Covina City Council
April 18, 2023

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enhance security of locations such as transportation centers, parks, restaurants, shopping centers, special event venues, polling places, and similar facilities.

The malicious use of unmanned aircraft systems poses a threat to the safety and security of the American people, communities, and institutions. Technologies to detect or mitigate unmanned aircraft systems are an allowable use under the HSGP in accordance with the Domestic Counter-Unmanned Aircraft Systems (UAS) National Action Plan. Recipients should ensure that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, they seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws which may apply to the use of such technologies.

Given the increased risk to soft targets and crowded places, at least one investment must be in support of the state’s and high-risk urban area’s efforts to protect soft targets/crowded places. Additionally, the proposed investment must meet or exceed the FY 2022 national priority percentage for soft targets/crowded places and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments. States are also encouraged to engage DHS’ Protective Security Advisors’ security assessments of soft targets to ensure that recommendations from those assessments are taken into consideration when allocating grant funding.

Additional resources and information regarding securing soft targets and crowded places are available through the Cybersecurity and Infrastructure Security Agency and the National Institute of Standards and Technology.

Information and Intelligence Sharing (3 percent)
Effective homeland security operations rely on access to, analysis of, and the timely sharing of open source, unclassified, and classified information, suspicious activity reports, tips/leads, and actionable intelligence on indicators and behaviors to accurately identify, assess, and mitigate a wide array of threats against the United States, including terrorism, threats to life, targeted violence, and other threats within the DHS mission space. Accordingly, DHS works diligently to enhance intelligence collection, integration, analysis, and information sharing capabilities to ensure partners, stakeholders, and senior leaders receive actionable intelligence and information necessary to inform their decisions and

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operations. A critical and statutorily charged mission of DHS is to deliver intelligence and information to federal, state, local, and tribal governments and private sector partners. Cooperation and information sharing among state, federal, and local partners across all areas of the homeland security enterprise, including counterterrorism – including both international and domestic terrorism, cybersecurity, border security, transnational organized crime, immigration enforcement, economic security, and other areas, while upholding privacy, civil rights and civil liberties protections, is critical to homeland security operations and the prevention of, preparation for, protection against, and response to acts of terrorism, and other threats to life and criminal acts of targeted violence.

Given the importance of information sharing and collaboration to effective homeland security solutions, at least one investment must be in support of the state’s and high-risk urban area’s efforts to enhance information sharing and cooperation with DHS and other federal agencies. As noted above, this requirement must include at least one dedicated fusion center project. Additional instructions on development of the fusion center project can be found below.

Applicants must justify persuasively how they will contribute to the information sharing and collaboration purposes of the investment and a culture of national preparedness. Additionally, the proposed investment must meet or exceed the FY 2022 national priority percentage for information sharing and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments.

Additional resources and information regarding collaboration and information sharing are available through the Department’s Office of Intelligence and Analysis.

Domestic Violent Extremism (3 percent)
As stated in the October 2020 DHS Homeland Threat Assessment, domestic violent extremists, including ideologically motivated lone offenders and small groups, present the most persistent and lethal terrorist threat to the Homeland.

These violent extremists capitalize on social and political tensions, which have resulted in an elevated threat environment. They utilize social media platforms and other technologies to spread violent extremist ideologies that encourage violence and influence action within the United States. The COVID-19 pandemic has further created an environment that may lead to accelerated mobilization to targeted violence and/or radicalization to domestic terrorism, including leveraging lawful protests to incite violence, intimidate targets, and promote their violent

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extremist ideologies.

Given the rise of domestic violent extremism in recent years, at least one investment must be in support of the state’s and high-risk urban area’s efforts to combat the rise, influence, and spread of domestic violent extremism. Additionally, the proposed investment must meet or exceed the FY 2022 national priority percentage for domestic violent extremism and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments.

Additional resources and information regarding domestic violent extremism are available through Center for Prevention Programs and Partnerships | Homeland Security (dhs.gov).

Cybersecurity (no minimum percent)
Today’s world is more interconnected than ever before, but with increased connectivity comes increased risk of our adversaries, including terrorists, exploiting cyber vulnerabilities and weaknesses to disrupt our way of life. While not required, applicants are encouraged to submit an investment related to their ongoing or near-term high priority cybersecurity projects. The investment will be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments. Cybersecurity investments must support the security and functioning of critical infrastructure and core capabilities as they relate to preventing, preparing for, protecting against, or responding to acts of terrorism. Recipients and subrecipients of FY 2022 HSGP grant awards will be required to complete the 2022 Nationwide Cybersecurity Review (NCSR), enabling agencies to benchmark and measure progress of improving their cybersecurity posture. The Chief Information Officer (CIO), Chief Information Security Officer (CISO) or equivalent for each recipient should complete the NCSR. If there is no CIO or CISO, the most senior cybersecurity professional should complete the assessment. The NCSR is available at no cost to the user and takes approximately 2-3 hours to complete.

The 2022 NCSR is estimated to be open from October 2022 – February 2023.

The NCSR is an annual requirement for recipients and subrecipients of HSGP funds. Additionally, FEMA recognizes that some subawards will not be issued until after the NCSR has closed. In such cases, such subrecipients will be required to complete the first available NCSR offered after the subaward has been issued by the pass-through entity. Although not required by SLTTs that did not receive

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HSGP funds, all SLTT agencies with preparedness responsibilities are highly encouraged to participate and complete the NCSR to evaluate their cybersecurity posture. For detailed information and background on the NCSR, please see IB 439.

Additional resources and information regarding cybersecurity are available through the Cybersecurity and Infrastructure Security Agency and the National Institute of Standards and Technology.

Community Preparedness and Resilience (3 percent)
Community organizations are the backbones of American civic life, both during “blue skies” and in the aftermath of terrorist attacks. Community organizations, such as homeless shelters, food banks, public libraries, faith-based institutions, and nonprofit medical providers must have the capabilities to withstand acts of terrorism and provide essential services, especially to members of underserved communities, in the aftermath of an attack. In addition, individual citizens and volunteer responders, such as Community Emergency Response Teams, are often the first on the scene after a terrorist attack. The ability of these volunteers to provide assistance to their fellow citizens prior to the arrival of professional first responders is paramount to a community’s resilience. FEMA’s 2021 National Household Survey recorded an 11% decline in the number of Americans that have taken at least three preparedness actions to bolster individual and household resilience. In addition, the COVID-19 pandemic has placed a significant burden on community-based organizations such as homeless shelters, food banks, public libraries, faith-based institutions, and nonprofit medical providers to continue to provide key services during and after disasters, including acts of terrorism. This National Priority Area will bolster community preparedness and resilience by investing in local, community-driven capabilities.

Additionally, equity in emergency management requires proactively prioritizing actions that reinforce cultural competency, accessibility, and inclusion, as well as reflect the historical context of specific groups of people. To that end, states, territories, and high-risk urban areas are strongly encouraged to explore how SHSP- and UASI-funded activities can address the needs of underserved, at-risk communities to help ensure consistent and systematic, fair, just, and impartial treatment of all individuals before, during, and after a disaster.

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The focus on equity and investing in strategies that meet the needs of underserved communities will strengthen the whole of community system of emergency management. Substantial and ongoing prioritization of, and investment in, underserved communities is essential for the entire system to be effective and efficient. Engaging the whole community requires all members of the community to be part of the emergency management team, including representatives of underserved communities, diverse community members, social and community service groups and institutions, faith-based and disability advocacy groups, academia, professional associations, the private and nonprofit sectors, and government agencies that may not traditionally have been directly involved in emergency management. The whole community includes children; older adults; individuals with disabilities and others with access and functional needs; those from religious, racial, and ethnically diverse backgrounds; people with limited English proficiency; and owners of animals including household pets and service animals.

These factors underpin the requirement that at least one investment must be in support of the state’s and urban area’s efforts to address community preparedness and resilience. Additionally, the proposed investment must meet or exceed the FY 2022 national priority percentage for community preparedness and resilience and will also be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments.

Additional resources and information regarding community preparedness and resilience are available through Individuals and Communities | FEMA.gov.

Election Security (no minimum percent)
In January 2017, DHS designated the infrastructure used to administer the Nation’s elections as critical infrastructure. This designation recognizes that the United States’ election infrastructure is of such vital importance to the American way of life that its incapacitation or destruction would have a devastating effect on the country. Securing election infrastructure and ensuring an election free from foreign interference are national security priorities. Threats to election systems are constantly evolving, so defending these systems requires constant vigilance, innovation, and adaptation. As such, while not required, applicants are encouraged to submit an investment related to their election security needs.

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If submitted, the investment will be subject to DHS/FEMA’s evaluation of the effectiveness of the proposed investments. Any activities proposed that could be used to suppress voter registration or turnout will not be approved.

Additional resources and information regarding election security are available through the Cybersecurity and Infrastructure Security Agency.

IV. Development of Fusion Center Projects: SHSP and UASI Each applicant must identify a fusion center project that will:

Indicate alignment to a designated Fusion Center; and
Provide both a brief narrative description and funding itemization for the proposed project activities that directly support the designated fusion center.

The descriptive narrative and the financial itemization should align improvement or sustainment requests with fusion center activities as they relate to the Fusion Center Performance Measures found in the Preparedness Grants Manual.

Sample Fusion Center Funding Itemization
A sample project description and funding itemization are below. For the itemized projects, clearly identify the anticipated fusion center performance improvement or sustainment as a result of the proposed funding.

The X Fusion enhancement project will fund:

Salaries, benefits, and training for X number of Fusion Center intelligence analysts
Travel costs associated with fusion center analyst training This project will directly sustain the Center’s current capabilities and performance and directly aligns with performance measures 2022.XXX We anticipate seeing an improvement in the quality and quantity of analytic production and responses to requests for information as a direct result of the funding of this project
The funding itemization for a fusion center project should include the amount and percent of each relevant solution area. As an example:

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Solution Area and Amount of Proposed Funding Percent of Proposed Funding Planning: $10,000 2%
Organization: $200,000 48%
Equipment: $200,000 48%
Training: $10,000 2%
Exercises: $0 0%
Total: $420,000
100%
V. Completing IJs in the Grant Reporting Tool (GRT): SHSP and UASI In the Related Documents section of the Grants.gov posting, applicants can find the IJ template and instructions for collecting the required information for investments and projects. Additionally, applicants should utilize the Project Worksheet located in Grants.gov posting to assemble the information required for each project, which will facilitate the input of that information into the GRT.

Applicants must ensure the appropriate National Priority Area “Investment Type” ( Overview Tab – Investment Information Section) is selected for the corresponding National Priority Area.

VI. Development of Concept of Operations for OPSG
As part of the FY 2022 OPSG application process, each eligible local unit of government at the county or federally recognized tribal government level must develop a strategic plan called a Concept of Operations (CONOP)/Application, which is a formal proposal of action to address a specific situation and forms the basis for Operations Orders, in coordination with state and federal law enforcement agencies, to include, but not limited to CBP/USBP. CONOPs that are developed at the county level should be inclusive of city, county, tribal, and other

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local law enforcement agencies that are eligible to participate in OPSG operational activities, and the CONOP/Application should describe participating agencies in the Executive Summary.

CONOP/Application details should include the names of the agencies, points of contact, and individual funding requests. All CONOPs/Applications must be developed in collaboration with the local USBP sector office, the SAA, and the local unit of government. Requests for funding in CONOPs/Applications must be based on risks and the operational enforcement support requirements of its corresponding USBP Sector, as well as the national priorities identified below.

USBP Sector offices will forward the CONOPs to USBP Headquarters for vetting and coordination. Applicants will forward corresponding OPSG Applications to the SAA for submission to FEMA. USBP Headquarters will reconcile all submitted CONOPs with the OPSG Applications. FEMA will review and evaluate all CONOPs and OPSG Applications and funding will be allocated based on the review and selection criteria identified in this NOFO.

OPSG Applicants will be required to clearly articulate and identify how the CONOPs will address the national priority identified below:

Information and Intelligence Sharing and Cooperation Effective border security operations rely on access to, analysis of, and the timely sharing of open source, unclassified, and classified information, suspicious activity reports, tips/leads, and actionable intelligence on indicators and behaviors to accurately identify, assess, and mitigate a wide array of threats against the United States, including terrorism, threats to life, targeted violence, and other threats within the DHS mission space. Accordingly, DHS works diligently to enhance intelligence collection, integration, analysis, and information sharing capabilities to ensure partners, stakeholders, and senior leaders receive actionable intelligence and information necessary to inform their decisions and operations. One critical, statutorily required mission of DHS is to deliver intelligence and information to federal, state, local, and tribal governments and private sector partners. Cooperation and information sharing among state, federal, and local partners across all areas of the homeland security enterprise, including both international and domestic terrorism, cybersecurity, transnational organized crime, economic security, border security, immigration enforcement, and other areas, while upholding privacy, civil rights and civil liberties protections, is critical to homeland security operations and the prevention of,

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preparation for, protection against, and responding to acts of terrorism, and other threats to life and criminal acts of targeted violence. Given the importance of information sharing and collaboration to effective homeland security solutions, the CONOP must support the recipient’s efforts to enhance information sharing and cooperation with DHS and other federal agencies.

Applicants must justify persuasively how they will contribute to the information sharing and collaboration purposes of the OPSG program and a culture of national preparedness. Additional resources and information regarding collaboration and information sharing are available through the Department’s Office of Intelligence and Analysis.

VII. Detailed Budget
Applicants must provide budget summary worksheets for all funds requested at the time of application. The budget summary worksheets must be complete, reasonable, and cost-effective in relation to the proposed project and should provide the basis of computation of all project-related costs (including management and administrative costs) and any appropriate narrative. FEMA must be able to thoroughly evaluate the projects being submitted based on the information provided. FEMA must be able to determine how much funding is being passed through to subrecipients for each sub-program (UASI, SHSP, OPSG).

Consequently, applicants must provide an appropriate level of detail within the budget summary worksheets to clarify what will be purchased and spent. Sample budget summary worksheets are available on the grants.gov posting for the HSGP in the Related Documents tab and may be used as a guide to assist applicants in the preparation of budgets and budget narratives.

11. Other Submission Requirements
Fusion Center Investments
Of the proposed SHSP- and UASI-funded investments, one single project must be in support of a designated fusion center. Recipients must coordinate with the fusion center when developing a fusion center project prior to submission. See additional information on how to develop the fusion center projects below and in the Preparedness Grants Manual.

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Emergency Communications Investments
All emergency communications investments must describe how such activities align with needs identified in their Statewide Communication Interoperability Plan (SCIP). Recipients must coordinate with their Statewide Interoperability Coordinator (SWIC) and/or Statewide Interoperability Governing Body (SIGB) when developing an emergency communications investment prior to submission to ensure the project supports the statewide strategy to improve emergency communications and is compatible and interoperable with surrounding systems.

Effective project alignment will require advance coordination with the SWIC and consultation with governing bodies such as the SIGB or Statewide Interoperability Executive Committee (SIEC), as they serve as the primary steering group for the statewide interoperability strategy. Additionally, recipients should consult subject matter experts serving on governance bodies, such as broadband experts, chief information officers, representatives from utilities, or legal and financial experts, when developing proposals. The investment name must include the words “emergency communications” to easily identify any emergency communications investments.

12. Intergovernmental Review
An intergovernmental review may be required. Applicants must contact their state’s Single Point of Contact (SPOC) to comply with the state’s process under Executive Order 12372 (See https://www.archives.gov/federalregister/codification/executive-order/12372.html; https://www.whitehouse.gov/wpcontent/uploads/2020/04/SPOC-4-13-20.pdf ).

13. Funding Restrictions and Allowable Costs
All costs charged to awards covered by this NOFO must comply with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements at 2 C.F.R.

Part 200, unless otherwise indicated in the NOFO, the terms and conditions of the award, or the Preparedness Grants Manual. This includes, among other requirements, that costs must be incurred, and products and services must be delivered, within the period of performance of the award. See 2 C.F.R. § 200.403(h) (referring to budget periods, which for FEMA awards under most programs, including this program, is the same as the period of performance).

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Federal funds made available through this award may be used for the purpose set forth in this NOFO, the Preparedness Grants Manual, and the terms and conditions of the award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other federal awards, lobbying, or intervention in federal regulatory or adjudicatory proceedings.

In addition, federal funds may not be used to sue the Federal Government or any other government entity. See the Preparedness Grants Manual for more information on funding restrictions and allowable costs. a. Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services
Recipients and subrecipients of FEMA federal financial assistance are subject to the prohibitions described in section 889 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (FY 2019 NDAA), Pub. L. No. 115-232 (2018) and 2 C.F.R. §§ 200.216, 200.327, 200.471, and Appendix II to 2 C.F.R.

Part 200. Beginning August 13, 2020, the statute – as it applies to FEMA recipients, subrecipients, and their contractors and subcontractors – prohibits obligating or expending federal award funds on certain telecommunications and video surveillance products and contracting with certain entities for national security reasons.

Guidance is available at Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services (Interim) FEMA Policy #405- 143-1, or superseding document.

Additional guidance is available Contract Provisions Guide: Navigating Appendix II to Part 200 - Contract Provisions for Non-Federal Entity Contracts Under Federal Awards (fema.gov).

Effective August 13, 2020, FEMA recipients and subrecipients may not use any FEMA funds under open or new awards to:

1. Procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system;

2. Enter into, extend, or renew a contract to procure or obtain any equipment, system, or service that uses covered telecommunications equipment or

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services as a substantial or essential component of any system, or as critical technology of any system; or

3. Enter into, extend, or renew contracts with entities that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system.

I. REPLACEMENT EQUIPMENT AND SERVICES
FEMA grant funding may be permitted to procure replacement equipment and services impacted by this prohibition, provided the costs are otherwise consistent with the requirements of the NOFO and the Preparedness Grants Manual.

II. DEFINITIONS
Per section 889(f)(2)-(3) of the FY 2019 NDAA and 2 C.F.R. § 200.216, covered telecommunications equipment or services means:

1. Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation, (or any subsidiary or affiliate of such entities);

2. For the purpose of public safety, security of Government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities);

3. Telecommunications or video surveillance services provided by such entities or using such equipment; or

4. Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the People’s Republic of China.

Examples of the types of products covered by this prohibition include phones, internet, video surveillance, and cloud servers when produced, provided, or used by the entities listed in the definition of “covered telecommunications equipment or services.” See 2 C.F.R. § 200.471.

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b. Pre-Award Costs
Pre-award costs are allowable only with the prior written approval of DHS/FEMA and as included in the award agreement. To request pre-award costs, a written request must be included with the application, signed by the AOR of the entity.

The letter must outline what the pre-award costs are for, including a detailed budget break-out of pre-award costs from the post-award costs, and a justification for approval.
c. Management and Administration (M&A) Costs
M&A costs are allowed. Recipients may use a maximum of up to 5% of HSGP funds awarded for their M&A, and any funds retained are to be used solely for M&A purposes associated with the HSGP award. Subrecipients may also use a maximum of up to 5% of the funding passed through by the state solely for M&A purposes associated with the HSGP award. M&A activities are those directly relating to the management and administration of HSGP funds, such as financial management and monitoring. M&A expenses must be based on actual expenses or known contractual costs. M&A requests that are simple percentages of the award, without supporting justification, will not be allowed or considered for reimbursement. A maximum of up to five percent of HSGP funds awarded may be retained by the state, and any funds retained are to be used solely for M&A purposes associated with the HSGP award. Subrecipients may also retain a maximum of up to five percent of the funding passed through by the state solely for M&A purposes associated with the HSGP award.

M&A costs are not operational costs. They are the necessary costs incurred in direct support of the grant or as a consequence of the grant and should be allocated across the entire lifecycle of the grant. Examples include preparing and submitting required programmatic and financial reports, establishing and/or maintaining equipment inventory, documenting operational and equipment expenditures for financial accounting purposes, responding to official informational requests from state and federal oversight authorities, including completing the Civil Rights Evaluation Tool as required by DHS, and grant performance measurement or evaluation activities. Please see the Preparedness Grants Manual for additional information on direct costs.

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Recipients or subrecipients may apply or credit M&A funding toward the recipient’s requirement to allocate funding toward the five National Priority Areas. For example, if a recipient spends $5,000 to manage or administer its funding dedicated toward its soft targets/crowded places investment, the recipient may credit that funding toward its requirement to allocate at least 3 percent of its award to the enhancing the protection of soft targets and crowded places National Priority Area.

A state’s HSGP funds for M&A calculation purposes includes the total of its SHSP, UASI, and OPSG awards. While the SAA may retain up to five percent of this total for M&A, the state must still ensure that all subrecipient award amounts meet the mandatory minimum pass-through requirements that are applicable to each HSGP program. To meet this requirement, the percentage of SHSP and UASI funds passed through to local or tribal jurisdictions must be based on the state’s total HSGP award prior to withholding any M&A.

In retaining these funds, states may retain a maximum of 2.5 percent of the OPSG allocation, which must be withheld from the pass-through to each subrecipient county or tribe in an equal percentage. The SAA may also retain additional funding from its SHSP award to manage and administer the OPSG award, but that additional amount is also capped at an amount equal to 2.5 percent of the OPSG award. Examples applying this principle:

SAA 1:

Total award: $6,000,000
SHSP: $1,000,000 OPSG: $2,500,000 UASI: $2,500,000
M&A Maximum: $300,000 (5 percent of $6,000,000)
Maximum M&A for SHSP = $50,000
Maximum M&A for OPSG = $125,000. Of that amount, $62,500 (2.5 percent) may be retained from the OPSG allocation, and the other $62,500 would come from the SHSP allocation. Any amount used to manage and administer OPSG that is charged to SHSP may be above and beyond the $50,000 available to manage the SHSP allocation.

Maximum M&A for UASI = $125,000
SAA 2:

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Total award: $4,500,000
SHSP: $3,500,000 OPSG: $1,000,000
M&A Maximum: $225,000 (5 percent of $4,500,000)
Maximum M&A for SHSP = $175,000
Maximum M&A for OPSG = $50,000. Of that amount, $25,000 (2.5 percent) may be retained from the OPSG allocation, and the other $25,000 would come from the SHSP allocation. Any amount used to manage and administer OPSG that is charged to SHSP may be above and beyond the $175,000 available to manage the SHSP allocation.

HSGP recipients are also reminded that any M&A charged to a recipient’s or subrecipient’s UASI funding must be directly allocable to administration of the UASI grant program and cannot be used to cover M&A costs that are directly allocable to SHSP or OPSG funding. Similarly, any M&A charged to a recipient’s or subrecipient’s SHSP or OPSG funding cannot be used to cover M&A costs directly allocable to UASI funding.

Please note, IB 365: Management and Administration Costs in the Homeland Security Grant Program and DHS/FEMA Policy 207-087-1 do not apply to awards made in FY 2022 under this NOFO. Please also reference IB 416 for additional clarification on OPSG M&A, but to the extent that there is any conflict between IB 416 and this NOFO, the requirements of this NOFO will apply to FY 2022 awards made under this NOFO.

D. Indirect Facilities & Administrative (F&A) Costs
Indirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement. Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the FEMA Grants Management Specialist for further

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instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the FEMA Grants Management Specialist for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon on the de minimis rate or cost allocation plan, as applicable.

E. Funds Transfer Restriction
The recipient is prohibited from transferring funds between programs (includes SHSP, UASI, and OPSG). Recipients can submit an investment/project where funds come from multiple funding sources (e.g., SHSP and UASI), however, recipients are not allowed to divert funding from one program to another due to the risk-based funding allocations, which were made at the discretion of DHS/FEMA.

F. Other Direct Costs
I. Planning
Planning costs are allowed under this program. Please see the Preparedness Grants Manual for more information.

II. Organization
Organization costs are allowed under this program. Please see the Preparedness Grants Manual for more information.

III. Equipment
Equipment costs are allowed under this program. Please see the Preparedness Grants Manual for more information.

General Purpose Equipment HSGP allows expenditures on general purpose equipment if it aligns to and supports one or more core capabilities identified in the Goal and has a nexus to terrorism preparedness. General purpose equipment, like all equipment funded under the HSGP, must be sharable through the EMAC3 and allowable under 6 U.S.C. § 609, and any other applicable provision of the Homeland Security Act of 2002, as amended.

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Examples of such general-purpose equipment may include:

Law enforcement vehicles;
Emergency medical services (EMS) equipment and vehicles; Fire service equipment and vehicles, to include hose, pump accessories, and foam concentrate for specialized CBRNE response;
Interoperability of data systems, such as computer aided dispatch (CAD) and record management systems (RMS); and
Office equipment for staff4 engaged in homeland security program activity.

Controlled Equipment For decades, the federal government has provided equipment to state, local, and tribal law enforcement agencies (LEAs) through federal grants. Some federal grant programs have assisted LEAs as they carry out their critical missions to keep the American people safe. The equipment acquired by LEAs through these programs includes administrative equipment, such as office furniture and computers. Some federal grant programs also may include military and military-styled equipment, firearms, and tactical vehicles provided by the federal government, including property covered under 22 C.F.R. Part 121 and 15 C.F.R. Part 774 (collectively, "controlled equipment").

However, not all equipment that is considered controlled equipment is allowable under the HSGP. As discussed below, certain equipment is “prohibited” and is not allowable under HSGP. For some controlled equipment that is allowable under the HSGP, additional documentation, justifications, reviews, and approvals are required, including but not limited to proof of policies and procedures to safeguard individuals’ privacy, civil rights, and civil liberties.

DHS/FEMA will continue to collaborate with federal agency partners to ensure that there is a consistent and reasonable approach to the restrictions placed on controlled equipment expenditures while continuing to support these investments when there is a justifiable need. Further, DHS/FEMA will continue to maintain an awareness of the evolving policy developments related to controlled equipment expenditures and keep grant recipients up to date on future developments.

Grant funds under this program may not be used for the purchase of equipment not approved by DHS/FEMA. The purchase of tracked armored vehicles, camouflage uniforms, weapons and weapons accessories, including ammunition, is not allowed with HSGP funds. Grant funds under this program must also comply with IB 426 and may not be used for the purchase of the following equipment: 1) firearms; 2) ammunition; 3) grenade launchers; 4) bayonets; or 5) weaponized

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aircraft, vessels, or vehicles of any kind with weapons installed.

IV. Training
Training costs are allowed under this program. Please see the Preparedness Grants Manual for more information.

V. Exercises
Exercise costs are allowed under this program. Please see the Preparedness Grants Manual for more information.

VI. Personnel
Personnel hiring, overtime, and backfill expenses are permitted under this grant to perform allowable HSGP planning, organization, training, exercise, and equipment activities. Under OPSG, overtime costs are allowable only in so far as they meet the intent of the program. All recipients and subrecipients of HSGP funds, including SHSP, UASI, and OPSG allocations, may not use more than 50 percent of their awards to pay for personnel activities unless a waiver is approved by FEMA. For more information on the 50 percent personnel cap, please see FEMA IB 421b, Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008 (Public Law 110-412) – the PRICE Act. Please see the Preparedness Grants Manual for more information.

VII. Operational Overtime
Operational overtime costs are allowed under this program. Prior to use of funds for operational overtime, recipients must receive approval from DHS/FEMA.

Operational overtime costs are also subject to the 50 percent personnel cap.

Please see the Preparedness Grants Manual for more information.

VIII. Travel
Domestic travel costs are allowed under this program, as provided for in this NOFO and in the Preparedness Grants Manual. International travel is not an allowable cost under this program unless approved in advance by DHS/FEMA.

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IX. Construction and Renovation
Construction and renovation costs to achieve capability targets related to preventing, preparing for, protecting against, or responding to acts of terrorism are allowed under this program. For construction and renovation costs to be allowed, they must be specifically approved by DHS/FEMA in writing prior to the use of any program funds. Applicants must use the Environmental Planning and Historical Preservation (EHP) approval process. Limits on the total amount of grant funding that may be used for construction or renovation may apply. Additionally, recipients are required to submit SF-424C and SF-424D. Please see the Preparedness Grants Manual for more information.

X. Maintenance and Sustainment
Maintenance- and sustainment-related costs, such as maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees, are allowable.

Please see the Preparedness Grants Manual for more information.

XI. Critical Emergency Supplies
Critical emergency supplies are allowed under this program. Please see the Preparedness Grants Manual for more information.

XII. Secure Identification
Secure Identification costs are allowed under this program. Please see the Preparedness Grants Manual for more information.

Allowable Cost Matrix
The following matrix provides allowable cost activities that fall under each of the cost categories noted above. Recipients and subrecipients must follow all applicable requirements in 2 C.F.R. Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.

HSGP funds may be used to cover the costs for evaluating the impact of these grants on the state or urban area’s core capabilities and capability gaps. This list is not exhaustive, therefore, if there are any questions regarding allowable costs,

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please contact the appropriate HQ FEMA Preparedness Officer. For additional information on allowable costs, see the Preparedness Grants Manual.

TABLE
[1] Except for American Samoa and the Commonwealth of the Northern Mariana Islands, which are not required to belong to EMAC at this time. [2] This applies to all homeland security personnel and is not limited to M&A staff, and costs are to be captured outside the cap on M&A costs E. Application Review Information

1. Application Evaluation Criteria
a. Programmatic Criteria
I. Risk Methodology
The risk methodology determines the relative risk of terrorism faced by a given area considering the potential risk of terrorism to people, critical infrastructure, and economic security. The analysis includes, but is not limited to, threats from violent domestic extremists, international terrorist groups, and individuals inspired by terrorists abroad. See the Preparedness Grants Manual for additional information on the risk methodology.

NOTE: The THIRA/SPR process is separate from the risk methodology and its results do not affect grant allocations.

The Risk Methodology is used to inform allocations under HSGP. For more information on the SHSP, UASI, and OPSG allocation processes, please see Section B.1 of this NOFO, “Available Funding for the NOFO.” II. Application Evaluation Criteria
FEMA will evaluate the FY 2022 HSGP applications for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed investments. FEMA’s review will include verification that each IJ and project:

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Aligns with at least one core capability identified in the Goal; Demonstrates how investments support closing capability gaps or sustaining capabilities identified in the THIRA/SPR process; and
Supports a NIMS-typed resource and whether those assets are deployable/shareable to support emergency or disaster operations per existing EMAC agreements.

In addition to the above, FEMA will evaluate whether proposed projects are: 1) both feasible and effective at reducing the risks for which the project was designed; and 2) able to be fully completed within the three-year period of performance. FEMA will use the information provided in the application and after the submission of the first BSIR to determine the feasibility and effectiveness of a grant project. To that end, IJs should include:

An explanation of how the proposed project(s) will achieve objectives as identified in the SPR, including expected long-term impact where applicable, and which core capability gap(s) it helps to close and how; A summary of the status of planning and design efforts accomplished to date (e.g., included in a capital improvement plan); and
A project schedule with clear milestones.

Recipients are expected to conform, as applicable, with accepted engineering practices, established codes, standards, modeling techniques, and best practices, and participate in the development of case studies demonstrating the effective use of grant funds, as requested.

FEMA will also review any submitted National Priority Area-aligned IJs and projects to ensure they meet the minimum spend requirements. Additional information on how the National Priority Area IJs and projects will be reviewed for effectiveness is included in the Review and Selection Process section below. b. Financial Integrity Criteria
Prior to making a federal award, FEMA is required by 31 U.S.C. § 3354, as enacted by the Payment Integrity Information Act of 2019, Pub. L. No. 116-117 (2020); 41 U.S.C. § 2313; and 2 C.F.R. § 200.206 to review information available through any Office of Management and Budget (OMB)-designated repositories of governmentwide eligibility qualification or financial integrity information, including

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whether the applicant is suspended or debarred.

FEMA may also pose additional questions to the applicant to aid in conducting the pre-award risk review. Therefore, application evaluation criteria may include the following risk-based considerations of the applicant:

1. Financial stability.

2. Quality of management systems and ability to meet management standards.

3. History of performance in managing federal award.

4. Reports and findings from audits.

5. Ability to effectively implement statutory, regulatory, or other requirements. c. Supplemental Financial Integrity Criteria and Review Prior to making a federal award where the anticipated total federal share will be greater than the simplified acquisition threshold, currently $250,000:

1. FEMA is required to review and consider any information about the applicant, including information on the applicant’s immediate and highestlevel owner, subsidiaries, and predecessors, if applicable, that is in the designated integrity and performance system accessible through the System for Award Management (SAM), which is currently the Federal Awardee Performance and Integrity Information System (FAPIIS).

2. An applicant, at its option, may review information in FAPIIS and comment on any information about itself that a federal awarding agency previously entered.

3. FEMA will consider any comments by the applicant, in addition to the other information in FAPIIS, in making a judgment about the applicant’s integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants as described in 2 C.F.R. § 200.206.

2. Review and Selection Process
I. SHSP and UASI
All proposed investments will undergo a federal review by DHS/FEMA to verify compliance with all administrative and eligibility criteria identified in the NOFO.

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The federal review will be conducted by FEMA HQ Preparedness Officers. FEMA HQ Preparedness Officers will use a checklist to verify compliance with all administrative and eligibility criteria identified in the NOFO. Recipients must be able to demonstrate how investments support closing capability gaps or sustaining capabilities identified in the THIRA/SPR process. IJs will be reviewed at both the investment and project level.

Emergency communications investments will be jointly reviewed by FEMA and the DHS Emergency Communications Division (ECD) to verify compliance with SAFECOM guidance. FEMA and ECD will coordinate directly with the recipient on any compliance concerns and will provide technical assistance as necessary to help ensure full compliance.

Additional Effectiveness Evaluation Criteria for the National Priority Areas FEMA will evaluate the FY 2022 HSGP IJs and projects submitted in support of the National Priority Areas for anticipated effectiveness. FEMA’s review will include verification that each IJ or project meets the National Priority Area required spend percentages.

Cybersecurity investments will be reviewed by DHS/FEMA, CISA, and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the criteria set forth in this NOFO.

Soft Targets/Crowded Places investments will be reviewed by DHS/FEMA, CISA, and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the criteria set forth in this NOFO.

Information Sharing and Cooperation Investments will be reviewed by DHS/FEMA, DHS Office of Intelligence and Analysis, and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the criteria set forth in this NOFO.

For additional information on Fusion Center requirements, please see the Preparedness Grants Manual.

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Domestic violent extremism investments will be reviewed by DHS/FEMA, DHS Office of Intelligence and Analysis, DHS Center for Prevention Programs and Partnerships, and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the scoring criteria set forth in this NOFO.

Community preparedness and resilience investments will be reviewed by DHS/FEMA and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the scoring criteria set forth in this NOFO.

Election security investments will be reviewed by DHS/FEMA, CISA, and other DHS components as appropriate, for compliance with purposes and requirements of the priority investment area. Proposed investments will be reviewed for effectiveness using the scoring criteria set forth in this NOFO.

FEMA will determine whether the proposed approach is clear, logical, and reasonable to address the priority areas of interest and contribute to a culture of national preparedness. This includes factors such as the objectives and strategies proposed to address the priority area, how the objectives and strategies overcome legal, political, or practical obstacles to reduce overall risk, the process and criteria to select additional relevant projects, and the approach to monitor awards to satisfy the funding percentage allocations.

For applicants that elect to submit IJs and project-level details for the National Priority Areas at the time of application, effectiveness will be evaluated prior to award. If the projects are found to not sufficiently align with the National Priority Area(s), applicants may have funds placed on hold (up to 30 percent) until the projects are revised to satisfactorily address the National Priority Areas.

For applicants that elect to submit IJs and project-level details for the National Priority Areas as part of the December 2022 BSIR, they will have funds placed on hold in the amount of 30 percent. The hold will be released only after their December 2022 BSIR submission has been reviewed, and projects related to the National Priority Areas deemed in alignment by DHS/FEMA.

SAAs are still required to meet pass-through requirements even if funds are on hold related to the National Priority Areas.

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To that end, IJs should include:

How the proposed investment addresses the National Priority Area; An explanation of how the proposed projects were selected and will achieve objectives and strategies to build or sustain the core capability gaps identified in the SPR, including expected long-term impact where applicable; A summary of the collaboration efforts to prevent, prepare for, protect against, and respond to acts of terrorism as well as anticipated outcomes of the project.

For FY 2022 SHSP and UASI investments and projects related to the National Priority Areas, effectiveness will be evaluated based on the following five factors:

Investment Strategy (40%): Proposals will be evaluated based on the quality and extent to which applicants describe an effective strategy that demonstrates that proposed projects support the program objective of preventing, preparing for, protecting against, and responding to acts of terrorism, to meet its target capabilities, and otherwise reduce the overall risk to the high-risk urban area, the state, or the Nation.

Budget (20%): Proposals will be evaluated based on the extent to which applicants describe a budget plan for each investment demonstrating how the applicant will maximize cost effectiveness of grant expenditures.

Impact/Outcomes (40%): Proposals will be evaluated on how this investment helps the jurisdiction close capability gaps identified in its SPR and addresses the relevant National Priority Area outlined in this NOFO. Further, proposals will be evaluated on their identification and estimated improvement of core capability(ies), the associated standardized target(s) that align with their proposed investment, and the ways in which the applicant will measure and/or evaluate improvement.

Past Performance (additional consideration): Proposals will be evaluated based on the applicants demonstrated capability to execute the proposed investments. In evaluating applicants under this factor FEMA will consider the information provided by the applicant and may also consider relevant information from other sources.

II. OPSG

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Applications will be reviewed by the SAA and USBP Sector Headquarters for completeness and adherence to programmatic guidelines and evaluated for anticipated feasibility, need, and impact of the Operations Orders. For more information on Operations Orders and other requirements of OPSG, see the Preparedness Grants Manual.

DHS/FEMA will verify compliance with all administrative and eligibility criteria identified in the NOFO and required submission of Operations Orders and Inventory of Operations Orders by the established due dates. DHS/FEMA and USBP will use the results of both the risk analysis and the federal review by DHS/FEMA to make recommendations for funding to the Secretary of Homeland Security.

FY 2022 OPSG funds will be allocated among the eligible jurisdictions based on risk-based prioritization using the OPSG Risk Assessment described above. Final funding allocations are determined by the Secretary of Homeland Security, who may consider information and input from various law enforcement offices or subject-matter experts within the Department. Factors considered include, but are not limited to threat, vulnerability, miles of the border, and other border-specific law enforcement intelligence, as well as the feasibility of FY 2022 Operations Orders to designated localities within border states and territories.

F. Federal Award Administration Information

1. Notice of Award
Before accepting the award, the AOR and recipient should carefully read the award package. The award package includes instructions on administering the grant award and the terms and conditions associated with responsibilities under federal awards. Recipients must accept all conditions in this NOFO and the Preparedness Grants Manual as well as any specific terms and conditions in the Notice of Award to receive an award under this program.

See the Preparedness Grants Manual for information on Notice of Award.

2. Pass-Through Requirements

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Awards made to the SAA for HSGP carry additional statutorily mandated passthrough requirements. Pass-through is defined as an obligation on the part of the SAA to make funds available to local units of government, combinations of local units, tribal governments, or other specific groups or organizations. These entities are defined at 6 U.S.C. § 101(13) as:

A county, municipality, city, town, township, local public authority, school district, special district, intrastate district, council of governments (regardless of whether the council of governments is incorporated as a nonprofit corporation under State law), regional or interstate government entity, or agency or instrumentality of a local government.

An Indian tribe or authorized tribal organization, or in Alaska a Native village or Alaska Regional Native Corporation.

A rural community, unincorporated town or village, or other public entity.

Four criteria must be met to pass-through grant funds:

The SAA must make a firm written commitment to passing through grant funds to subrecipients;
The SAA’s commitment must be unconditional (i.e., no contingencies for the availability of SAA funds);
There must be documentary evidence (i.e., award document, terms, and conditions) of the commitment; and
The award terms must be communicated to the subrecipient.

Timing and Amount
The SAA must pass-through at least 80 percent of the funds awarded under SHSP and UASI to the above-defined local or tribal units of government within 45 calendar days of receipt of the funds. “Receipt of the funds” occurs either when the SAA accepts the award or 15 calendar days after the SAA receives notice of the award, whichever is earlier.

SAAs are sent notification of HSGP awards via the GPD’s ND Grants system. If an SAA accepts its award within 15 calendar days of receiving notice of the award in the ND Grants system, the 45 calendar days pass-through period will start on the date the SAA accepted the award. Should an SAA not accept the HSGP award within 15 calendar days of receiving notice of the award in the ND Grants

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system, the 45 calendar days pass-through period will begin 15 calendar days after the award notification is sent to the SAA via the ND Grants system.

It is important to note that the period of performance start date does not directly affect the start of the 45 calendar days pass-through period. For example, an SAA may receive notice of the HSGP award on August 25, 2022, while the period of performance dates for that award are September 1, 2022, through August 31, 2025. In this example, the 45-day pass-through period will begin on the date the SAA accepts the HSGP award or September 9, 2022 (15 calendar days after the SAA was notified of the award), whichever date occurs first. The period of performance start date of September 1, 2022, would not affect the timing of meeting the 45-calendar day pass-through requirement.

Other SHSP and UASI Pass-Through Requirements
The signatory authority of the SAA must certify in writing to DHS/FEMA that passthrough requirements have been met. A letter of intent (or equivalent) to distribute funds is not considered sufficient. A letter of intent is not a firm commitment and if issued before FEMA makes the award, then a letter of intent is also not unconditional since it is inherently conditioned on receipt of funds.

The pass-through requirement does not apply to SHSP awards made to the District of Columbia, Guam, American Samoa, the U.S. Virgin Islands, or the Commonwealth of the Northern Mariana Islands. The Commonwealth of Puerto Rico is required to comply with the pass-through requirement, and its SAA must also obligate at least 80 percent of the funds to local units of government within 45 calendar days of receipt of the funds.

Under SHSP, the SAA may retain more than 20 percent of funding for expenditures made by the state on behalf of the local unit(s) of government, such as expenditures by the state in order to pass through goods or services to local unit(s) of government in lieu of cash. This may occur only with the written consent, such as a Memorandum of Understanding, between the SAA and the local unit(s) of government. Separate written consent is necessary for each local unit of government in which more than 20 percent of funding is retained on their behalf by the state. The written consent must specify the amount of funds to be retained and the intended use of funds, including whether any goods or services will be passed through in lieu of cash. It must also be signed by authorized representatives of

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both the state and the local unit of government.

States shall review their written consent agreements yearly and ensure that they are still valid. If a written consent agreement is already in place from previous fiscal years, DHS/FEMA will continue to recognize it for FY 2022, unless the written consent review indicates the local government is no longer in agreement. If modifications to the existing agreement are necessary, the SAA should contact their assigned FEMA HQ Preparedness Officer.

However, even if a written consent agreement is in place from previous fiscal years, the SAA must still initially carry out the pass-through documentation for its FY 2022 award and comply with the four pass-through criteria described above before the written consent agreement can take effect for purposes of the FY 2022 funding.

Additional OPSG Requirements
The recipient is prohibited from obligating or expending funds provided through this award until each unique and specific county-level or equivalent Operational Order/Fragmentary Operations Order budget has been reviewed and approved through an official electronic mail notice issued by DHS/FEMA removing this special programmatic condition.

3. Administrative and National Policy Requirements
In addition to the requirements in this section and elsewhere in this NOFO, FEMA may place specific terms and conditions on individual awards in accordance with 2 C.F.R. Part 200.

In addition to the information regarding DHS Standard Terms and Conditions and Ensuring the Protection of Civil Rights, see the Preparedness Grants Manual for additional information on administrative and national policy requirements, including the following:

Environmental Planning and Historic Preservation (EHP) Compliance FirstNet
National Incident Management System (NIMS) Implementation SAFECOM Guidance on Emergency Communications Grants

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a. DHS Standard Terms and Conditions
All successful applicants for DHS grant and cooperative agreements are required to comply with DHS Standard Terms and Conditions, which are available online at: DHS Standard Terms and Conditions.

The applicable DHS Standard Terms and Conditions will be those in effect at the time the award was made. What terms and conditions will apply for the award will be clearly stated in the award package at the time of award. b. Ensuring the Protection of Civil Rights
As the Nation works towards achieving the National Preparedness Goal, it is important to continue to protect the civil rights of individuals. Recipients and subrecipients must carry out their programs and activities, including those related to the building, sustainment, and delivery of core capabilities, in a manner that respects and ensures the protection of civil rights for protected populations.

Federal civil rights statutes, such as Section 504 of the Rehabilitation Act of 1973 and Title VI of the Civil Rights Act of 1964, along with DHS and FEMA regulations, prohibit discrimination on the basis of race, color, national origin, sex, religion, age, disability, limited English proficiency, or economic status in connection with programs and activities receiving federal financial assistance from FEMA.

Recipients must complete the DHS Civil Rights Evaluation Tool within 30 days of receipt of the Notice of Award. Information about this requirement and a fuller list of the civil rights provisions that apply to recipients can be found in the DHS Standard Terms and Conditions of Award. Additional information on civil rights provisions is available at https://www.dhs.gov/civil-rights-resources-recipients-dhsfinancial-assistance and https://www.fema.gov/about/offices/equal-rights/civilrights.

Monitoring and oversight requirements in connection with recipient compliance with federal civil rights laws are also authorized pursuant to 44 C.F.R. Part 7.

In accordance with civil rights laws and regulations, recipients and subrecipients must ensure the consistent and systematic fair, just, and impartial treatment of all individuals, including individuals who belong to underserved communities that

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have been denied such treatment.
c. Environmental Planning and Historic Preservation (EHP) Compliance As a federal agency, FEMA is required to consider the effects of its actions on the environment and historic properties to ensure that all activities and programs funded by FEMA, including grant-funded projects, comply with federal EHP laws, Executive Orders, regulations, and policies, as applicable.

FEMA grant funding for new construction or substantial improvement must comply with Executive Order (EO) 14030, Climate-Related Financial Risk and applicable FEMA implementing policies in place at the time of disbursement, including FEMA Policy #-206-21-0003, Partial Implementation of the Federal Flood Risk Management Standard for Hazard Mitigation Assistance Programs (Interim) (fema.gov) or superseding policies.

Recipients and subrecipients proposing projects that have the potential to impact the environment, including, but not limited to, the construction of communication towers, modification or renovation of existing buildings, structures, and facilities, or new construction including replacement of facilities, must participate in the FEMA EHP review process. The EHP review process involves the submission of a detailed project description along with any supporting documentation requested by FEMA in order to determine whether the proposed project has the potential to impact environmental resources or historic properties.

In some cases, FEMA is also required to consult with other regulatory agencies and the public in order to complete the review process. Federal law requires EHP review to be completed before federal funds are released to carry out proposed projects. FEMA may not be able to fund projects that are not incompliance with applicable EHP laws, Executive Orders, regulations, and policies.

DHS and FEMA EHP policy is found in directives and instructions available on the FEMA.gov EHP page, the FEMA website page that includes documents regarding EHP responsibilities and program requirements, including implementation of the National Environmental Policy Act and other EHP regulations and Executive Orders.

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The GPD EHP screening form is located at https://www.fema.gov/medialibrary/assets/documents/90195. Additionally, all recipients under this funding opportunity are required to comply with the FEMA GPD EHP Policy Guidance, FEMA Policy #108-023-1, available at https://www.fema.gov/medialibrary/assets/documents/85376. d. National Incident Management System (NIMS) Implementation If an entity uses HSGP funding to support emergency communications investments, the following requirements shall apply to all such grant-funded communications investments in support of the emergency communications priorities and recognized best practices:

The signatory authority for the SAA must certify in writing to DHS/FEMA their compliance with the SAFECOM Guidance on Emergency Communications Grants. The certification letter should be coordinated with the SWIC for each state and must be uploaded to ND Grants at the time of the first Program Performance Report submission.

All states and territories must designate a full-time SWIC who has the authority and resources to actively improve interoperability with emergency management and response agencies across all levels of government, to include establishing statewide plans, policies, and procedures, and coordinating decisions on communications investments funded through federal grants. Note that the designated full-time SWIC may also be the state’s or territory’s cybersecurity point of contact. SWIC status information will be maintained by CISA and will be verified by FEMA GPD through programmatic monitoring activities.

By the period of performance end date, all states and territories must update the SCIP, with a focus on communications resilience/continuity, to include assessment and mitigation of all potential risks identified in the SCIP: natural disasters, accidental damage (human failures), intentional damage (sabotage, terrorism), cybersecurity, etc. Following the initial update, the SCIP should be updated on an annual basis. SCIP status information will be maintained by CISA and will be verified by FEMA GPD through programmatic monitoring activities.

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All states and territories must test their emergency communications capabilities and procedures (as outlined in their operational communications plans) in conjunction with regularly planned exercises (separate/addition emergency communications exercises are not required). Exercises should be used to both demonstrate and validate skills learned in training and to identify gaps in capabilities. Resilience and continuity of communications should be tested during training and exercises to the greatest extent possible. Further, exercises should include participants from multiple jurisdictions, disciplines, and levels of government and include emergency management, emergency medical services, law enforcement, interoperability coordinators, public health officials, hospital officials, officials from colleges and universities, and other disciplines and private sector entities, as appropriate. Findings from exercises should be used to update programs to address gaps in emergency communications as well as emerging technologies, policies, and partners. Recipients are encouraged to increase awareness and availability of emergency communications exercise opportunities across all levels of government.

States, territories, and other eligible grant recipients are advised that HSGP funding may be used to support communications planning (including the cost of hiring a SWIC, participation in governance bodies and requirements delineated above), training, exercises, and equipment costs. Costs for transitioning to the FirstNet network may also be eligible. More information regarding FirstNet can be found in the Preparedness Grants Manual.

4. Reporting
Recipients are required to submit various financial and programmatic reports as a condition of award acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent.

See the Preparedness Grants Manual for information on reporting requirements.

5. Monitoring and Oversight
Per 2 C.F.R. § 200.337, FEMA, through its authorized representatives, has the right, at all reasonable times, to make site visits or conduct desk reviews to review project accomplishments and management control systems to review award progress and to provide any required technical assistance. During site visits or

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desk reviews, FEMA will review recipients’ files related to the award. As part of any monitoring and program evaluation activities, recipients must permit FEMA, upon reasonable notice, to review grant-related records and to interview the organization’s staff and contractors regarding the program.

Recipients must respond in a timely and accurate manner to FEMA requests for information relating to the award.

See the Preparedness Grants Manual for information on monitoring and oversight.

G. DHS Awarding Agency Contact Information

1. Contact and Resource Information
a. Program Office Contact
FEMA has assigned state-specific Preparedness Officers for the HSGP. If you do not know your Preparedness Officer, please contact the Centralized Scheduling and Information Desk (CSID) by phone at (800) 368-6498 or by email at [email protected], Monday through Friday, 9:00 AM – 5:00 PM ET. b. Centralized Scheduling and Information Desk (CSID)
CSID is a non-emergency comprehensive management and information resource developed by FEMA for grants stakeholders. CSID provides general information on all FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the federal, state, and local levels. When necessary, recipients will be directed to a federal point of contact who can answer specific programmatic questions or concerns.

CSID can be reached by phone at (800) 368-6498 or by e-mail at [email protected], Monday through Friday, 9:00 AM – 5:00 PM ET. c. Grant Programs Directorate (GPD) Award Administration Division

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GPD’s Award Administration Division (AAD) provides support regarding financial matters and budgetary technical assistance. Additional guidance and information can be obtained by contacting the AAD’s Help Desk via e-mail at ASK[email protected]. d. Equal Rights
The FEMA Office of Equal Rights (OER), in coordination with the DHS Office for Civil Rights and Civil Liberties, is responsible for compliance with and enforcement of federal civil rights obligations in connection with programs and services conducted by FEMA and recipients of FEMA financial assistance. All inquiries and communications about federal civil rights compliance for FEMA grants under this NOFO should be sent to [email protected]. e. Environmental Planning and Historic Preservation
GPD’s EHP Team provides guidance and information about the EHP review process to recipients and subrecipients. All inquiries and communications about projects under this NOFO or the EHP review process, including the submittal of EHP review materials, should be sent to [email protected].

2. Systems Information
a. Grants.gov
For technical assistance with Grants.gov, call the customer support hotline 24 hours per day, 7 days per week (except federal holidays) at (800) 518-4726 or email at [email protected]. b. Non-Disaster (ND) Grants
For technical assistance with the ND Grants system, please contact the ND Grants Helpdesk at [email protected] or (800) 865-4076, Monday through Friday, 9:00 AM – 6:00 PM ET. User resources are available at https://www.fema.gov/grants/guidance-tools/non- disaster-grants-managementsystem

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c. Payment and Reporting System (PARS)
FEMA uses the Payment and Reporting System (PARS) for financial reporting, invoicing, and tracking payments. FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients. To enroll in the DD/EFT, recipients must complete a Standard Form 1199A, Direct Deposit Form. If you have questions about the online system, please call the Customer Service Center at (866) 927-5646 or email [email protected].

H. Additional Information
GPD has developed the Preparedness Grants Manual to guide applicants and recipients of grant funding on how to manage their grants and other resources.

Recipients seeking guidance on policies and procedures for managing preparedness grants should reference the Preparedness Grants Manual for further information. Examples of information contained in the Preparedness Grants Manual include:

Actions to Address Noncompliance
Audits
Case Studies and Use of Grant-Funded Resources During Real-World Incident Operations
Community Lifelines
Conflicts of Interest in the Administration of Federal Awards and Subawards Disability Integration
National Incident Management System
Payment Information
Period of Performance Extensions
Procurement Integrity
Record Retention
Whole Community Preparedness
Other Post-Award Requirements

1. Termination Provisions
FEMA may terminate a federal award in whole or in part for one of the following reasons. FEMA and the recipient must still comply with closeout requirements at 2

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C.F.R. §§ 200.344-200.345 even if an award is terminated in whole or in part. To the extent that subawards are permitted under this NOFO, pass-through entities should refer to 2 C.F.R. §200.340 for additional information on termination regarding subawards.
a. Noncompliance
If a recipient fails to comply with the terms and conditions of a federal award, FEMA may terminate the award in whole or in part. If the noncompliance can be corrected, FEMA may first attempt to direct the recipient to correct the noncompliance. This may take the form of a Compliance Notification. If the noncompliance cannot be corrected or the recipient is non- responsive, FEMA may proceed with a Remedy Notification, which could impose a remedy for noncompliance per 2 C.F.R. § 200.339, including termination. Any action to terminate based on noncompliance will follow the requirements of 2 C.F.R. §§ 200.341-200.342 as well as the requirement of 2 C.F.R. § 200.340(c) to report in FAPIIS the recipient’s material failure to comply with the award terms and conditions. See also the section on Actions to Address Noncompliance in this NOFO or in the Preparedness Grants Manual.
b. With the Consent of the Recipient
FEMA may also terminate an award in whole or in part with the consent of the recipient, in which case the parties must agree upon the termination conditions, including the effective date, and in the case of partial termination, the portion to be terminated.
c. Notification by the Recipient
The recipient may terminate the award, in whole or in part, by sending written notification to FEMA setting forth the reasons for such termination, the effective date, and in the case of partial termination, the portion to be terminated. In the case of partial termination, FEMA may determine that a partially terminated award will not accomplish the purpose of the federal award, so FEMA may terminate the award in its entirety. If that occurs, FEMA will follow the requirements of 2 C.F.R. §§ 200.341-200.342 in deciding to fully terminate the award.

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2. Program Evaluation
Recipients and subrecipients are encouraged to incorporate program evaluation activities from the outset of their program design and implementation to meaningfully document and measure their progress towards meeting an agency priority goal(s). Title I of the Foundations for Evidence-Based Policymaking Act of 2018 (Evidence Act), Pub. L. No. 115-435 (2019) urges federal awarding agencies and federal assistance recipients and subrecipients to use program evaluation as a critical tool to learn, to improve equitable delivery, and to elevate program service and delivery across the program lifecycle. Evaluation means “an assessment using systematic data collection and analysis of one or more programs, policies, and organizations intended to assess their effectiveness and efficiency.” Evidence Act § 101 (codified at 5 U.S.C. § 311). Evaluation costs are allowable costs (either as direct or indirect), unless prohibited by statute or regulation.

3. Period of Performance Extensions
Extensions to the period of performance (POP) for this program are allowed.

Extensions to the POP identified in the award will only be considered through formal, written requests to the recipient’s FEMA Preparedness Officer and must contain specific and compelling justifications as to why an extension is required.

Recipients are advised to coordinate with the FEMA Preparedness Officer as needed when preparing an extension request. Please see the Preparedness Grants Manual for more information.

Footnotes

1. Strategic Intelligence Assessment and Data on Domestic Terrorism, Federal Bureau of Investigation and Department of Homeland Security, May 2021.

2. Including assessment of critical infrastructure system vulnerabilities and plans to reduce consequences of disruptions, using the Infrastructure Resilience Planning Framework and Regional Resiliency Assessment Methodology produced by the Cybersecurity and Infrastructure Security Agency.

EXHIBIT F

3. Except for American Samoa and the Commonwealth of the Northern Mariana Islands, which are not required to belong to EMAC at this time.

4. This applies to all homeland security personnel and is not limited to M&A staff, and costs are to be captured outside the cap on M&A costs.

EXHIBIT F

Fiscal Year 2022
Homeland Security Grant Program
California Supplement to the
Federal Notice of Funding Opportunity
September 2022
EXHIBIT F.1

SECTION 1—OVERVIEW………………………………………………………………………… 1
Federal Program Announcement
Information Bulletins
Grant Management Memoranda
Purpose of the California Supplement
Eligible Subrecipients
Tribal Allocations
Subrecipient Allocations
Supplanting
Public/Private Organizations
Debarred/Suspended Parties
Key Changes to the FY 2022 HSGP
SECTION 2—FEDERAL CHANGES AND INITIATIVES ....................................................... 4 FY 2022 National Priorities
National Campaigns and Programs
National Cybersecurity Review
NIMS Implementation
Law Enforcement Terrorism Prevention Activities
Management and Administration
Indirect Costs
Organization Costs – Overtime
Personnel Cap
Equipment Typing/Identification and Use
Equipment Maintenance/Sustainment
Emergency Communications Projects
Telecommunications Equipment and Services Prohibitions
Small Unmanned Aircraft Systems
Emergency Operations Plans
Conflict of Interest
Build America Buy America Act (BABAA)
SECTION 3—STATE CHANGES AND INITIATIVES .......................................................... 14 FY 2022 Investments
California Homeland Security Strategy Goals
State Initiative Funding
“On Behalf Of”
Public Alert and Warning
SECTION 4—REQUIRED STATE APPLICATION COMPONENTS ...................................... 16 Financial Management Forms Workbook
Subrecipient Grants Management Assessment
Application Attachments
Standard Assurances
Operational Areas and Urban Areas
Table of Contents | 2022
EXHIBIT F.1

Operational Areas Only
Urban Areas Only
Fusion Centers Only
State Agencies and Tribes Only
SECTION 5—THE STATE APPLICATION PROCESS .............................................................. 21 Application Submission
Late or Incomplete Application
HSGP Contact Information
Subaward Approval
SECTION 6—POST AWARD REQUIREMENTS .................................................................... 23 Payment Request Process
Advances and Interest Earned on Advances
Semi-Annual Drawdown Requirements
Modifications
Training
Exercises, Improvement Plans, and After-Action Reporting Procurement Standards and Written Procedures
Procurement Thresholds
Procurement Documentation
Noncompetitive Procurement
Performance Bond
Environmental Planning and Historic Preservation
Construction and Renovation
Inventory Control and Property Management
Equipment Disposition
Performance Reporting
Extension Requests
Progress Reports on Grant Extensions
Monitoring
Failure to Submit Required Reports
Suspension/Termination
Closeout
Records Retention

ATTACHMENTS
A – FY 2022 HSGP Final Allocations
B – FY 2022 HSGP Timeline
C – FY 2022 HSGP Application Checklist
EXHIBIT F.1

Section 1‒ Overview | 2022
Federal Program
Announcement
In May 2022, the U.S. Department of Homeland Security
(DHS)/Federal Emergency Management Agency (FEMA) issued the Fiscal Year (FY) 2022 Homeland Security Grant Program (HSGP), Notice of Funding Opportunity (NOFO) and the FEMA Preparedness Grants Manual.

Subrecipients must follow the programmatic requirements in the NOFO, FEMA Preparedness Grants Manual, and the applicable provisions of the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards located in Title 2, Code of Federal Regulations (C.F.R.), Part 200.

Information
Bulletins
DHS issues Information Bulletins (IBs) to provide updates, clarification, and new requirements throughout the life of the grant.

Grant
Management
Memoranda
Cal OES issues Grant Management Memoranda (GMMs) which
provide additional information and requirements regarding HSGP funds.

Purpose of the
California
Supplement
The FY 2022 HSGP California Supplement to the NOFO (State Supplement) is intended to complement, rather than replace, the NOFO and the FEMA Preparedness Grants Manual. Applicants are highly encouraged to thoroughly read the NOFO and the Preparedness Grants Manual before referring to the State Supplement. The State Supplement will emphasize differences between the FY 2021 and FY 2022 HSGP and highlight additional California policies and requirements applicable to FY 2022 HSGP.

Eligible
Subrecipients
Eligible Applicants, referred to as Subrecipients, include Counties/Operational Areas (OAs), Urban Areas (UAs), State Agencies (SAs), Departments, Commissions, and Boards who have or can obtain appropriate state Department of Finance budget authority for awarded funds, and federally recognized tribes located in California.

Tribal Allocations The NOFO strongly encourages Cal OES to provide HSGP funds directly to tribes in California. To implement this requirement, a special Request for Proposal will be issued to California’s federally recognized tribes. All Subrecipients are encouraged to
coordinate with tribal governments to ensure that tribal needs are considered in their grant applications.

EXHIBIT F.1

Subrecipient
Allocations
FY 2022 HSGP Subrecipient final allocations are provided in Attachment A and reflect reductions to Subrecipients who did not submit minimum thresholds for National Priority Areas, including Subrecipients opting out of the award altogether, and increases to Subrecipients that are helping meet statewide minimum level National Priority Area requirements.

Supplanting Grant funds must be used to supplement existing funds, not replace (supplant) funds that have been appropriated for the same purpose. Subrecipients may be required to provide
supporting documentation that certifies a reduction in nonfederal resources that occurred for reasons other than the receipt or expected receipt of federal funds. Supplanting will result in the disallowance of the activity associated with this improper use of federal grant funds.

Public/Private
Organizations
Subrecipients may contract with other public or private organizations to perform eligible activities on approved HSGP projects.

Debarred/
Suspended
Parties
Subrecipients must not make or permit any award (subaward or contract) at any tier, to any party, that is debarred, suspended, or otherwise excluded from, or ineligible for, participation in federal assistance programs.

Subrecipients must obtain documentation of eligibility before making any subaward or contract using HSGP funds and must be prepared to present supporting documentation to
monitors/auditors.

Before entering into a Grant Subaward, the Subrecipient must notify Cal OES if it knows if any of the principals under the subaward fall under one or more of the four criteria listed at 2 C.F.R. § 180.335. The rule also applies to Subrecipients who pass through funding to other local entities.

If at any time after accepting a subaward, Subrecipients learn that any of its principals fall under one or more of the criteria listed at 2 C.F.R. § 180.335, immediate written notice must be provided to Cal OES and all grant activities halted until further instructions are received from Cal OES. The rule also applies to subawards passed through by Subrecipients to local entities.

EXHIBIT F.1

Key Changes to
the FY 2022
HSGP
National Priority Areas: There are six National Priority Areas (NPAs) for FY 2022 compared to five in FY2021: one NPA was removed and two were added. SHSP and UASI applicants must include one Investment Justification (IJ) for each NPA that has a minimum spend requirement, where applicable. For the NPAs with no minimum spend requirement, the Department of Homeland
Security strongly encourages recipients to make investments in those areas as they are of critical national concern. For those NPAs that have an associated minimum spend, all projects related to meeting the minimum spend for those NPAs must be included in the same IJ.

The six NPAs, along with the relevant minimum spend
requirement, are:
• Enhancing information and intelligence sharing and
cooperation with federal agencies, including the
Department of Homeland Security – 3% minimum;
• Enhancing the protection of soft targets/crowded places – 3% minimum;
• Enhancing cybersecurity – no minimum requirement;
• NEW: Enhancing community preparedness and resilience – 3% minimum;
• Combating domestic violent extremism – 3% minimum;
• NEW: Enhancing election security – no minimum
requirement.

Unique Entity Identifier: Effective April 4, 2022, the Federal Government transitioned from using the Data Universal
Numbering System or DUNS number, to a new, non-proprietary identifier known as a Unique Entity Identifier or UEI.

Law Enforcement Terrorism Prevention Activities: Increased from 25% to 30% of the subaward.

Investment Justifications: Investments are updated for FY 2022.

Build America, Buy America Act (BABAA): The BABAA requires all federal agencies, including FEMA, to ensure by May 14, 2022, that no federal financial assistance for “infrastructure” projects is provided “unless all of the iron, steel, manufactured products, and construction materials used in the project are produced in the United States.”
For FY22 Awards, the BABAA requirement is waived.

EXHIBIT F.1

Section 2‒ Federal Changes and Initiatives | 2022
FY 2022 National
Priorities
DHS/FEMA annually publishes the National Preparedness Report (NPR) to report national progress in building, sustaining, and delivering the core capabilities outlined in the goal of a secure and resilient nation. This analysis provides a national perspective on critical preparedness trends for whole community partners to use to inform program priorities, allocate resources, and communicate with stakeholders about issues of concern.

HSGP Subrecipients are required to prioritize grant funding to demonstrate how investments support closing capability gaps or sustaining capabilities identified in the Threat Hazard Identification and Risk Assessment (THIRA)/Stakeholder
Preparedness Review (SPR) process.

DHS/FEMA continually assess changes to the threat landscape to further the National Preparedness Goal (NPG) of a secure and resilient nation. The following are national priority areas for FY 2022, including the corresponding percentage of funds required in each area:
• Enhancing information and intelligence sharing and
cooperation with federal agencies, including DHS – 3%;
• Enhancing the protection of soft targets/crowded places - 3%; • Enhancing cybersecurity – no minimum;
• Enhancing community preparedness and resilience – 3%
• Combating domestic violent extremism through enhanced intelligence collection & analysis, training, and community resilience – 3%; and
• Enhancing election security – no minimum.

The NPA specifically addressing emerging threats has been removed, but activities in this category remain allowable expenses under other investment areas. Further, applicants must spend a minimum of 30% of their SHSP and UASI awards across the six NPAs but have new flexibility on how that funding is allocated. Although 12% is required in minimum spending across four NPAs, as noted above, the remaining 18% can be allocated across any of the six NPAs. Election security and Enhancing Cybersecurity do not require a minimum allocation.

National Priority projects will be reviewed for effectiveness by DHS/FEMA and must be deemed effective prior to the obligation or expenditure of funds.

EXHIBIT F.1

FY 2022 National
Priorities (cont.)
Projects requiring additional information for DHS/FEMA to determine effectiveness of the project, or projects deemed ineffective, will have a hold placed on their subaward pending submission of requested information and DHS/FEMA approval.

Once a project is approved by DHS/FEMA, modifications to the project have special restrictions regarding modifications as indicated below:

Modifications which do not change the project scope and do not decrease the overall project budget can be processed via regular modification request.

Modifications which change the project scope or decrease the overall project budget will require DHS/FEMA approval and must be requested on the National Priority Project Modification Form.

Effectiveness will be evaluated by DHS/FEMA, Cybersecurity and Infrastructure Security Agency, DHS Office of Intelligence and Analysis, DHS Center for Prevention Programs and Partnerships, and/or other DHS components, as appropriate. FEMA will
determine whether the proposed approach is clear, logical, and reasonable to address the priority areas of interest and contribute to a culture of national preparedness, based on the following four factors:
• Investment Strategy (40%): Projects will be evaluated based on the quality and extent to which the strategy effectively demonstrates supporting the program objective of preventing, preparing for, protecting against, and responding to acts of terrorism, to meet its target capabilities, and otherwise reduce the overall risk to the high-risk urban area, the state, or the nation.
• Budget (20%): Projects will be evaluated based on the extent to which a budget plan for each investment demonstrates how grant expenditures maximize cost effectiveness.

EXHIBIT F.1

FY 2022 National
Priorities (cont.)
• Impact/Outcomes (40%): Projects will be evaluated on how this investment helps the jurisdiction close capability gaps identified in its Stakeholder Preparedness Review and
addresses national priorities outlined in the FY 2022 NOFO.

Further, proposals will be evaluated on their identification and estimated improvement of core capability(ies), the associated standardized target(s) that align with their proposed
investment, and the ways in which improvements are
measured and/or evaluated.
• Past Performance (additional consideration): Projects will be evaluated based on the Subrecipient’s demonstrated
capability to execute the proposed investments. Under this factor, FEMA will consider the information provided by the Subrecipient and may also consider relevant information from other sources.

A detailed description of allowable investments for each national priority is included in the FY 2022 HSGP NOFO (Section A).

National
Campaigns and
Programs
Whole Community Preparedness – Subrecipients should engage with the whole community to advance individual and community preparedness and to work as a nation to build and sustain resilience. In doing so, Subrecipients are encouraged to consider the needs of individuals with access and functional needs and limited English proficiency in the activities and projects funded by the grant.

Subrecipients should utilize established best practices for whole community inclusion and engage with stakeholders to advance individual and jurisdictional preparedness and resilience.

Subrecipients are encouraged to consider the necessities of all Californians in the activities and projects funded by the grant, including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved populations.

EXHIBIT F.1

National
Campaigns and
Programs (cont.)
Active Shooter Preparedness – DHS developed a comprehensive Active Shooter Preparedness website, which strives to enhance national preparedness through a whole-community approach by providing the necessary products, tools, and resources to help all stakeholders prepare for and respond to an active shooter incident. Subrecipients are encouraged to review the referenced active shooter resources and evaluate their preparedness needs.

Soft Targets and Crowded Places – States, territories, UAs, and public and private sector partners are encouraged to identify security gaps and build capabilities that address security needs and challenges related to protecting locations or environments that are easily accessible to large numbers of people on a predictable or semi-predictable basis that have limited security or protective measures in place, including town centers, shopping malls, open-air venues, outside hard targets/venue perimeters, and other places of meeting and gathering . For more
information, please see DHS’s Hometown Security Program.

Community Lifelines – FEMA created Community Lifelines to reframe incident information and impacts using plain language and unity of effort to enable the integration of preparedness efforts, existing plans, and identifies unmet needs to better anticipate response requirements. Additional information may be found at the Community Lifelines Implementation Toolkit website.

Strategic Framework for Countering Terrorism and Targeted Violence – DHS adopted the DHS Strategic Framework for
Countering Terrorism and Targeted Violence which explains how the department will use the tools and expertise that have protected and strengthened the country from foreign terrorist organizations to address the evolving challenges of today.

Countering Violent Extremism (CVE) Training - Foreign terrorist groups and individual terrorist thought leaders recruit or inspire Westerners to carry out attacks against western and U.S. targets, including individuals living in communities with the U.S. via, but not limited to, print, video, and social media, as well as through personal interaction. But we also know that violent extremism is not a phenomenon restricted solely to one community and that any effort to counter violent extremism must be applicable to all ideologically motivated violence. Efforts to provide information and training regarding CVE should emphasize the strength of local communities’ approach.

EXHIBIT F.1

National
Cybersecurity
Review
The National Cybersecurity Review (NCSR) is a required
assessment for all Subrecipients of State Homeland Security Program (SHSP) and Urban Areas Security Initiative (UASI) funding to be completed between October and December 2022.

The NCSR is a no-cost, anonymous, and annual self-assessment designed to measure gaps and capabilities of state, local, tribal, territorial, nonprofit, and private sector agencies’ cybersecurity programs.

Additionally, FEMA recognizes that some subawards will not be issued until after the NCSR has closed. In these cases, Subrecipients will be required to complete the first available NCSR offered after the subaward has been issued by Cal OES.

The Chief Information Officer (CIO), Chief Information Security Officer (CISO), or equivalent should complete the NCSR. If there is no CIO or CISO, the most senior cybersecurity professional should complete the assessment. Additional information may be found in IB 439 and 429a.

NIMS
Implementation
Prior to the allocation of any federal preparedness awards, Subrecipients must ensure and maintain the adoption and implementation of the National Incident Management System (NIMS).

Law
Enforcement
Terrorism
Prevention
Activities
A minimum of 30% of the total subaward amount must be
dedicated to Law Enforcement Terrorism Prevention Activities (LETPA). Activities outlined in the National Prevention Framework and National Protection Framework are eligible for use of LETPAfocused funds. Additionally, investments that support LETPA can also support an NPA. All other terrorism prevention activities proposed for funding under LETPA must be formally pre-approved by FEMA. Refer to IB 473 for additional information.

Management
and
Administration
The Management and Administration (M&A) allowance for
Subrecipients is set at a maximum of 5% for FY 2022 HSGP.

Indirect Costs Indirect costs are allowable under the FY 2022 HSGP Grant Award. Subrecipients who claim indirect costs may do so, provided they use one of the following two methods:

EXHIBIT F.1

Indirect Costs
(cont.)

1. Subrecipients with an indirect cost rate approved by their cognizant federal agency may claim indirect costs based on the established rate. Indirect costs claimed must be
calculated using the base approved in the indirect cost negotiation agreement. A copy of the approved negotiation agreement is required at the time of application.

2. Subrecipients who have never received a negotiated indirect cost rate and receive less than $35 million in direct federal funding per year may claim the 10% de minimis indirect cost rate based on Modified Total Direct Costs (MTDC) as defined in 2 C.F.R. § 200.1 and Subpart E.

Indirect costs are in addition to the M&A allowance and must be included in the Grant Award application as a “Project” and reflected in the Financial Management Forms Workbook (FMFW) on the Indirect cost category ledger if being claimed under the award.

Indirect costs must be based on the claimed direct project costs, excluding equipment expenditures and other distorting items. Up to $25,000 of each subaward may be included as a direct project cost when calculating indirect costs based on MTDC.

Indirect costs must be claimed no more than once annually, and only at the end of the Subrecipient’s fiscal year. An exception to this rule applies if there is a mid-year change to the approved indirect cost rate; in this case, costs incurred to date must be claimed. At that time, a Grant Subaward Modification reflecting the rate change must also be submitted to Cal OES, along with a copy of the new indirect cost rate agreement.

Organization
Costs - Overtime
Operational overtime costs are allowable for increased security measures at critical infrastructure sites if associated with detecting, deterring, disrupting, and preventing acts of terrorism and other catastrophic events.

Pursuant to page A-4 of the Preparedness Grants Manual, all operational overtime requests must clearly explain how the request meets the criteria of one or more of the categories listed in Table 2: Authorized Operational Overtime Categories.

Requests must address the threat environment as it relates to the event or activity requiring operational overtime support and explains how the overtime activity is responsive to the threat.

EXHIBIT F.1

Organization
Costs – Overtime
(cont.)
Post-event operational overtime requests will only be considered on a case-by-case basis, where it is demonstrated exigent circumstances prevented submission of a request in advance of the event or activity. Requests for overtime costs must be submitted to Cal OES via the Allowability Request Form at the time of application, if the activity will occur within one year of the final application submission. All subsequent requests must be submitted at least 60 days in advance of the activity. All operational overtime costs must be formally pre-approved in writing by DHS/FEMA.

Personnel Cap Pursuant to 6 U.S.C. § 609(b), SHSP and UASI funds may be used for personnel costs, totaling up to 50 percent of each fund source. A Subrecipient may request this requirement be waived by DHS/FEMA, via Cal OES. Requests for personnel cap waivers must be submitted separately for each fund source in writing to the Program Representative on official letterhead, with the following information:
• Documentation explaining why the cap should be waived; • Conditions under which the request is being submitted; and • A budget and method of calculation of personnel costs both in percentages of the Grant Award and in total dollar amount (waivers must be calculated separately for SHSP and UASI, outlining salary, fringe benefits, and any M&A costs).

Subrecipient requests to exceed the personnel cap must be received by Cal OES at the time of application. Subaward modifications impacting the personnel cap will be reviewed on a case-by-case basis and may require the submittal of the abovementioned information.

Please see IB 421b for more information on the waiver process.

Equipment
Typing/
Identification
and Use
Allowable HSGP equipment is listed on the FEMA Authorized Equipment List (AEL) website.

Subrecipients that allocate HSGP funds towards equipment are required to type and identify the capability associated with that equipment. The FEMA Resource Typing Library Tool (RTLT) can be used to help determine the type and capability.

EXHIBIT F.1

Equipment
Typing/
Identification and
Use (cont.)
Per FEMA policy, the purchase of weapons and weapon
accessories are not allowed with HSGP funds. Special rules apply to pharmaceutical purchases, medical countermeasures, and critical emergency supplies; refer to page A-10 of the
Preparedness Grants Manual for additional information.

Expenditures for general purpose equipment are allowable if they align to and support one or more core capabilities identified in the NPG, and in addition, are deployable/sharable through the Emergency Management Assistance Compact and allowable
under 6 U.S.C. § 609. Refer to the NOFO and Preparedness Grants Manual for examples of allowable general-purpose equipment.

Equipment
Maintenance/
Sustainment
Use of HSGP funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable as described in FEMA IBs 336 and 379, as well as Grant Programs Directorate (GPD) Policy FP-205-402-125-1.

Emergency
Communications
Projects
All Subrecipient emergency communications projects must comply with the SAFECOM Guidance on Emergency
Communications Grants and describe in their FMFW how such activities align with the goals of the Statewide Communications Interoperability Plan.

Telecom
Equipment and
Services
Prohibitions
Effective August 13, 2020, section 889(f)(2)-(3) of the John S.

McCain National Defense Authorization Act for FY 2019 (NDAA) and 2 C.F.R. § 200.216 prohibit DHS/FEMA Recipients and Subrecipients (including their contractors and subcontractors) from using any FEMA funds under open or new awards for the following telecommunications equipment or services:
1) Telecommunications equipment produced by Huawei
Technologies Company or ZTE Corporation, (or any subsidiary or affiliate of such entities);
2) For the purpose of public safety, security of government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera
Communications Corporation, Hangzhou Hikvision Digital
Technology Company, or Dahua Technology Company (or
any subsidiary or affiliate of such entities);
3) Telecommunications or video surveillance services provided by such entities or using such equipment; or
EXHIBIT F.1

Telecom
Equipment and
Services
Prohibitions
(cont.)
4) Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of National Intelligence or the Director of the Federal Bureau of
Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the People’s
Republic of China.

Please see FEMA Policy #405-143-1 for additional information.

Small
Unmanned
Aircraft Systems
All requests to purchase Small Unmanned Aircraft Systems (SUAS) with FEMA grant funding must comply with IB 426 and include copies of the policies and procedures in place to safeguard individuals’ privacy, civil rights, and civil liberties of the jurisdiction that will purchase, take title to, or otherwise use the SUAS equipment. The Authorized Equipment Listing for 03OE-07-SUAS details questions that must be included in the Aviation Request justification. Please reference Presidential Memorandum:

Promoting Economic Competitiveness While Safeguarding
Privacy, Civil Rights, and Civil Liberties in Domestic Use of Unmanned Aircraft Systems and contact your Program
Representative for additional information.

Emergency
Operations Plans
Subrecipients must update their Emergency Operations Plan at least once every two years to remain compliant with the Comprehensive Preparedness Guide 101 version 2.0.

Conflict of
Interest
To eliminate and reduce the impact of conflicts of interest in the subaward process, Subrecipients and pass-through entities must follow their own policies and procedures regarding the
elimination or reduction of conflicts of interest when making subawards. Subrecipients and pass-through entities are also required to follow any applicable federal, state, local, and tribal statutes or regulations governing conflicts of interest in the making of subawards.

Subrecipients must disclose to their Program Representative, in writing, any real or potential conflict of interest as defined by the federal, state, local, or tribal statutes or regulations, which may arise during the administration of the HSGP subaward within five days of learning of the conflict of interest.

EXHIBIT F.1

BABAA The BABA Act requires all federal agencies, including FEMA, to ensure by May 14, 2022, that no federal financial assistance for “infrastructure” projects is provided “unless all of the iron, steel, manufactured products, and construction materials used in the project are produced in the United States.” For FY 2022 this requirement has been waived. Additional information for the BABA Act is available here.

EXHIBIT F.1

Section 3‒ State Changes and Initiatives | 2022
FY 2022
Investments
The State prioritized the following investment strategies for the FY 2022 subawards:

1. Enhance Information and Intelligence Sharing and
Cooperation with Federal Agencies, including DHS
(National Priority);

2. Enhance the Protection of Soft Targets/Crowded Places (National Priority);

3. Enhance Cybersecurity (National Priority);

4. Enhancing Community Preparedness and Resilience (National Priority);

5. Combating Domestic Violent Extremism (National Priority);

6. Strengthen Emergency Communications Capabilities Through Planning, Governance, Technology, and Equipment;

7. Enhance Medical and Public Health Preparedness;

8. Strengthen Information Sharing and Collaboration (non-Fusion Center);

9. Enhance Multi-Jurisdictional/Inter-Jurisdictional AllHazards/Whole Community Incident Planning, Response & Recovery Capabilities;

10.Protect Critical Infrastructure and Key Resources (includes Food and Agriculture); and

11.Enhance Election Security (National Priority).

California
Homeland
Security Strategy
Goals
The State prioritized the following California Homeland Security Strategy Goals for the FY 2022 subawards:

1. Enhance Information Collection, Analysis, and Sharing, in Support of Public Safety Operations Across California;

2. Protect Critical Infrastructure and Key Resources from All Threats and Hazards;

3. Strengthen Security and Preparedness Across Cyberspace;

4. Strengthen Communications Capabilities through Planning, Governance, Technology, and Equipment;

5. Enhance Community Preparedness;

6. Enhance Multi-Jurisdictional/Inter-Jurisdictional All-Hazards Incident Catastrophic Planning, Response, and Recovery
Capabilities;

7. Improve Medical and Health Capabilities;

8. Enhance Incident Recovery Capabilities;

9. Strengthen Food and Agriculture Preparedness; and

10.Enhance Homeland Security Exercise, Evaluation, and Training Programs.

EXHIBIT F.1

State Initiative
Funding
For FY 2022, Cal OES shall retain 20% of the SHSP and 18.5% of the UASI funding for state initiatives.
“On Behalf Of” Cal OES may, in conjunction with local approval authorities, designate funds “on behalf of” local entities who choose to decline or fail to utilize their subaward in a timely manner.

Public Alert and
Warning
Cal OES encourages Subrecipients to consider the use of this funding to assist their jurisdiction’s alignment with the State of California Alert and Warning Guidelines, developed pursuant to Senate Bill 833 of the 2018 Legislative Session.

EXHIBIT F.1

Section 4‒ Required State Application Components | 2022 Financial
Management
Forms Workbook
The FY 2022 Cal OES FMFW includes:

Grant Subaward Face Sheet – Use the Grant Subaward Face Sheet to apply for grant programs. The Grant Subaward Face Sheet must be signed and submitted in portrait format. An active UEI# (Formerly DUNS#) is required. UEI registration information is available sam.gov.

Authorized Body of 5 – Provide the contact information of Authorized Agents (AA), delegated via the GBR or Signature Authorization Form, including staff related to grant activities. More than one person is recommended for designation as the AA; in the absence of an AA, an alternate AA can sign requests.

Project Ledger – The project ledger is used in the application process to submit funding information and is used for submitting cash requests, grant subaward modifications, and assists with the completion of the Biannual Strategy Implementation Report (BSIR).

Planning Ledger – Provides detailed information on grant-funded planning activities with a final product identified.

Organization Ledger – Provides detailed information on grantfunded organizational activities.

Equipment Ledger – Detailed information must be provided under the equipment description for all grant-funded equipment. AEL numbers must be included for all items of equipment. Always refer to the AEL for a list of allowable equipment and conditions, if any.

Training Ledger – Provides detailed information on grant-funded training activities. All training activities must receive Cal OES approval prior to starting the event, including a Training Feedback number. The Training Request Form must be submitted and approved to obtain a Training Feedback number and should be submitted at least 30 days in advance.

Exercise Ledger – Provides detailed information on grant-funded exercises.

M&A Ledger – Provides information on grant-funded M&A
activities.

EXHIBIT F.1

Financial
Management
Forms Workbook
(cont.)
Indirect Costs Ledger – Provides information on indirect costs.

Consultant-Contractor Ledger – Provides detailed information on grant-funded consultants and contractors.

Authorized Agent Page – The AA Page must be submitted with the application, all cash requests, and Grant Subaward
Modifications. The AA Page must include a valid signature on file with Cal OES and the date.

Subrecipient
Grants
Management
Assessment
Per 2 C.F.R. § 200.332, Cal OES is required to evaluate the risk of non-compliance with federal statutes, regulations, and grant terms and conditions posed by each Subrecipient of passthrough funding. The Subrecipient Grants Management Assessment Form contains questions related to an organization’s experience in the management of federal grant awards. It is used to determine and provide an appropriate level of technical assistance, training, and grant oversight to Subrecipients during the subaward. The questionnaire must be completed and
returned with the grant application.

Application
Attachments
Federal Funding Accountability and Transparency Act (FFATA) Financial Disclosure – Use the FFATA Financial Disclosure Form to provide the information required by the Federal Funding Accountability and Transparency Act of 2006.

Certification Regarding Lobbying – Use the Certification Regarding Lobbying Form to certify lobbying activities, as stipulated by the Byrd Anti-Lobbying Amendment,
31 U.S.C. § 1352.

Intelligence Analysts Certificates – Pursuant to the Preparedness Grants Manual, Cal OES must have certificates for completion of training for fusion center analytical personnel. Please provide copies of certificates for each intelligence analyst, if applicable.

UASI Footprint (UASIs Only) – The Urban Area Working Group (UAWG) establishes the ‘footprint’ of the UA. A map or list defining the footprint must be included with the application.

UAWG Member Roster (UASIs Only) – A list of all current UAWG members with positions or titles.

EXHIBIT F.1

Application
Attachments
(cont.)
Indirect Cost Rate Agreement – If claiming indirect costs at a federally-approved rate, please provide a copy of the approved indirect cost rate agreement.

Standard
Assurances
The Standard Assurances list the requirements to which the Subrecipients will be held accountable. All Applicants will be required to submit a signed, original of the FY 2022 Standard Assurances as part of their FY 2022 HSGP application. The required Standard Assurances can be found only in PDF format on the Cal OES website.

NOTE: Self-created Standard Assurances will not be accepted.

Operational
Areas and Urban
Areas
Governing Body Resolution – The GBR appoints AAs (identified by the individual’s name or by a position title) to act on behalf of the governing body and the Applicant by executing any actions necessary for each application and subaward. All Applicants are required to submit a copy of an approved GBR with their grant application. Resolutions may be valid for up to three grant years given the following:
• The resolution identifies the applicable grant program (e.g., EMPG and/or HSGP);
• The resolution identifies the applicable grant years, (e.g., FY 2021, FY 2022, FY 2023); and
• Adheres to any necessary elements required by local
protocols, rules, etc., if applicable.

Resolutions that only identify a single grant program will only be valid for that single program. Resolutions that do not identify applicable grant years will only be valid for the grant year in which the resolution was submitted.

Authorized Agent Information – For each person or position appointed by the governing body, identify the individual in the Authorized Body of 5 ledger of the FMFW.

EXHIBIT F.1

Operational
Areas and Urban
Areas (cont.)
All changes in AA and contact information must be provided to Cal OES in writing. If the GBR identifies the AA by name, a new Resolution is needed when changes are made. If the GBR
identifies the AA by position and/or title, changes may be made by submitting a request on the entity’s letterhead, signed by an existing AA. Cal OES will not accept signatures of an AA’s designee, unless authorized by the Governing Body's resolution. A change to an AA's designee must be submitted on agency
letterhead and signed by the AA, announcing the change to their designee.

Operational
Areas Only
Approval Authority Body – OAs must appoint an Anti-Terrorism Approval Body (Approval Authority) to have final approval of the OA’s application for HSGP funds. Each member of the Approval Authority must provide written agreement with the OA’s
application for HSGP funds. The Approval Authority shall consist of the following representatives, and additional voting members may be added by a simple majority vote of the following standing members:
• County Public Health Officer or designee responsible for Emergency Medical Services
• County Fire Chief or Chief of Fire Authority
• Municipal Fire Chief (selected by the OA Fire Chiefs) • County Sheriff
• Chief of Police (selected by the OA Police Chiefs)
Urban Areas
Only
Urban Area Working Groups (UAWGs) – Membership in the UAWG must provide either direct or indirect representation for all relevant jurisdictions and response disciplines (including law enforcement, fire service, EMS, hospitals, public health, and emergency management) that comprise the defined UA. It also must be inclusive of local Citizen Corps Council and tribal representatives. The UAWG should also ensure the integration of local emergency management, public health, and health care systems into a coordinated sustained local capability to respond effectively to a mass casualty incident. Additional group composition criteria is found in the FEMA Preparedness Grants Manual.

THIRA – Subrecipients are required to submit a THIRA for all 32 core capabilities. Beginning in 2019, UAs are required to submit a THIRA every three years. An annual capability assessment will still be required.

EXHIBIT F.1

Urban Areas
Only (cont.)
SPR – The SPR is an annual grant requirement for all states, territories, and UAs. It is an annual capability assessment, which helps jurisdictions identify capability gaps and prioritize investment requirements to reach the targets set in their THIRA.

Fusion Centers
Only
All fusion center investments must align to, and reference, specific performance areas of the assessment that the funding is intended to support.

Fusion Centers are also required to follow all Reporting and Administrative Metrics for California Fusion Centers, as set forth in the Governor’s Homeland Security Advisor/Cal OES Director’s letter dated March 16, 2016. These operational and administrative metrics set forth an integrated and coordinated approach for regular and proactive information and intelligence sharing between all fusion centers in the California State Threat Assessment System (STAS).

State Agencies
and Tribes Only
State Agencies, and federally recognized tribes may submit the Signature Authorization Form in lieu of a GBR, signed by the most senior ranking official, such as the Secretary, Director, President, Chancellor, or Chairperson.

EXHIBIT F.1

Section 5‒ State Application Process | 2022
Application
Submission
Subrecipients must submit an electronic copy of their completed FMFW to their Program Representative for review. After the application is approved, a completed copy of the FMFW, along with all other application components must be submitted, with official signatures, by the application due date. During the application process, if it is determined not all allocated funds can be expended by the end of the period of performance, please inform a Program Representative as soon as possible. The completed application should be received by Cal OES no later than the date provided in the FY 2022 HSGP Timeline, referenced as Attachment B.

Late or
Incomplete
Application
Late or incomplete applications may be denied. If an application is incomplete, the Program Representative may request
additional information. Requests for late submission of applications must be made in writing to the Program
Representative prior to the application due date. Cal OES has sole discretion to accept or reject a late or incomplete grant application.

HSGP Contact
Information
All Subrecipient application materials, questions, comments, and correspondence should be directed to:

California Governor’s Office of Emergency Services
ATTN: Grants Management (Building E)
Homeland Security Grants Unit
3650 Schriever Avenue
Mather, CA 95655
Darlene Arambula (916) 845-8427
Christopher Camacho (916) 845-8789
Laura Halverstadt (916) 845-8899
Antoinette Johnson (916) 845-8260
Jim Lane (916) 845-8428
Vidal Lopez (916) 845-8744
Abigayle Tirapelle (916) 845-8400
The Program Representative Regional Assignments Map is
available at the Cal OES website under “Regional Assignments”.

EXHIBIT F.1

Subaward
Approval
Subrecipients will receive a formal notification of award no later than 45 days after Cal OES accepts the federal grant award. The award letter must be signed, dated, and returned to Cal OES within 20 calendar days. Once the completed application, along with the signed award letter, is received and approved, reimbursement of eligible subaward expenditures may be
requested using the Cal OES FMFW.

EXHIBIT F.1

Section 6‒ Post Award Requirements | 2022
Payment
Request Process
To request an advance or cash reimbursement of HSGP funds, Subrecipients must first complete a payment request using the Cal OES FMFW, returning it to the appropriate Program
Representative. Subrecipients who fail to follow the workbook instructions may experience delays in processing the payment request.

Payments can only be made if the Subrecipient has an approved application.

Advances and
Interest Earned
on Advances
An Advance payment is a payment that is requested before Subrecipients have disbursed the funds for program purposes.

Subrecipients may be paid an advance, provided they maintain a willingness and ability to maintain procedures to minimize the time elapsing between the receipt of funds and their
disbursement. The timing and amount of advance payments must be as close as administratively feasible to the actual disbursements by the Subrecipient for project costs.

Federal rules require advances to be deposited in interestbearing accounts. Interest earned amounts up to $500 per year may be retained by Subrecipients for administrative expenses; any additional interest earned on federal advance payments must be returned annually to Cal OES.

Semi-Annual
Drawdown
Requirements
All Subrecipients must report expenditures and request funds at least semi-annually throughout the period of performance. Semiannual drawdowns should occur by March and October of each calendar year following final approval of the subaward
application, except for the final cash request, which must be submitted within 20 calendar days after the end of the period of performance.

Modifications Post-award budget and scope modifications must be requested using the Cal OES HSGP FMFW v1.22, signed by the Subrecipient’s AA, and submitted to the Program Representative.

The Subrecipient may implement grant modification activities, and incur associated expenses, only after receiving written final approval of the modification from Cal OES.

EXHIBIT F.1

Modifications
(cont.)
Subrecipients must provide a written justification with all modification requests. The justification may be included in the body of the e-mail transmitting the request, or in a document attached to the transmittal e-mail. Please reference GMM 2018- 17 for additional information regarding modification requests.

Modifications to National Priority Projects have additional restrictions as indicated below:

Modifications which do not change the project scope and do not decrease the overall project budget can be processed via regular modification request.

Modifications which change the project scope or decrease the overall project budget will require DHS/FEMA approval and must be requested on the National Priority Project Modification Form.

Training All grant-funded training activities must receive Cal OES approval prior to starting the training event. Cal OES shall allow Subrecipients to develop a “placeholder” for future training conferences when an agenda has not been established at the time Subrecipient applications are due. Please work with a Program Representative and the Training Branch to identify a possible “placeholder” for these types of training activities.

When seeking approval of non-DHS/FEMA developed courses, course materials must be submitted with the approval requests.

Conditional approvals are not offered.

Subrecipients must complete a Training Request Form and submit it electronically to the Cal OES Training Branch to be approved with a Training Feedback Number before beginning any training activities. This includes project components like travel to, materials for, or attendance in training courses. Training Feedback Numbers should be obtained no later than 30 days before the first day of the training or related activities. Requests that are submitted with less than 30 days prior to the start of the training or activity are not guaranteed to be approved in time and run the risk of training being unallowable. Training Feedback numbers must be included on the FMFW Training Ledger to be considered for reimbursement.

For more information on this or other training-related inquiries, contact the Cal OES Training Branch at (805) 594-2500.

EXHIBIT F.1

Exercises,
Improvement
Plans, and AfterAction Reporting
Subrecipients should engage stakeholders to identify long-term training and exercise priorities. These priorities should address capability targets and gaps identified through the THIRA and SPR process, real-world events, previous exercises, and national areas for improvement identified in the NPR.

Subrecipients must report on all exercises conducted with HSGP grant funds. An After-Action Report (AAR)/Improvement Plan (IP) or Summary Report (for Seminars and Workshops) must be
completed and submitted to Cal OES within 90 days after exercise/seminars/workshops are conducted. It is acceptable to submit an Exercise Summary Report for Seminars and Workshops in lieu of a full AAR/IP.

Please e-mail AAR/IPs and Summary Reports to:
• [email protected]
• [email protected]
• [email protected]
For exercise-related issues and/or questions, please email the Cal OES Exercise Team at [email protected].

Exercise costs will not be considered for reimbursement until an AAR/IP is received by Cal OES.

Procurement
Standards and
Written
Procedures
Subrecipients must conduct procurement utilizing documented local government procurement standards and procedures, or the federal procurement standards found in 2 C.F.R. Part 200, whichever is more strict. Procurement standards must also contain a written conflict of interest policy which reflect applicable federal, state, local, and tribal laws.

Procurement
Thresholds
Effective June 20, 2018, the micro-purchase threshold was increased from $3,500 to $10,000 and the simplified acquisition threshold was increased from $150,000 to $250,000. These increases apply to all Subrecipient procurements executed on or after June 20, 2018. Refer to IB 434 for additional information.

EXHIBIT F.1

Procurement
Documentation
Per 2 C.F.R. § 200.318(i), non-federal entities other than states and territories are required to maintain and retain records sufficient to detail the history of procurement covering at least the rationale for the procurement method, contract type, contractor selection or rejection, and the basis for the contract price. For any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g). Documentation that would cover this information include, but are not limited to:
• Solicitation documentation, such as requests for quotes, invitations for bids, or requests for proposals;
• Responses to solicitations, such as quotes, bids, or proposals; • Pre-solicitation independent cost estimates and postsolicitation cost/price analyses on file for review by federal personnel, if applicable;
• Contract documents and amendments, including required contract provisions; and other documents required by federal regulations applicable at the time a grant is awarded to a Subrecipient.

Noncompetitive
Procurement
All noncompetitive procurements exceeding the simplified acquisition threshold requires Cal OES prior written approval to be eligible for reimbursement. This method of procurement must be approved by the local Purchasing Agent prior to submitting a request for Cal OES approval. A copy of the Purchasing Agent’s approval must be included with the Cal OES Request for
Noncompetitive Procurement Authorization form. Cal OES may request additional documentation that supports the procurement effort.

Cal OES will not reimburse for any noncompetitive procurement contracts for any HSGP terrorism-related training, regardless of the cost of the training. Exceptions to this policy may be approved in limited circumstances, e.g., related to a procurement effort that has resulted in inadequate competition. Please refer to GMM2017-01A and GMM2021-05 for additional guidance.

Performance
Bond
Due to the risks associated with delays in vendor delivery of large equipment procurements, DHS/FEMA allows Subrecipients to obtain a “performance bond” for items that are paid for up front to ensure delivery of the equipment within the grant performance period.

EXHIBIT F.1

Performance
Bond (cont.)
Cal OES requires Subrecipients obtain a performance bond for any equipment item over $250,000 or any vehicle, aircraft, or watercraft that has been paid with HSGP funds prior to receiving the final product(s).

Performance Bond Waivers may be granted on a case-by-case basis and must be submitted to Cal OES prior to procurement.

Environmental
Planning and
Historic
Preservation
DHS/FEMA is required to ensure all activities and programs that are funded by the agency comply with federal Environmental Planning and Historic Preservation (EHP) regulations. Subrecipients proposing projects or activities (including, but not limited to, training, exercises, the installation of equipment, and construction or renovation projects) that have the potential to impact the environment, or a historic structure must participate in the EHP screening process. EHP Screening Memos must include detailed project information, explain the goals and objectives of the proposed project, and include supporting documentation.

DHS/FEMA may also require the Subrecipient to provide a confidential California Historical Resources Information System (CHRIS) report in addition to the EHP Screening Form.

Determination on the necessity of a CHRIS report is based upon information disclosed on the form. Program Representatives will provide additional instructions should this report be required.

EHP Screening Requests should be submitted to Cal OES as early as possible. All projects/activities triggering EHP must receive DHS/FEMA written approval prior to commencement of the
funded activity.

Updated information may be referenced in the FEMA GPD EHP Policy Guidance.

Construction
and Renovation
When applying for construction activity at the time of
application, including communication towers, Subrecipients must submit evidence of approved zoning ordinances, architectural plans, any other locally required planning permits, and a notice of federal interest. Additionally, Subrecipients are required to submit an SF-424C Budget and Budget Detail that cites project costs. Communication tower construction requests also require evidence that the Federal Communications Commission’s
Section 106 review process was completed.

EXHIBIT F.1

Construction
and Renovation
(cont.)
Subrecipients using funds for construction projects must comply with the Davis-Bacon Act. Subrecipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character like the contract work in the civil subdivision of the state in which the work is to be performed.

Project construction using SHSP and UASI funds may not exceed $1,000,000 or 15% of the grant subaward (For the purposes of limitations on funding levels, communications towers are not considered construction).

Written approval for construction must be provided by DHS/FEMA prior to the use of any HSGP funds for construction or renovation.

Inventory
Control and
Property
Management
Subrecipients must use standardized resource management concepts for resource typing and credentialing, in addition to maintaining an inventory by which to facilitate the effective identification, dispatch, deployment, tracking, and recovery of resources.

Subrecipients must have an effective inventory management system, to include:
• Property records that document description, serial/ID number, fund source, title information, acquisition date, cost, federal cost share, location, use, condition, and ultimate disposition; • A physical inventory conducted at least every two years; • A control system to prevent loss, damage, and theft of grant purchased equipment and supplies; and
• Adequate maintenance procedures to keep the property in good condition.

Equipment
Disposition
When original or replacement equipment acquired under the HSGP is no longer needed for program activities, the Subrecipient must contact the Program Representative to request disposition instructions. See 2 C.F.R. § 200.313(e).

EXHIBIT F.1

Performance
Reporting
Subrecipients must complete a Biannual Strategic
Implementation Report (BSIR) each Winter and Summer using the DHS/FEMA Grants Reporting Tool (GRT) for the duration of the subaward period of performance or until all grant activities are completed and the subaward is formally closed by Cal OES.

Failure to submit a BSIR could result in subaward reduction, suspension, or termination.

Access to the BSIR may be obtained through the GRT.

To create a new account, please click the link that reads, “Register for an account” and follow the instructions provided.

The Subrecipient will be required to ensure up-to-date project information is entered. The Project Ledger in the FMFW may assist with the BSIR data entry process. For additional assistance with the GRT, please contact your Program Representative.

Extension
Requests
Extensions to the initial period of performance identified in the subaward will only be considered through formal, written requests to your Program Representative. Upon receipt of the extension request, Cal OES will:

1. Verify compliance with performance reporting requirements by confirming the Subrecipient has submitted all necessary performance reports;

2. Confirm the Subrecipient has provided sufficient justification for the request; and

3. If applicable, confirm the Subrecipient has demonstrated sufficient progress in past situations where an extension was authorized by Cal OES.

Extension requests will be granted only due to compelling legal, policy, or operational challenges, must be project-specific and will only be considered for the following reasons:

1. Contractual commitments with vendors that prevent
completion of the project within the period of performance;

2. The project must undergo a complex environmental review which cannot be completed within this timeframe;

3. Projects are long-term by design and therefore, acceleration would compromise core programmatic goals; and

4. Where other special circumstances exist.

EXHIBIT F.1

Extension
Requests (cont.)
To be considered, extension requests must be received no later than 60 days prior to the end of the Subrecipient’s period of performance and must contain specific and compelling
justifications as to why an extension is required. All extension requests must address the following:

1. Grant program, fiscal year, and award number;

2. Reason for delay;

3. Current status of the activity/activities;

4. Approved period of performance termination date and new project completion date;

5. Amount of funds drawn down to date;

6. Remaining available funds, both federal and non-federal;

7. Budget outlining how remaining federal and non-federal funds will be expended;

8. Plan for completion, including milestones and timeframes for each milestone and the position/person responsible for
implementing the plan for completion; and

9. Certification the activity/activities will be completed within the extended period of performance without any modification to the original Project Scope.

General questions regarding extension requirements and the extension request form, should be directed to your Program Representative. For additional information, please see IB 379.

Extension requests for personnel and salaries do not meet the requirements of IB 379 and will not be granted. Subrecipients are expected to complete all grant-funded personnel activities by the end of the subaward period of performance.

Progress Reports
on Grant
Extensions
All Subrecipients that receive Cal OES approval to extend their FY 2022 grant subaward period of performance may be required to submit progress reports indicating completed and future project milestones on all extended projects. Progress reports must be submitted electronically to the Subrecipient’s Program Representative. Deadlines for the submission of progress reports will be established at the time of extension approval.

Monitoring Cal OES Grants Monitoring actively monitors Subrecipients, through day-to-day communications, programmatic site visits, desk, and on-site compliance assessments. The purpose of the compliance assessment is to ensure Subrecipients are in compliance with applicable state and federal regulations, grant guidelines, and programmatic requirements.

EXHIBIT F.1

Monitoring
(cont.)
Monitoring activities may include, but are not limited to:
• Verifying entries recorded on the FMFW categories are properly supported with source documentation;
• Eligibility of and support for expenditures, typically covering two to three years of data;
• Comparing actual Subrecipient activities to those approved in the grant application and subsequent modifications, including the review of timesheets and invoices as applicable;
• Procurements and contracts;
• Ensuring equipment lists are properly maintained and physical inventories are conducted;
• Ensuring advances have been disbursed in accordance with applicable guidelines; and
• Confirming compliance with:
• Standard Assurances, and
• Information provided on performance reports and payment requests
NOTE: It is the responsibility of all Subrecipients that pass down grant funds to other entities, to maintain and utilize a formal process to monitor the grant activities of their subawards. This requirement includes, but is not limited to, on-site verification of grant activities, as required. It is common for Subrecipients to receive findings in a programmatic site visit or compliance assessment, which require a Corrective Action Plan (CAP) to be submitted by Subrecipients. Those Subrecipients who fail to submit a CAP, as required, shall have a “hold” placed on any future reimbursements until the “finding” is resolved.

Failure to Submit
Required Reports
Periodic reporting is required by the grant. Subrecipients who miss a single reporting deadline may receive a letter addressed to their Board of Supervisors informing them of the failure to report.

County OAs and tribes who fail to report twice consecutively may have subsequent awards reduced by 10% until timely reporting is reestablished; UASIs may have a “hold” placed on any future reimbursements.

Suspension/
Termination
Cal OES may suspend or terminate grant funding, in whole or in part, or other measures may be imposed for any of the following reasons:

EXHIBIT F.1

Suspension/
Termination
(cont.)
• Failure to submit required reports.
• Failure to expend funds in a timely manner consistent with the • grant milestones, guidance, and assurances.
• Failure to comply with the requirements or statutory progress toward the goals or objectives of federal or state law. • Failure to make satisfactory progress toward the goals or objectives set forth in the Subrecipient application.
• Failure to follow Grant Subaward requirements or Special Conditions.
• Proposing or implementing substantial plan changes to the extent that, if originally submitted, the application would not have been selected for funding.
• False certification in the application or document.
• Failure to adequately manage, monitor, or direct the grant funding activities of their Subrecipients.

Before taking action, Cal OES will provide the Subrecipient reasonable notice of intent to impose corrective measures and will make every effort to informally resolve the problem.

Closeout Cal OES will close-out Subrecipient awards when it determines all applicable administrative actions and all required work of the federal award have been completed.

Subawards will be closed after:
• All funds have been requested and reimbursed, or
disencumbered;
• Receiving all applicable Subrecipient reports indicating all approved work has been completed, and all funds have
been distributed;
• Completing a review to confirm the accuracy of reported information;
• Reconciling actual costs to subawards, modifications, and payments; and
• Verifying the Subrecipient has submitted a final BSIR showing all grant funds have been expended.

Records
Retention
The records retention period is three years from the date of the Cal OES Grant Closeout letter, or until any pending litigation, claim, or audit started before the expiration of the three-year retention period has been resolved and final action is taken.

EXHIBIT F.1

Records
Retention (cont.)
For indirect cost rate proposals, cost allocation plans, or other rate computation records, the start of the record retention period is dependent on whether the proposal, plan, or other
computation is required to be submitted to the federal
government (or to the pass-through entity) for negotiation purposes. See 2 C.F.R. § 200.334(f).

In order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g).

The Cal OES Grant Closeout Letter will notify the Subrecipient of the start of the records retention period for all programmatic and financial grant-related records.

If the State Administrative Agency’s award remains open after the Subrecipient’s submission of the final BSIR, Cal OES will complete any additional BSIR reporting required under the award on behalf of the Subrecipient.

Closed grants may still be monitored and audited. Failure to maintain all grant records for the required retention period could result in a reduction of grant funds, and an invoice to return costs associated with the unsupported activities.

If documents are retained longer than the required retention period, FEMA, the DHS Office of Inspector General, Government Accountability Office, and pass-through entity have the right to access these records as well. See 2 C.F.R. §§ 200.334, 200.336.

EXHIBIT F.1

Attachment A ‒ FY 2022 HSGP Final Allocations | 2022
*SHSP allocations reflect National Priority Area project adjustments State Homeland Security Program (SHSP)
Operational Area Total Award Operational Area Total Award ALAMEDA 1,650,796 ORANGE 3,091,412
ALPINE 76,144 PLACER 465,163
AMADOR 113,439 PLUMAS 93,069
BUTTE 267,310 RIVERSIDE 2,398,206
CALAVERAS 117,971 SACRAMENTO 1,578,910
COLUSA 90,054 SAN BENITO 137,459
CONTRA COSTA 1,178,218 SAN BERNARDINO 2,161,778
DEL NORTE 100,963 SAN DIEGO 3,210,706
EL DORADO 256,681 SAN FRANCISCO 878,889
FRESNO 1,039,637 SAN JOAQUIN 823,129
GLENN 203,261 SAN LUIS OBISPO 342,776
HUMBOLDT 203,934 SAN MATEO 785,320
IMPERIAL 246,059 SANTA BARBARA 499,634
INYO 93,103 SANTA CLARA 1,882,403
KERN 942,855 SANTA CRUZ 329,270
KINGS 220,013 SHASTA 247,206
LAKE 126,761 SIERRA 78,080
LASSEN 94,530 SISKIYOU 116,808
LOS ANGELES 9,481,458 SOLANO 501,616
MADERA 225,137 SONOMA 671,457
MARIN 320,277 STANISLAUS 599,127
MARIPOSA 91,259 SUTTER 169,573
MENDOCINO 160,849 TEHAMA 137,052
MERCED 346,225 TRINITY 90,284
MODOC 83,289 TULARE 528,108
MONO 87,762 TUOLUMNE 127,742
MONTEREY 488,715 VENTURA 870,206
NAPA 0 YOLO 285,965
NEVADA 171,573 YUBA 148,878
*Total 41,728,499
EXHIBIT F.1

Fusion Centers
Region Total Award
SAN FRANCISCO BAY AREA 1,792,050
SACRAMENTO/CENTRAL VALLEY AREA 2,565,000
GREATER LOS ANGELES AREA 2,887,500
SAN DIEGO AREA 2,047,500
ORANGE AREA 835,000
*Total 10,127,050
Urban Areas Security Initiative (UASI)
*A minimum of 30% of UASI funding must be for Law Enforcement Terrorism Prevention Urban Area
Federal
Allocation to
State
Allocation to
UASI State Initiatives
ANAHEIM/SANTA ANA AREA 5,250,000 4,278,750 971,250
BAY AREA 37,049,000 30,194,935 6,854,065
LOS ANGELES/LONG BEACH AREA 67,182,000 54,753,330 12,428,670 RIVERSIDE AREA 3,900,000 3,178,500 721,500
SACRAMENTO AREA 3,800,000 3,097,000 703,000
SAN DIEGO AREA 16,696,000 13,607,240 3,088,760
Total 133,877,000 109,109,755 24,767,245
EXHIBIT F.1

Attachment B: FY 2022 HSGP Timeline | 2022
DHS/FEMA Announcement of 2022 HSGP May 13, 2022
Cal OES Application Due to DHS June 13, 2022
DHS Award to California September 2022
Subrecipient period of performance begins September 1, 2022 2022 HSGP California Supplement release September 2022
Subrecipient Workshops September 2022
Subrecipient Awards (45 days from DHS award) October 2022 Subrecipient Final Applications Due to Cal OES December 31, 2022 Subrecipient period of performance ends May 31, 2025
Final Cash Requests due to Cal OES Within twenty (20) calendar days after end of grant
Cal OES’s period of performance ends August 31, 2025
EXHIBIT F.1

Attachment C: FY 2022 HSGP Application Checklist | 2022 Subrecipient: FIPS#:

Program Representative:

Financial Management Forms Workbook:
☐ Grant Award Face Sheet
☐ Authorized Body of 5
☐ Project Ledger
☐ Planning Ledger
☐ Organization Ledger
☐ Equipment Ledger
☐ Training Ledger
☐ Exercise Ledger
☐ Consultant/Contractor Ledger
☐ Management & Administration Ledger
☐ Indirect Cost Ledger
☐ Authorized Agent Sheet
Attachments:
☐ Original Counter-Signed Award Letter
☐ Governing Body Resolution (Certified)
☐ Standard Assurances (Signed Originals)
☐ FFATA Certification
☐ Lobbying Certification
☐ Subrecipient Grant Management Assessment Form
☐ Indirect Cost Rate Negotiation Agreement
☐ Personnel Cap Waiver (If Applicable)
☐ Intelligence Analyst(s) Certificates (If Applicable)
UASI Only:
☐ UASI Footprint
☐ UAWG Roster
State Agencies and Tribes Only:
☐ Signature Authority Form (in lieu of Governing Body Resolution) For Cal OES Use Only
Reviewed by: Date:

Management Approval: Date:

EXHIBIT F.1

3. Taxpayer ID #:

2. Mailing Address (please let us know where you want your check delivered, including attention line if necessary):

No Yes
(attach State
Approval)
If Competitive,
indicate the # of
bids.

Non-Competitive
Bid Sole Source

8. TOTAL
I certify that (please use the checkbox):

3. 4.

5. AUTHORIZED CONTACT INFORMATION (If different from Section B):

PHONE #
E-MAIL:

Revised on December 2019
NOTE: This Form is intended for Internal SSD review purpose only.

AUTHORIZED PRINTED NAME AUTHORIZED TITLE
ASSIGNED INVOICE NO.:

2. All instructions for this form were followed and all the supporting documentation (per instructions) is included with this claim.

AUTHORIZED SIGNATURE DATE
$ -
SECTION D: SUB-RECIPIENT'S CERTIFICATION SECTION E: FOR SSD USE ONLY

1. I am the duly authorized officer of the claimant herein and this claim is in all respect true and correct. All expenditures were made in accordance with applicable laws, rules, regulations and grant conditions and assurances.

STAMP WITH RECEIVED DATE HERE:

7.CLAIM
AMOUNT
(indicate the
amount per each
line)
SECTION C: DETAIL PAYMENT REQUEST INFORMATION

1. SOLUTION AREA
(e.g. equipment, training,
planning, exercise, organization)

2. PROJECT #
(e.g. 011.22)

4. EHP required?
(Environmental & Historic
Preservation)

5. VENDOR'S INVOICE #
(Maximum of 5 invoices)

6. PURCHASE METHOD
(including Training)

4. Contact's e-mail:

4. Contact's phone:

1. Sub-recipient's Name: (reimbursement check will be made payable to a payee entered here)

4. Contact's Name:

Please submit Grant Payment Request Form along with legible supporting documents to: 1. Grant Name & Year:

[email protected]
In the event e-mail is not available, you can mail your Grant payment request to (please do not fax or send duplicates):

Department of Auditor-Controller
Shared Services Division / Attn: Grants Unit

LOS ANGELES COUNTY/DEPARTMENT OF AUDITOR-CONTROLLER

SHARED SERVICES DIVISION

GRANT PAYMENT REQUEST
SECTION A: SUBMITTING YOUR REQUEST
3470 Wilshire Blvd., Suite 812
Los Angeles, CA 90010
SECTION B: SUB-RECIPIENT'S INFORMATION

EXHIBIT G

Purpose of these instructions:

The following numerals provide the instructions to fill in the corresponding numeral in the form:

1. 2.

3. 4.

The following numerals provide the instructions to fill in the corresponding numeral in the form:

1. 2.

4. a)
Ensuring that all documents attached to your Grant payment requests are legible.

COUNTY OF LOS ANGELES

DEPARTMENT OF AUDITOR-CONTROLLER / SHARED SERVICES DIVISION

INSTRUCTIONS TO COMPLETE THE GRANT PAYMENT REQUEST
To assist sub-recipients in completing the Grant Payment Request. We appreciate your participation in this program, for questions or suggestions please use our e-mail below to contact us. Please do not send these instructions to us, they are to be used for your guidance only.

SECTION A: GENERAL INSTRUCTIONS FOR SUBMISSION OF GRANT PAYMENT REQUEST In numeral 1 of this section, please enter the name and year of the grant program that you are submitting for payment. In addition, please help us expedite the process of your Homeland Security claims by:

Completing the Grant payment request correctly and according to these instructions.

Submitting your Grant payment request using our e-mail --> [email protected] (please do not fax documents).

Sending your Grant payment request only once (we do not require original documents and duplicates will slow down our process).

Using the checkboxes to ensure all the required supporting documents and files accompany your Grant payment request. Supporting documents are flagged for your convenience with a checkbox within the corresponding areas.

Submitting Grant payment request timely. We do not guarantee the process of Grant payment requests that are submitted late or too close to the final due date. Reimbursable expenditures need to be charged within the performance period of the grant and submitted to us as soon as they are incurred.

SECTION B: SUB-RECIPIENT'S INFORMATION
Please enter the name of the agency requesting for payment. The name of the agency should be typed according to its signed agreement and as you need it to appear in the payee line of the reimbursement check.

Please enter the complete address (street number and name, city, zip code) and attention line where you will need to receive the reimbursement check. Please note that this is not necessary for L.A. County departments.

Please enter the tax ID of the governmental entity requesting payment. Please leave blank for L.A. County departments.

Please enter the information of the person that can assist us with detail claim questions.

SECTION C: DETAIL PAYMENT REQUEST INFORMATION:

In order to expedite your Grant payment request, in this area's grid, include a maximum of five (5) invoices or reimbursements charges (one charge or one invoice per line). The invoices or charges need to share the same solution area, project #.

Enter the solution area corresponding to the claim. This information is found in the latest budget of the grant. Examples of solution areas are:
equipment, training, planning or exercise.

Enter the project # corresponding to the claim. This information is found in the latest budget of the grant. An example of Item # is 17.020.

Check with an X under either yes or no according to the claim's Environmental & Historical Preservation (EHP) requirements from the State. EHP approval needs to be obtained from the State prior to the start of the project on certain equipment items (see AEL description) or training/exercise projects. Please attach the following:

State EHP Approval: if required by the state for your claim.

Revised on 11/20/2017

EXHIBIT G

5. a)
b)
c)
d)
e)
f)
g)

6. a)
b)
c)

7. 8.

SECTION D: SUB-RECIPIENT'S CERTIFICATION
The following numerals provide the instructions to fill in the corresponding numeral in the form:

1. 2.

3. 4 &

5. SECTION C: (Continued)
If the expenditures that you are claiming were purchased thru a vendor or contractor, please enter the invoice # in the grid area. Please note that you are responsible for following acceptable purchasing policies and for documenting your procurement process. Additionally please include the following documentation with your claim:

Copy of the invoice: Please attach an invoice that provides sufficient information to be used as a cross reference with the items described in your grant line item and AEL #. When the invoice includes items that are not being claimed or that belong to different claims or grants, please circle and designate on the invoice the items that you are requesting for reimbursement. Each item circled must have a project #, a funding source, and a total. Purchase orders and price quotes will not be accepted in the place of the invoice.

Copy of the purchase order
Print out of the corresponding AEL # (Authorized Equipment List number). The AEL listing can be found at:
https://www.rkb.us/fema_grants.cfm
Proof of payment of the invoice: The proof of payment for L.A. County Departments is the printout from e-CAPS showing that the check cleared the bank. The proof of payment for other than L.A. County Department is the corresponding copy of the bank's cleared check .

Calculations for use tax paid: When use tax is paid, clearly show the calculations of the use tax in the invoice included in your claim.

Proof of payment of the use tax: Please provide official documents which authenticate the remittance of the use tax to the state, the amount and the reference to the invoice being claimed.

Federal Debarment Listing: Please provide a screen print out of the queried Federal Debarment Listing at http://www.sam.gov/portal/public/SAM. (you will need a username and a password; if you don't please create an account) . The listing needs to be queried prior to the selection of the vendor.

If you are claiming services, supplies, training related costs, or any other type of items purchased thru a vendor or contractor or government agency, please indicate with an X the method that you used to acquire the items (do not leave blank or mark more than one). Please note that competitive bid, non-competitive bid or sole source are the only valid purchasing methods.

Competitive Bid: for projects that received more than one bid. Please indicate number of bids received (must be more than one).

Non-Competitive Bid: for single bid purchases of $250,000 or more (effective June 21, 2018) to a single vendor or a single project, please attach the approval from the State. The approval needs to be requested from the State prior to the start of the project.

Sole Source: for non-bid purchases of $250,000 or more effective (June 21, 2018) to a single vendor or a single project, please attach the approval from the State. The approval needs to be requested from the State prior to the start of the project.

Enter the amount of your claim after you verify that your budget is sufficient to cover your request. When the amount of the budget is not sufficient, please let your Program Coordinator know of the possible need for budget modification.

Enter the "Total Amount" by adding the subtotal claims included in each line.

Please read and check the box provided if you are an authorized signor.

Please read and check the box provided if you are an authorized signor.

Please sign the Grant payment request if you are an authorized signor of your agency.

When the authorized person is the same as the contact person in Section B you do not need to enter the authorized contact information. If the authorized person and the contact person in Section B are different, please enter all the fields in this area as requested.

Revised on 11/20/2017

EXHIBIT G

a)
For Training Claims:
a)
b)
c)
If you are including personnel cost with your training claim, please add the following:
d)
e)
f)
g)
h)
i)
ADDITIONAL ITEMS THAT YOU NEED TO ATTACH TO YOUR GRANT PAYMENT REQUEST:

For Equipment Claims:

Equipment Inventory Listing (Print out & Excel File): Please include both the printout of the listing and the corresponding excel file with your claim. The excel file is used to submit your claim with the state and the printout as backup document for audits. If there is no serial # for your equipment please assign a valid ID tag, or write "Consumable" (if it applies) or write N/A. please do NOT leave the corresponding space blank. *1Please refer to the Instructions to Equip Inty Tab for completion procedures of Equipment Inventory.

Additionally, please enter the appropriate CBRNE Mission (Chemical, Biological, Radiological, Nuclear, or Explosive) in the column titled "Equipment Description & Quantity". This only applies to vehicles with AEL # 12VE-00-MISS (Vehicle Specialized Mission:CBRNE).

You need to inform us of any changes on the items above *1. This applies to each piece of equipment added in the Inventory Listing, including when the items are disposed and/or no longer useful. We will update the master inventory listing (per grant requirement) according to the information you give us. Please make sure that you include all the attachments that are necessary to provide us with the requested information.

State Sole Source Approval: If you are claiming training related costs thru a Non-Competitive Bid or Sole Source training provider, regardless the purchased amount, please attach the State's approval (effective December 03, 2018). The approval needs to be requested from the State prior to the start of the project.

State-Sponsored Training Reporting Form (with the tracking request #): Please add this form along with the Training Request Form Training Officer (POC), which you completed at the website, to the claim's backup documentation. All the backup documentation submitted for the training claim needs to agree with the training period and the detail description on the Training Reporting Form and the line item of the Grant. Training request #'s must be obtained from the State prior to the start of the project.

Receipts and paid invoices: please include the complete copy of the receipts and paid invoices with your claim for itemized costs such as air plane tickets, hotel stays, instructor's fees, workshop cost, facilities fees, consulting services, etc. Additionally, you will need to include the documents requested in numeral 5 under Section C.

Personnel List (Print out & Excel File): Please include both the printout of the listing and the corresponding excel file with your claim. The excel file is used to submit your claim with the state and the printout as backup document for audits.

Documents that certify completion of the training: please attach supporting documents that show the class name, dates of training, # of hours of the training class, printed name and signature of individual taking the class and approval signature from supervisor or trainer (attach the information for backfilled positions also). Examples of documents that certify completion of training are:

Attendance sheets (signed by employee and instructor)
Sign in sheets (same as above) Signed training certificates Summary Listing of Charges: Please use the Training Summary Sheet form provided in this claim packet that clearly shows the breakdown of the training charges per employee and that match the total claimed. This form includes the following: employee name, assignment, job title, date, salary, hours claimed, regular rate, overtime rate, employee benefits rate, claim amount per employee, clear calculations of amount claimed per employee and total (equal to the amount claimed).

Please ensure that the Training Summary Sheet is verified/approved by an authorized signatory, with printed name and title, and dated.

Backup for the Benefits Rate: If you are adding benefits to your claim, please make sure that you include the official calculation for the rate used.

Timecards: Include a printout of the corresponding timecards. Manual timecards need to indicate the # of hours charged per day to the grant, supervisor's signature, employee name and signature. Automatic system generated timecards need to be approved and include the name of the employee and hours charged per day to the grant.

Explanation of timekeeping codes: When the supporting documentation (timesheet, payroll register, etc.) includes timekeeping codes please provide a printout with the explanation of the usage as detailed as possible.

Revised on 11/20/2017

EXHIBIT G

j)
k)
For Planning Claims:
a)
b)
c)
d)
a)
b)
c)
Deliverable (or final product): Please include with your claim the final product of the planning activity (deliverable) that was identified in the grant award.

Payroll register: The payroll register needs to clearly support and explain the amount claimed per employee. It also needs to show the salary, hourly rate, employee benefits and overtime rate.

Roster of backfilled positions: When you are claiming overtime for a backfilled position, please attach the backfilled roster to your claim.

The roster needs to include the name of the backfilling employees, a short description of duties performed, the corresponding employee whose duties were covered and the dates accordingly. Please make sure that the roster is signed and that you include documentation corresponding to the employee covered by the backfilling position.

Signed Certificate of Completion: The certificate of completion can be an e-mail confirming that the planning activity was completed.

Invoices: If your planning claim includes charges invoiced by vendors, please see requirements and documents you need to attach to your claim form under Section C (numeral 5 and numeral 6).

Supporting Documentation for Personnel Cost: When your planning claim includes personnel cost, please see d) to i) under Training Claim (supporting documents needed) and add to the documentation.

For Exercise Claims:

Proof of State Approval of After Action Report (AAR): In order for your AAR to be approved you have to submit it to the State using the ODP Portal (see link below), within 90 days after completion of the exercise. You need to notify the State when the AAR is uploaded so they can proceed with the approval process.
https://hseep.dhs.gov/DHS_SSO/
Invoices: If your exercise claim includes charges invoiced by vendors please see requirements and documents you need to attach to your claim form under Section C (numeral 5 and numeral 6).

Supporting Documentation for Personnel Cost: When your exercise claim includes personnel cost, please see d) to i) under Training Claim (supporting documents needed) and add to the documentation.

For Organization Claims: Please see above b) and c) under Exercise Claims Revised on 11/20/2017

EXHIBIT G

GRANT NAME:

SUB-RECIPIENT: __________________________________________ P. ___ of ___ DATE OF REPORT: ______________________________________
Grant Project AEL Description of Property Serial # or SAFECOM Source of Department Vendor Invoice % of FED Location Use & Condition Year Number No. Other ID # Consult
(Yes/No/NA)
Property
(SHSP or
EMPG Grant
Program)
(Title Holder) Name Number Date Cost Participation (N=New, D=Deployed,
O=Out of
Service, L=Lost,
Date Sale Price
N:Grants/Subrecipient Monitoring/Forms/Propery & Equipment Inventory Listing Revised 12/2019

GRANT PROPERTY AND EQUIPMENT INVENTORY LISTING
Acquisition Disposition

EXHIBIT G

OBJECTIVE: To provide an equipment inventory listing that links the State Homeland Security Workbook, to the Equipment Ledger and to the Equipment Listing to simplify the tracking and accountability; and to Field Date Element
(1)
(2)
(3)
(4) Grant Year
(5) Project #
(7) AEL No.
(8) Description
(9) Serial # or Other ID #
(10) Safecom consult
(11) Source of Property
(12) Title Holder
(13) Vendor Name
(14) Invoice Number
(15) Acquisition Date
(16) Acquisition Cost
(17) % of Fed Part
(18) Location
(19) Use & Condition
(20) Disposition data
(21) Sale Price
of the form.

Note {1}:
taken and the results reconciled with the equipment records (at least {2} Indicate: N = New, D = Deployed, O = Out of Service, L = Lost & S = Stolen Project Number (from Grant Workbook Project Sheets)
Equipment Inventory Listing
Procedures for Completion
eliminate duplication and confusion.

Procedure
Grant Name SHSP or EMPG
Sub-Recipient Name of your agency
Date of Report Date report completed {1}
Grant Year of funds used to purchase equipment
Fed participation in the cost of equipment
Authorized Equip Listing No (from Grant Workbook)
Description of the equipment
Serial # or Other identification # used
Fill out either by Yes, No, or N/A
Funding source, i.e, SHSP, EMPG, etc.

Name of agency (City/Department)
Name of the vendor
Invoice number
Date equipment acquired
Cost of the individual equipment item
once every two years).

Distribution
Copy maintained in sub-recipient file
Copy forwarded to Shared Services Division
Location of equipment
Use & condition {2}
Date of disposition
Sale price, If applicable, or N/A for not applicable
The Equipment Inventory Listing must be completed in its entirety to meet the objective This date should be the date the physical inventory of equipment was

EXHIBIT G

Grant Name
Jurisdiction Name:

Training Provider:

OHS Approved Course Title:

Non-SLGCP Course Title & OHS Tracking No.
(requires pre-approval thru OEM)
Date of Course:

Class/ Exercise Duration/Hours:

EMP NO. EMPLOYEE NAME ASSIGNMENT TITLE

TRAINING
REQUEST #

TRAINING

START DATE

TRAINING END
DATE

SALARY OT REG RATE OT RATE OT PAY
Are you
claiming
for
Employee
Benefits?
Employee
Benefits Rate CLAIM
(for Training only) HOURS TOTAL
1 $ - $ - $ -
2 3
4 5
6 7
8 9
10 GRAND TOTAL $ -
Approved by:

Authorized Signature
Print Name and Title Date
Training Summary
Sheet

EXHIBIT G

- -
GRAND TOTAL $
Approved by:

Authorized Signature
Print Name and Title Date
Final Product
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)

PLANNING ROSTER
Project Planning Activity Solution Area
Sub-Category Discipline Funding Source Total Cost Total Claimed Cash Request Number FMFW v1.09- 06/09

EXHIBIT G

- -
GRAND TOTAL $
Approved by:

Authorized Signature
Print Name and Title Date
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)

EXERCISE ROSTER
Project Exercise Title Funding Source Solution Area
Sub-Category Discipline Cash Request Number Total Cost Total Claimed Conducted By Date of Exercise Exercise Type Exercise Role Date AAR entered into HSEEP FMFW v1.09- 06/09

EXHIBIT G

8. Notes on Personnel Cost:

In general, costs associated with:
 Work performed under contract for a specific deliverable DOES NOT count against the personnel cap, however,
 Work performed under contract for an undefined period, such as for personnel costs supporting operational activities, including general planning, training or exercise activities DO count against the personnel cap; and
 Work performed by all non-contractor personnel, including for full- or part-time staff and operational overtime DO count against the personnel cap.

The following examples would not count towards the personnel cap:
 Vendor installation of a radio tower;
 Vendor training on new equipment purchased;
 Contractor hired to create an Emergency Operations Plan;  Contractor hired to provide deliveries of ICS 400; and  Contractor hired to assist with planning, training, evaluating, and reporting the effectiveness of a specific exercise.

The following examples would count towards the personnel cap:
 Contractor hired to be the State’s WMD training instructor with no specific deliverables under contract;
 Contractor hired to facilitate unidentified number of exercises throughout the performance period;
 Contractor hired to be the part-time auditor of Homeland Security Grants throughout the year; and  Contractor hired to be an intelligence analyst.

EXHIBIT G

Employee Name Project / Deliverable Funding
Source Discipline Solution Area Solution Area Sub Category Dates of Payroll
Period
Total Salary &
Benefits charged
for this Reporting
Period
Total Project
Hours
REIMB
Request #
Total Cost Charged
to Grant
- - N/A -
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Project
FMFW v1.15a - 2015

EXHIBIT G

FMFW v1.15a - 2015

EXHIBIT G

FMFW v1.15a - 2015

EXHIBIT G

Subrecipient Monitoring Instrument
Subrecipient Monitoring Instrument

PROJECT TITLE
Los Angeles County State Homeland Security Program
Monitoring Reports
A. FINANCIAL REPORTING REQUIREMENTS
Objective
To determine that the Subrecipient implemented corrective action to address findings noted in its Single Audit that is related to the Homeland Security Grant.

Verification Yes No Comment

1. Was a Single Audit completed for Grant Year 2014-15
and 2015-16?

2. If yes, did the Subrecipient forward a copy to the
Homeland Security Grant Administrator (HSGA) by
March 30th of the year following the audit?

3. Did the Single Audit(s) identify findings related to the Homeland Security Grant? If yes, please continue.

If no, please mark N/A and continue to Section B.

4. Did the Subrecipient develop a corrective actionplan that addresses the finding(s)?

5. Did the Subrecipient send a copy of a corrective action plan to the HSGA?

6. Did the Subrecipient implement the corrective action plan?
EXHIBIT H Page 1 of 11 SAMPLE COPY

B. TRAINING
Objective
To determine that the Training expenditures were appropriately documented and that the activities aligned with the project’ s goals and objectives. If the Training activities involved employees, determine if the Subrecipient appropriately documented the Training expenditures using employee timecards, sign-in sheets, and certificates of training. If the Training activities involved using consultants or contractors, determine if the Subrecipient followed the appropriate procurement procedures to hire the consultants or contractors. Use Worksheets 1 and 3 (See Attachment E – Subrecipient Monitoring Worksheets).

Verification Yes No Comments

1. Did the Subrecipient receive funding for Training
expenditures? If yes, then continue. If no, continue
to next section.

2. Did the Subrecipient receive prior approval from
the State either via email or other documentation
and did it include the training course name and
number?

3. If the Training expenditures relate to the use of
employees, did the Subrecipient appropriately
document the Training expenditures using employee
timecards, sign-in sheets and certificates of training?

4. If Training expenditures relate to the use of
consultants/contractors, did the Subrecipient follow
proper procurement procedures to hire the consultants
or contractors?

5. Did the Subrecipient accurately report the Training
expenditures in their accounting records?

6. For Projects with overtime expenditures for Training:
a. Did the Subrecipient maintain employee timecards
to appropriately document the overtime expenditures?
b. Did the Subrecipient accurately report the overtime
expenditures in their accounting records?
EXHIBIT H Page 2 of 11 SAMPLE COPY

B. TRAINING (Continued)
Verification Yes No Comments

7. For Projects with backfill expenditures for Training:
a. Does the Subrecipient have documentation that
the backfill expenditures were approved by the
State?
b. Did the Subrecipient appropriately document the
backfill expenditures using employee timecards and
sign-in sheets?
c. Did the Subrecipient accurately report the
expenditures in their accounting records?

8. Were employee timecards utilized in Training activities signed and dated by the employee and direct supervisor?

9. Were the Training expenditures consistent with the State approved grant award and/or post award modification(s)?

10. Ensure the Subrecipient corrected areas of noncompliance that remain outstanding and were reported as findings in prior Grant Year monitoring reports submitted by HSGA:
a. If the Project prior Grant Year monitoring report
finding was resolved, explain resolution, and indicate
such in the current report as resolved.
b. If the Project prior Grant Year report finding is not resolved, indicate why it has not been resolved and
what the Subrecipient is doing to resolve the prior
year finding and indicate such in the current report.

EXHIBIT H Page 3 of 11 SAMPLE COPY

C. PLANNING
Objective
To determine that the Planning expenditures were appropriately documented and that the activities aligned with the project’s goals and objectives. If the Planning activities involved employees, determine if the Subrecipient appropriately documented the Planning expenditures using employee timecards and sign-in sheets. If the Planning activities involved using consultants or contractors, determine if the Subrecipient followed the appropriate procurement policies. Use Worksheets 1 and 3 (See Attachment E – Subrecipient Monitoring Worksheets).

Verification Yes No Comments

1. Did the Subrecipient receive funding for Planning
expenditures? If yes, continue. If no, continue to
next section.

2. Did the Subrecipient appropriately document the
Planning expenditures providing copies of the
support documentation that indicated the efforts
made to produce the final product and a copy of
the product produced?

3. If Planning expenditures relate to the use of employees, did the Subrecipient use employee timecards and
sign-in sheets?

4. If Planning expenditures relate to the use of
consultants/contractors, did the Subrecipient
follow proper procurement procedures to hire
the consultants or contractors?

5. Did the Subrecipient accurately report the
Planning expenditures in their accounting records?

6. For Projects with overtime expenditures for
Planning:
a. Did the Subrecipient maintain employee
timecards to appropriately document the
overtime expenditures?
EXHIBIT H Page 4 of 11 SAMPLE COPY

C. PLANNING (Continued)
Verification Yes No Comments
b. Did the Subrecipient accurately report the
overtime expenditures in their accounting
records?

7. For Projects with backfill expenditures for Planning:
a. Does the Subrecipient have documentation
that the backfill expenditures were approved
by the State?
b. Did the Subrecipient appropriately document
the backfill expenditures using employee
timecards and sign-in sheets?
c. Did the Subrecipient accurately report the
backfill expenditures in their accounting
records?

8. Were the employee timecards utilized in Planning
activities signed and dated by the employee and
direct supervisor?

9. Were the Planning expenditures consistent with the
State approved grant award and/or post award
modification(s)?

10. Ensure the Subrecipient corrected area of
noncompliance that remain outstanding and were
reported as findings in prior Grant Year monitoring
reports submitted to HSGA:
a. If the project prior Grant Year monitoring report
finding was resolved, explain resolution, and
indicate such in the current report as resolved.
b. If the project prior Grant Year monitoring report
finding is not resolved, indicate why it has not been
resolved and what the Subrecipient is doing to
resolve the prior year finding and indicate such in
the current report.

EXHIBIT H Page 5 of 11 SAMPLE COPY

D. EQUIPMENT
Objective
To determine that the project Equipment expenditures are supported by invoices and that a listing of the Equipment/property is maintained by the Subrecipient. To determine that the purchases are aligned with the project’s goals and objectives. Use Worksheets 2 and 3 (See Attachment E – Subrecipient Monitoring Worksheets).

Verification Yes No Comments

1. Did the Subrecipient receive funding for Equipment
expenditures? If yes, continue. If no, continue to
next section.

2. Did the Subrecipient maintain invoices to support
the Equipment expenditures?

3. Did the Subrecipient follow proper procurement
procedures to purchase the Equipment and were
the items listed in the federal “Authorized
Equipment List” and/or “Standardized Equipment List”?

4. Did the Subrecipient accurately report the
Equipment expenditures in their accounting records?

5. Did the Subrecipient maintain an Equipment
inventory that listed the following:
a) Description of Equipment,
b) Serial number or other identification number,
c) AEL number,
d) Fund/source/grant year,
e) Title holder,
f) 100 percent of federal participation. If no, then identify percentage, g) Acquisition date,
h) Acquisition cost,
i) Quantity,
j) Equipment location,
k) Use and condition of Equipment,
l) Disposal date and sale price of the Equipment

6. Did the Subrecipient conduct an inventory of
Equipment purchased with Cal/OES grant funds at
least once every two years?
EXHIBIT H Page 6 of 11 SAMPLE COPY

D. EQUIPMENT (Continued)
Verification Yes No Comments

7. Was the Equipment physically inspected to ensure:
a. The Equipment existed and agreed to inventory
listing?
b. The Equipment worked and adequately trained
staff are available to operate the Equipment?

8. Did the Subrecipient maintain Equipment in a secure
location?

9. For property other than Equipment, i.e. supplies, did the Subrecipient have controls and accountability to
safeguard and ensure that the items are used and
solely for authorized purposes?

10. For Equipment disposal, if any:
a. Was the disposition consistent with federal
regulations?
b. What is the status of the proceeds received from the disposal?

11. Did the Subrecipient have a policy for damaged,
destroyed, lost or stolen Equipment including but
not limited to informing the Cal/OES, steps to replace the Equipment and an investigative process?

12. Were the Equipment expenditures consistent with
State approval grant award and/or post award
modification(s)?

13. Ensure the Subrecipient corrected areas of noncompliance that remain outstanding and were reported as findings in prior Grant Year monitoring reports maintained by HSGA:
a. If the project prior Grant Year monitoring report finding was resolved, explain resolution, and indicate such in
the current report as resolved.
b. If the project prior Grant Year monitoring report finding is not resolved, indicate why it has not been resolved
and what the Subrecipient is doing to resolve the prior year finding and indicate such in the current report.

EXHIBIT H Page 7 of 11 SAMPLE COPY

E. EXERCISE
Objective
To determine that the Exercise expenditures were appropriately documented and the activities align with project’s goals and objectives. If the Exercise activities involved employees, determine if the Subrecipient appropriately documented the Exercise expenditures using timecards and sign-in sheets. If the Exercise activities involved using consultants or consultants, determine if the Subrecipient followed the appropriate procurement procedure. Use Worksheets 1 and 3 (See Attachment E – Subrecipient Monitoring Worksheets).

Verification Yes No Comments

1. Did the Subrecipient receive funding for Exercise
expenditures? If yes, continue. If no, continue to
next section.

2. Did the Subrecipient receive prior approval from the State either via email or other documentation and did it include the Exercise course name and number?

3. If the Exercise expenditures relate to the use of employees, did the Subrecipient appropriately document the Exercise expenditures using employee timecards, sign-in sheets, and certificates for Exercise?

4. If the Exercise expenditures relate to the use of consultants/ contractors, did the Subrecipient follow proper procurement procedures to hire the consultants or contractors?

5. Did the Subrecipient accurately report the Exercise
expenditures in their accounting records?

6. For Projects with overtime expenditures for Exercise:
a. Did the Subrecipient maintain employee timecards
to appropriately document the overtime expenditures?
b. Did the Subrecipient accurately report the overtime
expenditures in their accounting records?
c. Did the Subrecipient accurately report the backfill
expenditures in their accounting records?

7. For Projects with backfill expenditures for Exercise:
a. Does the Subrecipient have documentation that
the backfill expenditures were approved by the State?
b. Did the Subrecipient appropriately document the
backfill expenditures using employee timecards and
sign-in sheets?
EXHIBIT H Page 8 of 11 SAMPLE COPY

E. EXERCISE (Continued)
Verification Yes No Comments

8. Were the employee timecards utilized in the Exercise activities signed and dated by the employee and direct supervisor?

9. Were the Exercise expenditures consistent with the State approved grant award and/or post award modifications?

10. Ensure the Subrecipient corrected areas of noncompliance that remain outstanding and were reported as findings in prior Grant Year monitoring reports:
a. If the Project prior Grant Year monitoring report finding was resolved, explain resolution and indicate such in
the current report as resolved.
b. If the Project prior Grant Year monitoring report finding is not resolved, indicate why it has not been resolved and what the Subrecipient is doing to resolve the prior year finding and indicate such in the current report.

EXHIBIT H Page 9 of 11 SAMPLE COPY

F. ORGANIZATION
Objective
To determine that the Organization expenditures were appropriately documented and that the activities align with the project’s goals and objectives. If the Organization activities involved employees, determine if the Subrecipient appropriately documented the Organization expenditures using employee timecards and sign-in sheets. If the Organization activities involved using consultants or contractors, determine if the Subrecipient followed the appropriate procurement policies. Use Worksheets 1 and 3 (See Attachment E – Subrecipient Monitoring Worksheets).

Verification Yes No Comments

1. Did the Subrecipient receive funding for Organization expenditures? If so, continue. If no, continue to next section.

2. If the Organization expenditures relate to the use of employees, did the Subrecipient document the expenditures using employee timecards, sign-in sheets, or with other support documentation that substantiated the expense?

3. If the Organization expenditures relate to the use of consultants or contractors, did the Subrecipient follow proper procurement procedures to hire the consultants
or contractors?

4. Did the Subrecipient accurately report the Organization expenditures in their accounting records?

5. For Projects with overtime expenditures for Organization:

a. Did the Subrecipient maintain employee timecards to
appropriately document the overtime expenditures?
b. Did the Subrecipient accurately report the overtime
expenditures in their accounting records.?
EXHIBIT H Page 10 of 11 SAMPLE COPY

F. ORGANIZATION (Continued)
Verification Yes No Comments

6. For Projects with backfill expenditures for Organization:
b. Does the Subrecipient have documentation that the
backfill expenditures were approved by the State?
c. Did the Subrecipient appropriately document the
backfill expenditures using employee timecards and
other payroll documentation?

7. Were employee timecards utilized in Organization activities signed and dated by the employee and direct supervisor?

8. Were the Organization expenditures consistent with the State approved grant award and/or post award modification(s)?

9. Ensure that the Subrecipient corrected areas of noncompliance that remain outstanding and were reported as findings in prior Grant Year monitoring reports maintained by HSGA:
a. If the Project prior Grant Year monitoring report finding was resolved, explain resolution and indicate such in the current report as resolved.
b. If the Project prior Grant Year monitoring report finding is not resolved, indicate why it has not been resolved and what the Subrecipient is doing to resolve the prior year finding and indicate such in the current report.

EXHIBIT H Page 11 of 11 SAMPLE COPY

RESOLUTION CC 2023-28

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF COVINA,

CALIFORNIA, INCREASING THE POLICE DEPARTMENT FISCAL
YEAR 2022-23 BUDGET BY $45,577 AND APPROPRIATE THE SAME

DOLLAR AMOUNT TO PURCHASE RADIOS RESULTING FROM A
GRANT AWARD BY THE 2022 CALIFORNIA STATE HOMELAND

SECURITY GRANT PROGRAM (SHSP)
WHEREAS, the City of Covina (“City”) is a municipal corporation duly organized and existing pursuant to the Constitution and laws of the State of California; and WHEREAS, the City of Covina was awarded the State Homeland Security grant for 2022 in the amount of $45,577 for radios; and
WHEREAS, accepting this award will increase the Police Department’s appropriation by $45,577 and revenue account by the same amount; and
WHEREAS, appropriations may be made by the City Manager, amendments (increases/decreases) to the Budget shall be by approval and Resolution of the City Council;

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

SECTION 1. The Fiscal Year 2022-23 Budget is hereby amended as follows:

Revenue Account 22781130-42035-SHP22 $ 45,577.00
Appropriations Account 22781130-55700-SHP22 $ 45,577.00 SECTION 2. The City Clerk shall certify to the passage and adoption of this resolution and shall enter the same in the Book of Original Resolutions.

APPROVED and PASSED this 18
th day of April, 2023.

City of Covina, California
BY:

WALTER ALLEN, III, Mayor
ATTEST:
______________________________________
FABIAN VELEZ, Deputy City Clerk
Attachment B

Resolution CC 2022-28 Page 2 of 2

CERTIFICATION
I, Fabian Velez, Deputy City Clerk of the City of Covina, do hereby certify that Resolution CC 2023-28 was duly adopted by the City Council of the City of Covina at a regular meeting held on the 18
th day of April, 2023, by the following vote:

AYES: COUNCIL MEMBERS:

NOES: COUNCIL MEMBERS:

ABSTAIN: COUNCIL MEMBERS:

ABSENT: COUNCIL MEMBERS:

Dated:
_______________________________________
FABIAN VELEZ, Deputy City Clerk

CC Regular Meeting

AGENDA ITEM REPORT
ITEM #10.j.

Meeting: April 18, 2023
Title: City-Wide Sidewalk Repair Project – Award of Contract to FS Contractors, Inc. for an Amount Not-To-Exceed $267,770
Presented by: Andy Bullington, Director of Public Works Rafael M. Fajardo, City Engineer
Recommendation: 1. Approve plans and specifications for the City-Wide Sidewalk Repair Project;

2. Award a contract for the City-Wide Sidewalk Repair Project to FS Contractors, Inc. as the lowest responsive and responsible bidder in an amount not-to-exceed $267,770 and authorize the City Manager to execute the contract;

3. Authorize a contingency amount of $10,000 for any unforeseen construction expenses.

4. Adopt Resolution CC 2023-27 appropriating $27,915 from Measure M FY2023 operating budget to the City-Wide Sidewalk Repair Project.

EXECUTIVE SUMMARY/BACKGROUND:

As part of the City’s 2022-23 Mid-Year Budget Update to the operational budget, the City Council approved the City-Wide Sidewalk Repair Project, which consists of the removal and replacement of damaged concrete such as uplifted sidewalks, cracked driveway aprons, and non-compliant ADA ramps. This project supports the City’s continuous efforts to replace broken or deteriorated sidewalks and maintain ADA compliance by replacing several ADA curb ramps, the removal and replacement of 14,525 square feet of concrete sidewalk, 381 linear feet of 6” & 8” concrete curb and gutter, 2,139 square feet of concrete driveway aprons and miscellaneous repairs.

Following a public bidding process, it has been determined that the lowest responsive and responsible bidder for the project is FS Contractors, Inc. As such, it is recommended that a contract (Attachment C) be awarded for the City-Wide Sidewalk Repair Project to FS Contractors, Inc. as the lowest responsive and responsible bidder in an amount not-to-exceed $267,770.

DISCUSSION:

The Department of Public Works prepared plans and specifications for the Miscellaneous Concrete Project and, in accordance with Covina Municipal Code Section 2.20.100 (Notice Inviting Bids), bids were requested and received. The project was advertised in the San Gabriel Valley Examiner on Thursday, March 30th & April 6th, 2023.

Sealed bids were accepted until 10:00 a.m. on April 11th, 2023 by the City Clerk’s Office. The City Clerk publicly opened and read aloud two (2) sealed bids submitted in accordance with bid specifications and the results of the bid opening were as follows:

Rank Contractor Location Base Bid Amount
1 FS Contractors, Inc. Sylmar, CA $267,770
2 Gentry Brothers, Inc. Irwindale, CA $376,671
Staff reviewed all bid documents for completeness and concluded that FS Contractors, Inc. is the lowest bidder to perform the construction of this project. FS Contractors, Inc. has satisfactorily completed similar projects for other agencies, including the City of Covina.

FISCAL IMPACT:

A funding amount of $250,000.00 has been allocated in the City’s midyear 2022-23 Budget Update from the Gas Tax fund balance to Project Account 23002200-55250-P2312. Resolution CC 2023-27 will appropriate an additional amount of $27,915 from Measure M, Account 24202200-55250-P2312 (Attachment D). The total funding for the City-Wide Sidewalk Repair Project will be $277,915.

The following table represents the project summary:

Description Amount
Contract Amount $267,770
Contingency Allowance $10,000
Plan & Specification Reproduction $143.27
Total Fiscal Impact $277,913.27
CEQA (CALIFORNIA ENVIRONMENTAL QUALITY ACT):

This project has been determined to be categorically exempt under CEQA in accordance with Title 14, Chapter 3, Class 1, Sections 15301 and 15302. This exemption includes the minor alteration of existing public facilities involving negligible or no expansion of use beyond that existing at the time of the lead agency's determination.

The project involves negligible or no expansion of an existing use.

Respectfully submitted,

Unit Price Total Unit Price Total
1 Clearing and Grubbing per plans and specifications LS 1 $ 5,000.00 $ 5,000.00 $ 50,713.00 $ 50,713.00 2 Disposal of Waste Materials LS 1 $ 8,000.00 $ 8,000.00 $ 5,000.00 $ 5,000.00 3 Remove, dispose, and Construct 4-inch thick PCC
sidewalk per SPPWC Std. Plan 113-2. SF 14,525 $ 12.00 $ 174,300.00 $ 16.00 $ 232,400.00 4 Remove and Construct PCC driveway approach per
SPPWC Std. Plan 110-2, Type B or C per plan,
including all incidentals complete in place per plans,
details, and specifications.

SF 2,139 $ 15.00 $ 32,085.00 $ 17.00 $ 36,363.00
5 Remove and Construct PPC Curb Ramp per SPPWC
Std. Plan 111-5. EA 2 $ 8,000.00 $ 16,000.00 $ 8,000.00 $ 16,000.00 6 Remove, dispose, and Construct 8-inch PCC curb &
24" gutter per SPPWC Std. Plan 120-2. A2-8(200)
Including all incidentals complete in place, per plans, details, and specifications.

LF 381 $ 85.00 $ 32,385.00 $ 95.00 $ 36,195.00
$ 267,770.00 $ 376,671.00
City of Covina
City Wide Sidewalk Repair Project
Bid Analysis
Bid Opening: April 11, 2023 at 10:00am
Base Bid
Item Description Unit Qty.
#1 - FS Contractors, Inc. #2 - Gentry Brothers, Inc.

Total Base Price

ATTACHMENT A

CHECKLIST FOR BIDDERS
The following information is required of all Bidders at the time of Bid submission:
/
/
~
/
Completed and Signed Bid Cover Form
Completed and Signed Bid Sheets
Completed, Signed and Notarized Questionnaire
Completed References Form
Resume of General Construction SuperintendenUOn-Site Construction Manager
Completed Subcontractor Designation Form
Completed and Signed Industrial Safety Record Form
Completed, Signed and Notarized Bid Bond or Other Security Form Signed and Notarized Noncollusion Declaration Form
Completed and Signed Addenda Acknowledgement Form
Evidence satisfactory to the City indicating the capacity of the person(s) signing the Bid to bind the Bidder
Failure of the Bidder to provide all required information in a complete and accurate manner may cause the Bid to be considered non-responsive.
1

ATTACHMENT B

CONTRACT BID FORMS

CITY WIDE SIDEWALK REPAIR PROJECT
PROJECT No. P2312
TO THE HONORABLE MAYOR AND CITY COUNCIL OF THE CITY OF COVINA:

The undersigned, as Bidder, declares that: (1) this Bid is made without collusion with any other person and that the only persons or parties interested as principals are those named herein; (2) the undersigned has carefully examined the Contract Documents (including all Addenda) and the Project site; and (3) the undersigned has investigated and is satisfied as to the conditions to be encountered, the character, quality and quantities of Work to be performed, and the materials to be furnished. Furthermore, the undersigned agrees that submission of this Bid shall be conclusive evidence that such examination and investigation have been made and agrees, in the event the Contract be awarded to it, to execute the Contract with the City of Covina to perform the Project in accordance with the Contract Documents in the time and manner therein prescribed, and to furnish or provide all materials, labor, tools, equipment, apparatus and other means necessary so to do, except as may otherwise be furnished or provided under the terms of the Contract Documents, for the following stated unit prices or lump-sum price as submitted on the Bid herein.

The undersigned submits as part of this Bid a completed copy of its Industrial Safety Record. This Safety Record includes all construction Work undertaken in California by the undersigned and any partnership, joint venture or corporation that any principal of the undersigned participated in as a principal or owner for the last five (5) calendar years and the current calendar year before the date of Bid submittal. Separate information is being submitted for each such partnership, joint venture, or corporate or individual Bidder. The undersigned may attach any additional information or explanation of data that it would like to be taken into consideration in evaluating the Safety Record. An explanation of the circumstances surrounding any and all fatalities is attached.

Accompanying this Bid is cash, a cashier's check, a certified check or a Bid Bond in an amount equal to at least ten percent (1 0%) of the total aggregate Bid price based on the quantities shown and the unit prices quoted. The undersigned further agrees that, should it be awarded the Contract and thereafter fail or refuse to execute the Contract and provide the required evidence of insurance and Bonds within fifteen ( 15) Days after delivery of the Contract to the undersigned, then the cash, check or Bid Bond shall be forfeited to the City to the extent permitted by law.

The undersigned certifies to have a minimum of three (3) consecutive years of current experience in the type of Work related to the Project and that this experience is in actual operation of the firm with permanent employees performing a part of the Work as distinct from a firm operating entirely by subcontracting all phases of the Work. The undersigned also certifies to be properly licensed by the State as a contractor to perform this type of Work. The undersigned possesses California Contractor's License:

A-C8-C27
Number 1005940 , Class __ , which expires on _7:....:./.=..3.;.:1/-=2..;;.3 ______ _ Bidder's Name: FS Contractors Inc.

Signature: J· ~ {;,_;....,
12923-0001\2316874v1.doc
Date: 4/11/23
B-1

CITY OF COVINA

BID SCHEDULE

SCHEDULE OF PRICES FOR

CITY WIDE SIDEWALK REPAIR PROJECT
PROJECT No. P2312
Bidder's Name: __ F_S_C_o_n_tr_ac_t_o_rs....;_,_ln_c_. ------------------ To the Honorable Mayor and Members of the City Council:

In compliance with the Notice Inviting Bids, the undersigned hereby agrees to execute the Contract to furnish all labor, materials, equipment, and supplies for the Project in accordance with the Contract Documents to the satisfaction and under the direction of the City Engineer, at the following prices:

BASE BID SCHEDULE
ITEM NO. DESCRIPTION UNIT ESTIMATED UNIT TOTAL

QUANTITY PRICES AMOUNT

1. Clearing and Grubbing LS 1
per plans and specifications. ~ooo 5ooo ,

2. Disposal of Waste Materials LS 1 &.ooo 000

3. Remove, dispose, and Construct 4-lnchThick SF PCC Sidewalk per SPPWC Std. Plan 113-2. 14,525 12. 11~300 Remove and Construct PCC Driveway
approach per SPPWC Std. Plan 110-2, Type

4. B or C per plan, including all incidentals SF 2,139 IS 32.,ogs complete in place per plans, details, and specifications.

5. Remove and Construct PCC curb ramp per EA 2 g ooo /(;,,000 SPPWC Std. Plan 111-5. I Remove, dispose and Construct 8-lnch PCC
curb & 24" gutter, per SPPWC Std. Plan

6. 120-2. A2-8(200) Including all incidentals LF 381 <g5 32/38~ complete in place, per plans, details, and specifications.

TOTAL BASE BID SCHEDULE AMOUNT U7770 $·------~~~-------- TOTAL BID PRICE IN woRDs: JW o hoJ...Jre-1 s 1 ~ s~v<v~. /housw.d Sf.J/(-. h~ ;;:;tJ ~~~.k. 4/cD In accordance with Public Contract Code Section 20103.8 the lowest bid shall be ·• Q determined on the basis of the base bid only, but the Owner may choose to award the contract on the basis of the base bid alone or the base bid and any alternate or combination B-2
12923-0001\2316874v1 .doc

of alternates. Since the time for the alternate bid items has already been factored into the Contract Time, no additional Contract Time will be awarded for any of the alternate bid items.

Because the Owner may elect to include one or more of the alternate bid items, or to otherwise remove certain bid items from the Project scope of work, each Bidder must ensure that each bid item contains a proportionate share of profit, overhead and other costs or expenses which will be incurred by the Bidder. Bidders shall not unevenly weight or allocate their overhead and profit to one or more particular bid items.

By: 14838 Bledsoe St.

Business Street Address
Jose Angel Fierros Sylmar. CA 91342
Type or Print Name City, State and Zip Code
President (818) 838-6040
Title Telephone Number
4/11/23
Date
Bidder's/Contractor's State of Incorporation: __ c_a_lffi_o_rn_ia ___________ _ Partners or Joint Ventures:----------------------
Bidder's License Number(s): _1_0_0_5_94_0 ______________ _ Department Industrial Relations
Registered No. -~1-=-0~00~0::.:::3;.::;3...:,;43::.:8=:....... __________ _ Note: Items may be adjusted or deleted. Therefore, regardless of total actual volume (percentage) compared to estimated quantities, the unit prices provided above by the Bidder shall be applied to the final quantity when payment is calculated for these items. No adjustment in the unit prices will be allowed. The City reserves the right to not use any of the estimated quantities, and if this right is exercised, the Contractor will not be entitled to any additional compensation.

Cost of all export of material shall be included in the above unit costs; no additional compensation will be granted for such expenses.

B-3
12923-0001\2316874v1.doc

QUESTIONNAIRE FORM
Fill out all of the following information. Attach additional sheets if necessary. (1) Bidder's Name: FS Contractors Inc. --~~~==~~~---------------------------------- (2) If the Bidder's name is a fictitious name, who or what is the full name of the registered owner? If the Bidder's name is not a fictitious name, write "N/A" in the response to this question. If you are doing business under a fictitious name, provide a copy of the filed valid Fictitious Business Name Statement.

N/A
(3) Business Address: 14838 Bledsoe St. Sylmar, CA 91342 (4) Telephone: (818) 838-6040 Facsimile: (818) 838-6171 (5) Type of firm - Individual, Partnership, LLC or Corporation: __ C=or:...o:p;.:;:o~ra::.:t~io~n'------- (6) Corporation organized under the laws of the State of: _..;:;C..;:;a:.;.;;li~;.;:;o..:..:rn~ia;:;;;..._ ______ __ (7) California State Contractor's License Number and Class: _1u.O'-liO:.loi5~94;;;LO ______ _ (8)
Original Date Issued: _....;.4/;....;;3...;;.0/~1...;;.5 ______ _ DIR
1000033438
Contractor
Expiration Date: __ .LJ7/~3u.11'""2 ..... 3.__ __ _
Registration Number:
(9) List the name and title of the person(s) who inspected the Project site for your firm:

Jose Angel Fierros
(10) Number of years' experience the company has as a contractor in construction work: 23 (11) List the names, titles, addresses and telephone numbers of all individuals, firm members, partners, joint ventures, and company or corporate officers having a principal interest in this Bid:

Jose Angel Fierros, President 13368 Aldergrove St. Sylmar, CA 91342 (818) 974-0895 Salomon Fierros. Vice-President 12862 Maclay Ave. Sylmar. CA 91342 (818) 335-0482 Jose E Fierros, Coroorate Secretary 34545 Junjoer Valley Rd. Acton. CA 93510 (818) 335-0775 (12) List all current and prior D.B.A.'s, aliases, and fictitious business names for any principal having interest in this Bid:

N/A
B-4
12923-0001\2316874v1 .doc

(13) List the dates of any voluntary or involuntary bankruptcy judgments against any principal having an interest in this Bid:

N/A
(14) For all arbitrations, lawsuits, settlements and the like (in or out of court) that the company or any principal having an interest in this Bid has been involved with in the past five (5) years:
a. List the names, addresses and telephone numbers of contact persons for the parties:
b. Briefly summarize the parties' claims and defenses:

N/A
c. State the tribunal (e.g., Superior Court, American Arbitration Association, etc.), the matter number, and the outcome:

N/A
(15) Has the company or any principal having an interest in this Bid ever had a contract terminated by the owner or agency? If yes, explain.
(16) Has the company or any principal having an interest in this Bid ever failed to complete a project? If yes, explain.

No
B-5
12923-0001\2316874v1.doc

(17) Has the company or any principal having an interest in this Bid ever been terminated for cause, even if it was converted to a "termination of convenience"? If yes, explain. (18) For projects that the company or any principal having an interest in this Bid has been involved with in the last five (5) years, did you have any claims or actions:
a. By you against the owner? Circle one:
b. By the owner against you? Circle one:

Yes I No J
Yes ( No )
c.~ outside agency or individual for labor compliance? Circle one:
~
d. By Subcontractors? Circle one: Yes I No J
Yes
e. Are any of these claims or actions unresolved or outstanding? Circle one: Yes ( No )
If your answer is "yes" to any part or parts of this question, explain.

N/A
( 19) List the last three (3) projects you have worked on or are currently working on for the City of Covina:

Downtown Parking Lot No 4 Renovation
Oowntown Trash Enclosure Phase Ill
Downtown Trash Enclosure
Upon request of the City, the Bidder shall furnish evidence showing a notarized financial statement, financial data, construction experience, or other additional information.

Failure to provide truthful answers to the questions above or in the following References Form may result in the Bid being deemed non-responsive.

The Bidder certifies under penalty of perjury under the laws of the State of California that the information provided above is true and correct.
[SIGNATURE PAGE FOLLOWS]
B-6
12923-0001\2316874v1 .doc

Notary Public Company
Subscribed and sworn to me ------ Signature: J ¥ r.~ Title: presjdent Signature: Date: 4/11/23
This ____ day of _____ , 20_ Signature: ___________ _
Title: Title: _____________ _
Signature:

Date:
(SEAL)
B-7
12923-0001\2316874v1.doc

CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT CML CODE§ 1189
me
A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document.

State of California
County of Los Angeles
On April 11, 2023 before me, ptartba Isabel Lopez Riuhi, Notary Public Date Here Insert Name and Title of the Officer
personally appeared Jose Angel Fierros
Nam;{i(of Signefil?'
who proved to me on the basis of satisfactory evidence to be the perso whose nam.e(sr" islar"lf subscribed to the within instrum~nt nd acknowledged o me that he/s t!)ey executed the same In his/befitbelff authorized capacity , and that by · t~gnature on the instrument the perso~ or tfie entity upon behalf of whic the perso acted, executed the instrument. ~············f ' > MARTHA ISABEL LOPEZ RIUBI
: ~ , Notary Public • California : I = Los Angeles County $ Commission 112356361 - • ,.,. My Comm. Expires May 21 , 2025 Place Notary Seal Above
I certify under PENALTY OF PERJURY under the laws
of the State of California that the foregoing paragraph is true and correct.

WITNESS my hand and official seal.
-----------------------------oPTIONAL--------------------------~ Though this section is optional, completing this information can deter alteration of the docum fraudulent reattachment of this form to an unintended document.

Description of Attached Document
Title or Type of Document: ------------
Number of Pages: Signer(s) Other Than Named .. "'"''""...- ------------ Capacity(ies) Claimed by Signer(s)
Signer's Name:----------.....,...~
0 Corporate Officer - Title(s): ----::,.....::.~--
0 Partner - 0 Umited 0 Gene
0 Individual 0 Atto Fact
O Trustee
0 Other: -':7""'-~----------­ Signer
Signer's Name:------------
0 Corporate Officer - Title(s}: -------
0 Partner - 0 Umited 0 General
0 Individual 0 Attorney in Fact
0 Trustee 0 Guardian or Conservator
0 Other:-------------
Signer Is Representing: ---------
aau & &WN Ill 2 SNst U
©2014 National Notary Association· www.NationaiNotary.org •1-800-US NOTARY -- (1-800-876-6827) - Item #5907

REFERENCES FORM
For all public agency projects in excess of $15,000 that you are currently working on or have worked on in the past two (2) years, provide the following information:

Project 1 Name/ Number Sidewalk Improvement & Citywide Sidewalk Project Description __ C;;..o;;..n.;.;c;.;,.re;;..t;.;;.e...;.lm~p.;.;ro;..;v....;;e.;.;m.;.;e;.;.n;.;.;ts~---------------- Approximate Construction Dates From: 07-25-22
Agency Name: City of Lynwood
Contact Person: Okan Demirci ~~~~~~----------
Address: 11330 Bullis Road. Lynwood. CA 90262
To: 12-11-22
Telephone: (310) 603-0220
Original Contract Amount: $._5_5_6"""' ,0""""9....,0 ____ _ Final Contract Amount: $ 612 ?55 If final amount is different from original amount, please explain (change orders, extra work, etc.).

Extra work
Did you or any Subcontractor file any claims against the Agency? Circle one: Yes( No J
Did the Agency file any claims against you?
Circle one: Yes( No )
If you answered yes to either of the above two questions, please explain and indicate outcome of claims.

N/A
Project 2 Name/ Number Citywide Sidewalk Curb Gytter
Project Description Concrete Improvements
Approximate Construction Dates From: 04-04-22 To: 05-01-22 8-8
12923-0001\2316874v1.doc

Agency Name: City of Rosemead
Contact Person: Okan Demirci ~~------~----------------- Telephone: (626) 569-21 00
Address: 8838 E. Valley Blvd. Rosemead, CA 91770
Original Contract Amount: $ ..... 9~7 .... 1~2::.:.7 ____ _ Final Contract Amount: $ 99,065 If final amount is different from original amount, please explain (change orders, extra work, etc.).

Extra work
Did you or any Subcontractor file any claims against the Agency? Circle one: Yes (No J
Did the Agency file any claims against you?
Circle one: Yes( No J
If you answered yes to either of the above two questions, please explain and indicate outcome of claims.

N/A
Project 3 Name/ Number FY 2022- 2023 Concrete Repair (5th Year> Project Description _......;C......;o;_n....;.c......;re;..;;te~lm_...._pr......;o......;v...;.e_m....;.e ...... nt......;s ________________________________ _ Approximate Construction Dates From: 09-12-22 To: 10-09-22 Agency Name: City of Agoura Hills
Contact Person: Charmaine Yambao
Address: 30001 Ladyface Court Agoura Hills, CA 91301
Original Contract Amount: $_8..,3.......,.0.w:OO..,__ _____ _ Telephone: (818) 597-7360
Final Contract Amount: $ 83,503.62
If final amount is different from original amount, please explain (change orders, extra work, etc.).

Extra work
B-9
12923-0001\2316874v1.doc

Did you or any Subcontractor file any claims against the Agency? Circle one: Yes ( No I
Did the Agency file any claims against you?
Circle one: Yes( No I
If you answered yes to either of the above two questions, please explain and indicate outcome of claims.

N/A
Project 4 Name/ Number _.....;2;;...;0;;..;;2;....1.....;-2=2;;...;A;....;.;,..;,nn;,..;.u;;;.;a;;.;.I...;;C;;..;;o.....;n;,..;.c.....;re;,..;.te~R;.;;;e.....;h,;;;.ab~P.....;ro;;.ag;o.;.r,;;;.am;.;.;.... _______ _ Project Description Concrete Improvements
Approximate Construction Dates From: 05-16-22 To: 07-10-22 AgencyName: __ C_it~y_o_f_S_an_t_a_C_I_a_rit_a ___________________ _ Contact Person: Scott Hamilton ~~~;..;;;;;;.;~~--------- Telephone: (661) 259-2489 Address: 23920 Valencia B!yd Sujte 300 Santa C!adta CA 91355-2196 Original Contract Amount: $ 539,468.50 Final Contract Amount: $ 526,911.13 If final amount is different from original amount, please explain (change orders, extra work, etc.).

Deduction of quantities
Did you or any Subcontractor file any claims against the Agency? Circle one: Yes { No I
Did the Agency file any claims against you?
Circle one: Yes( No I
If you answered yes to either of the above two questions, please explain and indicate outcome of claims.

N/A
B-10
12923-0001\2316874v1.doc

Project 5 Name/ Number 2021-2022 Concrete Repair Project Project Description Concrete Improvements
Approximate Construction Dates From: 07-11-22 To: 07-31-22 AgencyName: --~C~it~v~o~f~VV~a~ln~u~t-------------------------------------------- Contact Person: Fawwaz Ghabra Telephone: (909) 594-9702 Address: 21201 La Puente Rd. Walnut. CA 91789-2018
Original Contract Amount: $_1u.BwB..,..,3 ..... 5 .... a....._ ______ _ Final Contract Amount: $ 195,892,75 If final amount is different from original amount, please explain (change orders, extra work, etc.).

Extra Work
Did you or any Subcontractor file any claims against the Agency? Circle one: Yes( No I
Did the Agency file any claims against you?
Circle one: Yes[ No 1
If you answered yes to either of the above two questions, please explain and indicate outcome of claims.

N/A
Project 6 Name/ Number RMDJOC6709 Parkway Concrete Maintenance Project Description ---=C;..;;o;.;.;n~c;..;re;,.:.te;:;_;,;,lm.:..:.p~;;,.;r-=o....;.ve.;;;.;m~e,;,;.nt;;.;;;s __________________________ __ Approximate Construction Dates: From: 05-09-22 To: 09-04-22 Agency Name: County of Los Angeles public Works
Contact Person: ---!.R..!:o~as.::e:.:...r ____________ _ Telephone: (661) 947-7173 Address: 900 South Fremont Ave. Alhambra. CA 91803
8-11
12923-0001\2316874v1 .doc

Original Contract Amount: $ . .....;;..50.;..;0;.!,,0.;..;0:;.;;0;...._ ___ _ Final Contract Amount: $ 496,563 If final amount is different from original amount, please explain (change orders, extra work, etc.).

Deduction of guantaties
Did you or any Subcontractor file any claims against the Agency? Circle one: Yes ( No )
Did the Agency file any claims against you?
Circle one: Yes( No J
If you answered yes to either of the above two questions, please explain and indicate outcome of claims.

N/A
B-12
12923-0001\2316874v1.doc

RESUME
Attach to this Bid the experience resume of the person who will be designated as General Construction Superintendent or on-site Construction Manager for the Project.

B-13
12923-0001\2316874v1.doc

RESUME

ANGEL FIERROS
13368 Aldergrove St. Sylmar, CA. 91342 (818) 367-Q652
Qualifications:
-Strong interpersonal skills; ability to communicate and persuade at all levels and thrive in a cross-functional environment. -Excellent verbal communication skills
-Computer Sawy- Word, Excel, Quick Books, Outlook, Project Manager, Master Builder, Auto CAD -Positive attitude & Professional appearance
-Team player I self-starter I organized
-Extensive hands on experience
-Bilingual Spanish I English
Experience:
(1984-1992) Landscape Development, Inc.

Laborer- Foremen
-Started from the bottom, as a labvrer
-Kept climbing up the ladder learning every phase of construction -Became Foremen in 1988 and continued to be the lead man until1992 -Able to read plans, lay out and direct operation for Irrigation /landscape projects -Extensive knowledge of plant material types
(1992- 1994) DJ Construction, Inc.
-In-home estimates
-Blueprint takeoffs. Requisition orders
-Managing/coordinating jobs in progress
-Control different phases of construction in the field
-Order/schedule materials
-Operate different pieces of equipment (from Bob cats, Skip loaders, Back hoes, Loaders, Dump trucks, Water trucks, etc.) -Install, operate and maintain all irrigation equipment (from Main lines, laterals, valves, sprinklers, controllers, etc.)

(1994- 2002) Terra Cal Construction, Inc.

Foreman- Superintendent
-Control different phases of construction in the field
-Blueprint takeoffs. Requisition orders,
-managing/coordinating jobs in progress
-Order/schedule materials
-Operate different pieces of equipment (from Bob cats, Skip loaders, Back hoes, Loaders, Dump trucks, Water trucks, etc.) -Install, operate and maintain all irrigation equipment (from Main lines, laterals, valves, sprinklers, controllers, etc.) (2000- Present) FS Contractors, Inc. I FS Construction
Education:

President I Owner
-Take control and direction of company
-Generate estimates
-Write contracts
-Prepare Sub-contracts
-Sale closing tactics and negotiating skills
-Field measuring & onsite cost estimating
-Presentation of company and product(s)
-Field measuring with detail to permit/code requirements -Worked closely with engineers and architects
-Developed project proposals up to $2,000,000 in value
-Coordinated projects to comply with all addendums, spec sheets, geotechnical data & ADA compliances -Experienced with prevailing wages and public works projects -Supervise payroll/ payroll taxes
-Prepare certified payrolls
1 2.5 Years of collage in Civil Engineering field
2 Licensed General Engineering Contractor (A)
3 Licensed Concrete Contractor (CS)
4 Licensed Landscaping Contractor (C27)
5 Pervious Concrete Technician Certified
6 Home Improvement Certification
7 ARDEX products installer certified
8 CPR & First Aid certified
9 Basic accounting
10 Bilingual English I Spanish

DESIGNATION OF SUBCONTRACTORS
[Public Contract Code Section 4104]
List all Subcontractors who will perform Work or labor or render service to the Contractor in or about the construction of the Work or improvement, or a Subcontractor licensed by the State of California, who, under subcontract to the Contractor, specially fabricates and installs a portion of the Work or improvement according to detailed drawings contained in the Plans and Specifications, in an amount in excess of one-half percent (0.5%) of the Contractor's total Bid or, in the case of bids or offers for the construction of streets or highways (including bridges), in excess of one-half percent (0.5%) of the Contractor's total Bid or $10,000, whichever is greater. If all Subcontractors do not fit on this page, attach another page listing all information for all other Subcontractors.

Name under which CSLB License 01 R Contractor Address and Phone Number Type of Work Percentage of Total Subcontractor is Number(s) and Registration (e.g., Electrical) Bid (e.g., 10%)1 Licensed Class(es) Number
and Reoistered
~tr I
---- - - L.._ ~ ~ - - - -- -
1 The percentage of the total Bid shall represent the "portion of the work" for the purposes of Public Contract Code Section 41 04(b).

B-14
12923-0001\2316874v1.doc Page 350 of 710

INDUSTRIAL SAFETY RECORD FORM
Bidder's Name FS Contractors Inc.

Current Year 2023 2022 2021 2020 2019 Total of Record
Number of contracts 7 7 24 84 76 80 348
Total dollar amount of
contracts (in thousands of
dollars) 1,835 1 835 9,836 12,409 6,351 15,011 54,681
Number of fatalities 0 0 0 0 0 0 0
Number of lost workday
cases 3 3 1 1 3 1 9
Number of lost workday
cases involving permanent 0 transfer to another job or 0 0 0 0 0 0 termination of employment
The above information was compiled from the records that are available to me at this time and I declare under penalty of perjury under the laws of the State of California that the information is true and accurate within the limitations of those records.

Signature: (t· ~ h~ Title: President'
Date: 4/11123
12923-0001\2316874v1.doc
Signature: -------------------
Title:--------------------
Date: ---------------------------------------
B-15

Bond No. _;_N.;,;,;/A....:...._ __ _

BID BOND
KNOW ALL PERSONS BY THESE PRESENTS that:

WHERE.A.S the City of Covina ("City"), has issued an invitation for Bids for the Work described as follows:

CITY WIDE SIDEWALK REPAIR PROJECT
PROJECT No. P2312
WHEREAS _________ F_s_c_o_n_tr_a_ct_o_rs_._ln_c_. _____ 1_4_8_3_8_B_Ie_d_s_oe __ s_tr_ee_t_S~y-lm_a_r_c_A __ 9_1_34_2 ______ __ fNarn ~S and address of Bidder)
("Principal"). desires to submit a Bid to City for the Work.

WHEREAS, Bidders are required to furnish a form of Bidder's security with their Bids.

NOW, THEREFORE, we, the undersigned Principal, and--------------- Rlllnsurance Company 9025 N. Lindbergh Drive, Peoria, IL 61615 (Name and address of Surety)
("Surety"), a duly admitted surety insurer under the laws of the State of California, as Surety, are held and firmly bound unto the City in the penal sum of-,-~-,-=-:-:---------------------­ Ten Percent of the Total Amount of the Bid
Dollars($ 10% ), being not less than ten percent
(10%) of the total Bid price, in lawful money of the United States of America, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors, and assigns, jointly and severally, firmly by these presents.

THE CONDITION OF THIS OBLIGATION IS SUCH THAT, if the hereby bounded Principal is awarded the Contract for the Work by the City and, within the time and in the manner required by the bidding specifications, enters into the written form of Contract included with the bidding specifications, furnishes the required Bonds (one to guarantee faithful performance and the other to guarantee payment for labor and materials), and furnishes the required insurance coverage, then this obligation shall become null and void; otherwise, it shall be and remain in full force and effect.

In case suit is brought upon this instrument, Surety further agrees to pay all court costs incurred by the City in the suit and reasonable attorneys' fees in an amount fixed by the court. Surety hereby waives the provisions of Civil Code Section 2845.

B-16
12923-0001\2316874v1.doc

IN WITNESS WHEREOF, this instrument has been duly executed by Principal and Surety, on the date set forth below, the name of each corporate party being hereto affixed and these presents duly signed by its undersigned representative(s) pursuant to authority of its governing body.

Dated: April 11th, 2023
"Principal" "Surety"
FS Contractors, Inc. RLI Insurance Company
Its
By:
: Its
By:: c5i? Pietro Micciche, Attorney-in-Fast ~
By: By:

Its: Its:

Note. Th1s Bond must be dated, all Signatures must be notarized. and evidence of the authority of any person signing as attorney-in-fact must be attached.

B-17
12923-0001\231687 4v1.doc

CALIFORNIA ALL·PURPOSE ACKNOWLEDGMENT CIVIL CODE§ 1189
D1l
A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document.

State of California
County of Los Angeles
On April 11, 2023 before me, ---14~' u.aJartuhu.a~lswauhe!O<lluiL.<l.oo.llp~e""'z ..... R.3o.Jjwu"-lb-4j,....~,N.3.!o..utaary~PuL....WJb..ul.uic....._ __ Date Here Insert Name and Title of the Officer
personally appeared _____ ....::J.::::o:::..:se=-An:...:.::.cg.=:el:....:F:....:i:.::err=o=-s ----,-------:;..---------- NameJ*'6f Signef.V
who proved to me on the basis of satisfactory evidence to be the perso whose name.(sns/ate' subscribed to the within instrument and acknowledged to me that he/she ey executed the same in hislm(ritbeifauthorized capacity(i&sh and that by hislher1tf)eif signature n the instrument the person(ar,' or the entity upon behalf of which the person~ed, executed the instrument.

Place Notary Seal Above
I certify under PENALTY OF PERJURY under the laws
of the State of California that the foregoing paragraph is true and correct.

WITNESS my hand and official seal.
---------------------------OPTIONAL------------------------~ Though this section is optional, completing this information can deter alteration of the docum fraudulent reattachment of this form to an unintended document.

Description of Attached Document
Title or Type of Document: ------------
Number of Pages: Signer(s) Other Than Named Abo . ------------ Capacity(ies) Claimed by Signer(s)
Signer's Name: ------------:::oo..c:::..
0 Corporate Officer - Title{s): ----=..,e:;:.. __ 0 Partner - 0 Umited 0 Gene 0 Individual 0 Atto Fact
O Trustee
0 Other: -7""'-::;:.._ __________ _
Signer
Signer's Name:------------
0 Corporate Officer - Title(s): ------
0 Partner - 0 Umited 0 General
0 Individual 0 Attorney in Fact
0 Trustee 0 Guardian or Conservator
0 Other:-------------
Signer Is Representing: ---------
i&W:iii&!ii&YYBNil CfWI& Q & & iiilih& gg
©2014 National Notary Association • www.NationaiNotary.org ·1-800-US NOTARY (1-800-876-6827) Item #5907

CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT CIVIL CODE§ 1189
2 7?:2 ·~ta
A notary public or other officer completing this certificate verifieS only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document.

State of California
County of _ __;;;L;.;:.o.::.s-'-A.:.:...n""g;.;:.e;..:le;.;:.s ______ _ On /\£f)\ \ \ J--b ~UJ~'!J before me, _A_n-"'ge_I_N_u_ne_z.:...-, N_o_ta_ry::...._Pu_b_lic ________ _ Date Here Insert Name and Tttle of the Officer
personally appeared _P_ie_tr_o_M_i_c_ci_c_he _______________________ _ Name(s) of Signer(s)
who proved to me on the basis of satisfactory evidence to be the person()(l whose name()(~ i~ subscribed to the within instrument and acknowledged to me that he~~ executed the same in his~J(~il:: authorized capacity~. and that by hi~)fi)(signature(~ on the instrument the personOO. or the entity upon behalf of which the person~) acted, executed the instrument.

ANGEL NUNEZ
Notary Public • Ca llfornia
0 los Angeles County ~
' Commission# 2321675
My Comm. Expires Mar 14, 2024
Place Notary Seal Above
I certify under PENALTY OF PERJURY under the laws
of the State of California that the foregoing ragraph
is true and correc
-----------------------------opno~----------------------------- Though this section is optional, completing this information can deter alteration of the document or fraudulent reattachment of this form to an unintended document.

Description of Attached Document
Title or Type of Document: Document Date: _______ _
Number of Pages: Signer(s) Other Than Named Above: ------------ Capacity(ies) Claimed by Signer{s)
Signer's Name:------------
:::J Corporate Officer - Title(s): -------
~] Partner - 0 Limi I J General
~ Individual . Attorney in Fact
U Trustee 0 Guardian or Conservator
C! Other:---------------
Signer Is Representing: ---------
Signer's Name:-------------
0 Corporate Officer - Title(s): ______ _
0 Partner - 0 Limited U General
0 Individual 0 Attomey in Fact
0 Trustee 0 Guardian or Conservator
0 Other. ---------------- Signer Is Representing: ________ _ ©2014 National Notary Association· www.NationaiNotary.org ·1-800-US NOTARY (1-800-876-6827) Item #5907

I
I
I
Know AU Men by These Presents:

POWER OF ATTORNEY
RLI Insurance Company
Contractors Bonding and Insurance Company
9025 N. Lindbergh Dr. Peoria.IL 61615
Phone: 800-645-2402
That this Power of Attorney is not valid or in effect unless attached to the bond which it authorizes executed, but may be detached by the approving officer if desired.

That RLI Insurance Company and/or Contradors Bonding and Insurance Company, each an Illinois corporation, (separately and together, the "Company") do hereby make, constitute and appoint:

Patricia Zenizo. Pietro Micciche. Elisabete Salazar. jointly or severally in the City of Glendale , State of Caljfornja its true and lawful Agent(s) and Attomey(s) in Fact, with full power and authority hereby conferred, to sign, execute, acknowledge and deliver for and on its behalf as Surety, in general, any and all bonds and undertakings in an amount not to exceed Twenty Five Million Dollars ( $25.000.000.00 ) for any single obligation.

The acknowledgment and execution of such bond by the said Attorney in Fact shall be as binding upon the Company as if such bond had been executed and acknowledged by the regularly elected officers of the Company.

RLI Insurance Company and/or Contractors Bonding and Insurance Company, as applicable, have each further certified that the following is a true and exact copy of a Resolution adopted by the Board of Directors of each such corporation, and is now in force, to-wit:
"All bonds, policies, undertakings, Powers of Attorney or other obligations. of the corporation shall be executed in the corporate name of the Company by the President, Secretary, any Assistant Secretary, Treasurer, or any Vice President, or by such other officers as the Board of Directors may authorize. The President, any Vice President, Secretary, any Assistant Secretary, or the Treasurer may appoint Attorneys in Fact or Agents who shall have authority to issue bonds, policies or undertakings in the name of the Company. The corporate seal is not necessary for the validity of any bonds, policies, undertakings, Powers of Attorney or other obligations of the corporation. The L .. signature of any such officer and the corporate seal may be printed by facsimile." IN WITNESS WHEREOF, the RLI Insurance Company and/or Contractors Bonding and Insurance Company, as applicable, have caused these presents to be executed by its respective Vice President with its corporate seal affixed this 25th day of April , _2Qll_.

State of Illinois
} ss
County of Peoria
On this 25th day of April , 2022 , before me, a Notary Public, personally appeared Barton W Dayjs , who being by me duly sworn, acknowledged that he signed the above Power of Attorney as the aforesaid officer of the RLI Insurance Company and/or Contracton Bonding and Insurance Company and acknowledged said insttument to be the voluntary act and deed of said corporation.

By: ~C-ath~e-n~n-e~D~.~G~Io~v~er~~~~----------------~N~o-mry ~~.k __ P_u_b--lic IU49JSJIIZOZ/1
RLIInsurance Company
Contracton Bonding and Insurance Company
By: '5-i 111.?) ,
Barton W. Davis Vice President

CERTIFICATE
l, the undersigned officer of RLI Insurance Company and/or Contracton Bonding and Insurance Company, do hereby certify that the attached Power of Attorney is in full force and effect and is irrevocable; and furthermore, that the Resolution of the Company as set forth in the Power of Attorney, is now in force. In testimony whereof, I have hereunto set my hand and the seal of the RLI Insurance Cojf!i,: and/or ?A£C~on Bonding and Insurance Company this day of fl .U2'2·3 .

RLIInsuranc:e Company
Contracton Bonding and Insurance Company
By: g~ DJi~ Jeffrey IC Corporate Secretary
AOOS80!9

NONCOLLUSION DECLARATION FORM

TO BE EXECUTED BY BIDDER AND SUBMITTED WITH BID
[Public Contract Code Section 71 06]
The undersigned declares:
1 am the President of FS Contractors, Inc. , the party making the foregoing Bid.

The Bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation. The Bid is genuine and not collusive or sham.

The Bidder has not directly or indirectly induced or solicited any other Bidder to put in a false or sham Bid. The Bidder has not directly or indirectly colluded, conspired, connived, or agreed with any Bidder or anyone else to put in a sham Bid, or to refrain from bidding. The Bidder has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the Bid price of the Bidder or any other Bidder, or to fix any overhead, profit, or cost element of the Bid price, or of that of any other Bidder. All statements contained in the Bid are true. The Bidder has not, directly or indirectly, submitted his or her Bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, to any corporation, partnership, company, association, organization, Bid depository, or to any member or agent thereof, to effectuate a collusive or sham Bid, and has not paid, and will not pay, any Person or entity for such purpose.

Any person executing this declaration on behalf of a Bidder that is a corporation, partnership, joint venture, limited liability company, limited liability partnership or any other entity, hereby represents that he or she has full power to execute, and does execute, this declaration on behalf of the Bidder.

I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct and that this declaration is executed on 4/11/23 [date], at Sylmar [city],
California [state].

Signature J- J (;.,,;.., Signature------------
Printed Name: Jose Angel Fierros Printed Name: __________ _ Date: 4/11/23 Date: -------------
This form must be notarized.

B-18
12923-0001\2316874v1 .doc

CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT CIVIL CODE § 1189 PIIAI 3 •• FR Fill
A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document.

State of California
County of Los Angeles
On April 11, 2023 before me, partba Isabel Lopez Riuhi, Notary Public Date Here Insert Name and Title of the Officer
personally appeared Jose Angel Fierros <
Name(i'of Signet?'
who proved to me on the basis of satisfactory evidence to be the person~hose narnatsris/..at1f subscribed tq...the within instru111entynd acknowledged ....... to _ _!!l8 that helsPefffiwexecuted the same in hislh8rftheir"iuthorized capacity(b:MJf, and that b~is/h)Wtthelf signature{8)1)n the instrument the persoR{s]. or the entity _upon behalf of which the perso~ acted, executed the instrument.

Place Notary Seal Above
I certify under PENALTY OF PERJURY under the laws
of the State of California that the foregoing paragraph is true and correct.

WITNESS my hand and official seal.
----------------------------oPTIONAL--------------------------~ Though this section is optional, completing this information can deter alteration of the docum fraudulent reattachment of this form to an unintended document.

Description of Attached Document
Trtle or Type of Document: ------------
Number of Pages: Signer(s) Other Than Named Abo . ------------ Capacity(ies) Claimed by Signer(s)
Signer's Name: -----------::;o"'~
0 Corporate Officer - Title(s): ----::::;:>,..C....--
0 Partner - 0 Umited 0 Gene
0 Individual 0 Atto Fact
0 Trustee
0 Other: ----:7"""~----------­ Signer
a a 111111 &JilN$51 2 II Sl liMhifi
Signer's Name:------------
0 Corporate Officer - Title(s): _____ _
0 Partner - 0 Umited 0 General
0 Individual 0 Attorney in Fact
0 Trustee 0 Guardian or Conservator
0 Other: --------------
Signer Is Representing: ---------
&hi. &Ul LNR &II
©2014 National Notary Association • www.NationaiNotary.org ·1-8QO-US NOTARY (1-800-876-6827) Item #5907

ADDENDA ACKNOWLEDGMENT FORM
Bidder's Name: FS Contractors. Inc.

The Bidder shall signify receipt of all Addenda here, if any:

Addendum Number Date Received Signature
If there are more Addenda than there is room in the chart above, attach another page acknowledging receipt of the Addenda.

B-19
12923-0001\2316874v1.doc

14838 BLEDSOE STREET • SYLMAR, CA 91342 PHONE: (818) 838 - 6040 • FAX : (818) 838-6171 CONTRACTOR 'S LICENSE #1005940 CLASS A· C8-C27 • DJR II 1000033438 BOARD RESOLUTION OF FS CONTRACTORS INC. ADOPTED ON January 4, 2016 HESOLVED THAT:

1. The following are the appointed Directors of FS Contractors, Inc.

Jose Angel Fierros, President
Salomon Fierros, Vice President
Jose Ernesto Fierros, Secretary

2. The board of directors approves all the directors to execute contracts and agreements on behalf of FS Contractors, Inc.

Secretary's Certification:

I certify that this resolution was duly adopted by the board of directors of FS Contractors, Inc. at a properly noticed open meeting held on January 4, 2016.
cr_k .

Jose Ernesto Fierros, Secretary
1/4/16

CONTRACT

CITY OF COVINA CONTRACT FOR
CITY WIDE SIDEWALK REPAIR PROJECT, PROJECT P2312
THIS CONTRACT (“Contract”) is made and entered this 18
th day of April, 2023 (“Effective Date”),
by and between the CITY OF COVINA, a California municipal corporation (“City”) and FS Contractors, Inc., a California corporation (“Contractor”). Contractor’s California State Contractor’s license number is 1005940; Class A-C8-C27. Contractor’s DIR registration number is 1000033438.

In consideration of the mutual covenants hereinafter set forth, the parties hereto agree as follows:

1. Contract Documents. The Contract Documents consist of this Contract, the Notice Inviting Bids, Instructions to Bidders, Bid (including documentation accompanying the Bid and any postBid documentation submitted before the Notice of Award), the Bonds, permits from regulatory agencies with jurisdiction, General Provisions, Special Provisions, Plans, Standard Plans, Standard Specifications, Reference Specifications, Addenda, Change Orders, and Supplemental Agreements. The Contract Documents are attached hereto and incorporated herein by reference.

In the event of any conflict between the terms of this Contract and any incorporated documents, the terms of this Contract shall control.

2. Scope of Services. Contractor shall perform the Work in a good and workmanlike manner for the project identified as City-Wide Sidewalk Repair Project, Project P2312 (“Project”), as described in this Contract and in the Contract Documents.

3. Compensation. In consideration of the services rendered hereunder, City shall pay Contractor an amount not to exceed Two Hundred Sixty-Seven Thousand Seven Hundred and Seventy Dollars ($267,770.00) in accordance with the prices as submitted in the Bid, attached hereto as Exhibit “A” and incorporated herein by this reference.

4. Incorporation by Reference. All of the following documents are attached hereto and incorporated herein by this reference: Workers’ Compensation Certificate of Insurance, Additional Insured Endorsement (Comprehensive General Liability), Additional Insured Endorsement (Automobile Liability), and Additional Insured Endorsement (Excess Liability).

5. Antitrust Claims. In entering into this Contract, Contractor offers and agrees to assign to City all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. Sec. § 15) or under the Cartwright Act (Cal. Bus. & Prof. Code, § 16700 et seq.) arising from purchases of goods, services, or materials pursuant to the Contract. This assignment shall be made and become effective at the time City tenders final payment to Contractor without further acknowledgment by the parties.

6. Prevailing Wages. City and Contractor acknowledge that the Project is a public work to which prevailing wages apply.

7. Workers’ Compensation. California Labor Code Sections 1860 and 3700 provide that every contractor will be required to secure the payment of compensation to its employees. In accordance with the provisions of California Labor Code Section 1861, by signing this Contract, the Contractor certifies as follows:

ATTACHMENT C
“I am aware of the provisions of Section 3700 of the Labor Code which require every employer to be insured against liability for workers’ compensation or to undertake self-insurance in accordance with the provisions of that Code, and I will comply with such provisions before commencing the performance of the Work of this Contract.”

8. Trenches and Other Excavations. If this Project involves the digging trenches or other excavations that will extend deeper than four (4) feet below the surface, Contractor shall promptly, and before the following conditions are disturbed, notify City, in writing, of any: (1) material that Contractor believes may be material that is hazardous waste, as defined in Section 25117 of the Health and Safety Code, that is required to be removed to a Class I, Class II, or Class III disposal site in accordance with provisions of existing law; (2) subsurface or latent physical conditions at the site differing from those indicated by information about the site made available to proposers prior to the deadline for submitting proposals; and (3) unknown physical conditions at the site of any unusual nature, different materially from those ordinarily encountered and generally recognized as inherent in work of the character provided for in this Contract.

9. Titles. The titles used in this Contract are for convenience only and shall in no way define, limit or describe the scope or intent of this Contract or any part of it.

10. Authority. Any person executing this Contract on behalf of Contractor warrants and represents that he or she has the authority to execute this Contract on behalf of Contractor and has the authority to bind Contractor to the performance of its obligations hereunder.

11. Entire Agreement. This Contract, including the Contract Documents and any other documents incorporated herein by specific reference, represents the entire and integrated agreement between City and Contractor. This Contract supersedes all prior oral or written negotiations, representations or agreements. This Contract may not be modified or amended, nor any provision or breach waived, except in a writing signed by both parties that expressly refers to this Contract.

12. Counterparts. This Contract may be executed in counterpart originals, duplicate originals, or both, each of which is deemed to be an original for all purposes.

IN WITNESS WHEREOF, the parties hereto have executed the Contract the day and year first above written.
[SIGNATURE PAGE FOLLOWS]

CITY OF COVINA
By:

City Manager
ATTEST:

By:

Deputy City Clerk
Dated:
(“CONTRACTOR”)
By:

Printed Name:

Title:

By:

Printed Name:

Title:

EXHIBIT A

LMB-1
Bond No. __________

PAYMENT BOND
(LABOR AND MATERIALS)
KNOW ALL PERSONS BY THESE PRESENTS that:

WHEREAS the City of Covina (“City”), State of California, has awarded to _ _____________
(“Principal”)
(Name and address of Contractor)
a contract (the “Contract”) for the Work described as follows:

CITY WIDE SIDEWALK REPAIR PROJECT
PROJECT No. P2312
(Project name)
WHEREAS, under the terms of the Contract, the Principal is required before entering upon the performance of the Work, to file a good and sufficient payment Bond with the City to secure the claims to which reference is made in Title 3 (commencing with Section 9000) of Part 6 of Division 4 of the Civil Code.

NOW, THEREFORE, we, the undersigned Principal, and
(Name and address of Surety)
(“Surety”) a duly admitted surety insurer under the laws of the State of California, as Surety, are held and firmly bound unto the City and all contractors, subcontractors, laborers, material suppliers, and other persons employed in the performance of the Contract and referred to in Title 3 (commencing with Section 9000) of Part 6 of Division 4 of the Civil Code in the penal sum of Dollars ($ ), for materials furnished or labor thereon of any kind, or for amounts due under the Unemployment Insurance Act with respect to this Work or labor, that the Surety will pay the same in an amount not exceeding the amount hereinabove set forth, and also in case suit is brought upon this Bond, will pay, in addition to the face amount thereof, costs and reasonable expenses and fees, including reasonable attorneys’ fees, incurred by City in successfully enforcing this obligation, to be awarded and fixed by the court, and to be taxed as costs and to be included in the judgment therein rendered.

It is hereby expressly stipulated and agreed that this Bond shall inure to the benefit of any and all persons, companies, and corporations entitled to file claims under Title 3 (commencing with Section 9000) of Part 6 of Division 4 of the Civil Code, so as to give a right of action to them or their assigns in any suit brought upon this Bond.

Upon expiration of the time within which the California Labor Commissioner may serve a civil wage and penalty assessment against the principal, any of its subcontractors, or both the principal and its subcontractors pursuant to Labor Code Section 1741, and upon expiration of the time within which a joint labor management committee may commence an action against the principal, any of its subcontractors, or both the principal and its subcontractors pursuant to Labor Code Section 1771.2, if the condition of this Bond be fully performed, then this obligation shall become

LMB-2
null and void; otherwise, it shall be and remain in full force and effect.

The Surety hereby stipulates and agrees that no change, extension of time, alteration, or addition to the terms of the Contract or the Specifications accompanying the same shall in any manner affect its obligations on this Bond, and it does hereby waive notice of any such change, extension, alteration, or addition.

IN WITNESS WHEREOF, two (2) identical counterparts of this instrument, each of which shall for all purposes be deemed an original hereof, have been duly executed by Principal and Surety, on the date set forth below, the name of each corporate party being hereto affixed and these presents duly signed by its undersigned representative(s) pursuant to authority of its governing body.

Dated:
“Principal”
By:

Its
By:

Its
(Seal)
“Surety”
By:

Its
By:

Its
(Seal)
APPROVED AS TO FORM:

By:

City Attorney
Note: This Bond must be executed in duplicate and dated, all signatures must be notarized, and evidence of the authority of any person signing as attorney-in-fact must be attached. DATE OF BOND MUST NOT BE BEFORE DATE OF CONTRACT. Surety companies executing Bonds must appear on the Treasury Department’s most current list (Circular 570 as amended) and be authorized to transact business in the State where the project is located.

PB-1
Bond No. __________

PERFORMANCE BOND
KNOW ALL PERSONS BY THESE PRESENTS that:

WHEREAS the City of Covina (“City”), has awarded to ___________ (“Principal”)
(Name and address of Contractor)
a contract (the “Contract”) for the Work described as follows:

CITY WIDE SIDEWALK REPAIR PROJECT
PROJECT No. P2312
(Project name)
WHEREAS, Principal is required under the terms of the Contract to furnish a Bond for the faithful performance of the Contract.

NOW, THEREFORE, we, the undersigned Principal, and
,
(Name and address of Surety)
(“Surety”) a duly admitted surety insurer under the laws of the State of California, as Surety, are held and firmly bound unto the City in the penal sum of Dollars ($
), this amount being not less than the total Contract Price, in lawful money of the United States of America, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, successors executors and administrators, jointly and severally, firmly by these presents.

THE CONDITION OF THIS OBLIGATION IS SUCH THAT, if the hereby bounded Principal, his, her or its heirs, executors, administrators, successors or assigns, shall in all things stand to and abide by, and well and truly keep and perform the covenants, conditions and provisions in the Contract and any alteration thereof made as therein provided, on the Principal’s part, to be kept and performed at the time and in the manner therein specified, and in all respects according to their true intent and meaning, and shall indemnify and save harmless the City, its officers, agents and employees, as therein stipulated, then this obligation shall become null and void; otherwise, it shall be and remain in full force and effect.

As a part of the obligation secured hereby and in addition to the face amount specified therefor, there shall be included costs and reasonable expenses and fees, including reasonable attorneys’ fees, incurred by City in successfully enforcing such obligation, all to be taxed as costs and included in any judgment rendered. Surety hereby waives any statute of limitations as it applies to an action on this Bond.

The Surety hereby stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract or of the Work to be performed thereunder or the specifications accompanying the same shall in anywise affect its obligations under this Bond, and it does hereby

PB-2
waive notice of any such change, extension of time, alteration or addition to the terms of the Contract or to the Work or to the specifications. Surety hereby waives the provisions of California Civil Code Sections 2845 and 2849. The City is the principal beneficiary of this Bond and has all rights of a party hereto.

IN WITNESS WHEREOF, two (2) identical counterparts of this instrument, each of which shall for all purposes be deemed an original hereof, have been duly executed by Principal and Surety, on the date set forth below, the name of each corporate party being hereto affixed and these presents duly signed by its undersigned representative(s) pursuant to authority of its governing body.

Dated:
“Principal”
By:

Its
By:

Its
(Seal)
“Surety”
By:

Its
By:

Its
(Seal)
APPROVED AS TO FORM:

By:

City Attorney
Note: This Bond must be executed in duplicate and dated, all signatures must be notarized, and evidence of the authority of any person signing as attorney-in-fact must be attached. DATE OF BOND MUST NOT BE BEFORE DATE OF CONTRACT. Surety companies executing Bonds must appear on the Treasury Department’s most current list (Circular 570 as amended) and be authorized to transact business in the State where the project is located.

RESOLUTION CC 2023-27

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF COVINA, CALIFORNIA TO AMEND THE FISCAL YEAR 2022/2023 BUDGET AND REFLECT AN APPROPRIATION OF $27,915 FROM MEASURE M FUND

BALANCE FOR THE CITY-WIDE SIDEWALK REPAIR PROJECT
ACCOUNT NO. 24202200-55250-P2312.

WHEREAS, the City of Covina is a municipal corporation duly organized and existing pursuant to the Constitution and laws of the State of California (“City); and WHEREAS, the Fiscal Year 2023 Operating Budget & Capital Improvement Plan (CIP) was approved on May 17, 2022; and
WHEREAS, the approved Operating Budget and Capital Improvement Plan (CIP) is in accordance with all applicable ordinances of the City and all applicable statutes of the State; and WHEREAS, the City of Covina wishes to appropriate funds from Measure M fund balance for the City-Wide Sidewalk Repair Project – Project Account No. 24202200-55250-P2312.

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

SECTION 1. Amend the Fiscal Year 2022/2023 Budget for the City-Wide Sidewalk Repair Project, Project No, P2312
SECTION 2. Appropriate $27,915 from Measure M fund balance account below:

Account No. Account Description Amount ($) Increase/Decrease 24202200-
55250-P2312
Measure M-StreetsMaint-Street
Infrastructure
$27,915 Increase
SECTION 3. The City Clerk shall certify to the passage and adoption of this resolution and shall enter the same in the Book of Original Resolutions.

APPROVED and PASSED this 18th day of April, 2023.

City of Covina, California
BY:

WALTER ALLEN, III, Mayor
ATTEST:
____________________________________
FABIAN VELEZ, Deputy City Clerk

ATTACHMENT D
Resolution CC 2023-27 Page 2 of 2

CERTIFICATION
I, Fabian Velez, Deputy City Clerk of the City of Covina, do hereby certify that Resolution CC 2023-27 was duly adopted by the City Council of the City of Covina at a regular meeting held on the 18th day of April, 2023, by the following vote:

AYES: COUNCIL MEMBERS:

NOES: COUNCIL MEMBERS:

ABSTAIN: COUNCIL MEMBERS:

ABSENT: COUNCIL MEMBERS:

Dated:
________________________________________
FABIAN VELEZ, Deputy City Clerk

CC Regular Meeting

AGENDA ITEM REPORT
Item #10.k.

Meeting: April 18, 2023
Title: Consideration of an Update and Renewal to the Professional Services Agreement between the City of Covina and Willdan Financial Services for Special District Administration, Bond Disclosure Services, and Annexation Services Presented by: Brian K. Lee, AICP, Director of Community Development Recommendation: 1. Authorize the City Manager to execute a Professional Services Agreement with Willdan Financial Services for Special District Administration, Bond Disclosure Services, and Annexation Services and authorize the City Manager or his designee to execute the Agreement and related documents; and

2. Adopt Resolution CC 2023-29 to amend the FY 22-23 Community Facilities District (2007-1) budget to increase the Consulting and Legal expenditure budgets.

BACKGROUND:

On July 1, 2015, the City entered into a Professional Services Agreement with Willdan Financial Services for the provision of services necessary for the annexation of parcels into the Community Facilities District. Willdan performs services in the fields of special district administration, formation, annexation services, and specialized financial services. The general scope of services of the original agreement included:
 Community Facilities District Administration Consulting Services;  Community Facilities District Annexation Services;
 Vehicle Parking District No. 1 Administration;
 Sanitary Sewer Service Charge Administration;
 Landscape Maintenance District No. 1 Administration;
 Lighting District No. 1978-79 Administration;
 2009 Wastewater Revenue Bonds-Bond Disclosure Services; and  2010 Water Revenue Bonds-Bond Disclosure Services.

Since the original agreement was executed, six subsequent amendments have been enacted which generally expanded the scope of Willdan’s work for both City-wide and project-specific tasks. In 2022, the City received a proposal from Willdan to perform services related to the administration and future annexations for the newly formed Community Facilities District No. 2022-1 (Stormwater) and an update to the administration fee for CFD 2007-1. This has been incorporated into the proposal for the overall agreement update. As such, it has now become necessary to create a new agreement which incorporates the full scope of services which the City desires to be performed by the consultant.

DISCUSSION:

The specialized services performed by Willdan are not available in-house. Over time, some of the project-specific amendments related to the original agreement have become irrelevant as projects concluded. Further, some fees have been updated and scopes of work have been updated to reflect the needs of the City. Approving the consolidation and update of the agreement by entering into a new one will achieve these goals. The proposal/scope of work is included as Exhibit A to Attachment B.

FISCAL IMPACT:

There is no impact to the General Fund. Non-general funds are allocated annually within each of the City’s special district budgets to cover the costs to be incurred under the proposed contract. In conjunction with this agreement, it is recommended that the Council adopt Resolution CC 2023-29 (Attachment A) to increase the Consulting and Legal budgets for the Community Facilities District 2007-1 in order to accommodate the administration fee as proposed in the scope of work, and to cover the actual costs of legal fees associated with complex annexations.

This action would increase the budget in account 2740-4800-51005 (Consulting Fees) by $2,850 and increase the budget in account 2740-4800-51200 (Legal Fees) by $3,000.

The total compensation for this agreement for administration and continuing bond disclosure services shall not exceed $59,295 in FY 2022-2023. The agreement allows for an increase to the annual administration fees for up to the most recent annual change in the Consumer Price Index (CPI) for All Urban Consumers in the Los AngelesLong Beach-Anaheim area, as calculated by the U.S. Department of Labor. The CPI increase will be effective at the beginning of the next fiscal year, with notice to the City and shall increase the total not to exceed by that amount. This agreement is valid through February 1, 2024. Costs and related cost centers are as follows:

Administration Activity Account Number Annual Cost
Community Facilities District (2007-1) 2740-4800-51005 $ 4,850.00 Community Facilities District (2022-1) 4707-5600-51005 $ 4,000.00 Landscape Maintenance District 2720-2250-51530 $ 9,765.31 Lighting District No. 1 2710-2300-51530 $ 6,318.73
Vehicle Parking District 2700-2800-51530 $ 4,021.01
Sanitary Sewer Service Charge 6300-2700-51170 $10,339.74 Continuing Bond Disclosure Services Various $ 6,500.00
Arbitrage Reports Various $ 6,500.00
Estimated Expenses to be Itemized Various $ 7,000.00
Total NTE FY 22-23: $59,294.79
CEQA (CALIFORNIA ENVIRONMENTAL QUALITY ACT):

This activity will not result in a reasonably foreseeable change to the physical environment and does not constitute a project; it is exempt from CEQA under State CEQA Guidelines Section 15378(a).

Respectfully submitted,

RESOLUTION CC 2023-29

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF COVINA,

CALIFORNIA, AUTHORIZING AN AMENDMENT TO THE FISCAL
YEAR 2022-2023 COMMUNITY FACILITIES DISTRICT OPERATING

BUDGET TO INCREASE THE EXPENDITURE ALLOCATIONS FOR

CONSULTING AND LEGAL FEES
WHEREAS, the City of Covina is a municipal corporation duly organized and existing pursuant to the Constitution and laws of the State of California (“City”); and WHEREAS, the Fiscal Year 2022-2023 Operating Budget was approved on May 17, 2022; and
WHEREAS, the approved Fiscal Year 2022-2023 budget is in accordance with all applicable ordinances of the City and all applicable statutes of the State; and WHEREAS, the allocation of the appropriations between departmental activities may be made by the City Manager and amendments (increases/decreases) to the adopted budget shall be by approval and Resolution of the City Council; and
WHEREAS, the City of Covina wishes to increase the expenditure allocations for Consulting and Legal Fees in relation to the Community Facilities District (2007-1) Fund.

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

SECTION 1. The City Council authorizes City staff to amend the FY 2022-2023 City of Covina operating budget and amend the necessary accounts as follows:

Account Number Description Increase/Decrease Amount
2740-4800-51005 Consulting Fees Increase $2,850
2740-4800-51200 Legal Fees Increase $3,000
SECTION 2. This resolution shall take effect immediately upon adoption.

SECTION 3. The City Clerk shall certify to the passage and adoption of this resolution and shall enter the same in the Book of Original Resolutions.

APPROVED and PASSED this 18th day of April, 2023.

City of Covina, California
BY:

WALTER ALLEN, III, Mayor
Attachment A

Resolution CC 2023-29 Page 2 of 2
ATTEST:

FABIAN VELEZ, Deputy City Clerk

CERTIFICATION
I, Fabian Velez, Deputy City Clerk of the City of Covina, do hereby certify that Resolution CC 2023-29 was duly adopted by the City Council of the City of Covina at a regular meeting held on the 18th day of April, 2023, by the following vote:

AYES: COUNCIL MEMBERS:

NOES: COUNCIL MEMBERS:

ABSTAIN: COUNCIL MEMBERS:

ABSENT: COUNCIL MEMBERS:

Dated:
_______________________________________
FABIAN VELEZ, Deputy City Clerk

12923-0001\1917425v3.doc

PROFESSIONAL SERVICES AGREEMENT
This Professional Services Agreement (“Agreement”) is dated April 18, 2023 (“Effective Date”) and is between the City of Covina, a California municipal corporation (“City”) and Willdan Financial Services, a Corporation (“Consultant”). City and Consultant are sometimes individually referred to as “Party” and collectively as “Parties” in this Agreement.

RECITALS
A. City desires to utilize the services of Consultant as an independent contractor to perform services related to Special District Administration, Bond Disclosures, Arbitrage Reports, and Annexation Services.

B. Consultant represents that it is fully qualified to perform such services by virtue of its experience and the training, education and expertise of its principals and employees.

C. City desires to retain Consultant and Consultant desires to serve City to perform these services in accordance with the terms and conditions of this Agreement.

The parties therefore agree as follows:

1. Term of Agreement. The term of this Agreement shall be from the Effective Date through February 1, 2024 unless sooner terminated as provided in Section 14 of this Agreement.

2. Compensation.

A. Compensation. As full compensation for Consultant’s services provided under this Agreement, City shall pay Consultant a sum not to exceed Fifty-Nine Thousand Two Hundred Ninety-Five Dollars ($59,295) (the “maximum compensation”), based on the service rates set forth in the Approved Fee Schedule, attached hereto as Exhibit A for Fiscal Year 2022- 2023. In future fiscal years, a Consumer Price Index increase as notified by the Consultant to the City shall be applied to administration costs as set forth in Exhibit A and shall increase the maximum compensation by such amount. Any terms in Exhibit A, other than the payment rates and schedule of payment, are null and void.

B. Expenses. City shall only reimburse Consultant for those expenses expressly set forth in Exhibit A. In no event shall reimbursable expenses collectively exceed the total sum of Three Thousand Dollars ($3,000.00.)
C. Additional Services. City shall not allow any claims for additional services performed by Consultant, unless the City Council and the Consultant Representative authorize the additional services in writing prior to Consultant’s performance of the additional services or incurrence of additional expenses. Any additional services or expenses authorized by the City Council shall be compensated at the rates set forth in Exhibit A, or, if not specified, at a rate Attachment B

12923-0001\1917425v3.doc
mutually agreed to by the parties. City shall make payment for additional services and expenses in accordance with Section 4 of this Agreement.

3. Consultant’s Services.

A. Scope of Services. Consultant shall perform the services described in the Scope of Services, attached as Exhibit B. City may request, in writing, changes in the scope of services to be performed. Any changes mutually agreed upon by the parties, and any increase or decrease in compensation, shall be incorporated by written amendments to this Agreement.

B. Party Representatives. For the purposes of this Agreement, the City Representative shall be the City Manager, or such other person designated in writing by the City Manager (the “City Representative”). For the purposes of this Agreement, the Consultant Representative shall be Susana Hernandez, Senior Project Manager (the “Consultant Representative”). The Consultant Representative shall directly manage Consultant’s services under this Agreement. Consultant shall not change the Consultant Representative without City’s prior written consent.

C. Time for Performance. Consultant shall commence the services on the Effective Date and shall perform all services by the deadline established by the City Representative or, if no deadline is established, with reasonable diligence.

D. Standard of Performance. Consultant shall perform all services under this Agreement in accordance with the standard of care generally exercised by like professionals under similar circumstances and in a manner reasonably satisfactory to City.

E. Personnel. Consultant has, or will secure at its own expense, all personnel required to perform the services required under this Agreement. All of the services required under this Agreement shall be performed by Consultant or under its supervision, and all personnel engaged in the work shall be qualified to perform such services. Consultant shall determine the means, methods, and details by which Consultant’s personnel will perform the services under this Agreement.

Consultant shall be solely responsible for the satisfactory work performance of all personnel engaged in performing the services and compliance with the customary professional standards.

C. Compliance with Laws. The Consultant shall keep itself informed of all local, state and federal ordinances, laws and regulations which in any manner affect those employed by it or in any way affect the performance of its service pursuant to this Agreement. The Consultant shall at all times observe and comply with all such ordinances, laws and regulations.

The City and its agents shall not be liable at law or in equity occasioned by failure of the Consultant to comply with this section.

D. Permits and Licenses. Consultant shall obtain and maintain during the Agreement term all necessary licenses, permits and certificates required by law for the provision of services under this Agreement, including a business license.

12923-0001\1917425v3.doc

4. Method of Payment.

A. Invoices. Consultant shall submit to City an invoice, on a monthly basis or less frequently, for actual services performed pursuant to this Agreement. Each invoice shall itemize the services rendered during the billing period, hourly rates charged, if applicable, and the amount due. If City disputes any of Consultant's fees, it shall give written notice to Consultant within thirty (30) days of receipt of an invoice of any disputed fees set forth on the invoice.

B. Payment. City shall pay all undisputed invoice amounts within thirty (30) calendar days after receipt up to the maximum compensation set forth in Section 2 of this Agreement. City shall not withhold federal payroll, state payroll or other taxes, or other similar deductions, from payments made to Consultant. For all reimbursements authorized by this Agreement, Consultant shall provide receipts on all reimbursable expenses in excess of Fifty Dollars ($50) in such form as approved by the Finance Director.

C. Audit of Records. Consultant shall make all records, invoices, time cards, cost control sheets and other records maintained by Consultant in connection with this agreement available during Consultant’s regular working hours to City for review and audit by City.

5. Ownership of Documents. Upon completion of, or in the event of termination or suspension of this Agreement, all original documents, designs, drawings, maps, models, computer files containing data generated for the work, surveys, notes, and other documents prepared in the course of providing the services to be performed (“written products”) pursuant to this Agreement shall become the sole property of the City without restriction or limitation upon its use and may be used, reused, disseminated or otherwise disposed of by the City without the permission of the Consultant. With respect to computer files containing data generated for the work, Consultant shall make available to the City, upon reasonable written request by the City, the necessary computer software and hardware for purposes of accessing, compiling, transferring and printing computer files. Consultant may take and retain copies of the written products as desired, but the written products shall not be the subject of a copyright application by Consultant.

6. Independent Contractor.

A. Consultant is, and shall at all times remain as to City, a wholly independent contractor and not an employee of City. The personnel performing the services under this Agreement on behalf of Consultant shall also not be employees of City and shall at all times be under Consultant's exclusive direction and control. Consultant shall have no power to incur any debt, obligation, or liability on behalf of City. Neither City nor any of its agents shall have control over the conduct of Consultant or any of Consultant’s employees. Consultant shall not, at any time, or in any manner, represent that it or any of its officers, agents or employees are in any manner employees of City. Consultant and Consultant’s personnel shall not supervise any of City’s employees; and City’s employees shall not supervise Consultant’s personnel. Consultant’s personnel shall not wear or display any City uniform, badge, identification number, or other information identifying such individual as an employee of City; and Consultant’s personnel shall not use any City e-mail address or City telephone number in the performance of any of the services

12923-0001\1917425v3.doc
under this Agreement. Consultant shall acquire and maintain, at its sole cost and expense, such vehicles, equipment, and supplies as Consultant’s personnel require to perform any of the services required by this Agreement. Consultant shall perform the services off of City premises at locations of Consultant’s choice, except as otherwise may from time to time be necessary in order for Consultant’s personnel to receive projects from City, review plans on file at City, pick up or deliver any work product related to Consultant’s performance of the services under this Agreement, or as may be necessary to inspect or visit City locations and/or private property to perform the services.

City may make a computer available to Consultant from time to time for Consultant’s personnel to obtain information about or to check on the status of projects pertaining to the services under this Agreement.

B. No employee benefits shall be available to Consultant in connection with the performance of this Agreement. Except for the fees paid to Consultant as provided in the Agreement, City shall not pay salaries, wages, or other compensation to Consultant for performing services hereunder for City. City shall not be liable for compensation or indemnification to Consultant for injury or sickness arising out of performing services hereunder. Consultant shall be responsible for and pay all wages, salaries, benefits and other amounts due to Consultant’s personnel in connection with their performance of the services under this Agreement and as required by law. Consultant shall be responsible for all reports and obligations respecting such additional personnel, including, but not limited to: Social Security taxes, other retirement or pension benefits, income tax withholding, unemployment insurance, disability insurance, and workers' compensation insurance. Notwithstanding any other agency, state, or federal policy, rule, regulation, statute or ordinance to the contrary, Consultant and any of its officers, employees, agents, and subcontractors providing any of the services under this Agreement shall not become entitled to, and hereby waive any claims to, any wages, salaries, compensation, benefit or any incident of employment by City, including, but not limited to, eligibility to enroll in, or reinstate to membership in, the California Public Employees Retirement System (“PERS”) as an employee of City, and entitlement to any contribution to be paid by City for employer contributions or employee contributions for PERS benefits.

C. Consultant shall indemnify and hold harmless City and its elected officials, officers, employees, servants, designated volunteers, and agents serving as independent contractors in the role of City officials, from any and all liability, damages, claims, costs, and expenses of any nature to the extent arising from, caused by, or relating to Consultant’s personnel practices. or to the extent arising from, caused by, or relating to the violation of any of the provisions of this Section

6. In addition to all other remedies available under law, City shall have the right to offset against the amount of any fees due to Consultant under this Agreement any amount due to City from Consultant as a result of Consultant’s failure to promptly pay to City any reimbursement or indemnification arising under this Section 6. This duty of indemnification is in addition to Consultant’s duty to defend, indemnify, and hold harmless as set forth in any other provision of this Agreement.

7. PERS Compliance and Indemnification.

12923-0001\1917425v3.doc
A. General Requirements. The parties acknowledge that City is a local agency member of PERS, and as such has certain pension reporting and contribution obligations to PERS on behalf of qualifying employees. Consultant agrees that, in providing its employees and any other personnel to City to perform the services under this Agreement, Consultant shall assure compliance with the Public Employees’ Retirement Law, commencing at Government Code Section 20000, the regulations of PERS, and the Public Employees’ Pension Reform Act of 2013, as amended. Without limitation to the foregoing, Consultant shall assure compliance with regard to personnel who have active or inactive membership in PERS and to those who are retired annuitants and in performing this Agreement shall not assign or utilize any of its personnel in a manner that will cause City to be in violation of the applicable retirement laws and regulations.

B. Indemnification. Consultant shall defend (with legal counsel approved by City, whose approval shall not be unreasonably withheld), indemnify, and hold harmless City, and its City and its elected officials, officers, employees, servants, designated volunteers, and agents serving as independent contractors in the role of City officials, from any and all liability, damages, claims, costs, and expenses of any nature to the extent arising from, caused by, or relating to Consultant’s violation of any provisions of this Section 7. This duty of indemnification is in addition to Consultant’s duty to defend, indemnify, and hold harmless as set forth in any other provision of this Agreement.

8. Confidentiality. All data, documents, discussion, or other information (collectively “data”) developed or received by Consultant or provided for performance of this Agreement are deemed confidential. Consultant shall keep all data confidential and shall not disclose any data to any person or entity without City’s prior written consent. City shall grant such consent if disclosure is legally required. Consultant shall return all data to City upon the expiration or termination of this Agreement. Consultant’s covenant under this Section 8 shall survive the expiration or termination of this Agreement.

9. Conflicts of Interest. Consultant and its officers, employees, associates and subcontractors, if any, shall comply with all conflict of interest statutes of the State of California applicable to Consultant’s services under this Agreement, including the Political Reform Act (Gov.

Code, § 81000 et seq.) and Government Code Section 1090. During the term of this Agreement, Consultant may perform similar services for other clients, but Consultant and its officers, employees, associates and subcontractors shall not, without the City Representative’s prior written approval, perform work for another person or entity for whom Consultant is not currently performing work that would require Consultant or one of its officers, employees, associates or subcontractors to abstain from a decision under this Agreement pursuant to a conflict of interest statute. Consultant shall incorporate a clause substantially similar to this Section 9 into any subcontract that Consultant executes in connection with the performance of this Agreement.

10. Indemnification.

A. Indemnity for Design Professional Services. To the fullest extent permitted by law, Consultant shall, at its sole cost and expense, protect, indemnify and hold harmless City and

12923-0001\1917425v3.doc
its elected officials, officers, attorneys, agents, employees, designated volunteers, successors, assigns and those City agents serving as independent contractors in the role of City officials (collectively “Indemnitees”), from and against any and all damages, costs, expenses, liabilities, claims, demands, causes of action, proceedings, judgments, penalties, liens and losses of any nature whatsoever, including fees of accountants, attorneys or other professionals, and all costs associated therewith, and reimbursement of attorney’s fees and costs of defense (collectively “Liabilities”), whether actual, alleged or threatened, which arise out of, are claimed to arise out of, pertain to, or relate to, in whole or in part, the negligence, recklessness or willful misconduct of Consultant, its officers, agents, servants, employees, subcontractors, material men, contractors or their officers, agents, servants or employees (or any entity or individual that Consultant shall bear the legal liability thereof) in the performance of design professional services under this Agreement by a “design professional,” as the term is defined under California Civil Code Section 2782.8(c)(2).

B. Other Indemnities.
1) Other than in the performance of design professional services, and to the fullest extent permitted by law, Consultant shall, at its sole cost and expense, defend, hold harmless and indemnify the Indemnitees from and against any and all damages, costs, expenses, liabilities, claims, demands, causes of action, proceedings, judgments, penalties, liens and losses of any nature whatsoever, including fees of accountants, attorneys or other professionals, and all costs associated therewith, and the payment of all consequential damages (collectively “Claims”), in law or equity, whether actual, alleged or threatened, which arise out of, are claimed to arise out of, pertain to, or relate to the acts or omissions of Consultant, its officers, agents, servants, employees, subcontractors, materialmen, contractors or their officers, agents, servants or employees (or any entity or individual that Consultant shall bear the legal liability thereof) in the performance of this Agreement, including the Indemnitees’ active or passive negligence, except for Claims arising from the sole negligence or willful misconduct of the Indemnitees, as determined by final arbitration or court decision or by the agreement of the parties. Consultant shall defend the Indemnitees in any action or actions filed in connection with any Claim with counsel of the Indemnitees’ choice, and shall pay all costs and expenses, including all attorneys’ fees and experts’ costs actually incurred in connection with such defense. Consultant shall reimburse the Indemnitees for any and all legal expenses and costs incurred by the Indemnitees in connection therewith.
2) Consultant shall pay all required taxes on amounts paid to Consultant under this Agreement, and indemnify and hold City harmless from any and all taxes, assessments, penalties, and interest asserted against City by reason of the independent contractor relationship created by this Agreement. Consultant shall fully comply with the workers’ compensation law regarding Consultant and Consultant’s employees. Consultant shall indemnify and hold City harmless from any failure of Consultant to comply with applicable workers’ compensation laws.

City may offset against the amount of any fees due to Consultant under this Agreement any amount due to City from Consultant as a result of Consultant’s failure to promptly pay to City any reimbursement or indemnification arising under this Subparagraph B. 2).