and-
substance-use/.
112 For which recipients may presume that any
student who did not have access to in-person
instruction for a significant period of time was
impacted by the pandemic.

Summary of Interim Final Rule and
Final Rule Structure
Summary: The interim final rule
provided a non-exhaustive list of
enumerated eligible uses to respond to
the negative economic impacts of the
pandemic through assistance to
households, as well as a standard for
assessing whether uses of funds beyond
those enumerated are eligible.

The interim final rule described
enumerated eligible uses for assistance
to households in several categories: (1)
Assistance to unemployed workers, (2)
state Unemployment Insurance Trust
Funds, (3) assistance to households, and
(4) expenses to improve the efficacy of
economic relief. Note that the interim
final rule posed several questions to the
public on enumerated eligible uses for
assistance to households; comments on
these questions are addressed in the
relevant subject matter section below.

In addition, in recognition that pre-
existing health, economic, and social
disparities contributed to
disproportionate pandemic impacts in
certain communities, the interim final
rule also provided a broader list of
enumerated eligible uses to respond to
the pandemic in disproportionately
impacted communities, specifically: (1)
Building stronger communities through
investments in housing and
neighborhoods, (2) addressing
educational disparities, and (3)
promoting healthy childhood
environments. In the interim final rule,
under the Public Health section,
recipients could also provide services to
address health disparities and increase
access to health and social services;
these eligible uses have been re-
organized into the Assistance to
Households section to consolidate
responses in disproportionately
impacted communities and enhance
clarity.

This section addresses enumerated
eligible uses in the final rule to respond
to negative economic impacts to
households. As a reminder, recipients
may presume that a household or
population that experienced
unemployment, experienced increased
food or housing insecurity, or is low or
moderate income experienced negative
economic impacts resulting from the
pandemic, and recipients may provide
services to them that respond to these
impacts, including these enumerated
eligible uses.

For guidance on how to determine
whether a particular use, beyond those
enumerated, is eligible; further detail on
which households and communities are
presumed eligible for services; and how
to identify eligible households and
communities beyond those presumed
eligible, see section General Provisions:

Structure and Standards.

Reorganizations and Cross-
References: The final rule reorganizes
all enumerated eligible uses for
impacted and disproportionately
impacted households into the section
Assistance to Households, with the
exception that expenses to improve the
efficacy of economic relief has been re-
categorized into a different section of
the final rule for increased clarity; for
discussion of that use category, see
section General Provisions: Other.

Note that in conducting this
reorganization, and based on further
analysis and in response to comments,
Treasury has determined that several
enumerated uses included in the
interim final rule for disproportionately
impacted communities are directly
responsive to negative economic
impacts experienced by impacted
households. In the final rule, these uses
have been moved from
‘‘disproportionately impacted’’ to
‘‘impacted’’ households accordingly,
making these services available to both
disproportionately impacted and
impacted households. These uses
include assistance applying for public
benefits or services; programs or
services that address or mitigate the
impacts of the COVID–19 public health
emergency on childhood health or
welfare, including childcare, early
learning services, programs to provide
home visits, and services for families
involved in the child welfare system
and foster youth; programs to address
the impacts of lost instructional time for
students;
112 and programs or services
that address housing insecurity, lack of
affordable housing, or homelessness.

The following activities remain
enumerated eligible uses for
disproportionately impacted
households: Remediation of lead paint
or other lead hazards; housing vouchers
and assistance relocating to
neighborhoods with higher levels of
economic opportunity; and programs or
services that address educational
disparities, including assistance to high-
poverty school districts to advance
equitable funding across districts and
geographies and evidence-based
services to address the academic, social,
emotional, and mental health needs of
students.

Enumerated Eligible Uses for Impacted
Households
The interim final rule included
several enumerated eligible uses to
provide assistance to households or
populations facing negative economic
impacts due to COVID–19. Enumerated
eligible uses included: Food assistance;
rent, mortgage, or utility assistance;
counseling and legal aid to prevent
eviction or homelessness; emergency
assistance for burials, home repairs,
weatherization, or other needs; internet
access or digital literacy assistance; cash
assistance; or job training to address
negative economic or public health
impacts experienced due to a worker’s
occupation or level of training. It also
posed a question as to what other types
of services or costs Treasury should
consider as eligible uses to respond to
the negative economic impacts of
COVID–19.

This section addresses each of these
enumerated eligible uses in turn, with
the exception of job training, which has
been re-categorized for increased clarity
to the eligible use for ‘‘assistance to
unemployed and underemployed
workers.’’ In general, commenters
supported inclusion of these
enumerated eligible uses to address key
economic needs among households due
to the pandemic, and Treasury is
maintaining these eligible uses in the
final rule, in line with commenters’
recommendations.

1. Food assistance. The interim final
rule included an enumerated eligible
use for food assistance. Some
commenters expressed support for this
eligible use and emphasized the
importance of aid to address food
insecurity. Some commenters raised
questions as to whether food assistance
funds could be used to augment services
provided through organizations like
food banks, churches, and other food
delivery services, or generally be sub-
awarded to these organizations.

Treasury Response: Treasury is
maintaining this enumerated eligible
use without change. Recipients may, as
was the case under the interim final
rule, administer programs through a
wide range of entities, including
nonprofit and for-profit entities, to carry
out eligible uses on behalf of the
recipient government (see section
Distinguishing Subrecipients versus
Beneficiaries). Further, Treasury is
clarifying that capital expenditures
related to food banks and other facilities
primarily dedicated to addressing food
insecurity are eligible; recipients
seeking to use funds for capital
expenditures should refer to the section
Capital Expenditures in General
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Fiscal Recovery Funds, Frequently Asked
Questions, as of July 19, 2021; https://
home.treasury.gov/system/files/136/SLFRPFAQ.pdf.
114 Jung Hyun Choi, Laurie Goodman, and Daniel
Pang, The Pandemic Is Making It Difficult for Mom-
and-Pop Landlords to Maintain Their Properties,
Urban Institute (July 23, 2021), https://
www.urban.org/urban-wire/pandemic-making-it-
difficult-mom-and-pop-landlords-maintain-their-
properties.
115 U.S. Energy Information Administration,
Residential Energy Consumption Survey (2017),
Retrieved from https://www.eia.gov/consumption/
residential/data/2015/hc/php/hc11.1.php.

D. Herna´ndez, Understanding ‘energy insecurity’
and why it matters to health, Social Science &
Medicine, 167, 1–10 (2016), https://doi.org/

10.1016/j.socscimed.2016.08.029.
116 Herna´ndez, D. (2016). Understanding ‘energy
insecurity’ and why it matters to health. Social
Science & Medicine, 167, 1–10. https://doi.org/

10.1016/j.socscimed.2016.08.029.
117 U.S. Energy Information Administration,
Residential Energy Consumption Survey (RECS)
https://www.eia.gov/consumption/residential/data/
2015/hc/php/hc11.1.php. (last visited November 9,
2021)
Provisions: Other for additional
eligibility standards that apply to uses
of funds for capital expenditures.

2. Emergency housing assistance. The
interim final rule included an
enumerated eligible use for rent,
mortgage, or utility assistance and
counseling and legal aid to prevent
eviction or homelessness.

Public Comment: Several commenters
supported the inclusion of eviction
prevention activities as an eligible use
given the high number of households
behind on rent and potentially at risk of
eviction. Following release of the
interim final rule, Treasury had also
received requests for elaboration on the
types of eligible services in this
category. Some commenters also
recommended including assistance to
households for delinquent property
taxes, for example to prevent tax
foreclosures on homes, as an
enumerated eligible use.

Treasury Response: In response to
requests for elaboration on the types of
eligible services for eviction prevention,
Treasury has provided further guidance
that these services include ‘‘housing
stability services that enable eligible
households to maintain or obtain
housing, such as housing counseling,
fair housing counseling, case
management related to housing stability,
outreach to households at risk of
eviction or promotion of housing
support programs, housing related
services for survivors of domestic abuse
or human trafficking, and specialized
services for individuals with disabilities
or seniors that support their ability to
access or maintain housing,’’ as well as
‘‘legal aid such as legal services or
attorney’s fees related to eviction
proceedings and maintaining housing
stability, court-based eviction
prevention or eviction diversion
programs, and other legal services that
help households maintain or obtain
housing.’’
113 Treasury also emphasized
that recipients may work with court
systems, nonprofits, and a wide range of
other organizations to implement
strategies to support housing stability
and prevent evictions.

In the final rule, Treasury is
maintaining these enumerated eligible
uses, including those described in the
interim final rule and later guidance, in
line with commenters’
recommendations. To enhance clarity,
Treasury is also elaborating on some
types of services included under this
eligible use category; this remains a
non-exhaustive list of eligible services.

For example, eligible services under this
use category include: Rent, rental
arrears, utility costs or arrears (e.g.,
electricity, gas, water and sewer, trash
removal, and energy costs, such as fuel
oil), reasonable accrued late fees (if not
included in rental or utility arrears),
mortgage payment assistance, financial
assistance to allow a homeowner to
reinstate a mortgage or to pay other
housing-related costs related to a period
of forbearance, delinquency, or default,
mortgage principal reduction,
facilitating mortgage interest rate
reductions, counseling to prevent
foreclosure or displacement, relocation
expenses following eviction or
foreclosure (e.g., rental security
deposits, application or screening fees).

Treasury is clarifying that assistance to
households for delinquent property
taxes, for example to prevent tax
foreclosures on homes, was permissible
under the interim final rule and
continues to be so under the final rule.

In addition, Treasury is also clarifying
that recipients may administer utility
assistance or address arrears on behalf
of households through direct or bulk
payments to utility providers to
facilitate utility assistance to multiple
consumers at once, so long as the
payments offset customer balances and
therefore provide assistance to
households.

This eligible use category also
includes emergency assistance for
individuals experiencing homelessness,
either individual-level assistance (e.g.,
rapid rehousing services) or assistance
for groups of individuals (e.g., master
leases of hotels, motels, or similar
facilities to expand available shelter).

Further, Treasury is clarifying that
transitional shelters (e.g., temporary
residences for people experiencing
homelessness) are eligible capital
expenditures. Recipients seeking to use
funds for capital expenditures should
refer to the section Capital Expenditures
in General Provisions: Other for
additional eligibility standards that
apply to uses of funds for capital
expenditures.

Note that this enumerated eligible use
describes ‘‘emergency housing
assistance,’’ or assistance for responses
to the immediate or near-term negative
economic impacts of the pandemic. The
final rule also clarifies and expands the
ability of recipients to use SLFRF funds
to address the general lack of affordable
housing and housing challenges
underscored by the pandemic. For
discussion of affordable housing eligible
uses, including services that primarily
increase access to affordable, high-
quality housing and support stable
housing and homeownership over the
long term, see the eligible use for
‘‘promoting long-term housing security:

Affordable housing and homelessness.’’

3. Emergency assistance for pressing
needs: Burials, home repairs,
weatherization, or other needs. The
interim final rule included an
enumerated eligible use for emergency
assistance for burials, home repairs,
weatherization, and other needs; these
types of programs may provide
emergency assistance for pressing and
unavoidable household needs. Treasury
did not receive comments on this
eligible use and is maintaining it in the
final rule.

Background on Home Repairs and
Weatherization: The economic
downturn has meant fewer households
had the resources needed to make
necessary home repairs and
improvements. In May 2021, 28 percent
of landlords reported deferring
maintenance and 27 percent of tenants
reported maintenance requests going
unanswered.
114 While small and
cosmetic repairs can often wait,
deferring major repairs, such as
plumbing needs, can result in unsafe
and unhealthy living environments and,
eventually, the need for more expensive
repairs and fixes.

In addition to repairs, many homes
are in need of weatherization.

Weatherization assistance helps low-
and moderate-income Americans save
energy, reduce their utility bills, and
keeps them and their homes safe. One
in three households is energy
insecure,
115 meaning they do not have
the ability to meet their energy needs.116
Weatherization efforts are particularly
important for low- and moderate-
income households. Households of
color, renters, and households with low
or moderate incomes are all more likely
to report energy insecurity.
117 These
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burden in America’s largest cities: How energy
efficiency can improve low income and
underserved communities, American Council for an
Energy Efficient Economy (2016), https://
www.aceee.org/sites/default/files/publications/
researchreports/u1602.pdf.
119 See, e.g., Nation Telecommunications and
Information Administration, More than Half of
American Households Used the Internet for Health-
Related Activities in 2019, NTIA Data Show
(December 7, 2020), https://www.ntia.gov/blog/
2020/more-half-american-households-used-
internet-health-related-activities-2019-ntia-data-
show; Nation Telecommunications and Information
Administration, Nearly a Third of American
Employees Worked Remotely in 2019, NTIA Data
Show (September 3, 2020) https://www.ntia.gov/
blog/2020/nearly-third-american-employees-
worked-remotely-2019-ntia-data-show; and
generally, Nation Telecommunications and
Information Administration, Digital Nation Data
Explorer (June 10, 2020), https://www.ntia.gov/
data/digital-nation-data-explorer.
120 BroadbandSearch Blog Post, How Do U.S.

Internet Costs Compare To The Rest Of The World?,
available at https://www.broadbandsearch.net/blog/
internet-costs-compared-worldwide.
121 Pew Research Center, Mobile Technology and
Home Broadband 2021 (June 3, 2021), https://
www.pewresearch.org/internet/2021/06/03/mobile-
technology-and-home-broadband-2021/.
122 Pew Research Center, 53% of Americans Say
the internet Has Been Essential During the COVID–
19 Outbreak (April 30, 2020), https://www.pew
research.org/internet/2020/04/30/53-of-americans-
say-the-internet-has-been-essential-during-the-
covid-19-outbreak/.
123 Id.
disparities are partially a result of
economic hardship but are also caused
by inequitable access to housing with
proper insulation, up to date heating,
cooling, and ventilation systems, and
functioning and up to date lighting and
appliances.
118 While programs that
address the effects of energy hardships,
like the Low-Income Home Energy
Assistance Program (LIHEAP), are
critical, weatherization attempts to
address root causes by addressing issues
that lead to energy insecurities.

4. Internet access or digital literacy
assistance. The interim final rule
included an enumerated eligible use for
assistance to households for internet
access or digital literacy assistance. This
enumerated eligible use, which
responds to the negative economic
impacts of the pandemic on a household
by providing assistance that helps them
secure internet access or increase their
ability to use computers and the
internet, is separate from the eligible use
category for investments in broadband
infrastructure, under Sections
602(c)(1)(D) and 603(c)(1)(D), which is
used to build new broadband networks
through infrastructure construction or
modernization. For discussion of
broadband infrastructure investment in
the final rule, see section Broadband
Infrastructure in Infrastructure.

Background: The COVID–19 public
health emergency has underscored the
importance of universally available,
high-speed, reliable, and affordable
broadband coverage as millions of
Americans rely on the internet to
participate in, among other critical
activities, school, healthcare, and work.

Recognizing the need for such
connectivity, SLFRF funds can be used
to make necessary investments in
broadband infrastructure that increase
access over the long term, as well as the
necessary supports to purchase internet
access or gain digital literacy skills
needed to complete activities of daily
living during the pandemic.

The National Telecommunications
and Information Administration (NTIA)
highlighted the growing necessity of
broadband in daily lives through its
analysis of NTIA internet Use Survey
data, noting that Americans turn to
broadband internet service for every
facet of daily life including work, study,
and healthcare.
119 With increased use of
technology for daily activities and the
movement by many businesses and
schools to operating remotely during the
pandemic, broadband has become even
more critical for people across the
country to carry out their daily lives.

However, even in areas where
broadband infrastructure exists,
broadband access may be out of reach
for millions of Americans because it is
unaffordable, as the United States has
some of the highest broadband prices in
the Organisation for Economic Co-
operation and Development (OECD).
120
According to a 2021 Pew Research
Center study, 20 percent of non-
broadband users say that the monthly
cost of home broadband is the primary
reason they do not have broadband at
home, and 40 percent say that cost is
one reason for their lack of home
broadband.
121 Further, according to
another survey, 22 percent of parents
with homebound schoolchildren during
the COVID–19 pandemic say that it is
very or somewhat likely that their
children will have to rely on public wi-
fi to finish their schoolwork because
there is no reliable internet connection
at home; this percentage nearly doubles
for lower-income parents, 40 percent of
whom noted that their children will
have to rely on public wi-fi.
122 The
same survey showed that 36 percent of
lower-income parents with homebound
children say their child will not be able
to complete their schoolwork because
they do not have access to a computer
at home.
123
Public Comment: Many commenters
highlighted the importance of
broadband access during the pandemic,
including for remote work and
education, and argued that affordability
presents a major barrier to broadband
adoption by households; in other words,
many households live in areas that have
broadband infrastructure and service
available but are unable to purchase
service for their household due to the
high cost. These commenters argued
that broadband must be affordable to be
accessible.

Commenters proposed several
potential responses to affordability
concerns. Some commenters
recommended that building ‘‘gap
networks,’’ or broadband networks built
at low cost to provide affordable service
in areas where it is lacking, be eligible
as assistance to households to respond
to the negative economic impacts of the
pandemic, even if they do not meet the
technical standards for eligibility under
the eligible use category of broadband
infrastructure investment, especially the
required speed standards for new
service. These commenters argued that
the networks have shown promise as a
timely means to expand access to
affordable broadband internet during
the pandemic, even if they may not
provide service speeds needed for more
intensive internet uses. Another
commenter requested eligible uses
include funding cellular towers to
decrease costs. One commenter
recommended that affordability should
be addressed through other programs
but not SLFRF given that affordability
and availability may require nuanced
solutions that would be complex to
combine.

Treasury Response: The interpretive
framework and enumerated eligible uses
allow recipients flexibility to address
identified pandemic impacts, including
through solutions that take into account
the particularized issues in their
community. Given extensive commenter
feedback on the importance of
affordability to achieving broadband
access, and the centrality of broadband
to participating in work, education,
healthcare, and other activities during
the pandemic, affordability programs
are an appropriate eligible use to
respond to the negative economic
impacts of the pandemic and Treasury
is maintaining the enumerated eligible
use for assistance to households for
internet access and digital literacy
programs in the final rule.