and the parties agree that this indemnity provision will apply and will be enforceable regardless of whether Section 895 et seq. is deemed to apply to this Agreement. The parties hereto, as between themselves, consistent with the authorization contained in Government Code Sections 895.4 and 895.6 agree to each assume the full liability imposed upon it or upon any of its officers, agents, or employees by law, for injury caused by a negligent or wrongful act or omission occurring in the performance of this Agreement, to the same extent that such liability would be imposed in the absence of Government Code Section 895.2.
To achieve the above-stated purpose, each party agrees to indemnify and hold harmless the other party for any liability arising out of its own negligent acts or omissions in the performance of this Agreement (i.e., the Subrecipient agrees to indemnify and hold harmless the County of Los Angeles for liability arising out of the Subrecipient's negligent or wrongful acts or omissions and the County of Los Angeles agrees to indemnify and hold harmless the Subrecipient for liability arising out of the County of Los Angeles' negligent or wrongful acts or omissions). Each party further agrees to indemnify and hold harmless the other party for liability that is imposed on the other party solely by virtue of Government Code Section 895.2. The provisions of Section 2778 of the California Civil Code are made a part hereof as if fully set forth herein. Subrecipient certifies that it has adequate self-insured retention of funds to meet any obligation arising from this Agreement.
§409. Conflict of Interest
A. The Subrecipient covenants that none of its directors, officers, employees, or agents may participate in selecting, or administrating, any subcontract supported (in whole or in part) by Federal funds where such person is a director, officer, employee or agent of the subcontractor; or where the selection of subcontractors is or has the appearance of being motivated by a desire for personal gain for themselves or others such as family business, etc.; or where such person knows or should have known that:
1. A member of such person's immediate family, or domestic partner or organization has a financial interest in the subcontract;
2. The subcontractor is someone with whom such person has or is negotiating any prospective employment; or
3. The participation of such person would be prohibited by the California Political Reform Act, California Government Code §87100 et seq. if such person were a public officer, because such person would have a "financial or other interest" in the subcontract.
B. Definitions:
1. The term "immediate family" means domestic partner and/or those persons related by blood or marriage, such as husband, wife, father,
mother, brother, sister, son, daughter, father in law, mother in law, brother in law, sister in law, son in law, daughter in law.
2. The term "financial or other interest" means:
a. Any direct or indirect financial interest in the specific contract, including but not limited to, a commission or fee, a share of the proceeds, prospect of a promotion or of future employment, a profit, or any other form of financial reward.
b. Any of the following interests in the subcontractor ownership:
partnership interest or other beneficial interest of five percent or more; ownership of five percent or more of the stock; employment in a managerial capacity; or membership on the board of directors or governing body.
C. The Subrecipient further covenants that no officer, director, employee, or agent may solicit or accept gratuities, favors, or anything of monetary value from any actual or potential subcontractor, supplier, a party to a sub agreement, (or persons who are otherwise in a position to benefit from the actions of any officer, employee, or agent).
D. The Subrecipient may not subcontract with a former director, officer, or employee within a one-year period following the termination of the relationship between said person and the Subrecipient.
E. Prior to obtaining the County of Los Angeles' approval of any subcontract, the Subrecipient must disclose to the County of Los Angeles any relationship, financial or otherwise, direct or indirect, of the Sub recipient or any of its officers, directors or employees or their immediate family with the proposed subcontractor and its officers, directors or employees.
F. For further clarification of the meaning of any of the terms used herein, the parties agree that references are made to the guidelines, rules, and laws of the County of Los Angeles, State of California, and Federal regulations regarding conflict of interest.
G. The Subrecipient warrants that it has not paid or given and will not pay or give to any third person any money or other consideration for obtaining this Agreement.
H. The Subrecipient covenants that no member, officer or employee of Subrecipient may have interest, direct or indirect, in any contract or subcontract or the proceeds thereof for work to be performed in connection with this project during his/her tenure as such employee, member or officer or for one year thereafter.
I. The Subrecipient must incorporate the foregoing subsections of this Section into every agreement that it enters into in connection with this grant and must
substitute the term "subcontractor" for the term "Subrecipient" and "sub subcontractor" for "Subcontractor".
§410. Restriction on Disclosures
Any reports, analyses, studies, drawings, information, or data generated as a result of this Agreement are to be governed by the California Public Records Act (California Government Code Sec. 6250 et seq.).
§411. Statutes and Regulations Applicable To All Grant Contracts A. Subrecipient must comply with all applicable requirements of State, Federal, and County of Los Angeles laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this Agreement. Subrecipient must comply with applicable State and Federal laws and regulations pertaining to labor, wages, hours, and other conditions of employment. Subrecipient must comply with new, amended, or revised laws, regulations, and/or procedures that apply to the performance of this Agreement.
These requirements include, but are not limited to:
1. CFR
Subrecipient must comply with Title 2 CFR Part 200.
2. Single Audit Act
Since Federal funds are used in the performance of this Agreement, Subrecipient must, as applicable, adhere to the rules and regulations of the Single Audit Act (31 USC Sec. 7501 et seq.), 2 CFR Part 200 and any administrative regulation or field memos implementing the Act.
3. Americans with Disabilities Act
Subrecipient hereby certifies that, as applicable, it will comply with the Americans with Disabilities Act 42, USC §§12101 et seq., and its implementing regulations. Subrecipient will provide reasonable accommodations to allow qualified individuals with disabilities to have access to and to participate in its programs, services and activities in accordance with the provisions of the Americans with Disabilities Act.
Subrecipient will not discriminate against persons with disabilities nor against persons due to their relationship to or association with a person with a disability. Any subcontract entered into by Subrecipient, relating to this Agreement, to the extent allowed hereunder, will be subject to the provisions of this paragraph.
4. Political and Sectarian Activity Prohibited
None of the funds, materials, property or services provided directly or indirectly under this Agreement may be used for any partisan political activity, or to further the election or defeat of any candidate for public office. Neither may any funds provided under this Agreement be used for any purpose designed to support or defeat any pending legislation or administrative regulation. None of the funds provided pursuant to this Agreement may be used for any sectarian purpose or to support or benefit any sectarian activity.
Subrecipient must file a Disclosure Form at the end of each calendar quarter in which there occurs any event requiring disclosure or which materially affects the accuracy of any of the information contained in any Disclosure Form previously filed by Subrecipient. Subrecipient must require that the language of this Certification be included in the award documents for all sub-awards at all tiers and that all subcontractors certify and disclose accordingly.
5. Records Inspection
At any time during normal business hours and as often as either the County of Los Angeles, the U.S. Comptroller General or the Auditor General of the State of California may deem necessary, Sub recipient must make available for examination all of its records with respect to all matters covered by this Agreement. The County of Los Angeles, the U.S.
Comptroller General and the Auditor General of the State of California have the authority to audit, examine and make excerpts or transcripts from records, including all Subrecipient's method of procurement, invoices, materials, payrolls, records of personnel, conditions of employment and other data relating to all matters covered by this Agreement.
Subrecipient agrees to provide any reports requested by the County of Los Angeles regarding performance of this Agreement.
6. Records Maintenance
Records, in their original form, must be maintained in accordance with requirements prescribed by the County of Los Angeles with respect to all matters specified in this Agreement. Original forms are to be maintained on file for all documents specified in this Agreement. Such records must be retained for a period five (5) years after termination of this Agreement and after final disposition of all pending matters. "Pending matters" include, but are not limited to, an audit, litigation or other actions involving records. The County of Los Angeles may, at its discretion, take possession of, retain and audit said records. Records, in their original form pertaining to matters covered by this Agreement, must at all times be retained within the County of Los Angeles unless authorization to remove them is granted in writing by the County of Los Angeles.
7. Subcontracts and Procurement
Subrecipient must, as applicable, comply with the Federal, State and County of Los Angeles standards in the award of any subcontracts. For purposes of this Agreement, subcontracts include but are not limited to purchase agreements, rental or lease agreements, third party agreements, consultant service contracts and construction subcontracts.
Subrecipient must, as applicable, ensure that the terms of this Agreement with the County of Los Angeles are incorporated into all Subcontractor agreements. The Subrecipient must submit all Subcontractor agreements to the County of Los Angeles for review prior to the release of any funds to the Subcontractor. The Subrecipient must withhold funds to any Subcontractor agency that fails to comply with the terms and conditions of this Agreement and their respective Subcontractor agreement.
8. Labor
Subrecipient must, as applicable, comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§4728-4763) relating to prescribed requirements for merit systems for programs funded under one of the 19 statutes or regulations specified in Appendix A of OPM's Standards for a Merit System Personnel Administration (5 CFR 900, Subpart F).
Subrecipient must, as applicable, comply with the provisions of the DavisBacon Act (40 U.S.C. §§276a to 276a-7); the Copeland Act (40 U.S.C. §276c and 18 U.S.C. §874); the Contract Work Hours and Safety Standards Act (40 U.S.C. §§327-333), regarding labor standards for federally-assisted construction subagreements; and the Hatch Act (5 USC §§1501-1508 and 7324-7328).
Subrecipient must, as applicable, comply with the Federal Fair Labor Standards Act (29 U.S.C. §201) regarding wages and hours of employment.
None of the funds rnay be used to promote or deter union/labor organizing activities. CA Gov't Code Sec. 16645 et seq.
9. Civil Rights
Subrecipient must, as applicable, comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352), which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§1681-1683, and 1685- 1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794), which prohibits discrimination on the basis of disabilities; (d) the Age
Discrimination Act of 1975, as amended (42 U.S.C. §§6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) §§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee 3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to non-discrimination in the sale, rental or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; Ul the requirements of any other nondiscrimination statute(s) that may apply to the application; and (k) P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance.
10. Environmental
Subrecipient must, as applicable, comply, or has already complied, with the requirements of Titles II and Ill of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646), which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally-assisted programs.
These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases.
Subrecipient must, as applicable, comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401 et seq.); (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended (P.L. 93- 523); (h) protection of endangered species under the Endangered Species Act of 1973, as amended (P .L. 93205); and (i) Flood Disaster Protection Act of 1973 §102(a) (P.L. 93-234).
Subrecipient must, as applicable, comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system.
Subrecipient must, as applicable, comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. §§4801 et seq.), which prohibits the use of lead-based paint in construction or rehabilitation of residence structures.
Subrecipient must, as applicable, comply with the Federal Water Pollution Control Act (33 U.S.C. §1251 et seq.), which restores and maintains the chemical, physical and biological integrity of the Nation's waters.
Subrecipient must, as applicable, ensure that the facilities under its ownership, lease or supervision that are utilized in the accomplishment of this project are not listed in the Environmental Protection Agency's (EPA) list of Violating Facilities and that it will notify the Federal Grantor agency of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under consideration for listing by the EPA.
By signing this Agreement, Subrecipient warrants and represents that it will, as applicable, comply with the California Environmental Quality Act (CEQA), Public Resources Code §21000 et seq.
Subrecipient must, as applicable, comply with the Energy Policy and Conservation Act (P.L. 94-163, 89 Stat. 871 ).
Subrecipient must, as applicable, comply with the provision of the Coastal Barrier Resources Act (P.L. 97-348) dated October 19, 1982 (16 U.S.C. 3501 et. seq.) which prohibits the expenditure of most new Federal funds within the units of the Coastal Barrier Resources System.
11. Preservation
Subrecipient must, as applicable, comply with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §§469a-1 et seq.).
12. Suspension, Debarment, Ineligibility and Voluntary Exclusion Subrecipient must, as applicable, comply with Title 2 CFR Part §3000, regarding Suspension and Debarment, and Subrecipient must submit a Certification Regarding Debarment, attached hereto as Exhibit B, required by Executive Order 12549 and any amendment thereto. Said Certification must be submitted to the County of Los Angeles concurrent with the
execution of this Agreement and must certify that neither Subrecipient nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from participation in this transaction by any Federal department head or agency. Subrecipient must require that the language of this Certification be included in the award documents for all sub-award at all tiers and that all subcontractors certify accordingly.
13. Drug-Free Workplace
Subrecipient must, as applicable, comply with the federal Drug-Free Workplace Act of 1988, 41 USC §701, Title 44 Code of Federal Regulations (CFR) Part §17; the California Drug-Free Workplace Act of 1990, CA Gov't Code §§8350-8357, and Subrecipient must complete the Certification Regarding Drug-Free Workplace Requirements, attached hereto as Exhibit C, and incorporated herein by reference. Subrecipient must require that the language of this Certification be included in the award documents for all sub-award at all tiers and that all subcontractors certify accordingly.
14. Lobbying Activities
Subrecipient must, as applicable, comply with 31 U.S.C.1352 and complete the Disclosure of Lobbying Activities, (OMB 0038-0046), attached hereto as Exhibit A, and incorporated herein by reference.
15. Miscellaneous
Subrecipient must, as applicable, comply with the Laboratory Animal Welfare Act of 1966, as amended (P.L. 89-544, 7 USC §§2131 et seq.).
B. Statutes and Regulations Applicable To This Particular Grant Agreement Subrecipient must comply with all applicable requirements of State and Federal laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this particular grant program.
Subrecipient must, as applicable, comply with new, amended, or revised laws, regulations, and/or procedures that apply to the performance of this Agreement.
These requirements include, but are not limited to:
Title 2 CFR Part 200; EO 12372; U.S. Department of Homeland Security, Office of State and Local Government Coordination and Preparedness, Office for Domestic Preparedness, ODP WMD Training Course Catalogue; and DOJ Office for Civil Rights.
Standardized Emergency Management System (SEMS) requirements as stated in the California Emergency Services Act, Government Code Chapter 7 of Division 1 of Title 2, §8607 .1 ( e) and CCR Title 19, §§2445-2448.
Provisions of Title 2, 6, 28, 44 CFR applicable to grants and cooperative agreements, including Part 18, Administrative Review Procedures; Part 20, Criminal Justice Information Systems; Part 22, Confidentiality of Identifiable Research and Statistical Information; Part 23, Criminal Intelligence Systems Operating Policies; Part 30, Intergovernmental Review of Department of Justice Programs and Activities; Part 35, Nondiscrimination on the Basis of Disability in State and Local Government Services; Part 38, Equal Treatment of Faith-based Organizations; Part 42, Nondiscrimination/Equal Employment Opportunities Policies and Procedures; Part 61, Procedures for Implementing the National Environmental Policy Act; Part 63, Floodplain Management and Wetland Protection Procedures; Part 64, Floodplain Management and Wetland Protection Procedures; Federal laws or regulations applicable to Federal Assistance Programs; Part 69, New Restrictions on Lobbying; Part 70, Uniform Administrative Requirements for Grants and Cooperative Agreements (including sub-awards) with Institutions of Higher Learning, Hospitals and other Non-Profit Organizations; and Part 83, Government-Wide Requirements for a Drug Free Workplace (grants).
Nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789(d), or the Juvenile Justice and Delinquency Prevention Act, or the Victims of Crime Act, as appropriate; the provisions of the current edition of the Office of Justice Programs Financial and Administrative Guide for Grants, M7100.1, and all other applicable Federal laws, orders, circulars, or regulations.
1. Travel Expenses
Subrecipient, as provided herein, will be compensated for Subrecipient's reasonable travel expenses incurred in the performance of this Agreement, to include travel and per diem, unless otherwise expressed.
Subrecipient's total travel for in-State and/or out-of-State and per diem costs must be included in the contract budget(s). All travel, including outof-State travel, that is not included in the budget(s) will not be reimbursed without prior written authorization from the County of Los Angeles.
Subrecipient's administrative-related travel and per diem reimbursement costs will not be reimbursed. For programmatic-related travel costs, Subrecipient's reimbursement rates may not exceed the amounts established under the grant.
C. Compliance With Grant Requirements
To obtain the grant funds, the State required an authorized representative of the County of Los Angeles to sign certain promises regarding the way the grant funds would be spent. These requirements are included in Exhibit F and in the State's "Grant Assurances". By signing these Grant Assurances and accepting Exhibit F, the County of Los Angeles became liable to the State for any funds
that are used in violation of the grant requirements. The State's Grant Assurances are incorporated into this Agreement through Exhibit D.
Subrecipient will be liable to the Grantor for any funds the State determines the Subrecipient used in violation of these Grant Assurances.
Pursuant to this Agreement, Subrecipient shall execute the 2020 Certification of Grant Assurances in Exhibit D, accepting and agreeing to abide by all provisions, assurances, and requirements therein. Subrecipient agrees to indemnify and hold harmless the County of Los Angeles for any sums the State or Federal government determines Subrecipient used in violation of the Grant Assurances.
To the extent Exhibit D conflicts with language or provisions contained in this Agreement, or contains more restrictive requirements under Federal and State law, Exhibit D shall control.
D. Noncompliance With Grant Requirements
Subrecipient understands that failure to comply with any of the above assurances and requirements, including Exhibit D, may result in suspension, termination or reduction of grant funds, and repayment by the Subrecipient to the County of Los Angeles of any unauthorized expenditures. §412. Federal, State and Local Taxes
Federal, State and local taxes are the responsibility of the Subrecipient as an independent party and not of the County of Los Angeles and must be paid prior to requesting reimbursement. However, these taxes are an allowable expense under the grant program.
§413. Inventions, Patents and Copyrights
A. Reporting Procedure for Inventions
If any project produces any invention or discovery ("Invention") patentable or otherwise under Title 35 of the U.S. Code, including, without limitation, processes and business methods made in the course of work under this Agreement, the Subrecipient must report the fact and disclose the Invention promptly and fully to the County of Los Angeles. The County of Los Angeles will report the fact and disclose the Invention to the State. Unless there is a prior agreement between the County of Los Angeles and the State, the State will determine whether to seek protection on the Invention. The State will determine how the rights in the Invention, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the policy ("Policy") embodied in the Federal Acquisition Regulations System, which is based on Ch. 18 of Title 35 U.S.C. Sections 200 et seq. (Pub. L. 95-517, Pub. L. 98-620, Title 37 CFR Part 401 ); Presidential Memorandum on Government Patent Policy to the Heads of the Executive Departments and Agencies, dated
2/18/1983); and Executive Order 12591, 4/10/87, 52 FR 13414, Title 3 CFR, 1987 Comp., p. 220 (as amended by Executive Order 12618, 12/22/87, 52 FR 48661, Title 3 CFR, 1987 Comp., p. 262). Subrecipient hereby agrees to be bound by the Policy, and will contractually require its personnel to be bound by the Policy.
B. Rights to Use Inventions
As applicable, County of Los Angeles will have an unencumbered right, and a non-exclusive, irrevocable, royalty-free license to use, manufacture, improve upon, and allow others to do so for all government purposes, any Invention developed under this Agreement.
C. Copyright Policy
1. Unless otherwise provided by the State or the terms of this Agreement, when copyrightable material ("Material") is developed under this Agreement, the County of Los Angeles, at its discretion, may copyright the Material. If the County of Los Angeles declines to copyright the Material, the County of Los Angeles will have an unencumbered right, and a nonexclusive, irrevocable, royalty-free license, to use, manufacture, improve upon, and allow others to do so for all government purposes, any Material developed under this Agreement.
2. The State will have an unencumbered right, and a non-exclusive, irrevocable, royalty-free license, to use, manufacture, improve upon, and allow others to do so for all government purposes, any Material developed under this Agreement or any Copyright purchased under this Agreement.
3. Subrecipient must comply with Title 24 CFR 85.34.
D. Rights to Data
The State and the County of Los Angeles will have unlimited rights or copyright license to any data first produced or delivered under this Agreement. "Unlimited rights" means the right to use, disclose, reproduce, prepare derivative works, distribute copies to the public, and perform and display publicly, or permit others to do so; as required by Title 48 CFR 27.401. Where the data are not first produced under this Agreement or are published copyrighted data with the notice of 17 U.S.C. Section 401 or402, the State acquires the data under a copyright license as set forth in Title 48 CFR 27.404(f)(2) instead of unlimited rights. (Title 48 CFR 27.404(a)).
E. Obligations Binding on Subcontractors
Subrecipient must require all subcontractors to comply with the obligations of this section by incorporating the terms of this section into all subcontracts.
§414. Child Support Assignment Orders
Under the terms of this Agreement, Subrecipient must, as applicable, comply with California Family Code Section 5230 et seq.
§415. Minority, Women, And Other Business Enterprise Outreach Program It is the policy of the County of Los Angeles to provide Minority Business Enterprises, Women Business Enterprises and all other business enterprises an equal opportunity to participate in the performance of all Subrecipient's contracts, including procurement, construction and personal services. This policy applies to all of the Subrecipient's contractors and sub-contractors. §416. Compliance with Fair Chance Employment Practices
Subrecipient shall comply with fair chance employment hiring practices set forth in California Government Code Section 12952, Employment Discrimination:
Conviction History. Subrecipient's violation of this paragraph of the Agreement t may constitute a material breach of the Agreement. In the event of such material breach, County of Los Angeles may, in its sole discretion, terminate the Agreement.
§417. Method of Payment and Required Information
The County of Los Angles may, at its sole discretion, determine the most appropriate, efficient, secure, and timely form of payment provided under this Agreement. Subrecipient further agrees that the default form of payment shall be Electronic Funds Transfer (EFT) or Direct Deposit, unless an alternative method of payment is deemed appropriate by the A-C.
Subrecipient shall provide the A-C with electronic banking and related information for the Subrecipient and/or any other payee that the Subrecipient designates to receive payment pursuant to this Agreement at https://directdeposit.lacounty.gov/. Such electronic banking and related information includes, but is not limited to: bank account number and routing number, legal business name, valid taxpayer identification number or TIN, a working e-mail address capable of receiving remittance advices and other payment related correspondence, and any other information that the A-C determines is reasonably necessary to process the payment and comply with all accounting, record keeping, and tax reporting requirements.
Any provision of law, grant, or funding agreement requiring a specific form or method of payment other than EFT or Direct Deposit shall supersede this requirement with respect to those payments. At any time during the duration of this Agreement, the Subrecipient may submit a written request for an exemption
to this requirement and must be based on specific legal, business or operational needs and explain why the payment method designated by the A-C is not feasible and an alternative is necessary. The A-C, in consultation with CEO, shall decide whether to approve exemption requests.
SECTIONV
DEFAULTS, SUSPENSION, TERMINATION, AND AMENDMENTS
§501. Defaults
Should either party fail for any reason to comply with the contractual obligations of this Agreement within the time specified by this Agreement, the non-breaching party reserves the right to terminate the Agreement, reserving all rights under State and Federal law.
§502. Termination
This Agreement may be terminated, in whole or in part, from time to time, when such action is deemed by the County of Los Angeles, in its sole discretion, to be in its best interest. Termination of work hereunder shall be effected by notice of termination to the Subrecipient specifying the extent to which performance of work is terminated and the date upon which such termination becomes effective.
The date upon which such termination becomes effective shall be no less than ten (10) days after the notice is sent.
§503.Amendments
Except as otherwise provided in this paragraph, any change in the terms of this Agreement, including changes in the services to be performed by Subrecipient, that are agreed to by the Subrecipient and the County of Los Angeles must be incorporated into this Agreement by a written amendment properly signed by persons who are authorized to bind the parties. Notwithstanding the foregoing, any increase or decrease of the grant amount specified in §301.A., above, or any extension of the performance period specified in §201, above, does not require a written amendment, but may be effectuated by a written notification by the County of Los Angeles to the Subrecipient.
SECTION VI
ENTIRE AGREEMENT
§601. Complete Agreement
This Agreement contains the full and complete Agreement between the two parties. Neither verbal agreement nor conversation or other communication with any officer or employee of either party will affect or modify any of the terms and conditions of this Agreement.
§602. Number of Pages and Attachments
This Agreement may be executed utilizing wet, scanned digital, and electronic signatures, each of which is deemed to be an original. This Agreement includes (26) pages and (8) Exhibits which constitute the entire understanding and agreement of the parties.
[Remainder of this page intentionally left blank]
IN WITNESS WHEREOF, the Subrecipient and County of Los Angeles have caused this Agreement to be executed by their duly authorized representatives.
COUNTY OF LOS ANGELES
BY~--~~~-----~~~~~~~~~~~~~~~~~~~~
FESIAA. DAVENPORT Date
Chief Executive Officer
BY ~C~E~Ll~A~Z~A~V~A~L~A~~~~~~-
BY A~R~L~E=N~E~BA~R~R~E=R~A,--~~~-
Ex ecutiv e Officer, Board of Supervisors
APPROVED AS TO FORM
RODRIGO A. CASTRO-SILVA
County Counsel
BY ~~~~~~~~~~~
Deputy County Counsel
APPROVED AS TO FORM
City Attorney (Signature)
ATTEST
Aud itor-Controller
(Print Name)
BY~~~~~~~~~~~~--~~~~~~~~~~
City Clerk (Signature) (Print Name)
Date
Date
Exhibit A
Exhibit B
Exhibit C
Exhibit D
Exhibit E
Exhibit F
Exhibit G
Exhibit H
EXHIBITS
Certification and Disclosure Regarding Lobbying
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions
Certification Regarding Drug-Free Workplace
Certification of Grant Assurances
Final Grant Award Letter and Project Worksheet
2020 Notice of Funding Opportunity
Reimbursement Form and Instructions
Monitoring Instrument
EXHIBIT A
Cal OES 2-232
Approved by OMB 0348-0046
INSTRUCTIONS FOR COMPLETION OF SF-LLL,
DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether sub-awardee or prime Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to Title 31 U.S.C. Section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action. Use the SF-LLL-A Continuation Sheet for additional information if the space on the form is inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If this is a follow-up report caused by a material change to the information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal action.
4. Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District, if known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or sub-award recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants.
5. If the organization filing the report in item 4 checks "Subawardee," then enter the full name, address, city, state and zip code of the prime Federal recipient. Include Congressional District, if known.
6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational level below agency name, if known. For example, Department of Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments.
8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB) number; sub-grant announcement number; the contract, subgrant, or loan award number; the application/proposal control number assigned by the Federal agency). Include prefixes, e.g.,"RFP-DE-90-001."
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5.
Disclosure of Lobbying Activities - Cal OES 2-232 (Revised 7/8/2013)
EXHIBIT A
Cal OES 2-232
Approved by OMB 0348-0046
10. (a.) Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity identified in item 4 to influence the covered Federal action. {b.) Enterthe full names of the individual{s) performing services, and include full address if different from 10 (a). Enter Last Name, First Name, and Middle Initial (Ml).
11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the lobbying entity (item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is a material change report, enter the cumulative amount of payment made or planned to be made.
12. Check the appropriate box( es). Check all boxes that apply. If payment is made through an inkind contribution, specify the nature and value of the in-kind payment.
13. Check the appropriate box( es). Check all boxes that apply. If other, specify nature.
14. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to perform, and the date(s) of any services rendered. Include all preparatory and related activity, not just time spent in actual contact with Federal officials. Identify the Federal official(s) or employee(s) contacted or the officer(s), employee(s), or Member(s) of Congress that were contacted.
15. Check whether or not a SF-LLL-A Continuation Sheet(s) is attached.
16. The certifying official shall sign and date the form, print his/her name, title, and telephone number.
Public reporting burden for this collection of information is estimated to average 30 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington, D.C. 20503.
Disclosure of Lobbying Activities -Cal OES 2-232 (Revised 71812013)
EXHIBIT A
Cal OES 2-232
Approved by OMB 0348-0046
DISCLOSURE OF LOBBYING ACTIVITIES
Comolete this form to disclose lobbvina activities oursuant to 3 1US .c. 1352
1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type:
0 a. contract ~ a. bid/offer/application 0a. initial filing b. grant b. initial award b. material change
c. cooperative agreement c. post-award For Material Change Only: d. loan e. loan guarantee Year Quarter
f. loan insurance date of last report
4. Name and Address of Reporting Entity: 5. If Reporting Entity in No. 4 is Subawardee, Enter Name and Address of Prime:
,( i Subawardee
County of Los Angeles
Prime Chief Executive Office
500 West Temple Street, Room B-79-2
Tier, If known: Los Angeles, CA 90012
Congressional District, if known: Congressional District, if known:
6. Federal Department/Agency: 7. Federal Program Name/Description:
Department of Homeland Security Homeland Security Grant Program CFDA Number, if applicable: 97.067
8. Federal Action Number, if known: 9. Award Amount, if known:
10. a. Name and Address of Lobbying Entity b. Individuals Performing Setvices (If Individual, last name, first name, Ml): (last name, first name, Ml - Include address if different from 10a) (attach Continuation Sheet(s) SF-LLL-A, if necessary)
11. Amount of Payment {check all that apply) : 13. Type of Payment (check all that apply):
[ Actual I Planned a. retainer
12. Form of Payment {check all that apply): b. one~time fee a. cash c. commission
b. in-kind; specify: d. contingent fee
e. deferred
nature value f. other; specify:
14. Brief Description of Services Performed or to be Performed and Date{s) of Service, Including officer{s), employee{s), or Member{s) contacted, for Payment indicated In item 11: (attach Continuation Sheet(s) SF-lll-A, If necessary)
15. Continuation Sheet{s) SF-LLL-A attached: i.J Yes ,!) No
16. Information requested through this form is authorized by Title 31 U.S.C. Section 1352. Signature:/~· (i i.--v-') This disclosure of lobbying activities is a material representation of fact upon which Name: "f c,, .... ( .r ""-h A. //17,; tr,.,,.rt =1 reliance was placed by the tier above when this transaction was made or entered into.
Title: c.-+..., t·i..z.:.... .,_.,, 4 Ci e. r- This disclosure is required pursuant to 31 U.S.C. 1352. This information will be reported to the Congress semi-annually and will be available for public inspection. Any Telephone: G L<O L.( ;; D "'2 'L- l !>:' person who falls to file the required disclosure shall be subject to a civil penalty of not (area code) less than $10,000 and not more than $100,000 for each such failure. Date: I /n::;;/Z3 Federal Use Only: Authorized for Local Reproduction
Standard Form - LLL
Disclosure of Lobbying Activities - Cal OES 2-232 (Revised 7/8/2013)
DISCLOSURE OF LOBBYING ACTIVITIES
CONCONTINUATION SHEET
Continuation of 10 a-b: additional sheets may be added if necessary Reporting Entity:
Last Name First Name
Address City
Last Name First Name
Address City
Last Name First Name
Address City
Last Name First Name
Address City
Continuation of 14: (additional sheets may be added if necessary) Brief Description of Services and Payments indicated in item 11:
Authorized for Local Reproduction
Standard Form - LLL-A
Disclosure of Lobbying Activities - Cal OES 2-232 (Revised 7/8/2013)
EXHIBIT A
Approved by OMB 0348-0046
Ml
Zip
Ml
Zip
Ml
Zip
Ml
Zip
CERTIFICATION REGARDING
DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION
LOWER TIER COVERED TRANSACTIONS
This certification is required by the regulations Implementing Executive Order 12549, Debarment and Suspension, 24 CFR Part 24 Section 24.510, Participants' responsibilities.
(READ ATTACHED INSTRUCTIONS FOR CERTIFICATION BEFORE
COMPLETING)
EXHIBITS
1. The prospective recipient of Federal assistance funds certifies that neither it nor its prlncipals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency.
2. Where the prospective recipient of Federal assistance funds is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.
AGREEMENT NUMBER
CONTRACTOR/BORROWER/AGENCY
c:;-« I/ h µYi-"- i/-=C'
/ / ·(-~ ;
/'VI- ' (I . (/-----/ J vvf /,;; "7 /)_ f1, rY'~ n ""-'-
N E AND TITLE OF AUTHORIZED REPRESENTATIVE
( /;rJ/~> ,$1GNATURE DATE
INSTRUCTIONS FOR CERTIFICATION
· 1. By signing and submitting this document, the prospective recipient of Federal assistance Is providing the certification as set out below.
2. The certlflcatlon In this clause Is a material representation of fact upon which reliance was placed when this transaction was entered Into. If It is later determined that the prospective recipient of Federal assistance funds knowingly rendered an erroneous certification, In addition to other remedies available to Iha Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.
3. The prospective recipient of Federal assistance funds shall provide Immediate written notice to the person to which this agreement Is entered, If at any time the prospective recipient of Federal assistance funds learns that Its certification was erroneous, when submltled or has become erroneous by reason of changed circumstances.
4. The terms "covered transaction," 'debarred," "suspended,' "lnellglble,' "lower lier covered transaction,' 'participant," "person," ' primary covered transaction," 'principal,' "proposal," and "voluntarily excluded," as used In this clause, have the meanings set out In the Definitions and Coverage sections of rules Implementing Executive Order 12549.
5. The prospective recipient of Federal assistance funds agrees by submlltlng this proposal that, should the proposed covered transaction be entered Into, It shall not knowingly enter Into any lower tier covered transaction with a person who Is debarred, suspended, declared Ineligible, or voluntarily excluded from participation on this covered transaction, unless authorized by the department or agency with which this transaction originated.
6. The prospective recipient of Federal assistance funds further agrees by submitting this proposal that It will Include the clause lilied "Certification Regarding Debarment, Suspension, lnellglbillty and Voluntary Exclusion Lower Tier Covered Transactions,' without modification, In all lower tier covered transactions and In all solicitations for lower tier covered transactions.
7. A participant In a covered transaction may rely upon a certification of a prospective participant In a lower tier covered transaction, unless It knows that the certlflcallon Is erroneous. A participant may decide the method and frequency by which It determines the ellglblllty of Its principals. Each participant may, but Is not required to, check the Lisi of Parties Excluded from Procurement or Non Procurement Programs.
8. Nothing contained In the foregoing shall be construed to require establishment of a system of records In order to render In good faith the certification required by this clause.
The knowledge and Information of a participant Is not required to exceed that which Is normally possessed by a prudent person In the ordinary course of business dealings.
9. Except for transactions authorized under Paragraph 5 of these Instructions, If a participant In a covered transaction knowingly enters Into a lower lier covered transaction with a person who Is suspended, debarred, lnellglble, or voluntary excluded form participation In this transaction, In addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available rsmedles, Including suspension and/or debarment.
EXHIBITS
STATE OF CALIFORNIA
DRUG-FREE WORKPLACE CERTIFICATION
STD. 21
COMPANY/ORGANIZATION NAME;
EXHIBIT C
The contractor or grant recipient named above hereby certifies compliance with Government Code Section 8355 in matters relating to providing a drug-free workplace. The above-named contractor or recipient will:
1. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance is prohibited and specifying actions to be taken against employees for violations, as required by Government Code Section 8355(a).
2. Establish a Drug-Free Awareness Program as required by Government Code Section 8355(b), to inform employees about all of the following:
(a) The dangers of drug abuse in the workplace,
(b) The person's or organization's policy of maintaining a drug-free workplace, (c) Any available counseling, rehabilitation and employee assistance programs, and (d) Penalties that may be imposed upon employees for drug abuse violations.
3. Provide as required by Government Code Section 8355(c), that every employee who works on the proposed contract or subgrant:
(a) Will receive a copy of the company's drug-free policy statement, and (b) Will agree to abide by the terms of the company's statement as a condition of employment on the contract or subgrant.
CERTIFICATION
I, the official named below, hereby swear that I am duly authorized legally to bind the contractor or Recipient to the above described certification. I am fully aware that this certification, executed on the date and in the county below, is made under penalty of perjury under the laws of the State of California.
OFFICAL'S NAME DATE EXECUTEb
COUNTY OF LOS ANGELES
EXECUTED IN THE COUNTY OF
CONTRACTOR or RECEIPEINT SIGNATURE
TITLE
FEDERAL 1.D. NUMBER
Drug-Free Workplace Certification STD. 21 (Revised 7/2015)
EXHIBITC
STATEMENT ON THE DRUG-FREE WORKPLACE
To comply with the enactment of Senate Bill 1120, (Chapter 1170, Statutes of 1990), which established the Drug-Free Workplace Act of 1990, the C \'\i O~ \R\.Vt...:> OP.\..~ (your aaency)
accordingly provides this statement of compliance.
In order to maintain funding eligibility, state agencies, along with those in receipt of grant and contractual awards, must certify that they provide drug-free workplaces and have issued drug-free workplace statements to their employees [Section 8355(a) of the Government Code}. Consequently, in accordance with this directive, this statement is issued to meet this requirement.
The -;:. 11'1 of: ut,,,.:n w OP11,.ie (your agency), an agency within the State of California has adopted this statement in compliance with legislation which addresses issues to avoid the dangers arising from drug and alcohol abuse in the workplace. These dangers include death and injury to the employee, co-workers, or the public resulting from accidents, dereliction of duty, poor judgment and carelessness. Substance abuse also results in lost productivity, reduced efficiency, and increased absenteeism by the substance abuser and interferes with the job performance of employees who do not use illegal or unauthorized substances. [Section 8355(b)(1 )]
California law prohibits the unlawful manufacture, dispensation, possession, or illegal use of a controlled substance. That prohibition extends to all places and includes the worksite of California state employees. [Section 8355(a)]
Employees convicted of a violation of criminal drug statute, when the violation occurred at an employee's worksite, shall report the conviction to the granting and monitoring State agency upon conviction. [Section 8356(a)(1)(2)]
In the event of the unlawful manufacture, distribution, dispensation, possession or illegal use of a controlled substance at a State worksite, the State may take disciplinary action pursuant to the law and/or require the satisfactory completion of a drug abuse assistance or rehabilitation program. [Section 8355(b)(4)] The Employee Assistance Program (EAP) provides drug problem assessment and referral to appropriate counseling and rehabilitation services. The EAP is available to all agency employees. Procedures exist to ensure the confidentiality of EAP records. Contact your personnel office for further information.
It is the intent of the c 1"'1'1 ~ lf.t.:>\"-'0~1.-'E... (your agency) to ensure by execution of this statement of compliance that each employee shall abide by the terms of this drug-free workplace statement. [Section 8355(c)]
Drug-Free Workplace Certification STD. 21 (Revised 7/2015)
EXHIBIT D
CalOES
GOVERNOR'S OFFICE
OF EMERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
As the duly authorized representative of the Applicant, I hereby certify that the Applicant has the legal authority to apply for federal assistance and the institutional, managerial and financial capability (including funds sufficient to pay any non-federal shore of project cost) to ensure proper planning, management and completion of the project described in this application, within prescribed timelines.
I further acknowledge that the Applicant is responsible for reviewing and adhering to all requirements within the:
(a) Applicable Federal Regulations (see below);
(b) Federal Program Notice of Funding Opportunity (NOFO); (c) Federal Preparedness Grants Manual;
(d) California Supplement to the NOFO; and
(e) Federal and State Grant Program Guidelines.
Federal Regulations
Government cost principles, uniform administrative requirements, and audit requirements for federal grant programs ore set forth in Title 2, Port 200 of the Code of Federal Regulations (C.F.R.). Updates ore issued by the Office of Management and Budget (OMB) and con be found at http://www.whitehouse.gov/omb/.
State and federal grant award requirements are set forth below. The Applicant hereby agrees to comply with the following:
1. Proof of Authority
The Applicant will obtain proof of authority from the city council, governing board, or authorized body in support of this project. This written authorization must specify that the Applicant and the city council, governing board, or authorized body agree:
(a) To provide all matching funds required for the grant project and that any cash match will be appropriated as required;
(b) Any liability arising out of the performance of this agreement shall be the responsibility of the Applicant and the city council, governing board, or authorized body;
(c) Grant funds shall not be used to supplant expenditures controlled by the city council, governing board, or authorized body;
EXHIBIT D
CalOES
GOVERNOR'S OFFICE
OF EMERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
(d) Applicant is authorized by the city council, governing board, or authorized body to apply for federal assistance, and the institutional, rnanagerial and financial capability (including funds sufficient to pay the non-federal share of project cost, if any) to ensure proper planning, rnanagernent and completion of the project described in this application; and
(e) Official executing this agreement is authorized by the Applicant.
This Proof of Authority must be maintained on file and readily available upon request.
2. Period of Performance
The period of performance is specified in the Award. The Applicant is only authorized to perform allowable activities approved under the award, within the period of performance.
3. Lobbying and Political Activities
As required by Section 1352, Title 31 of the United States Code (U.S.C.), for persons entering into a contract, grant, loan, or cooperative agreement from an agency or requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan, the Applicant certifies that:
(a) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement.
{b) If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying", in accordance with its instructions.
(c) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
EXHIBITD
CalOES
GOVERNOR'S OFFICE
OF EMERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
The Applicant will also comply with provisions of the Hatch Act (5 U.S.C. §§ 1501- 1508 and§§ 7324-7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with federal funds.
Finally, the Applicant agrees that federal funds will not be used, directly or indirectly, to support the enactment, repeal, modification or adoption of any law, regulation or policy without the express written approval from the California Governor's Office of Emergency Services (Cal OES) or the federal awarding agency.
4. Debarment and Suspension
As required by Executive Orders 12549 and 12689, and 2 C.F.R. § 200.213 and codified in 2 C.F.R. Part 180, Debarment and Suspension, the Applicant will provide protection against waste, fraud, and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the federal government. The Applicant certifies that it and its principals, recipients, or subrecipients:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency;
(b) Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) transaction or contract under a public transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state, or local) with commission of any of the offenses enumerated in paragraph (2) (b) of this certification; and (d) Have not within a three-year period preceding this application had one or more public transaction (federal, state, or local) terminated for cause or default.
Where the Applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application.
5. Non-Discrimination and Equal Employment Opportunity
The Applicant will comply with all state and federal statutes relating to nondiscrimination, including:
EXHIBITD
Cal OBS
GOVERNOR'S OFFICE
OF EMERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
(a) Title VI of the Civil Rights Act of 1964 (Public Law (P .L.) 88-352 and 42 U.S.C. § 2000d et. seq.) which prohibits discrimination on the basis of race, color, or national origin and requires that recipients of federal financial assistance take reasonable steps to provide meaningful access to persons with limited English proficiency (LEP) to their programs and services;
(b) Title IX of the Education Amendments of 1972, (20 U.S.C. §§ 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex in any federally funded educational program or activity;
(c) Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794), which prohibits discrimination against those with disabilities or access and functional needs; (d) Americans with Disabilities Act (ADA) of 1990 (42 U.S.C. §§ 12101- 12213), which prohibits discrimination on the basis of disability and requires buildings and structures be accessible to those with disabilities and access and functional needs;
(e) Age Discrimination Act of 1975, (42 U.S.C. §§ 6101-6107), which prohibits discrimination on the basis of age;
(f) Public Health Service Act of 1912 (42 U.S.C. §§ 290 dd-2), relating to confidentiality of patient records regarding substance abuse treatment; (g) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), relating to nondiscrimination in the sale, rental or financing of housing as implemented by the Department of Housing and Urban Development at 24 C.F.R. Partl 00. The prohibition on disability discrimination includes the requirement that new multifamily housing with four or more dwelling units-i.e., the public and common use areas and individual apartment units (all units in buildings with elevators and ground-floor units in buildings without elevators)- be designed and constructed with certain accessible features (See 24 C.F.R. § 100.201 ); (h) Executive Order 11246, which prohibits federal contractors and federally assisted construction contractors and subcontractors, who do over $10,000 in Government business in one year from discriminating in employment decisions on the basis of race, color, religion, sex, sexual orientation, gender identification or national origin;
(i) Executive Order 11375, which bans discrimination on the basis of race, color, religion, sex, sexual orientation, gender identification, or national origin in hiring and employment in both the United States federal workforce and on the part of government contractors;
U) California Public Contract Code§ 10295.3, which prohibits discrimination based on domestic partnerships and those in same sex marriages;
EXHIBIT D
CalOES
GOVERNOR'S OfoFICE
OF EMERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
(k) OHS policy to ensure the equal treatment of faith-based organizations, under which all applicants and recipients must comply with equal treatment policies and requirements contained in 6 C.F.R. Part 19;
(I) The Applicant will comply with California's Fair Employment and Housing Act (FEHA) (California Government Code §§ 12940, 12945, 12945.2), as applicable.
FEHA prohibits harassment and discrimination in employment because of ancestry, familial status, race, color, religious creed (including religious dress and grooming practices), sex (which includes pregnancy, childbirth, breastfeeding and medical conditions related to pregnancy, childbirth or breastfeeding), gender, gender identity, gender expression, sexual orientation, marital status, national origin, ancestry, mental and physical disability, genetic information, medical condition, age, pregnancy, denial of medical and family care leave, or pregnancy disability leave, military and veteran status, and/or retaliation for protesting illegal discrimination related to one of these categories, or for reporting patient abuse in tax supported institutions; (m)Any other nondiscrimination provisions in the specific statute(s) under which application for federal assistance is being made; and
(n) The requirements of any other nondiscrimination statute(s) that may apply to this application.
6. Drug-Free Workplace
As required by the Drug-Free Workplace Act of 1988 (41 U.S.C. § 701 et seq.), the Applicant certifies that it will maintain a drug-free workplace and a drug-free awareness program as outlined in the Act.
7. Environmental Standards
The Applicant will comply with state and federal environmental standards, including:
(a) California Environmental Quality Act (CEQA) (California Public Resources Code §§ 21000- 21177), to include coordination with the city or county planning agency;
(b) CEQA Guidelines (California Code of Regulations, Title 14, Division 6, Chapter 3, §§ 15000- 15387);
(c) Federal Clean Water Act (CWA) (33 U.S.C. § 1251 et seq.), which establishes the basic structure for regulating discharges of pollutants into the waters of the United States and regulating quality standards for surface waters; (d) Federal Clean Air Act of 1955 (42 U.S.C. § 7401) which regulates air emissions from stationary and mobile sources;
EXHIBIT D
CalOES
GOVERNOR'S OFFICE
OF EMERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
(e) Institution of environmental quality control measures under the National Environmental Policy Act (NEPA) of 1969 (P.L. 91-190); the Council on Environmental Quality Regulations for Implementing the Procedural Provisions of NEPA; and Executive Order 12898 which focuses on the environmental and human health effects of federal actions on minority and low-income populations with the goal of achieving environmental protection for all communities;
(f) Evaluation of flood hazards in floodplains in accordance with Executive Order 11988;
(g) Executive Order 11514 which sets forth national environmental standards; (h) Executive Order 11738 instituted to assure that each federal agency empowered to enter into contracts for the procurement of goods, materials, or services and each federal agency empowered to extend federal assistance by way of grant, loan, or contract shall undertake such procurement and assistance activities in a manner that will result in effective enforcement of the Clean Air Act and the Federal Water Pollution Control Act Executive Order 11990 which requires preservation of wetlands;
(i) The Safe Drinking Water Act of 1974, (P.L. 93-523); U) The Endangered Species Act of 1973, (P.L. 93-205);
(k) Assurance of project consistency with the approved state management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§1451 etseq.);
(I) Conformity of Federal Actions to State (Clear Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401 et seq.);
(m) Wild and Scenic Rivers Act of 1968 (16 U.S.C. § 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system.
The Applicant shall not be: 1) in violation of any order or resolution promulgated by the State Air Resources Board or an air pollution district; 2) subject to a cease and desist order pursuant to § 13301 of the California Water Code for violation of waste discharge requirements or discharge prohibitions; or 3) determined to be in violation of federal law relating to air or water pollution.
EXHIBITD
CalOES
GOVERNOR'S OFFICE
OF EMERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
8. Audits
For subrecipients expending $750,000 or more in federal grant funds annually, the Applicant will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and Title 2 of the Code of Federal Regulations, Part 200, Subpart F Audit Requirements.
9. Access to Records
In accordance with 2 C.F.R. § 200.336, the Applicant will give the awarding agency, the Comptroller General of the United States and, if appropriate, the state, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award. The Applicant will require any subrecipients, contractors, successors, transferees and assignees to acknowledge and agree to comply with this provision.
1 o. Conflict of Interest
The Applicant will establish safeguards to prohibit the Applicant's employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain.
11. Financial Management
False Claims for Payment - The Applicant will comply with 31 U.S.C §§ 3729-3733 which sets forth that no subrecipient, recipient, or subrecipient shall submit a false claim for payment, reimbursement or advance.
12. Reporting - Accountability
The Applicant agrees to comply with applicable provisions of the Federal Funding Accountability and Transparency Act (FFATA) (P.L. 109-282), specifically (a) the reporting of subawards obligating $25,000 or more in federal funds and (b) executive compensation data for first-tier subawards. This includes the provisions of FFATA, which includes requirements for executive compensation, and also requirements implementing the Act for the non-federal entity at 2 C.F.R. Part 25 Financial Assistance Use of Universal Identifier and Central Contractor Registration and 2 C.F.R.
Part 170 Reporting Subaward and Executive Compensation Information.
13. Whistleblower Protections
The Applicant also must comply with statutory requirements for whistleblower protections at 10 U.S.C. § 2409, 41 U.S.C. § 4712, and 1 O U.S.C. § 2324, 41 U.S.C. § 4304 and § 4310.
EXHIBITD
CalOES
GOVERNOR'S (JFFICE
OF EMERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
14. Human Trafficking
The Applicant will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act of 2000, as amended (22 U.S.C. § 7104) which prohibits grant award recipients or a subrecipient from: (1) engaging in trafficking in persons during the period of time that the award is in effect; (2) procuring a commercial sex act during the period of time that the award is in effect; (3) using forced labor in the performance of the award or subawards under the award.
15. Labor Standards
The Applicant will comply with the following federal labor standards:
(a) The Davis-Bacon Act (40 U.S.C. §§ 276a to 276a-7), as applicable, and the_ Copeland Act (40 U.S.C. § 3145 and 18 U.S.C. § 874) and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 327-333), regarding labor standards for federally-assisted construction contracts or subcontracts, and (b) The Federal Fair Labor Standards Act (29 U.S.C. § 201 et al.) as they apply to employees of institutes of higher learning (IHE), hospitals and othernon-profit organizations.
16. Worker's Compensation
The Applicant must comply with provisions which require every employer to be insured to protect workers who may be injured on the job at all times during the performance of the work of this Agreement, as per the workers compensation laws set forth in California Labor Code§§ 3700 et seq.
17. Property-Related
If applicable to the type of project funded by this federal award, the Applicant will:
(a) Comply with the requirements of Titles II and Ill of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of federal or federally-assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of federal participation in purchase; (b) Comply with flood insurance purchase requirements of Section 102(a) of the_ Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires subrecipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more;
EXHIBIT D
Cal OBS
GOVEhNOR'S OFFICE
OF EMERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
(c) Assist the awarding agency in assuring compliance with Section 106 of the (d) National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470), Executive Order 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §469a-1 et seq.); and
(e) Comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. § 4831 and 24 CFR Part 35) which prohibits the use of lead-based paint in construction or rehabilitation of residence structures.
18. Certifications Applicable Only to Federally-Funded Construction Projects For all construction projects, the Applicant will:
(a) Not dispose of, modify the use of, or change the terms of the real property title or other interest in the site and facilities without permission and instructions from the awarding agency. Will record the federal awarding agency directives and will include a covenant in the title of real property acquired in whole or in part. with federal assistance funds to assure nondiscrimination during the useful life of the project;
(b) Comply with the requirements of the awarding agency with regard to the drafting, review and approval of construction plans and specifications; and (c) Provide and maintain competent and adequate engineering supervision at the construction site to ensure that the complete work conforms with the approved plans and specifications and will furnish progressive reports and such other information as may be required by the assistance awarding agency or State.
19. Use of Cellular Device While Driving is Prohibited
Applicants are required to comply with California Vehicle Code sections 23123 and 23123.5. These laws prohibit driving motor vehicle while using an electronic wireless communications device to write, send, or read a text-based communication. Drivers are also prohibited from the use of a wireless telephone without hands-free listening and talking, unless to make an emergency call to 911, Jaw enforcement, or similar services.
EXHIBIT D
CalOES
GOVERNOR'$ OFFICE
OF EMERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
20. California Public Records Act and Freedom of Information Act The Applicant acknowledges that all information submitted in the course of applying for funding under this program, or provided in the course of an entity's grant management activities that are under Federal control, is subject to the Freedom of Information Act (FOIA), 5 U.S.C. § 552, and the California Public Records Act, California Government Code section 6250 et seq. The Applicant should consider these laws and consult its own State and local laws and regulations regarding the release of information when reporting sensitive matters in the grant application, needs assessment, and strategic planning process.
EMERGENCY MANAGEMENT PERFORMANCE GRANT (EMPG) -
PROGRAM SPECIFIC ASSURANCES I CERTIFICATIONS
21. Acknowledgment of Federal Funding from OHS
All recipients must acknowledge their use of federal funding when issuing statements, press releases, requests for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part with federal funds.
22. Activities Conducted Abroad
All recipients must ensure that project activities carried on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses, permits, or approvals are obtained.
23. Best Practices for Collection and Use of Personally Identifiable Information (Pll) DHS defines personally identifiable information (Pll) as any information that permits the identity of an individual to be directly or indirectly inferred, including any information that is linked or linkable to that individual. All recipients who collectP\I are required to have a publically-available privacy policy that describes standards on the usage and maintenance of Pll they collect. Recipients may also find the DHS Privacy Impact Assessments: Privacy Guidance and Privacy template a useful resource respectively.
24. Copyright
All recipients must affix the applicable copyright notices of 17 U.S.C. §§ 401 or 402 and an acknowledgement of U.S. Government sponsorship (including the award number) to any work first produced under federal financial assistance awards.
Page l 0 of 14 Initials ---
EXHIBITD
CalOES
GOVERNOR'S OFFICE
OF EMERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
25. Duplication of Benefits
Any cost allocable to a particular federal financial assistance award provided for in 2 C.F.R. Part 200, Subpart E may not be charged to other federal financial assistance awards to overcome fund deficiencies, to avoid restrictions imposed by federal statutes, regulations, or federal financial assistance award terms and conditions, or for other reasons. However, these prohibitions would not preclude recipients from shifting costs that are allowable under two or more awards in accordance with existing federal statutes, regulations, or the federal financial assistance award terms and conditions.
26. Energy Policy and Conservation Act
All recipients must comply with the requirements of 42 U.S.C. § 6201 which contain policies relating to energy efficiency that are defined in the state energy conservation plan issued in compliance with this Act.
27. Federal Debt Status
All recipients are required to be non-delinquent in their repayment of any federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit disallowances, and benefit overpayments. See OMB Circular A-129.
28. Fly America Act of 1974
All recipients must comply with Preference for U.S. Flag Air Carriers: (air carriers holding certificates under 49 U.S.C. § 41102) for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 197 4 (49 U.S.C. § 40118) and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision B138942.
29. Hotel and Motel Fire Safety Act of 1990
In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, all Applicants must ensure that all conference, meeting, convention, or training space funded in whole or in part with federal funds complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 197 4, as amended, 15 U.S.C. § 2225a.
EXHIBITD
CalOES
GOVERNOR'S (JFFICE
OF EMERGENCY SERVICE.S
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
30. Non-supplanting Requirement
All recipients who receive federal financial assistance awards made under programs that prohibit supplanting by law must ensure that federal funds do not replace (supplant) funds that have been budgeted for the same purpose through nonfederal sources.
31. Patents and Intellectual Property Rights
Unless otherwise provided by law, recipients are subject to the Bayh-Dole Act, Pub. L.
No. 96-517, as amended, and codified in 35 U.S.C. § 200 et seq. All recipients are subject to the specific requirements governing the development, reporting, and disposition of rights to inventions and patents resulting from financial assistance awards located at 37 C.F.R. Part 401 and the standard patent rights clause located at 37 C.F.R. § 401.14.
32.SAFECOM
All recipients who receive federal financial assistance awards made under programs that provide emergency communication equipment and its related activities must comply with the SAFECOM Guidance for Emergency Communication Grants, including provisions on technical standards that ensure and enhance interoperable communications.
33. Terrorist Financing
All recipients must comply with Executive Order 13224 and U.S. law that prohibit transactions with, and the provisions of resources and support to, individuals and organizations associated with terrorism. Recipients are legally responsible to ensure compliance with the Order and laws.
34. Reporting of Matters Related to Recipient Integrity and Performance If the total value of the recipient's currently active grants, cooperative agreements, and procurement contracts from all federal assistance offices exceeds $10,000,000 for any period of time during the period of performance of this federal financial assistance award, you must comply with the requirements set forth in the government-wide Award Term and Condition for Recipient Integrity and Performance Matters located at 2 C.F.R. Part 200, Appendix XII, the full text of which is incorporated here by reference in the award terms and conditions.
EXHIBITD
CalOES
GOVERNOR'S OFFICE
OF EMERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
35. USA Patriot Act of 2001
All recipients must comply with requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175-175c.
36. Use of OHS Seal, Logo, and Flags
All recipients must obtain permission from their OHS Financial Assistance Office, prior to using the OHS seal(s), logos, crests or reproductions of flags or likenesses of OHS agency officials, including use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials.
EXHIBITD
CalOES
GOVERNOR'S OFFICE
OF EMERGENCY SERVICES
Standard Assurances
For Cal OES Federal Non-Disaster Grant Programs
IMPORTANT
The purpose of the assurance is to obtain federal and state financial assistance, including any and all federal and state grants, loans, reimbursement, contracts, etc. The Applicant recognizes and agrees that state financial assistance will be extended based on the representations made in this assurance. This assurance is binding on the Applicant, its successors, transferees, assignees, etc. Failure to comply with any of the above assurances may result in suspension, termination, or reduction of grant funds.
All appropriate documentation, as outlined above, must be maintained on file by the Applicant and available for Cal OES or public scrutiny upon request. Failure to comply with these requirements may result in suspension of payments under the grant or termination of the grant or both and the subrecipient may be ineligible for award of any future grants if the Cal OES determines that any of the following has occurred: ( 1) the recipient has made false certification, or (2) violates the certification by failing to carry out the requirements as noted above.
All of the language contained within this document must be included in the award documents for all subawards at all tiers. All recipients are bound by the Department of Homeland Security Standard Terms and Conditions 2020, Version 10.1, hereby incorporated by reference, which can be found at:
https :/ /www .d hs .gov /pu blication/fy 15-dhs-sta ndard-terms-and-conditions.
The undersigned represents that he/she is authorized to enter into this agreement for and on behalf of the Applicant.
Subrecipient: ___________________________ _
Signature of Authorized Agent: __ ,..,~""~"---" __ ·'----(},__.-~----~-------- ? Printed Name of Authorized Agent: --~::)~?-_-~/_,_' ,;._r-;_~A~·_;-,_'-l~"Y_~_,_..-._~_~---
EXHIBIT E
GA VIN NEWSOM
GOVERNOR
CalOES
MARK S. GHILARDUCCI
DIRECTOR
October 23, 2020
Fesia A. Davenport
Acting Chief Executive Officer
Los Angeles County
500 West Temple Street, Room 713
Los Angeles, CA 90012-0000
OOVERNOR'S GFF1CE
OF EMERGENCY SERVICES
SUBJECT: NOTIFICATION OF SUBRECIPIENT SUBAWARD APPROVAL Fiscal Year (FY) 2020 Homeland Security Grant Program (HSGP) Subaward #2020-0095, Cal OES ID#037-00000
Subaward Period of Performance: 09 /01 /2020-05/31 /2023 Dear Ms. Davenport:
We are pleased to announce the approval of your FY 2020 HSGP subaward in the amount of $10,593,612. Once the completed application is received and approved, reimbursement of eligible subaward expenditures may be requested using the California Governor's Office of Emergency Services (Cal OES) Financial Management Forms Workbook. Failure to provide documentation in a timely manner could result in a hold on funding, pursuant to Title 2, Code of Federal Regulations (CFR), Sections 200.338(a) and 200.207(b)(l )-(2).
This subaward is subject to requirements in 2 CFR, Part 200, including the Notice of Funding Opportunity (NOFO), the Preparedness Grants Manual, the California Supplement to the NOFO, and all applicable federal. state, and local requirements. All activities funded with this subaward must be completed within the subaward period of performance.
Subrecipients must obtain additional written approval prior to incurring costs for activities such as aviation, watercraft. allowability request logs, noncompetitive procurement, and projects requiring Environmental Planning and Historic Preservation review. Additionally, all projects falling under the National Priority Investment Justifications must be reviewed and approved for effectiveness by the 3650 SCHRIEVER A VENUE, MATHER, CA 9 5655
www.CalOES.ca.gov
Fesia A. Davenport
October 23, 2020
EXHIBITE
Federal Emergency Management Agency (FEMA}. prior to the obligation, and expenditure of funds for those projects.
Your organization will be required to prepare and submit the Biannual Strategy Implementation Report (BSIR) to Cal OES via the FEMA Grants Reporting Tool (GRT) semi-annually for the duration of the subaward period of performance or until all activities are completed and the subaward is formally closed. Failure to submit required reports could result in subaward reduction, suspension, or termination. Throughout the subaward cycle, milestones set in the GRT will be used as indicators of project feasibility, performance, and grant management capacity. This information may also be used in assessing proposals in future grant opportunities.
A Conditional Hold has been placed on your subaward; five percent of the subaward must be allocated to each of the four National Priority Investment Justifications for a total of twenty percent of the award. To release this hold, additional information is required for the investments identified which must be submitted in the December 2020 BSIR in a manner consistent with Grants Program Directorate Information Bulletin No. 447.
Your dated signature is required on this letter. Please sign and return the original to your Cal OES Program Representative within 20 calendar days upon receipt and keep a copy for your records. For further assistance, please contact your Cal OES Program Representative.
Sincerely,
UdC:LU!~
MARKS. GHILARDUCCI
Director
Fesia A. Davenport
Los Angeles County
Date
II
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City of Irwindale
FY 2020 State Home Security Program (SHSP) Projects
Grant Subaward: 2020-0095
Cal OES ID: 037-00000
Project Planning Activity No.
Contractor to provide a security assessment of
common CAD and RMS operating systems
involving law enforcement agencies.
Contractor will examine and identify Cloud
storage systems for attack vulnerabilities;
3.12 examine agencies ''third-party vendor''
security Policies and Procedures; conduct
unannounced penetration testing of selected
operating and/or vendor systems: and
provide follow-up training for information
technology representatives.
Funding Dlsclpllne Source
HSGP-SHSP LE
Planning
Ledger Type Initial Application
Date 2/15/2022
POP Start Date 9/1/2020
POP End Date 5/31/2023
Solution Area Sub Expenditure Noncompetitive
Final Product Procurement Rudgeted Cost Category Category overS250K Develop and
Enhance Plans, Provide a independent report of CyberProtocols and Consultants Security Findings and Recommendations. No $ 67,518 Systems
12 '""'n;.;, ''""'•'·''' Organization I
City of Irwindale
FY 2020 State Home Security Program (SHSP) Projects
Grant Subaward: 2020-0095
Cal OES ID: 037-00000
Project Organization No.
Funding
Source Discipline Solution Area Expenditure Sub·Ca!egory Category
ledger Type lnifial Application
Date 2/15/2022
POP Start Date 9/1/2020
POP End Date 5/31/2023
Detail Certification on Budgeted Cost File
..
City of Irwindale
FY 2020 Sfafe Home Security Program (SHSP) Projects
Grant Subaward: 202~095
Cal OES JD: 037-00000
1>-roje;ct ;l;quij:ur;:ent Q~si::~pti_on ,(lnclu_de A'Eltf NO: ,- -- 'Quaii}lty} , . .
'
•· l'un,ding AEtnfle DJsc:lpline So Orce
.
Ledger Type hiifial Application
Date 2/15/2022
POP Start Date 9/1/2020
POP End Date 5/31/2023
Solution Area Sub Deployable I Noncom:petitive Budgeted Procurement over Hold TrltJger CQteg_ory Shareabl!'! i';.roK Cost "
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------------- -- - ------------- Exercise - -- - - - - -- -- ------------- City of Irwindale
FY 2020 Slate Home SecL!r!fy Program (SHSP) Projects
Grant Subaward: 2020-0095
Cal OES ID: 037-00000
Project Exerc!se Tiile No.
Funding Dlsc!pllne Source Solutton Area Sub- Expendifure Date of Exercise Type Category category Exerclre
[LedRefTS 1nma1 Apencatian I Dale 2/15/2022
POP Start Date 9/1/2020
POP End Date 5/31/2fJ'n
Dale of AAR Noncompellllve
Identified Host entered lnto Procurement EHP Ho!d Budgeted Cost USEEP over c250K
The Department of Homeland Security (DHS)
Notice of Funding Opportunity (NOFO)
Fiscal Year (FY) 2020 Homeland Security Grant Program (HSGP)
EXHIBITF
NOTE: If you are going to apply for this funding opportunity and have !!fil obtained a Data Universal Numbering System (DUNS) number and/or are not currently registered in the System for Award Management (SAM), please take immediate action to obtain a DUNS Number, if applicable, and then to register immediately in SAM. It may take fonr weeks or more after you submit your SAM registration before your registration is active in SAM, then an additional 24 hours for Grants.gov to recognize your information.
Information on obtaining a DUNS number and registering in SAM is available from Grants.gov at: http://www.grants.gov/web/grants/register.hlml.
A. Program Description
1. Issued By
Department of Homeland Security (DHS), Federal Emergency Management Agency (FEMA), Grant Programs Directorate (GPD)
2. Assistance Listings Number (formerly Catalog of Federal Domestic Assistance Number) 97.067
3. Assistance Listings Title (formerly CFDA Title)
Homeland Security Grant Program
4. Funding Opportunity Title
Homeland Security Grant Program
• State Homeland Security Program
• Urban Area Security Initiative
• Operation Stonegarden
5. Funding Opportunity Number
DHS-20-GPD-067-00-01
6. Authorizing Authority for Program
Section 2002 of the Homeland Security Act of2002 (Pub. L. No. 107-296, as amended) (6 U.S.C. § 603)
7. Appropriation Authority for Program
Department of Homeland Security Appropriations Act, 2020 (Pub. L. No. 116-93)
8. Announcement Type
New
FY 2020 HSGP NOFO
EXHIBITF
9. Program Overview, Objectives, and Priorities
Overview
The Fiscal Year (FY) 2020 Homeland Security Grant Program (HSGP) is one of three grant programs that constitute the Department of Homeland Security (DHS)/Federal Emergency Management Agency's (FEMA's) focus on enhancing the ability of state, local, tribal, and territorial governments, as well as nonprofits, to prevent, protect against, respond to, and recover from terrorist attacks. These grant programs are part of a comprehensive set of measures authorized by Congress and implemented by DHS to help strengthen the Nation's communities against potential terrorist attacks. Among the five basic homeland security missions noted in the DHS Quadrennial Homeland Security Review, HSGP supports the goal to Strengthen National Preparedness and Resilience. In FY 2020, there are three components ofHSGP:
1) State Homeland Security Program (SHSP): SHSP assists state, local, tribal, and territorial efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against, and respond to acts of terrorism.
2) Urban Area Security Initiative (UASI): UASI assists high-threat, high-density Urban Areas efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against, and respond to acts of terrorism.
3) Operation Stonegarden (OPSG): OPSG supports enhanced cooperation and coordination among Customs and Border Protection ( CBP), United States Border Patrol (USBP), and federal, state, local, tribal, and territorial law enforcement agencies to improve overall border security. OPSG provides funding to support joint efforts to secure the United States' borders along routes of ingress/egress to and from international borders, to include travel corridors in states bordering Mexico and Canada as well as states and territories with international water borders. State, local, tribal, and territorial (SL TT) law enforcement agencies utilize their inherent law enforcement authorities to support the border security mission and do not receive any additional authority as a result of participation in OPSG.
The 2018-2022 FEMA Strategic Plan creates a shared vision for reducing the risks posed by terrorism and sets an ambitious, yet achievable, path forward to unify and further professionalize emergency management across the country. HSGP supports the goals of Building a Culture of Preparedness and Readying the Nation for Catastrophic Disasters. We invite our stakeholders and partners to also adopt these p1iorities and join us in building a more prepared and resilient Nation, as preparedness is a shared responsibility and funding should support priorities that are most impactful and demonstrate the greatest return on investment.
Finally, for FY 2020, DHS is focused on the criticality of information sharing and collaboration to building a national culture of preparedness and protecting against terrorism and other emerging threats to our national security. DHS and its homeland security mission were born from the "failures among federal agencies and between the federal agencies and state and local authorities to share critical information related to the threat of terrorism" prior to the September 11, 200 I, attacks. 1 The threat profile has changed in the last two decades - we now face continuous cyber threats by sophisticated actors, threats to soft targets and crowded places, threats to our democratic election 1 Homeland Security Act of 2002: Report Together with Minority and Dissenting Views 222, Select Committee on Homeland Secnrity: 107th Congress, U.S. House of Representatives (2002) (H. Rpt. 107-609).
FY 2020 HSGP NOFO
EXHIBIT F
process and threats from new and emerging technologies. But information sharing and cooperation between state, local, and tribal authorities and federal agencies, including all DHS officials, is just as vital, and perhaps even more vital, today. Therefore, for FY 2020, we have identified four priority areas, tied to some of the most serious threats that DHS would like to see addressed by state and local governments, that recipients will need to address with their HSGP funds. Perhaps most importantly, we will be focused on forging partnerships to strengthen information sharing and collaboration in each of these priority areas and looking for recipients to remove barriers to communication and cooperation with DHS and other federal agencies.
Objectives
The objective of the FY 2020 HSGP is to fund state, local, tribal, and telTitorial efforts to prevent telTorism and prepare the Nation for threats and hazards that pose the greatest risk to the security of the United States.
Priorities
Given the evolving threat landscape, it is incumbent upon DHS/FEMA to continuously evaluate the national risk profile and set priorities that help ensure appropriate allocation of scarce security dollars. In assessing the national risk profile for FY 2020, four priority areas attract the most concern.
And due to the unique threats that the nation faces in 2020, DHS/FEMA has determined that these four priorities should be addressed by allocating specific percentages ofHSGP funds to each of these four areas, for a total of 20 percent. The following are the four primity areas for FY 2020, along with the colTesponding amount of HSGP funds that each recipient will be required to propose for each priority area in order to obtain a full allocation ofHSGP funds:
1) Enhancing cybersecurity (including election secmity) - 5 percent 2) Enhancing the protection of soft targets/crowded places (including election security) - 5 percent;
3) Enhancing information and intelligence sharing and cooperation with federal agencies, including DHS - 5 percent;
4) Addressing emergent threats (e.g., UlUllanned aerial systems [UASs], etc.)- 5 percent.
Failure by a recipient to propose investments and projects that align with these four priority areas and spending requirements may result in a recipient receiving a reduced grant award. DHS/FEMA may not award funding in excess of a recipient's minimum allocation threshold2 to the extent that investments and projects do not align with these four primity areas.
A State or high-risk urban area may allocate the remaining 80 percent to gaps identified through their Threat and Hazard Identification and Risk Assessment (THIRA) and Stakeholder Preparedness Review (SPR) Process.
Likewise, there are several enduring security needs that crosscut the homeland security enterprise, and to which that States should consider allocating funding across core capability gaps and national 2 The Homeland Security Act of 2002, as amended, allocates for each of the 50 States, the District of Columbia, and Puerto Rico
0.35 percent of the total funds appropriated for grants under section 2003 and section 2004 of the Act, and 0.08 percent for each of the four territories (American Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin Islands).
FY 2020 HSGP NOFO
EXHIBIT F
priorities. The following are enduring needs that help recipients implement a comprehensive approach to securing communities:
1) Effective planning;
2) Training and awareness campaigns;
3) Equipment and capital projects; and
4) Exercises.
The table below provides a breakdown of the FY 2020 SHSP and UASI priorities (the focus of OPSG remains unique to border security), showing the core capabilities enhanced and lifelines supported, as well as examples of eligible project types for each area. A detailed description of allowable investments for each project type is included in the Preparedness Grants Manual. DHS/FEMA anticipate that in future years, national priorities will continue to be included and will be updated as the threats evolve and as capability gaps are closed. Applicants are strongly encouraged to begin planning to sustain existing capabilities through other funding mechanisms.
FY 2020 SHSP & VASI Funding Priorities
Priority Areas Core Capabilities Lifelines Example Project Types National Priorities
Enhancing • Cybersecurity • Safety and • Cybersecurity risk assessments Cybersecurity • Intelligence and security • Projects that address vulnerabilities (including election information sharing identified in cybersecurity risk security) assessments
o Improving cybersecurity of critical
infrastructure to meet minimum levels
identified by CISA
o Cybersecurity training and planning
Enhaneing the • Operational • Safety and • Operational overtime Protection of Soft coordination security • Physical security enhancements Targets/ Crowded • Public infom1ation o Security cameras (CCTV) Places (including and warning o Security screening equipment for election security) • Intelligence and people and baggage information sharing o Lighting
• Interdiction and o Access controls
dis1uption o Fencing, gates, barriers, etc.
• Screening, search,
and detection
• Access control and
identity verification
• Physical protective
measures
• Risk management for
protection programs
and activities
Enhancing • Intelligence and • Safety and • Fusion center operations (Fusion Center information and information sharing security project will be required under this intelligence sharing inveshnent, no longer as a stand-alone and cooperation with investment)
federal agencies, • Information sharing with all DRS
including DHS components, fusion centers, and other
entities designated by DHS
FY 2020 HSGP NOFO
EXHIBITF
• Cooperation with DHS officials and other
entities designated by DHS in
intelligence, threat recognition and
analysis
• Joint training and planning with DHS
officials and other entities designated by
DHS
Addressing Emergent • Interdiction & • Safety and • Sharing and leveraging intelligence and Threats, such as dis1uption security information
Transnational • Screening, search and • UAS detection technologies Criminal detection • Enhancing weapons of mass destruction Organizations and • Physical protective (WMD) and/or improvised explosive UAS measures device (IED) prevention, detection,
• Intelligence and response and recove1y capabilities
information sharing 0 Chemical Biological
•Planning Radiological Nuclear and
• Public Information Explosive (CBRNE) detection,
and Waining prevention, response, and
• Operational recove1y equipment
Coordination
Enduring Needs
Planning • Planning • Safety and • Development of:
• Risk management for security o Security Risk Management Plans protection programs o Continuity of Operations Plans
and activities o Response Plans
• Risk and disaster • Efforts to strengthen governance
resilience assessment integration between/among regional • Threats and hazards partners
identification • Joint training and planning with DHS
• Operational officials and other entities designated by coordination DHS
• Community resilience • Cybersecurity training and planning Training & • Long-te1m • Safety and • Active shooter training Awareness vulnerability security • Security training for employees reduction • Public awareness/preparedness campaigns
• Public information • Joint training and planning with DHS and warning officials and other entities designated by
• Operational DHS
coordination • Cybersecurity training and planning
• Situational
assessment
• Community resilience
Equipment & Capital • Long-te1m • Safety and • Protection of high-risk, high-consequence Projects vulnerability security areas or systems that have been identified reduction through risk assessments
• Infrastlucture systems • Physical security enhancements • Operational 0 Security cameras (CCTV)
communications 0 Security screening equipment
• Interdiction and for people and baggage
dis1uption 0 Lighting
• Screening, search and 0 Access Controls
detection • Fencing, gates,
• Access control and barriers, etc.
identity verification
• Physical protective
measures
FY 2020 HSGP NOFO
EXHIBIT F
Exercises • Long-term • Safely and • Response exercises vulnerability security
reduction
• Operational
coordination
• Operational
communications
•Community
resilience
Starting in FY 2020, each SHSP and UASI recipient is required to submit an Investment Justification (IJ) for each of the four national priorities identified above. Under the Cybersecurity investment and the Soft Target/Crowded Places investments one project for each of those two investments must be to support enhancing election security. As a reminder, all SHSP- and DASI-funded projects must have a demonstrated nexus to preventing, preparing for, protecting against, and responding to acts of terrorism. However, such projects may simultaneously supp01i enhanced preparedness for disasters unrelated to acts of terrorism.
DHS/FEMA also requires SHSP and UASI recipients (e.g., states, territ01ies, and high-risk urban areas) to complete a THIRA/SPR and prioritize grant funding to support closing capability gaps or sustaining capabilities that address national priorities and/or support enduring needs. Additional information on the THIRA/SPR process, including other National Preparedness System (NPS) tools and resources, can be found at https://www.fema.gov/national-preparedness-system. Detailed information on THIRA/SPR timelines and deadlines can be found in the Preparedness Grants Manual.
FY 2020 OPSG Funding Priorities
Priority 1\reas Core Capabilities Lifelines Exa1nple Project Types National Priorities
Enhancing • Intelligence and • Safety and • Participation in the DHS/ICE 287(g) information and information sharing security training program intelligence • Infmmation sharing with all DHS
sharing and components, fusion centers, and other
cooperation with entities designated by DHS
federal agencies, • Cooperation with DHS officials and other including DHS entities designated by DHS in
intelligence, threat recognition and
analysis
• Joint training and planning with DHS
officials and other entities designated by
DHS
Addressing • Interdiction & disruption • Safety and • Operational overtime for border security Emergent • Screening, search and security operations as directed by the applicable, Threats, such as detection USBP-approved operations order Transnational • Physical protective • Sharing and leveraging intelligence and Criminal measures information
Organizations • Intelligence and
information sharing
Starting in FY 2020, each OPSG applicant is required to clearly articulate and identify how the Concept of Operations addresses each of the two national priorities identified above.
FY 2020 HSGP NOFO
EXHIBITF
10. Performance Metrics
Performance metrics for this program are as follows:
SHSP and UASI:
• Percentage of funding allocated by the recipient to core capabilities to build or sustain national priorities identified in the section above; and OPSG:
• Number of contacts that occurred as a result of OPSG deployments o Number of arrests that resulted from OPSG contacts
o Value of drug seizures that resulted from OPSG contacts B. Federal Award Information
Award Amounts, Important Dates, and Extensions
Available Funding for theHSGP NOFO: $1,120,000,000
HSGP Programs FY 2020 Allocation
State Homeland Security Program $415,000,001
Urban Area Security Initiative $615,000,001
Operation Stonegarden $90,000,001
Total . \ ··· . ... . . . ',,',
',', '::' .... · . . $1,1:2.0,000,001
SHSP Allocations
For FY 2020, DHS!FEMA will award SHSP funds based on risk and the anticipated effectiveness of the proposed use of grant funds upon completion of the application review process. The following table identifies the targeted SHSP allocation ranges for each State based on DHS!FEMA's relative risk methodology pursuant to the Homeland Security Act of 2002, as amended. States are strongly encouraged to apply for funding at least 15% over the high end of their target allocation range as ineffective applications will not be funded. Final award amounts will be based on DHS!FEMA's evaluation of the effectiveness of proposed investments and projects.
Regardless of the amount of a State's targeted SHSP allocation range, each State must include a separate investment for each of the four national priority areas identified in the Priorities section, above. The funding level in each national priority area investment must equal or exceed the percentage for that respective national priority area, calculated as a percentage of the State's targeted SHSP allocation in the table below. For the states that receive a target allocation in excess of the minimum, the percentage is calculated against the high end of the range, as displayed in the table below. DHS!FEMA will make final award detenninations based upon a review of the anticipated effectiveness of the State's application as described in Section D, below. Final awards are based on whether the State has proposed investments in each of the four national priority areas in an amount equal to or greater than the percentage for that priority area and based on the effectiveness review.
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DHS/FEMA will allocate to each state and territ01y a minimum allocation under the SHSP using thresholds established in the Homeland Security Act of 2002, as amended. The minimum allocation for al_! 50 States, the District of Columbia, and the Commonwealth of Puerto Rico is 0.35 percent of the total funds appropriated for grants under Section 2003 and Section 2004 of the Homeland Security Act of 2002, as amended. The minimum allocation for the four territories (American Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin Islands) is 0.08 percent of the total funds appropriated for grants under Section 2003 and 2004 of the Homeland Security Act of 2002, as amended. THIRA/SPR results do not impact grant allocation or award.
Regardless of the final award amount, a state must invest SHSP funding in each of the four national priority areas in an amount equal to or greater than percentage identified above for each national priority area, as approved by DHS/FEMA.
FY 2020 TARGET SHSP ALLOCATIONS
State/Territory FY 2020 Allocation State/Territory FY 2020 Allocation New York $59,174,400 - $73,968,000 Kentucky $4,287,500
California $49,608,800 - $62,011,000 Louisiana $4,287,500 Texas $15,839,200 - $19,799,000 Maine $4,287,500
Illinois $12,085,600 - $15, 107,000 Minnesota $4,287,500 Florida $8,127,200-$10,159,000 Mississippi $4,287,500
Virginia $7,076,800 - $8,846,000 Missouri $4,287,500
Georgia $4,600,000 - $5,750,000 Montana $4,287,500
Pennsylvania $7,076,800 - $8,846,000 Nebraska $4,287,500 Maryland $6, 153,600 - $7,692,000 Nevada $4,287,500
New Jersey $6, 153,600 - $7,692,000 New Hampshire $4,287,500 Washington $5,384,800 - $6,731,000 New Mexico $4,287,500 Massachusetts $5,384,800 - $6,731,000 North Dakota $4,287,500 Ohio $5,384,800 - $6, 731,000 Oklahoma $4,287,500
North Carolina $4,423,200 - $5,529,000 Oregon $4,287,500 District of Columbia $4,423,200 - $5,529,000 Puerto Rico $4,287,500 Michigan $4,423,200 - $5,529,000 Rhode Island $4,287,500 Alabama $4,287,500 South Carolina $4,287,500
Alaska $4,287,500 South Dakota $4,287,500
Arizona $4,287,500 Tennessee $4,287,500
Arkansas $4,287,500 Utah $4,287,500
Colorado $4,287,500 Vermont $4,287,500
Connecticut $4,287,500 West Virginia $4,287,500
Delaware $4,287,500 Wisconsin $4,287,500
Hawaii $4,287,500 Wyoming $4,287,500
Idaho $4,287,500 American Samoa $1,000,000
Indiana $4,287,500 Guam $1,000,000
Iowa $4,287,500 Northern Mariana $1,000,000
Kansas $4,287,500 U.S. Virgin Islands $1,000,000
$415,000,000
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UASI Allocations
Eligible candidates for the FY 2020 UASI program are identified in the table below. Eligibility has been determined through an analysis of relative risk of terrorism faced by the 100 most populous Metropolitan Statistical Areas (MSAs) in the United States, in accordance with the Homeland Security Act of 2002, as amended. Detailed information on MSAs is publicly available from the United States Census Bureau at https://www.census.gov/programssurveys/metro-micro.html. THIRA/SPR results do not impact grant allocation or award.
For FY 2020, DHS/FEMA will award UASI funds based on risk and the anticipated effectiveness of the proposed use of grant funds upon completion of the application review process. The following table identifies the targeted UASI allocations for each high-risk urban area based on DHS/FEMA's relative risk methodology pursuant to the Homeland Security Act of 2002, as amended. Applicants are strongly encouraged to apply for funding at least 15% over the high end of their target allocation range as ineffective applications will not be funded.
Final award amounts will be based on DHS/FEMA's evaluation of the effectiveness of proposed investments and projects.
In its application, each high-risk urban area, through the State, must include a separate investment for each of the four national priority areas identified in the Priorities section, above.
The funding level in each national priority area investment must equal or exceed the percentage for that respective national priority area, calculated as a percentage of the high-risk urban area's targetedUASI allocation in the table below. The percentage is calculated against the high end of the range, as displayed in the table below. DHS/FEMA will make final award determinations based upon a review of the anticipated effectiveness of the high-risk urban area's application as described in Section D, below. Final awards are based on whether the State has proposed investments in each of the four national priority areas in an amount equal to or greater than the percentage for that priority area and based on the effectiveness review.
Regardless of the final award amount, a high-risk urban area must invest UASI funding in each of the four national priority areas in an amount equal to or greater than percentage identified above for each national priority area, as approved by DHS/FEMA.
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FY 2020 TARGET UASI ALLOCATIONS
State/Territory Funded Urban Area FY 2020 UASI Allocation Arizona Phoenix Area $4,200,000 - $5,250,000
Anaheim/Santa Ana Area $4,200,000 - $5,250,000
Bay Area $30,000,000 - $37,500,000
California
Los Angeles/Long Beach Area $54,400,000 - $68,000,000
Riverside Area $2,800,000 - $3,500,000
Sacramento Area $2,800,000 - $3,500,000
San Diego Area $13,520,000 -$16,900,000
Colorado Denver Area $2,800,000 - $3,500,000
District of Columbia National Capital Region $41,400,000 - $51,750,000 Miami/Fort Lauderdale Area $11,800,000 - $14,750,000
Florida Orlando Area $2,800,000 - $3,500,000
Tampa Area $2,800,000 - $3,500,000
Georgia Atlanta Area $5,000,000 - $6,250,000
Hawaii Honolulu Area $2,800,000 - $3,500,000
Illinois Chicago Area $54,400,000 - $68,000,000
Louisiana New Orleans Area $2,800,000 - $3,500,000
Maryland Baltimore Area $3,400,000 - $4,250,000
Massachusetts Boston Area $13,520,000 -$16,900,000
Michigan Detroit Area $4,200,000 - $5,250,000
Minnesota Twin Cities Area $4,200,000 - $5,250,000
Missouri St. Louis Area $2,800,000 - $3,500,000
Nevada Las Vegas Area $4,200,000 - $5,250,000
New Jersey Jersey City/Newark Area $15,240,000 -$19,050,000 New York New York City Area $143,000,000 -$178,750,000
Oregon Portland Area $2,800,000 - $3,500,000
Pennsylvania Philadelphia Area $13,520,000-$16,900,000
Pittsburgh Area $2,800,000 - $3,500,000
Dallas/Fort Worth/Arlington Area $13,520,000 - $16,900,000 Texas Houston Area $19,680,000 - $24,600,000
San Antonio Area $2,800,000 - $3,500,000
Virginia Hampton Roads Area $2,800,000 - $3,500,000
Washington Seattle Area $5,000,000 - $6,250,000
Total $615,000,000
OPSG Allocations
For FY 2020, DHS/FEMA will award OPSG funds based on risk and tbe anticipated effectiveness of tbe proposed use of grant funds upon completion of the application review process. The FY 2020 OPSG risk assessment is designed to identify the risk to border security and to assist with the distribution of funds for tbe grant program. Funding under OPSG is distributed based on tbe risk to tbe security of the border and the effectiveness of the proposed projects. Entities eligible for funding are the state, local, and tiibal law enforcement agencies
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that are located along the border of the United States. DHS/FEMA will make final award dete1minations based upon a review of the anticipated effectiveness of the State's application as described in Section D, below. The THIRA/SPR process is not required for OPSG.
For the purposes of OPSG, the risk is defined as the potential for an adverse outcome assessed as a function of threats, vulnerabilities, and consequences associated with an incident, event, or occurrence.
Based upon ongoing intelligence analysis and extensive security reviews, DHS/CBP continues to focus the bulk of OPSG funds based upon risk analyses. The risk model used to allocate OPSG funds considers the potential risk that certain threats pose to border security and estimates the relative risk faced by a given area. In evaluating risk, DHS/CBP considers intelligence, situational awareness, criminal trends, and statistical data specific to each of the border sectors, and the potential impacts that these threats pose to the security of the border area. For vulnerability and consequence, DHS/CBP considers the expected impact and consequences of successful border events occurring in specific areas.
Threat and vulnerability are evaluated based on specific operational data from DHS/CBP.
Threat components present in each of the sectors are used to determine the overall threat score.
These components are terrorism, criminal aliens, drug trafficking organizations, and alien smuggling organizations.
Effectiveness of the proposed investments will be evaluated based on the recipient's investment strategy, budget, collaboration, and past performance.
Period of Performance: 36 months
Extensions to the Period of Performance (PoP) are allowed. For additional information on PoP extensions, refer to the Preparedness Grants Manual.
Projected Period of Performance Start Date: September 1, 2020 Projected Period of Performance End Date: August 31, 2023 Funding Instrument: Grant
C. Eligibility Information
1. Eligible Applicants
The State Administrative Agency (SAA) is the only entity eligible to submit HSGP applications to DHS/FEMA, including those applications submitted on behalf ofUASI and OPSG applicants. All 56 states and territories, including any state of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands, are eligible to apply for SHSP funds. Tribal governments may not apply directly for HSGP funding; however, funding may be available to tribes under the SHSP and OPSG through the SAA.
2. Eligibility Criteria
Eligible high-risk urban areas for the FY 2020 UASI program have been determined through
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an analysis of relative risk of terrorism faced by the 100 most populous Metropolitan Statistical Areas (MSAs) in the United States. Subawards will be made by the SAAs to the designated high-risk urban areas.
In FY 2020, OPSG eligible subrecipients are local units of government at the county level or equivalent level of government and Federally recognized tribal governments in states bordering Canada or Mexico and states and territories with international water borders. All applicants must have active ongoing USBP operations coordinated through a CBP sector office to be eligible for OPSG funding.
In FY 2020, OPSG subrecipients eligible to apply for and receive a subaward directly from the SAAs are divided into three Tiers. Tier 1 entities are local units of government at the county level or equivalent and Federally recognized tribal governments that are on a physical border in states bordering Canada, states bordering Mexico, and states and territories with international water borders. Tier 2 eligible subrecipients are those not located on the physical border or international water but are contiguous to a Tier 1 county.
Tier 3 eligible subrecipients are those not located on the physical border or international water but are contiguous to a Tier 2 eligible subrecipient. The tier structure is only applicable with regard to eligibility. OPSG funding allocations are based on the assessed border security risks as determined by the USBP.
3. Other Eligibility Criteria
National Incident Management System (NIMS) Implementation Prior to allocation of any Federal preparedness awards in FY 2020, recipients must ensure and maintain adoption and implementation of NIMS. Detailed information on NIMS requirements are in the Preparedness Grants Manual.
Emergency Management Assistance Compact (EMAC) Membership In support of the Goal, SHSP recipients must belong to, be in, or act as a temporary member ofEMAC, except for American Samoa and the Commonwealth of the Northern Mariana Islands, which are not required to belong to EMAC at this time. All assets supported in part or entirely with FY 2020 HSGP funding must be readily deployable and NIMS-typed when possible to support emergency or disaster operations per existing EMAC agreements. In addition, funding may be used for the sustainment of core capabilities that, while they may not be physically deployable, support national response capabilities, such as Geographic/Geospatial Information Systems (GIS), interoperable communications systems, capabilities as defined under the Mitigation Mission Area of the Goal, and fusion centers.
Law Enforcement Terrorism Prevention Activities (LETPA) Per section 2006 of the Homeland Security Act of 2002, as amended (6 U.S.C. § 607), DHS/FEMA is required to ensure that at least 25 percent of grant funding appropriated for grants awarded under HSGP's authorizing statute are used for law enforcement terrorism prevention activities. DHS/FEMA meets this requirement, in part, by requiring all recipients allocate at least 25 percent of the combined HSGP funds allocated under SHSP and UASI towards law enforcement terrorism prevention activities, as defined in 6 U.S.C. § 607. The LETPA allocation can be from SHSP, UASI, or both. The 25 percent LETPA allocation may be met by funding projects in any combination of the four national priority areas
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identified above and any other investments. And the 25 percent LETPA allocation is in addition to the 80 percent pass-through requirement to local units of government and tribes, referenced below.
The National Prevention Framework describes those activities that should be executed upon the discove1y of intelligence or infomiation regarding an imminent threat to the homeland, to thwart an initial or follow-on terrorist attack and provides guidance to ensure the Nation is prepared to prevent, avoid, or stop a threatened or actual act of te1TOrism. Activities outlined in the National Prevention Framework are eligible for use as LETPA-focused funds. Also, where capabilities are shared with the protection mission area, the National Protection Framework activities are also eligible. All other terrorism prevention activities proposed for funding under LETP A must be approved by the FEMA Administrator.
4. Cost Share or Match
There is no cost share or match requirement for the FY 2020 HSGP.
D. Application and Submission Information
1. Key Dates and Times
a. Application Start Date: February 14, 2020
b. Application Submission Deadline: April 30 ts, 2020 at 5:00 p.m. ET All applications must be received by the established deadline. The Non-Disaster (ND) Grants System has a date stamp that indicates when an application is submitted. Applicants will receive an electronic message confinning receipt of the full application. DHS/FEMA will not review applications that are received after the deadline or consider them for fnnding. DHS/FEMA may, however, extend the application deadline on request for an applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an extension may include technical problems outside of the applicant's control that prevent submission of the application by the deadline, or other exigent or emergency circumstances.
Applicants experiencing technical issnes must notify the FEMA Headquarters (HQ) Program Analyst prior to the application deadline. If applicants do not know their FEMA HQ Program Analyst or if there are programmatic questions or concerns, please contact the Centralized Scheduling and Information Desk (CSID) by phone at (800) 368-6498 or by e-mail at [email protected], Monday through Friday, 9:00 a.m. - 5:00 p.m. ET. c. Anticipated Funding Selection Date: No later than 711/2020 d. Anticipated Award Date: No later than 9/30/2020
e. Other Key Dates:
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Event Suggested Deadline for Completion
Obtain DUNS Number 3/16/2020 311,QQ;JQ
Obtain a valid Employer 3/16/2020 311,QQ;JQ Identification Number (EIN) Update SAM registration 3/16/2020 3/fl;JQ;JQ
Submit the initial application in 4/23/2020 4,18/;JQ;JQ Grants.gov Submit the final application in ND 4/30/2020 4,115/;JQ;JQ, 3:00 p.m. ET Grants
2. Agreeing to Terms and Conditions of the Award
By submitting an application, applicants agree to comply with the requirements of this NOFO and the terms and conditions of the award, should they receive an award.
3. Address to Request Application Package
See the Preparedness Grants Manual for information on requesting and submitting an application.
4. Steps Required to Submit an Application, Unique Entity Identifier, and System for Award Management (SAM)
To apply for an award under this program, all applicants must:
a. Apply for, update, or verify their Data Universal Numbering System (DUNS) Number from Dun & Bradstreet (D&B) and Employer ID Number (EIN)
b. In the application, provide a valid Data Universal Numbering System DUNS number, which is currently the unique entity identifier;
c. Have an account with login. gov;
d. Register for, update, or verify their SAM account and ensure the account is active before submitting the application;
e. Create a Grants.gov account;
f. Add a profile to a Grants.gov account;
a. Establish an Authorized Organizational Representative (AOR) in Grants.gov; b. Submit an initial application in Grants.gov;
g. Submit the final application in the Non-Disaster Grants (ND Grants) system and h. Continue to maintain an active SAM registration with current information at all times during which it has an active federal award or an application or plan under consideration by a federal awarding agency.
Applicants are advised that DHS may not make a federal award until the applicant has complied with all applicable DUNS and SAM requirements. Therefore, an applicant's SAM registration must be active not only at the time of application, but also during the application review period and when DHS is ready to make a federal award. Further, as noted above, an applicant's or recipient's SAM registration must remain active for the duration of an active federal award. If an applicant's SAM registration is expired at the time of application, expires dming application review, or expires any other time before award, DHS may determine that the applicant is not
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qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant. See the Preparedness Grants Manual for additional information on the steps required to submit an application.
5. Electronic Delivery
DHS/FEMA is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. DHS/FEMA requires applicants to submit their initial applications online through Grants.gov and to submit final applications through ND Grants.
6. How to Register to Apply through Grants.gov
See the Preparedness Grants Manual for information on requesting and submitting an application.
7. How to Submit an Initial Application to DHS/FEMA via Grants.gov See the Preparedness Grants Manual for information on requesting and submitting an application.
8. Timely Receipt Requirements and Proof of Timely Submission As application submission is a two-step process, the applicant with the Authorized Organizational Representative (AOR) role who submitted the application will also receive an acknowledgement of receipt, a tracking number (in this format: GRANTXXXXXXXX) from Grants.gov, and an Agency Tracking Number (in this format: EMX-2020-XX-XXXX) with the successful transmission of the initial application. This notification does not serve as proof of timely submission, as the application is not complete until it is submitted in ND Grants. All applications must be received in ND Grants by 5:00 p.m. ET on April 30 #, 2020. Proof of timely submission is automatically recorded by ND Grants. An electronic date/time stamp is generated within the system when the application is successfully received by ND Grants. Additionally, the applicant(s) listed as contacts on the application will receive a system-generated email to confirm receipt.
9. Submitting the Final Application in Non-Disaster Grants System (ND Grants) After submitting the initial application in Grants.gov, eligible applicants will be notified by DHS/FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this anoouncement but no later than seven days before the application deadline. Early registration will allow applicants to have adequate time to start and complete their application.
In ND Grants applicants will be prompted to submit all of the information contained in the following forms. Applicants should review these forms before applying to ensure they have all the information required:
• Standard Form 424A, Budget Information (Non-construction); • Standard Form 424B, Standard Assurances (Non-construction); and • Standard Form LLL, Disclosure of Lobbying Activities.
In addition, applicants must submit copies of the following in ND Grants:
• Investment Justification (the Investment Justification Template may be fmmd in the Related Documents Tab of the Grants.gov posting and used as a preparation tool; responses to questions in the Template are entered into theGRT);
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• List of Urban Area Working Group (UA WG) and Senior Advisory Committee (SAC) members;
• SAC charter;
• UA WG charter; and
• Indirect Cost Agreement, if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement. If the applicant is not required to have an indirect cost rate agreement but will charge indirect costs and is required to have an indirect cost rate proposal, the applicant must provide a copy of their indirect cost rate proposal with the application. See the section below on indirect costs for more information or contact the relevant Program Analyst or Grants Management Specialist for further instructions.
Applicants must submit copies of the following in ND Grants if applying for construction projects. The forms may be accessed in the Forms tab under SF-424 Family on Grants.gov:
• Standard Form 424C, Budget Information (Construction); and • Standard Form 424D, Standard Assurances (Construction).
Applicants needing assistance registering for the ND Grants system should contact [email protected] or (800) 865-4076, Monday through Friday, 9 a.m. - 5 p.m. ET.
10. Content and Form of Application Submission
See the Preparedness Grants Manual for information on requesting and submitting an application.
HSGP Specific Application Instructions
Development of the Investment Justification (SHSP and DASI) As part of the FY 2020 HSGP application process for SHSP and DASI funds, applicants must develop formal investtnentjustifications (IJs) that address the proposed investments. Failure to fulfill of all of the terms contained in this section will be considered by DHS/FEMA in its evaluation of the effectiveness of the IJs in accordance with the Risk Methodology and Effectiveness Review described in the Application Review Information and may result in rejection of proposed investments or reduced funding allocations.
Each IJ must demonstrate how proposed investments:
• Support terrorism preparedness;
• Support closing capability gaps or sustaining capabilities identified in the community's THIRA/SPR process; and
• Support the overcoming of existing logistical, technological, legal, policy, and other impediments to collaborating, networking, sharing information, cooperating, and fostering a culture of national preparedness with federal, state, tribal, and local govermnents, as well as other regional, and nonprofit partners in efforts to prevent, prepare for, protect against, and respond to acts of terrorism, to meet its target capabilities, support the national security mission ofDHS and other federal agencies, and to otherwise reduce the overall risk to the high-risk urban area, the State, or the Nation.
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Each IJ must explain how the proposed investments will support the applicant's efforts to:
• Prevent a tlu·eatened or an actual act often-orism;
• Prepare for all hazards and threats, while explaining the nexus to ten-orism preparedness; • Protect citizens, residents, visitors, and assets against the greatest threats and hazards, relating to acts often-orism; and/or
• Respond quickly to save lives, protect property and the environment, and meet basic hwnanneeds in the aftermath of an act often-orism or other catastrophic incidents.
Development oflnvestments and Projects (SHSP)
• Applicants must propose at least four and may include up to ten investments. • Required national priority investment justifications must include the name of the priority in the investment name for easy identification.
• Within each investment in their IJ, applicants must propose at least one project to describe the activities they plan to implement with SHSP funds. There is no limit to the number of projects that may be submitted.
• Of the proposed SH SP-funded investments, one single project, within the required intelligence and information sharing investment, 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.
• Of the proposed SHSP-funded investments, one project in each of the required Cybersecurity and Soft Targets/Crowded Places investments must be in support of enhancing election security.
• All emergency communications investments must describe how such activities align with their Statewide Communication Interoperable Plan (SCIP). Recipients must coordinate with their Statewide Interoperability Coordinator (SWIC) and/or Statewide Interoperability Governance 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 sun-ounding systems. The investment name must include the words "emergency communications" to easily identify any emergency communications investments.
• All requested funding must be associated with specific projects. For each project, several pieces of information must be provided to submit the project for consideration in the application, including the name of the project, the project description, the name of the subrecipient, if applicable, the recipient type (e.g., state or local), the project location (zip code of the primary location of the project), the primary core capability the project supports, whether the project activities are shareable and deployable, and which priority area (if any) the project is in support of. Projects should describe how the proposed investment supports closing capability gaps or sustaining capabilities identified in the THIRA/SPR process. Failure to fulfill of all of the terms contained in this section may be considered in the evaluation of the effectiveness of the Us in accordance with the Risk Methodology and Effectiveness Review described in the Application Review Inf01mation and may result in rejection of proposed investments or reduced funding allocations. • FEMA encourages states to use any DHS provided assessments, such as those performed
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by DHS 's Protective Security Advisors and Cybersecurity Advisors, when developing their investment justifications.
Priority Investments fSHSPl
States are encouraged to review the Strategic Framework for Countering Terrorism and Targeted Violence when developing investments.
Cybersecurity Investment Justification (5 percent)
At least one investment must be in support of the state's cybersecurity efforts. The investment must meet or exceed the FY 2020 national priority percentage for cybersecurity, and will also be subject to DHS!FEMA's evaluation of the effectiveness of the proposed investments, in order to receive a full allocation of SHSP funds. 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 2020 HSGP grant awards will be required to complete the 2020 Nationwide Cybersecurity Review (NCSR), enabling agencies to benchmark and measure progress of improving their cybersecurity posture. The CIO, 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 2020 NCSR will be open from October - December 2020.
• The NCSR is an annual requirement for recipients and subrecipients ofHSGP 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 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 Information Bulletin 439.
In January 2017, the Department of Homeland Security 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.
Given the importance of the Nation's election infrastructure, and the multiple and evolving threats to that infrastructure, at least one project within this investment must be in support of the state's efforts to enhance election security. Additional resources and information regarding election security are available through the Cybersecurity and Infrastructure Secmity Agency.
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Soft Target Investment Justification (5 percent)
Soft targets and crowded places are increasingly appealing to terrorists and other extremist actors because of their relative accessibility and the large number of potential targets. This challenge is complicated by the prevalent use of simple tactics and less sophisticated attacks. Segments of our society are inherently open to the general public, and by nature of their purpose do not incorporate strict security measures. Given the increased emphasis by te1rnrists and other extremist actors to leverage less sophisticated methods to inflict harm in public areas, it is vital that the public and private sectors collaborate to enhance security of locations such as transportation centers, parks, restaurants, shopping centers, special event venues, and similar facilities.
Given the increased risk to soft targets and crowded places, at least one investment must be in support of the state's efforts to protect soft targets/crowded places. Additionally, the proposed investment must meet or exceed the FY 2020 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 in order to receive a full allocation of SHSP funds. Additional resources and information regarding securing soft targets and crowded places are available through the Cybersecurity and Infrastructure Security Agency. States are encouraged to engaged DHS' Protective Security Advisors' security assessments of soft targets to ensure that recommendations from those assessments are taken into consideration when allocating grant funding.
As noted above, given the importance of the Nation's election infrastructure, and the multiple and evolving threats to that infrastructure, at least one project within this investment must be in support of the state's efforts to enhance election security. Additional resources and information regarding election security are available through the Cybersecurity and Infrastructure Security Agency.
Information Sharing and Cooperation Investment Justification (5 percent) Effective homeland security operations rely on timely information sharing and actionable intelligence to accurately assess and prevent threats against the United States. 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. A critical and statutorily charged mission of DHS is to deliver intelligence and information to federal, state, local, and tribal goverrunents and private sector partners. Cooperation and information sharing among state, federal, and local partners across all areas of the homeland security enterprise, including counterterrorism, cybersecurity, border security, immigration enforcement, and other areas is critical to homeland security operations and the prevention of, preparation for, protection against, and responding to acts of terrorism.
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 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
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will contribute to the information sharing and collaboration purposes of the investment and a culture of national preparedness, including how they will identify, address, and overcome any existing laws, policies, and practices that prevent information sharing. Additionally, the proposed investment must meet or exceed the FY 2020 national priority percentage for information sharing and cooperation with DHS, and will also be subject to DHS/FEMA's evaluation of the effectiveness of the proposed investments, in order to receive a full allocation of SHSP funds. Additional resources and information regarding collaboration and information sharing are available through the Department's Office of Intelligence and Analysis.
Emerging Threats Investment Justification (5 percent)
The spread of rapidly evolving and innovative technology, equipment, techniques, and knowledge presents new and emerging dangers for homeland security in the years ahead.
Terrorists remain intent on acquiring weapons of mass destruction (WMD) capabilities, and rogue nations and non-state actors are aggressively working to develop, acquire, and modernize WMDs that they could use against the Homeland. Meanwhile, biological and chemical materials and technologies with dual use capabilities are more accessible throughout the global market.
Due to the proliferation of such information and technologies, rogue nations and no-state actors have more opportunities to develop, acquire, and use WMDs than ever before. Similarly, the proliferation of unmanned aircraft systems, artificial intelligence, and biotechnology increase opportunities of threat actors to acquire and use these capabilities against the United States and its interests.
Given the increased risk of emerging threats, at least one investment must be in support of the state's efforts to address emerging threats. Additionally, the proposed investment must meet or exceed the FY 2020 national priority percentage for emerging threats, and will also be subject to DHS/FEMA' s evaluation of the effectiveness of the proposed investments, in order to receive a full allocation of SHSP funds. Additional resources and information regarding emerging threats are available through the Countering Weapons of Mass Destrnction Office and the Cybersecuritv and Infrastrncture Security Agency.
Development of Investments and Projects (UASI)
• Applicants must propose at least four and may include up to ten investments. • Within each investment in their IJ, Urban Areas must propose at least one project to describe the activities they are planning to implement with UASI funds. There is no limit to the number of projects that may be submitted.
• Required national priority IJs must include the name of the priority in the investment name for easy identification.
• Of the proposed projects, Urban Areas are required to propose one single project, as part of the required intelligence and info1mation shaiing investment justification, in support of a designated fusion center within the Urban Area, if applicable. Recipients must coordinate with the fusion center when developing a fusion center project prior to submission. See additional information on how to develop fusion center investments below. • Of the proposed DASI-funded investments, one project in each of the required Cybersecmity and Soft Targets/Crowded Places investments, must be in support of enhancing election security.
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All emergency communications investments must describe how such activities align with their Statewide Communication Interoperable Plan (SCIP). Recipients must coordinate with their Statewide Interoperability Coordinator (SWIC) and/or Statewide Interoperability Governance Body (SIGB) when developing an emergency communications investment prior to submission to ensme the project supports the statewide strategy to improve emergency communications and is compatible and interoperable with surrounding systems. The investment name must include the words "emergency communications" to easily identify any emergency communications investments.
All requested funding must be associated with specific projects. For each project, several pieces of information must be provided to submit the project for consideration in the application, including the name of the project, the project description, the name of the subrecipient, if applicable, the recipient type (e.g., state or local), the project location (zip code of the primary location of the project), the primary core capability the project supports, whether the project activities are shareable and deployable, and which priority area (if any) the project is in support of. Projects should describe how the proposed investment supports closing capability gaps or sustaining capabilities identified in the THIRA/SPRprocess Priority Inyestments - UASI
High-risk mban areas are encomaged to review the Strategic Framework for Countering Terrorism and Targeted Violence when developing investments.
Cybersecurity Investment Justification (5 percent)
At least one investment must be in support of the urban area's cybersecmity efforts. The investment must meet or exceed the FY 2020 national priority percentage for cybersecurity, and will also be subject to DHS/FEMA's evaluation of the effectiveness of the proposed investments, in order to receive a full allocation of UASI and SHSP funds. 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 2020 HSGP awards will be required to complete the 2020 Nationwide Cybersecurity Review (NCSR), enabling agencies to benchmark and measure progress of improving their cybersecurity posture. The CIO, CISO or equivalent for each recipient should complete the NCSR. If there is no CIO or CISO, the most senior cybersecmity professional should complete the assessment. The NCSR is available at no cost to the user and takes approximately 2- 3 hours to complete. The 2020 NCSR will be open from October - December 2020.
• 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 HSGP funds, all SL TT 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 Infmmation Bulletin 439.
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In January 2017, the Department of Homeland Security 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 oflife that its incapacitation or destmction would have a devastating effect on the conntry. 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.
Given the importance of the Nation's election infrastructure, and the multiple and evolving threats to that infrastructure, at least one project within this investment must be in support of the state's efforts to enhance election security. Additional resources and information regarding election security are available through the Cybersecurity and Jnfrastrncture Security Agency.
Soft Target Investment Justification (5 percent)
Soft targets and crowded places are increasingly appealing to terrorists and other extremist actors because of their relative accessibility and the large number of potential targets. This challenge is complicated by the prevalent use of simple tactics and less sophisticated attacks. Segments of our society are inherently open to the general public, and by nature of their purpose do not incorporate strict security measures. Given the increased emphasis by terrorists and other extremist actors to leverage less sophisticated methods to inflict harm in public areas, it is vital that the public and private sectors collaborate to enhance security of locations such as transportation centers, parks, restaurants, shopping centers, special event venues, and similar facilities.
Given the increased risk to soft targets and crowded places, at least one investment must be in support of the urban area's efforts to protect soft targets/crowded places. Additionally, the proposed investment must meet or exceed the FY 2020 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, in order to receive a full allocation ofUASI funds. Additional resources and information regarding securing soft targets and crowded places are available through the Cybersecurity and Infrastructure Security Agency.
As noted above, given the importance of the Nation's election infrastrncture, and the multiple and evolving threats to that infrastructure, at least one project within this investment must be in support of the state's efforts to enhance election security. Additional resources and information regarding election security are available through the Cybersecurity and Infrastrncture Security Agency.
Information Sharing and Cooperation Investment Jnstification (5 percent) Effective homeland security operations rely on timely information sharing and actionable intelligence to accurately assess and prevent threats against the United States. 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. A critical and statutorily charged mission ofDHS is to deliver intelligence and information to federal, state, local, and tiibal 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, cybersecurity, border security, immigration enforcement, and other areas is
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critical to homeland security operations and the prevention of, preparation for, protection against, and responding to acts of terrorism.
EXHIBIT F
Given the importance of information sharing and collaboration to effective homeland security solutions, at least one investment must be in support of the 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, including how they will identify, address, and overcome any existing laws, policies, and practices that prevent information sharing.
Additionally, the proposed investment must meet or exceed the FY 2020 national priority percentage for information sharing and cooperation with DHS, and will also be subject to DHS/FEMA's evaluation of the effectiveness of the proposed investments, in order to receive a full allocation ofUASI funds. Additional resources and information regarding collaboration and information sharing are available through the Department's Office ofintelligence and Analysis.
Emerging Threats Investment Jnstification (5 percent)
The spread of rapidly evolving and innovative technology, equipment, techniques, and lmowledge presents new and emerging dangers for homeland security in the years ahead.
Terrorists remain intent on acquiring weapons of mass destruction (WMD) capabilities, and rogue nations and non-state actors are aggressively working to develop, acquire, and modernize WMDs that they could use against the Homeland. Meanwhile, biological and chemical materials and technologies with dual use capabilities are more accessible throughout the global market.
Due to the proliferation of such information and technologies, rogue nations and non-state actors have more opportunities to develop, acquire, and use WMDs than ever before. Similarly, the proliferation of unmanned aircraft systems, artificial intelligence, and biotechnology increase opportunities of threat actors to acquire and use these capabilities against the United States and its interests.
Given the increased risk of emerging threats, at least one investment must be in support of the urban area's efforts to address emerging threats. Additionally, the proposed investment must meet or exceed the FY 2020 national priority percentage for emerging threats, and will also be subject to DHS/FEMA's evaluation of the effectiveness of the proposed investments, in order to receive a full allocation ofUASI funds. Additional resources and information regarding emerging threats are available through the Countering Weapons of Mass Destruction Office and the Cybersecurity and Infrastructure Security Agency.
Development of Fusion Center Projects (SHSP and UASI)
If applicable, each applicant must identify a fusion center project that will:
• Indicate alignment to a designated Fusion Center.
• 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.
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• If the project description and funding itemization do not directly support the fusion center or clearly align to the Fusion Center Performance Measures, then the project may be conditionally approved until a Fusion Center Addendum is submitted.
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 fimd:
• 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 2020.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:
Solution Area and Amount of Proposed Percent of Proposed Fun dine Funding
Planning: $10,000.00 2%
Organization: $200,000 48%
Equipment: $200,000 48%
Training: $10,000 2%
Exercises: $0 0%
Total: $420,000 100%
Completing Us 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.
Development of Concept of Operations for OPSG
As part of the FY 2020 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 (CON OP)/ 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 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
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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 priorities identified below.
Information Sharing and Cooperation
Effective border security operations rely on timely information sharing and actionable intelligence to accurately assess and prevent threats against the United States. 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. 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, cybersecurity, border security, immigration enforcement, and other areas is critical to homeland security operations and the prevention of, preparation for, protection against, and responding to acts of terrorism.
Given the importance of information sharing and collaboration to effective homeland security solutions, the CONOP must be in support of 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, including how they will identify, address, and overcome any existing laws, policies, and practices that prevent information sharing. Additional resources and information regarding collaboration and information sharing are available through the Department's Office ofintelligence and Analysis.
Emerging Threats
The spread of rapidly evolving and innovative technology, equipment, techniques, and knowledge presents new and emerging dangers for homeland security in the years ahead.
Terrorists remain intent on acquiring weapons of mass destruction (WMD) capabilities, and rogue nations and non-state actors are aggressively working to develop, acquire, and modernize WMDs that they could use against the Homeland. Meanwhile, biological and chemical materials and technologies with dual use capabilities are more accessible throughout the global market.
Due to the proliferation of such information and technologies, rogue nations and non-state actors have more opportunities to develop, acquire, and use WMDs than ever before. Similarly, the proliferation of unmanned aircraft systems, artificial intelligence, and biotechnology increase opportunities of threat actors to acquire and use these capabilities against the United States and its interests.
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Given the increased risk of emerging threats, the CONOP must be in support of the recipient's efforts to address emerging threats. Additional resources and information regarding emerging threats are available through the Countering Weapons of Mass Destruction Office and the Cybersecurity and Infrastructure Security Agency.
11. 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 IF ederal-register/ codification/ executive-order/ 123 72 .html; https://www.whitehouse.gov/wp-content/uploads/2017/11/SPOC-Feb.-2018.pdf.
12. Funding Restrictions
Federal funds made available through this award may be used for the purpose set forth in this 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.
13. Environmental Planning and Historic Preservation (EHP) Compliance See the Preparedness Grants Manual for information on EHP Compliance.
14. Emergency Communications Investments
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:
• Applicants must describe in the investment how proposed communications investments align to needs identified in their SCIP. 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 signatmy authority for the SAA mnst ce1iify in writing to DHS/FEMA their compliance with the SAFECOM Guidance. 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 (PPR) 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 the DHS Office of Emergency Communications and will be verified by FEMA GPD through programmatic monitoring activities. • By the period of performance end date, all states and territories must npdate the SCIP, with a focus on communications resilience/continuity, to include assessment and Page26 of41
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mitigation of all potential risks identified in the SCIP: natural disasters, accidental damage (human failures), intentional damage (sabotage, terrorism), cybersecurity, etc.
Following the initial npdate, the SCIP should be updated on an annual basis. SCIP status information will be maintained by the DHS Office of Emergency Communications and will be verified by FEMA GPD through programmatic monitoring activities.
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) and must submit an After Action Report/Improvement Plan (AAR/IP) to the Homeland Security Exercise and Evaluation Program's (HSEEP) electronic message inbox at [email protected] within 90 days of exercise completion. 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 shonld be used to npdate 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 (inclnding the cost of hiring a SWIC, participation in governance bodies and reqnirements 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.
15. Detailed Budget
Applicants must provide budget summaty 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 projectrelated 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 used by the direct recipient for projects carried out by the direct recipient and how much funding is being passed through to sub-recipients 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.
16. Funds Transfer Restriction
The recipient is prohibited from transferring funds between programs (includes the SHSP, the UASI, and OPSG). Recipients can submit an investment/project where funds come from multiple funding sources (e.g., the SHSP and UASI), however, recipients are not allowed to
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divert funding from one program to another due to the risk-based funding allocations, which were made at the discretion of DHS/FEMA.
17. Pre-Award Costs
Pre-award costs are allowable only with the prior written approval ofDHS/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 Authorized Representative 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.
18. Cost Principles
Costs charged to this award must be consistent with the Cost Principles for Federal Awards located at 2 C.F.R. Part 200, Subpart E. For more infmmation on 2 C.F.R. Part 200, please refer to FEMA GPD Infonnation Bulletin 400, FEMA 's Implementation of2 C.F.R. Part 200, the Uniform Administrative Requirements, Cost Principles, and Audit Requirements (Or Federal Awards ("Super Circular" or "Omni Circular").
19. Direct Costs
a. Planning
Planning costs are allowed under this program.
b. Organization
Orgauization costs are allowed under this program.
c. Equipment
Equipment costs are allowed under this program.
d. Training
Training costs are allowed under this program.
e. Exercises
Exercise costs are allowed under this program.
f. Personnel
Personnel hiring, overtime, and backfill expenses are permitted under this grant to perform allowable HSGP planning, orgauization, 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 ofHSGP funds, including SHSP, UASI, aud 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 Information Bulletin (IB) 421, Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008 (Public Law 110-412)-the PRICE Act.
g. 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.
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h. Travel
Domestic travel costs are allowed under this program, as provided for in this NOFO. International travel is not an allowable cost nnder this program nnless approved in advance by DHS/FEMA.
i. Constrnction 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 nnder 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 ERP approval process. Limits on the total amonnt of grant funding that may be used for construction or renovation may apply. Additionally, recipients are required to submit Standard Form 424C. j. Maintenance and Snstainment
Maintenance- and sustairnnent-related costs, such as maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees, are allowable as described in FP 205-402-125-1, Maintenance Contracts and Warranty Coverage Fnnded by Preparedness Grants Policy (http://www.fema.gov/media-libraiy/assets/documents/32474). k. Management and Administration (M&A) Costs
Management and administration (M&A) activities are those directly relating to themanagement and administration ofHSGP funds, such as financial management and monitoring. A maximum of up to five percent ofHSGP 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.
Recipients or subrecipients may apply or credit M&A funding toward the recipient's requirement to allocate funding toward the four national priority areas. For example, if a recipient spends $5,000 to manage or administer its funding dedicated toward its enhancing cybersecurity investment, the recipient may credit that funding toward its requirement to allocate at least 5 percent of its award to enhancing cybersecurity.
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 mandatmy minimum passthrough requirements that are applicable to each HSGP program. To meet this requirement, the percentage of SHSP and UASI funds passed through to local or !Jibal 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 of2.5 percent of the OPSG allocation, which must be withheld from the pass-through to each subrecipient connty 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 amonnt equal to
2.5 percent of the OPSG award. Examples applying this principle:
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SAA 1:
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
EXHIBIT F
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.
SAA2:
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.
Please note, Infmmation Bulletin (IB) 365: Management and Administration Costs in the Homeland Securitv and DHS/FEMA Policy 207-087-1, which can be found at http://www.fema.gov/library/viewRecord.do?id=7837, do not apply to awards made in FY 2020 under this NOFO. Jhe IB and Policy remain in effect for all previous awards.
L. Critical Emergency Supplies
Critical emergency supplies are allowed under this program.
M. Secure Identification
Secure Identification costs are allowed under this program.
N. 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 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. 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. 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.
0. 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 tenorism preparedness. General pmpose equipment, like all equipment funded under the HSGP, must be sharable thrnugh the
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Emergency Management Assistance Compact (EMAC)3 and allowable under 6 U.S.C. § 609, and any other applicable provision of the Homeland Security Act of2002, as amended.
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 chemical, biological, radiological, nuclear, and explosives (CBRNE) response;
• Interoperability of data systems, such as computer aided dispatch (CAD) and record management systems (RMS); and
• Office equipment for staff' engaged in homeland security program activity.
Equipment allowability is based on the Authorized Equipment List ( AEL) but exceptions may be considered on a case-by-case basis if (I) the equipment identified to be purchased directly maps to a core capability contained within the Goal, and (2) the equipment's purpose (when operational) falls under the permitted use of funds in accordance with 6 U.S.C. § 609, and any other applicable provision of the Homeland Security Act of2002, as amended.
P. 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). Funds under HSGP 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, ifthere are any questions regarding allowable costs, please contact the appropriate HQ GPD Program Analyst. For additional information on allowable costs, see the Preparedness Grants Manual.
Developing hazard/threat-specific annexes
Developing and implementing homeland security support programs and adopting ongoing DHSIFEMA nationalinitiatives
Developing related terrorism and other catastrophic event prevention activities Developing and enhancing plans and protocols
Developing or conducting assessments
Hlling of full- or part-time staff or contract/consultants to assist with planning activities
Mate1ials required to conduct planning activities
Travel/per diem related to planning activities
Overtime and backfill costs (in accordance with operational Cost Guidance) Issuance ofWHTI-compliant Tribal identification cards
Activities to achieve planning inclusive of people with disabilities and others with access and functional needs and limited En lish roficienc .
N
N
N
N
N
N
3 Except for American Samoa and the Commonwealth of the Northe1n 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 management and administration staff, and costs are to be captured outside the cap on management and administration costs Page31 of41
FY 2020 HSGP NOFO
EXHIBIT F
Coordination with Citizen Corps Councils for public information/education and develop1nent of volunteer rograms N
Update gove1nance stJ.uctures and processes and plans for emergency communications N Development, and review and revision of continuity of operations plans N Development, and review and revision of the THIRA/SPR continuity of operations plans N ,4,11~~~l!1~()r!:ITTi~~J.l~g~~~tiY!tl•.~.c • •. >... < .... •·····•· <·····•• .·· ... ·····••·····• · · <,, , y.•o ~9ct~,J.'~1~.eD1f~1~g,~9y;~e;"i14.!;>~£klj]l~xpepses'lf"P';'1!'i(te~:uit:'¥lhihi~w)'IltPnl~tf',th~e~~#~t)J,ll,trµcJi•. · expenses.fil'el'<ii.the.il.l9w~ill~ acllyitie5··.dthill the scope of the grant.~ ...• •··· •. ... . •. . ... · .•••. ,• •• £ •• > •.• '--'--'-'--I Program management
Development of whole community partnerships
Stluctures and mechanisms for information sharing between the public and p1ivate sector
Implementing models, programs, and workforce enhancement initiatives Tools, resources, and activities that facilitate shared situational awareness between the ublic and rivate sectors
Operational support
Utilization of standardized resource management concepts Responding to an increase in the threat level under the National Terrorism Advisory S stem TAS , or needs in resultin from a National S ecial Securi Event Reimbursement for select operational expenses associated with increased security measures at critical infrastructure sites incurred (up to 50 percent of the allocation) Overtime for information, investigative, and intelligence sharing activities (up to 50 percent of the allocation
Hiring of new staff positions/contractors/consultants for participation in information/intelligence analysis and sharing groups or fusion center activities (up to 50 percent oftheallocation).
Anowal;ile EC[uipni~fCatego!"ies
Personal Protective Equipment
Explosive Device Mitigation and Remediation Equipment
CBRNE Operational Search and Rescue Equipment
Information Technology
Cybersecurity Enhancement Equipment
Interoperable Communications Equipment
Detection
Decontamination
Medical countermeasures
Power (e.g., generators, batteries, power cells)
CBRNE Reference Materials
CBRNE Incident Response Vehicles
Terrorism Incident Prevention Equipment
Physical Security Enhancement Equipment
Inspection and Screening Systems
Animal Care and Foreign Animal Disease
CBRNE Prevention and Response Watercraft
CBRNE Prevention and Response Unmanned Aircraft
CBRNE Aviation Equipment
CBRNE Logistical Support Equipment
Intervention Equipment (e.g., tactical entry, crime scene processing) Critical emergency supplies
Vehicle acquisition, lease, and rental
Other Authorized Equipment
FY 2020 HSGP NOFO
N
N
N
N
N
N
Overtime and backfill for emergency preparedness and response personnel attending DHS/FEMA-s onsored and a roved trainin classes
Overtime and backfill expenses for part-time and volunteer emergency response personnel paiticipating in DHSIFEMA training
Training workshops and conferences
Activities to achieve training inclusive of people with disabilities and others with access and functional needs and limited En lish roficienc Full- or part-time staff or contractors/consultants
Travel
Supplies
Instructor certification/re-certification
Coordination with Citizen Corps Councils in conducting training exercises Interoperable communications training
Activities to achieve planning inclusive of people with limited English proficiency Full- or part-time staff or contractors/consultants
Overtime and backfill costs, including expenses for part-time and volunteer emergency response personnel participating in DHS/FEMA exercises Implementation of HSEEP
Activities to achieve exercises inclusive of people with disabilities and others with access and functional needs
Travel
.Nlo)Vable l\llallagement &Admillistrative;.Cosfs
Hiring of full- or part-time staff or contractors/consultants to assist with the management of the respective grant program, application require1nents, and com liance with re ortin and data collection re uirements Development of operating plans for infor1nation collection and processing necessruy to res and to DHS/FEMA data calls
Overtime and backfill costs
Travel
Meeting related expenses
Authorized office equipment
RecmTing expenses such as those associated with cell phones and faxes during the PoP of the grant program
Leasing or renting of space for newly hired personnel during the PoP of the grant Program
Integration and interoperability of systems and data, such as CAD and RMS, to facilitate the collection,
Maturation and enhancement of designated state and major Urban Area fusion centers
Coordination between fusion centers and other analytical and investigative efforts
FY 2020 HSGP NOFO
EXHIBIT F
N
N
N
N
N
N
N
EXHIBITF
Implementation and maintenance of the Nationwide SAR Initiative Implementation of the 11IfYou See Something, Say Sornething®11 campaign Increase physical security, through law enforcement personnel and other protective measures, by implementing preventive and protective measures at critical Building and sustaining preventive radiological and nuclear detection capabilities E. Apnlication Review Information
1. Application Evaluation Criteria
a. Programmatic Criteria
Allocations
Risk Methodology and Effectiveness Review
N
N
N
N
The risk methodology and effectiveness review first determine 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 and Application Evaluation Criteria for additional information on risk methodology and effectiveness review.
The second pa1i of the 1isk methodology and effectiveness review determines whether the proposed project is clear, logical, and reasonable to address the priority area of interest and contribute to a culture of national preparedness. This pati considers factors such as how well the project is described and how well the project addresses the objectives and strategies of the priority area.
Risk and effectiveness will be given equal consideration in determining final award amounts.
NOTE: The THIRA/SPR process is separate from the risk methodology and effectiveness review, and its results do not affect grant allocations.
Evaluation Criteria
FEMA will evaluate the FY 2020 HSGP applications for completeness, adherence to prograrurnatic guidelines, and anticipated effectiveness of the proposed investments. FEMA's review will include verification that each IJ or project:
• Meets the national priority required spend percentages. • 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 EMACagreements.
FY 2020 HSGP NOFO
EXHIBITF
In addition to the above, 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 part considers 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. Effectiveness will be evaluated prior to award and may impact the final overall award amount. To that end, IJs should include:
• How the proposed investment addresses the national priority; • 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 laws, policies and practices that can be enhanced, eliminated, or otherwise changed in order to achieve the goals of the project and foster a culture of national preparedness;
• 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 2020 HSGP applications, effectiveness will be evaluated based on the following five factors:
• Investment Strategy (30%): 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 terrotism, to meet its target capabilities, and otherwise reduce the overall risk to the high-risk urban area, the State, or the Nation.
• Budget (10%): 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 (30%): Proposals 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 2020 NOFO. Further, proposals will be evaluated on their identification and estimated improvement of core capability(ies), theassociated standardized target(s) that align with their proposed investment, and the ways in which the applicant will measure and/or evaluate improvement. • Collaboration (30%): Proposals will be evaluated based on the degree to which the proposal adequately details how the recipient will use investments and other means to overcome existing logistical, technological, legal, policy, and other impediments to collaborating, networking, sharing information, cooperating, and fostering a culture of national preparedness with federal, state, tribal, and local goverrunents, as well as other regional and nonprofit partners in efforts to prevent, prepare for, protect against, and respond to acts of terrorism, to meet its target capabilities, support the national security mission ofDHS and other federal agencies, and to otherwise reduce the overall risk to the high-risk urban area, the State, or the Nation. In evaluating applicants under this factor FEMA will consider the information provided by the applicant and may also consider relevant information from other sources. • Past Performance (additional consideration): Proposals will be evaluated based on the
FY 2020 HSGP NOFO
EXHIBIT F
applicants demonstrated capability to execute the proposed investments. In evaluating applicants under this factor FEMA will consider the infmmation provided by the applicant and may also consider relevant information from other sources.
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.
Review and Selection Process (SHSP and UASI)
To ensure the effectiveness of proposed investments and projects, all applications will undergo a Federal review as described herein. The Federal review will be conducted by DHS and FEMA. Us will be reviewed at both the investment and project level. Results of the effectiveness analysis may result in a recipient receiving a reduced grant award.
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.
Infmmation Sharing and Cooperation Investments will be reviewed by DHS/FEMA, DHS 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.
As part of the above, Fusion center projects will be reviewed by DHS/FEMA for compliance with HSGP NOFO requirements to prioritize the aligmnent ofrequests with results from the annual Fusion Center Assessment Program. If a fusion center investment does not meet the requirements, a Fusion Center Addendum must be completed and submitted for review and approval prior to expending funds allocated to fusion center activities.
Emerging threats investments will be reviewed by DHS/FEMA, DHS Countering Weapons of Mass Destruction Office, and other DHS components as appropriate, for compliance with purposes and requirements of the p1iority investment area. Proposed investments will be reviewed for effectiveness using the criteria set forth in this NOFO.
All other proposed investments not associated with a required investment justification will tmdergo a Federal review by DHS/FEMA to verify compliance with all administrative and eligibility criteria identified in the NOFO.
Review and Selection Process (OPSG)
Applications will be reviewed by the SAA and USBP for completeness and adherence to programmatic guidelines and evaluated for anticipated feasibility, need, and impact of the
FY 2020 HSGP NOFO
EXHIBITF
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 2020 OPSG funds will be allocated competitively based on risk-based prioritization using the OPSG Risk Assessment described above. Final funding allocations are determined by the Secretary, 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 2020 Operations Orders to designated localities within border states and ten-itories.
b. Financial Integrity Criteria
Prior to making a Federal award, DHS/FEMA is required by 31 U.S.C. § 3321 note, 41 U.S.C. § 2313, and 2 C.F.R. § 200.205 to review information available through any OMBdesignated repositories of govermnent-wide eligibility qualification or financial integrity information. Application evaluation c1iteria may include the following risk-based considerations of the applicant:
• Financial stability;
• Quality of management systems and ability to meet management standards; • History of performance in managing Federal awards;
• Reports and findings from audits; and
• Ability to effectively implement statutory, regulatory, or other requirements. c. Supplemental Financial Integrity Review
Prior to making a Federal award where the anticipated Federal share of a Federal award will be greater than the simplified acquisition threshold, cun-ently $250,000 (see Section 805 of the National Defense Authorization Act for Fiscal Year 2008, Pub. L. No. 115-91, OMB Memorandum M-18-18 at https://www.whitehouse.gov/wp-content/uploads/20 l 8/06/M-18-
18.pdf; see also FEMA GPD Jnfonnation Bulletin No. 434. Increases and Changes to the MicroPurchase and Simplified Acquisition Thresholds):
• DHS/FEMA is required to review and consider any information about the applicant in the designated integrity and performance system accessible through the System for Award Management (SAM), which is cun-ently the Federal Awardee Performance and Integrity lnfonnation System (F APIIS) and is also accessible through the SAM website. • An applicant, at its option, may review information in F APIIS and comment on any information about itself that a Federal awarding agency previously entered. • DHS/FEMA will consider any comments by the applicant, in addition to the other information in F APIIS, 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. § 200.205.
FY 2020 HSGP NOFO
EXHIBIT F
F. Federal Award Administration Information
1. Notice of Award
See the Preparedness Grants Manual for information on Notice of Award.
2. SHSP and UASI Pass-Through Requirements
Awards made to the SAA for HSGP carry additional pass-through 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. Four requirements 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 te1ms must be communicated to the subrecipient.
Timing and Amount
The SAA must pass-through at least 80 percent of the funds awarded under the SHSP and UASI to local or tribal units of government within 45 calendar days ofreceipt 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 ofHSGP awards via the GPD's ND Grants system. If an SAA accepts its award within 15 calendar days ofreceiving 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 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 PoP 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 20, 2020, while the PoP dates for that award are September 1, 2020, through August 31, 2022. In this example, the 45-day pass-through period will begin on the date the SAA accepts the HSGP award or September 4, 2020 (15 calendar days after the SAA was notified of the award), whichever date occurs first. The PoP start date of September 1, 2020 would not affect the timing of meeting the 45-calendar day pass-through requirement.
Other SHSP and DASI Pass-Through Requirements
The signatory authority of the SAA must certify in writing to DHS/FEMA that pass-through requirements have been met. A letter of intent (or equivalent) to distribute funds is not considered sufficient. The pass-through requirement does not apply to SHSP awards made to the District of Columbia, Guam, American Samoa, the U.S. Virgin Islands, and 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.
FY 2020 HSGP NOFO
EXHIBITF
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. This may occur only with the written consent of the local unit of government, specifying the amount of funds to be retained and the intended use of funds. 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 2020, 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 Program Analyst.
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 Reqnirements
See the Preparedness Grants Manual for information on Administrative and National Policy requirements.
4. Reporting
See the Preparedness Grants Manual for information on reporting requirements, including federal financial reporting requirements, programmatic performance reporting requirements, and closeout repmiing requirements.
Threat and Hazard Identification and Risk Assessment (THIRA) and Stakeholder Preparedness Review (SPR) Process
See the Preparedness Grants Manual for information on the THIRA and SPR process.
Supplemental Information Reporting Systems
In addition to ND Grants, the following infonnation systems are used for the submission of required reports:
Grant Reporting Tool (GRT)
Information on the GRT can be found in the Preparedness Grants Manual.
Unified Reporting Tool (URT)
See the Preparedness Grants Manual for information on the URT.
Closeout Reporting Requirements
See the Preparedness Grants Manual for infmmation on closeout reporting requirements.
Disclosing Information per 2 C.F.R. § 180.335
See the Preparedness Grants Manual for information on disclosing information.
5. Monitoring
Per 2 C.F.R. § 200.336, DHS/FEMA through its authorized representatives, has the right, at all reasonable times, to make site visits to review project accomplishments and management control
FY 2020 HSGP NOFO
EXHIBIT F
systems to review project accomplishments and to provide any required technical assistance. During site visits, DHS/FEMA will review grant recipients' files related to the grant award. As prut of any monitoring and program evaluation activities, grant recipients must permit DHS/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 DHS/FEMA requests for information relating to the grant program. See the Preparedness Grants Manual for additional information on monitoring.
G. DHS/FEMA Awarding Agency Contactlnformation
1. Contact and Resource Information
Centralized Scheduling and Information Desk (CSID)
CSID is a non-emergency comprehensive management and information resource developed by DHS/FEMA for grant stakeholders. CSID provides general information on all DHS/FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the Federal, state, and local levels. When necessruy, recipients will be directed to a Federal point of contact who can ruiswer specific progrannnatic 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 a.m. - 5:00 p.m. ET.
GPD Grant Operations Division
GPD' s Grant Operations Division Business Office provides support regarding financial matters and budgetruy, technical assistance. Additional guidance and information can be obtained by contacting the FEMA Call Center at 866-927-5646 or via e-mail to [email protected].
FEMA Regional Offices
FEMA Regional Offices may also provide fiscal support, including pre- and post-award administration and technical assistance such as conducting cash analysis, financial monitoring, and audit resolution for the grant progrruns included in this solicitation. GPD will provide progrannnatic support and technical assistance. FEMA Regional Office contact information is available here.
GPD Environmental Planning and Historic Preservation (EHP) The DHS/FEMA GPD EHP Team provides guidance and information about the EHP review process to recipients and subrecipients. All inquiries and connnunications about GPD projects or the EHP review process, including the submittal ofEHP review materials, should be sent to [email protected]. EHP Technical Assistance, including the EHP Screening Form, can be found online at https://www.fema.gov/media-library/assets/documents/90195.
2. Systems Information
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 e-mail at [email protected].
Non-Disaster (ND) Grants
For technical assistance with the ND Grants system, please contact the ND Grants Helpdesk at
FY 2020 HSGP NOFO
EXHIBIT F
[email protected] or (800) 865-4076, Monday through Friday, 9:00 a.m. - 5:00 p.m. ET.
Payment and Reporting System (PARS)
DHS/FEMA uses the Payment and Reporting System (PARS) for financial reporting, invoicing and tracking payments. DHS/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 l 19A, Direct Deposit Form.
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 Manual for further information. Examples of information contained in the Preparedness Grants Manual include:
• Conflicts ofinterest in the Administration of Federal Awards and Subawards; • Extensions;
• Monitoring;
• Procurement Integrity; and
• Other Post-Award Requirements.
In response to recent disasters, FEMA has introduced a new lifelines construct, in order to enable the continuous operation of governrnent functions and critical business essential to human health, safety, or economic security during and after a disaster. To learn more about lifelines, please refer to the Preparedness Grants Manual, or visit http://www.fema.gov/nationalplanning-frameworks.
Additionally, recipients can access the DHS Strategic Framework for Countering Ten-orism and Targeted Violence which explains how the department will use the tools and expertise that have protected and strengthened the country from foreign ten-orist organizations to address the evolving challenges of today.
FY 2020 HSGP NOFO
EXHIBIT G
LOS ANGELES COUNTY/DEPARTMENT OF AUDITOR-CONTROLLER
SHARED SERVICES DIVISION
GRANT PAYMENT REQUEST
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 j Attn: Grants Unit
3470 Wilshire Blvd., Suite 812
Los Angeles, CA 90010
2. Mailing Address (p~ase let us know whers you want your check delivered, Including attention line If necessal)'):
1. SOLUTION AREA
(e.g. equipment, training,
planning, exercise, organization)
2. PROJECT ii
(e.g. 011.22)
I certify that (please use the checkbox):
4. EHP required?
(Environmental & Historic
Preservation)
No Yes
(attach State
Approval)
5. VENDOR'S INVOICE#
(Maximum of 5 invoices)
D 1.1 am the duly authorized officer of the claimant herein and this claim Is !n al! respect true and correct. All expenditures were made in accordance with applicable laws, rules, regulatlons and grant conditions and assurances.
D 2. All instructions for this form were followed and all the supporting documentation (per instructions) ls Included with this claim.
AUTHORIZED SIGNATURE DATE
4. ~~~-A~U~T~H~O~Rl~ZE~O~P~R~IN~T~ED-N~A~M~E~~~- AUTHORIZED TITLE
5. AUTHORIZED CONTACT INFORMATION (If different from Section B):
E-MA!L:
NOTE: This Form is intended for Internal SSD review purpose only. Revised on December 2019
4. Contact's phone:
4. Contact's e*mai!:
6. PURCHASE METHOD
(including Training)
If Competitive, N -C tit! indicate the 1' of on ~~:e ve Sole Source bids. I
$
7.CLAIM
AMOUNT
(indicate the
amount per each
line)
STAMP WITH RECEIVED DATE HERE:
ASSIGNED INVOICE NO.:
Page1 of14
EXHIBITG
COUNTY OF LOS ANGELES
DEPARTMENT OF AUDITOR-CONTROLLER f SHARED SERVICES DIVISION Purpose of these instructions:
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.
11p·;.p5i: 'fi11Mjitii@tiMWMNd11•Mii@Mil*Wi-W
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. • Ensuring that all documents attached to your Grant payment requests are legible. • 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.
liE4'1iiiiE*ti1qitNi@IMltifi
The following numerals provide the instructions to fill in the corresponding numeral in the form:
1. 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.
2. 3.
4. 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.
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#.
The following numerals provide the instructions to fill in the corresponding numeral in the form:
1. 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.
2. 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.
4. Check with an X under either yes or no according to the claim's Environmental & Historical Preseivation (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:
a) D State EHP Approval: if required by the state for your claim.
Revised on 11/20/2017 Page 2 of 14
EXHIBITG
5. 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 fo!!owing documentation with your claim:
a) D 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. b) D Copy of the purchase order
c) D Print out of the corresponding AEL #(Authorized Equipment List number). The AEL listing can be found at https:Jlwww.rkb.us/fema_grants.cfm
d) D 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 . e) D 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. f) D
g) D
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:/Jwww.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.
6. 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. a) D Competitive Bid: for projects that received more than one bid. Please indicate number of bids received (must be more than one). b) D NonMCompetitlve 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. c) D 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.
7. 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.
8. Enterthe "Total Amount" by adding the subtotal claims included in each line.
The following numerals provide the instructions to fill in the corresponding numeral in the form:
1. Please read and check the box provided if you are an authorized signor.
2. Please read and check the box provided if you are an authorized signor.
3. Please sign the Grant payment request if you are an authorized signor of your agency. 4 & 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
5. 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 Page 3 of 14
EXHIBITG
For Equipment Claims:
al D 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 !eave the corresponding space blank. *
1 Please refer to the Instructions to Equip lnty Tab for completion procedures of Equipment lnventorv.
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-OO-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.
For Training Claims:
al D
bl D
cl D
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.
If you are including personnel cost with your training claim, please add the following:
d) D 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. el D
f) D
g) D
hl D
i) D
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: lf 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 tlmecards 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 Page 4 of 14
n D
kl D
EXHIBIT G
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 backfill1ng position.
For Planning Claims:
a) D
bl D
c) D
Deliverable (or final product): Please include with your claim the final product of the planning activity (deliverable) that was identified in the grant award.
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).
d) D Supporting Documentation for Personnel Cost: When your planning claim includes personnel cost, please seed) to i) under Training Claim (supporting documents needed) and add to the documentation.
For Exercise Claims:
a) D Proof of State Approval of After Action Report (AAR): In order for your MR to be approved you have to submit it to the State using the ODP Porta! (see link be!ow), within 90 days after completion of the exercise. You need to notify the State when the MR is uploaded so they can proceed with the approval process.
https://hseep.dhs.gov/DHS _ SSO/
b) D 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).
c) D Supporting Documentation for Personnel Cost: When your exercise claim includes personnel cost, please seed) to i) under Training Claim (supporting documents needed) and add to the documentation.
For Organization Claims: Please see above bl and cl under Exercise Claims Revised on 11/20/2017 Page 5 of 14
GRANT NAME:
SUB-RECIPIENT:
DATE OF REPORT: ______________ _
Grant Project
Year Number
AEL
No.
Description of Property
N:Grants/Subrecipient Monitofing/form•/l'ropery & Equi~ment Inventory U<ting Revised 12/2019
Serial #or
Other !D#
GRANT PROPERTY AND EQUIPMENT INVENTORY LISTING
SAFECOM
Consult
(Yes/No/NA)
Source of
Property
{SHSP or
EMPG Grant
PrQJi:tiim\
Department
{Title Holder)
Vendor
Name
Invoice
Number
Acquisition
Date Cost
% of FED
Participation
location
EXHIBIT G
P. of
Use & Condition Disposition
(N=New, Date Sale Price
D=Deployed,
D=Out of
Service l=lost
Equipment Inventory Listing
Procedures for Completion
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 eliminate duplication and confusion.
Field Date Element Procedure
(1) Grant Name SHSP or EMPG
(2) Sub-Recipient Name of your agency
(3) Date of Report Date report completed (1)
(4) Grant Year Grant Year of funds used to purchase equipment (5) Project# Project Number (from Grant Workbook Project Sheets) (7) AEL No. Authorized Equip Listing No (from Grant Workbook) (8) Description Description of the equipment
(9) Serial# or other ID# Serial# or Other identification # used (10) Safecom consult Fill out either by Yes, No, or N/A (11) Source of Property Funding source, i.e, SHSP, EMPG, etc. (12) Title Holder Name of agency (City/Department)
(13) Vendor Name Name of the vendor
(14) Invoice Number Invoice number
(15) Acquisition Date Date equipment acquired
(16) Acquisition Cost Cost of the individual equipment item (17) 0
/o of Fed Part Fed participation in the cost of equipment (18) Location Location of equipment
(19) Use & Condition Use & condition (2)
(20) Disposition data Date of disposition
(21) Sale Price Sale price, If applicable, or N/A for not applicable The Equipment Inventory Listing must be completed in its entirety to meet the objective of the form.
Note (1): This date should be the date the physical inventory of equipment was taken and the results reconciled with the equipment records (at least once every two years).
(2) Indicate: N = New, D = Deployed, 0 = Out of Service, L = Lost & S = Stolen Distribution
Copy maintained in sub-recipient file
Copy forwarded to Shared Services Division
EXHIBITG
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:
.
I ·. .
.· ., EMPNO. EMPLOYEE NAME .· .. ASSIGNMENT .. . . . . . 1 2
3 4
5 6
7 s
9 10
GRAND TOTAL .
Approved by:
Authorized Signature
Print Name and lltle
.
.. TRAJNING
I REQUEST#
.
TITLE.·.:· . . (forTrafnina 6nlv'
Date
TRAINING
START DATE ••
. ·
Training Summary
Sheet
'
TRAINING END
DATE I
I
SALARY
••
OT REG RATE OT RATE:
HOURS
$
.
EXHIBITG
. Are.you . .
I clairrilng
for... . .
I Emel6yee i ·:. Emeloyee
1· OT PAY Benefits? Benefit$ Rate CLAIM ..
. TOTAL
$ $
$
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) EXHIBITG . . . PLANNING ROSTER . . . . •
Solution Area 1-- :- .
Total Cost -- Cash Request ,, . · .. Pfoject Plarining Activity, Sub-Category Discipline Funding Source Tota! Claimed Number FinarProduct . ·. . . · . · .. . . . .· .. . ·. . • ... I .. ·· · . " " . . .
I$ . I I I . I .
GRAND TOTAL . . .
Approved by:
Authorized Signature
Print Name and Title Date
FMFW v1 .09- 06!09
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) EXHIBITG
EXERCISE ROSTER
Project Exercise Title funding Source Solution Area Discipline cash Request Total Cost Total Claimed Conducted By Date of Exercise Type Exercise Role Date AAR entered into HSEEP Sub-Category Number EXercise . .
- ~ ~ ..... <·<< ..•.. ;.
Approved by:
Authorized Signature
Print Name and Title Date
FMFW v1 .09- 06!09
8. Notes on Personnel Cost:
In general, costs associated with:
D Work performed under contract for a specific deliverable DOES NOT count against the personnel cap, however,
D 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
D 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:
o Vendor installation of a radio tower;
o Vendor training on new equipment purchased;
D Contractor hired to create an Emergency Operations Plan; D Contractor hired to provide deliveries of ICS 400; and D 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:
D Contractor hired to be the State's WMD training instructor with no specific deliverables under contract;
D Contractor hired to facilitate unidentified number of exercises throughout the performance period;
D Contractor hired to be the part-time auditor of Homeland Security Grants throughout the year; and D Contractor hired to be an intelligence analyst.
EXHIBITG
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES)
EXHIBITG
Total Salary &
Project Employee Name Project I Deliverable Funding Discipline Solution Area Solution Area Sub Dates of Payroll Benefits charged Total Project REI MB Total Cost Charged Source category Period for this Reporting Hours Request# to Grant Period
- - NIA - .
.· . ·.·
.·
. ---- _-,, --
.··· .·
•·· .. . . . • .. .
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I"·.> .,· .:· . -< >-- <-' .. ... ·.:.----:-· -c.,- --
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rn
CL
Work Order No. 9-25A
5ubrecipient Monitoring Instrument
PROJECT TITLE
Subrecipient Monitoring Instrument
Los Angeles County State Homeland Security Program
Monitoring Reports for Fiscal Vear 2020-21
A. FINANCIAL REPORTING REQUIREMENTS
Ob!ect!ve
EXHIBIT H
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
1. Was a Single Audit completed for Grant Vear 2018-19
and 2019-20?
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 action plan 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?
Comment
EXHIBITH
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
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 Sub recipient 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?
Comments
B. TRAINING (Continued)
Verification
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 Sub recipient 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 Vear monitoring reports submitted by HSGA:
a. If the Project prior Grant Vear monitoring report
finding was resolved, explain resolution, and indicate
such in the current report as resolved.
b. If the Project prior Grant Vear 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.
EXHIBITH
Comments
EXHIBITH
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
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?
Comments
C. PLANNING (Continued)
Verification
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
Comments
EXHIBIT H
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
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)
g)
h)
i)
j)
100 percent of federal participation. If no, then identify percentage, Acquisition date,
Acquisition cost,
Quantity,
Equipment location,
k) Use and condition of Equipment,
I) 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?
Comments
D. EQUIPMENT {Continued)
Verification
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.
EXHIBITH
Comments
EXHIBITH
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 Sub recipient followed the appropriate procurement procedure. Use Worksheets 1 and 3 (See Attachment E - Subrecipient Monitoring Worksheets).
Verification
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?
Yes No Comments
E. EXERCISE (Continued)
Verification
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
Comments
EXHIBIT H
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
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.?
Comments
F. ORGANIZATION {Continued)
Verification
6. For Projects with backfill expenditures for Organization:
b. Does the Sub recipient 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
Comments
IRWINDALE CITY COUNCIL CHAMBERS
5050 N. IRWINDALE AVENUE
IRWINDALE, CALIFORNIA 91706
CC Item 1A1 DECEMBER 7, 2022
WEDNESDAY
5:30 P.M.
The Irwindale CITY COUNCIL met in special session at the above time and place.
ROLL CALL:
SPONTANEOUS
COMMUNICATIONS
RECESS TO
CLOSED SESSION
Present: Councilmembers Manuel R. Garcia, H. Manuel Ortiz; Mayor Pro Tern Albert F. Ambriz; Mayor Larry G. Burrola
Absent: Councilmember Mark A Breceda
Also Present: Julian A Miranda, City Manager; Adrian Guerra, City Attorney
There were no speakers.
At 5:32 p.m., the City Council met in Closed Session to discuss the following:
Conference with Legal Counsel - Existing Litigation
Pursuant to California Government Code Section 54956.9
Name of Case: Five Points, LP vs. City of Irwindale
Case Number: 22STCV01394
ACTION: Discussed, update provided; no reportable action taken.
Conference with Real Property Negotiator
Pursuant to California Government Code Section 54956.8
Property: Olive Pit (APN 8415-001-906, 908)
Agency Negotiators: Julian A Miranda, City Manager and Arsanious Hanna, Director of Engineering I Building Official
Negotiating Parties: United Rock Products Corp.
Under Negotiation: Sublease Price and Terms
ACTION: Discussed, direction provided; no reportable action taken.
Conference with Legal Counsel - Anticipated Litigation
Initiation of litigation pursuant to paragraph (4) of subdivision (d) of Section 54956.9
Number of cases: One
ACTION: Information provided to Council, discussed; no direction or action taken
CITY COUNCIL MINUTES DECEMBER 7, 2022
SPECIAL MEETING PAGE 2
ADJOURNMENT There being no further business to conduct, the meeting was adjourned at 7:03 p.rn.
Laura M. Nieto, MMC
Chief Deputy City Clerk
Accounts Payable m 18
Checks by Date - Summary by Check Number
User: imarin
Printed: 12/22/2022 10:11 AM
IRWINDALE ----------
Check No Vendor No Vendor Name Check Date Check Amount
78652 ASSAO! Assa Abloy Entrance System US Inc 12/08/2022 13,991.42 78653 AT&T02 AT&T 12/08/2022 32.60
78654 AT&T06 AT&T 12/08/2022 1,743.20
78655 AyalaOl Leonor Ayala 12/08/2022 198.00
78656 AZUSALW Azusa Light & Water 12/08/2022 324.06
78657 BARBAOl Columba Barba 12/08/2022 1,200.00
78658 BLACKA Black & White Emergency Vehicles 12/08/2022 600.00 78659 ENROi BNP Media II, LLC 12/08/2022 108.00
78660 BRITEW BriteWorks, Inc. 12/08/2022 175.00
78661 CALIF002 California American Water 12/08/2022 643.08 78662 CHARTEOl Charter Communications 12/08/2022 566.29 78663 CINTAS Cintas Corporation #693 12/08/2022 178.99
78664 CSMF002 CSMFO 12/08/2022 125.00
78665 DEVERA Paulette De Vera 12/08/2022 300.00
78666 DOGWASOl Dog Waste Depot 12/08/2022 302.18
78667 EVANS02 Gloria Evans 12/08/2022 300.00
78668 FLOREO! Karla Flores 12/08/2022 715.00
78669 FRONTOl Frontier Communications 12/08/2022 515.51 78670 GASCOM Gas Company, The 12/08/2022 4,689.39
78671 GATTOO! Rudy Gatto 12/08/2022 473.77
78672 GERMENOl Sarah Gertmenian 12/08/2022 2,200,00
78673 SOUTHE17 Golden State Water Company 12/08/2022 1,086.86 78674 GRIJAL05 Daniel M. Grijalva 12/08/2022 79.62
78675 HOMEDE Home Depot Credit Services 12/08/2022 723.16 78676 HO YEN Noelle Hoye 12/08/2022 1,120.00
78677 PADILLAM Melissa Marez 12/08/2022 149.72
78678 MCIWOR MCI Comm Service 12/08/2022 37.69
78679 MIRANDO? Arline Miranda 12/08/2022 300.00
78680 OPTUMOl OptumRx, Inc. 12/08/2022 26,161.86
78681 PAIKOl SumakoPaik 12/08/2022 180.00
78682 PAZO! Renee Christiene Paz 12/08/2022 110.00
78683 PURCHA Purchase Power 12/08/2022 2,020.99
78684 RUBIO! Daniel Rubio 12/08/2022 75.00
78685 CENTROOl Safeguard Business Systems, Inc. 12/08/2022 281.90 78686 VISIONOl Vision Service Plan - (CA) 12/08/2022 3,413.04 78687 WAGONER Pamela Wagoner 12/08/2022 300.00
Report Total (36 checks): 65,421.33
AP Checks by Date- Summary by Check Number (12/22/2022 10:11 AM) Page 1 Accounts Payable
Checks by Date - Summary by Check Number
User: imarin
Printed: 12/22/2022 10: 11 AM
IRWINDALE
----------------- - -
Check No Vendor No Vendor Name Check Date Check Amount
78689 CALIF056 California State Disbursement Unit 12/15/2022 604.15 78690 CALIF057 California State Disbursement Unit 12/15/2022 143.07 78691 CITYOI City of Hope 12/15/2022 54.00
78692 IMEA Irwindale Mgmt Employee Assoc. 12/15/2022 500.00 78693 IRWIND02 Irwindale Police Officers Assoc. 12/15/2022 3,288.10 78694 AMAZON! Amazon Capital Services, Inc. 12/15/2022 301.86 78695 BALLIOI Shayna Balli 12/15/2022 126.86
78696 BARRAG03 Martha Barragan 12/15/2022 75.00
78697 BRIGHT02 Bright Stars Academy 12/15/2022 500.00
78698 COSTC002 Costco Wholesale 12/15/2022 593.01
78699 EVANS02 Gloria Evans 12/15/2022 75.00
78700 FLOREO! Karla Flores 12/15/2022 260.00
78701 FRANKLOI Franklin Haynes Marionettes 12/15/2022 500.00 78702 GALVAN02 Claudia Galvan 12/15/2022 360.00
78703 GATTOOI Rudy Gatto 12/15/2022 75.89
78704 HOLMANOI Holman Family Counseling, Inc. 12/15/2022 1,325.21 78705 JARAMI08 Gabriel Jaramillo 12/15/2022 75.00
78706 LEGAL03 Legal Shield 12/15/2022 37.90
78707 LOPEZJO! Jade Lopez 12/15/2022 135.23
78708 OLIVAROI Theresa Olivares 12/15/2022 214.70
78709 ORELLAOI Blanca Orellano 12/15/2022 75.00
78710 PAIKOl Sumako Paik 12/15/2022 120.00
78711 PETTYC05 City oflrwindale Petty Cash 12/15/2022 446.12 78712 RANCHOOl Rancho Duarte Florist 12/15/2022 519.37
78713 ROMAN02 Angie Roman 12/15/2022 7.50
78714 SC FUELS SC Fuels 12/15/2022 7,307.92
78715 SCPMA-HR SCPMA-HR 12/15/2022 50.00
78716 WAGONER Pamela Wagoner 12/15/2022 150.00
78717 ADVANT Advantage Ford 01/11/2023 472.46
78718 ARAMOl Aramark Uniform & Career Apparel Group 01/11/2023 119.57 78719 AT&TOI AT&T 01/11/2023 3,330.84
78720 B&BTIR B & B Tires Service 01/11/2023 270.00
78721 BARNEY Barney's Locksmith Service 0111112023 338.39 78722 BILLST Bill's Truck Repair, Inc. 01111/2023 437.25 78723 BLACKA Black & White En1ergency Vehicles 01111/2023 3,926.84 78724 CALI12 California Consulting Inc. 01111/2023 4,500.00 78725 CARQUEST Carquest 0111112023 33.43
78726 CHARTE03 Charter Communications 01/11/2023 5,301.68 78727 CINTAS Cintas Corporation #693 01/1112023 303.89
78728 BALDWI02 City of Baldwin Park 01/11/2023 350.00
78729 DELONG Delong Unlimited 01/11/2023 1,058.40
78730 BAL LOO Carol Diess 01/11/2023 25.00
78731 DOOLEY Dooley Enterprises, Inc. 01/1112023 2,957.74 78732 DUDEKOI Dudek 01111/2023 6,630.00
78733 BATEOl Elior Inc. 01111/2023 3,719.10
78734 FCGOI FCG Consultants Inc. 0111112023 24,594.88
78735 FED EX FedEx 01/11/2023 109.55
AP Checks by Date - Summary by Check Number (12/22/2022 10: 11 AM) Page 1 Check No Vendor No Vendor Name Check Date Check Amount
78736 FILLGOl Fill Good Landscaping 01/11/2023 400.00
78737 FLAGSH Flag Shop 01/11/2023 1,671.94
78738 GEO LOG Geologic Associates 01/11/2023 20,698.34
78739 HARDY02 Hardy & Harper 01/1112023 31,176.99
78740 HDLOI Hdl Software, LLC 01/11/2023 33.26
78741 HINDER Hinderliter, De Llamas & Assoc 01/11/2023 5,965.27 78742 HOSEMA Hose-Man, The 01/11/2023 187.06
78743 INTELLOl Intelli-tech, Inc. 01/11/2023 7,328.00
78744 ITERIS Iteris, Inc. 01/11/2023 7,500.00
78745 JO EA GO Joe A. Gonsalves & Son 01/11/2023 2,375.00 78746 COO RYE Samir M. Khoury 01/11/2023 8,875.00
78747 KJSERVOl KJ Services Enviromental Consulting LLC 01/11/2023 85.00 78748 LAKESHOI Lakeshore Leaming Materials 01/11/2023 167.40 78749 LANCES Lance, Soll & Lunghard LLP 01/11/2023 46,039.00 78750 LEXI SN LexisNexis Risk Solutions 01/11/2023 151.50 78751 LSAOl LSA Associates, Inc. 01/11/2023 4,393.75
78752 MIDAS Manuel C Muratalla 01/11/2023 2,951.31
78753 MARIPO Mariposa Landscapes, Inc. 01/11/2023 8,796.00 78754 MARXBR Marx Bros Fire Extinguisher Co 01/11/2023 330.00 78755 NOLAOI Nolasco Plumbing Inc. 01/11/2023 680,00
78756 OFFICE03 Office Depot 01/11/2023 2,877.78
78757 ORKINP Orkin Pest Control 01/11/2023 102.00
78758 PERF03 Perfonnance Elevator Contractors, Inc. 01/11/2023 720.00 78759 PROFOROl ProF orce Law Enforcement 01/11/2023 375.00 78760 RECOOJ Records Control Services, Inc. 01/11/2023 10,782.50 78761 RICOHOl Ricoh USA, Inc 01/11/2023 1,255.36
78762 RIOHONOl Rio Hondo College 01/11/2023 1,090.00
78763 ROSENO Rosenow Spevacek Group Inc 01/11/2023 1,862.50 78764 STERICOI Stericycle, Inc. 01/11/2023 91.29
78765 STRESS Stress Less Environmental LLC 01/11/2023 3,575.00 78766 SWRCB SWRCB Fees 01/11/2023 10,520.00
78767 SWTOl SWT Engineering, Inc. 01/11/2023 1,188.60
78768 NORTHR The Northridge Group, Inc. 01/11/2023 11,372.72 78769 UNITEDll United Site Services of CA Inc 01/11/2023 589.50 78770 WALTO! Walters Wholesale Electric Co. 01/11/2023 229.21 78771 WESTC005 West Coast Arborists, Inc. 01/11/2023 7,360.50 78772 WEST06 Westrux International, Inc. 01/11/2023 2,657.78 Report Total (84 checks): 282,854.47
AP Checks by Date - Summary by Check Number (12/22/2022 10: 11 AM) Page2 0City Council
DSuccessor Agency
DHousing Authority
DReclamation Authority
DJoint Powers Authority
Date: January 11, 2023
City if
IRWINDALE
AGENDA REPORT
To:
From:
Honorable Mayor and Members of the City Council
Julian A. Miranda, City Manager
CC Item 1C
Issue: Award of Contract for Development of a Feasibility Study for the Arrow Highway Beautification Project; P-1040
City Manager's Recommendation:
That the City Council (1) authorize the City Manager to enter into an agreement with Craftwater Engineering, Inc. in the amount of $106,314 to develop a feasibility study for the Arrow Highway Beautification Project; and (2) approve a 20% project contingency in the amount of $21,263 to cover any unforeseeable changes that may arise during design.
Administrative Action:
Submitted by:
Arsanious M. Hanna,
Director of Engineering/ Building Official
Prepared by:
Luis Pimentel, Assistant Engineer
(626) 430-2259
Reviewed by:
Adrian R. Guerra, City Attorney
Kambiz Borhani,
Finance Director I City Treasurer
Approved by:
Julian A. Miranda, City Manager
01005.0006/845880.1
Electronically Approved
Background and Analysis:
The City receives approximately $440,000 of Measure W funds annually. The Safe, Clean Water Program (Measure W) provides local, dedicated funding to increase water supply, improve water quality, and provide community enhancements throughout LA County. The division of Measure W funds must be at least 70% for eligible expenses related to Measure W projects or programs and up to 30% for approved maintenance. City staff have developed the Arrow Highway Beautification Project for the first proposed use of lrwindale's Measure W funds, which have been transferred out and appropriated to a Capital Improvement Program (CIP) budget account.
In conformance with the Safe Clean Water Program's (SCWP) Regional Program, SCWP Guidelines allow for the expenditure of funds for infrastructure development tasks and the development of feasibility studies to enable Infrastructure Program Project applicants to submit projects for consideration for SCWP funds. The Feasibility Study must address all of the requirements outlined in the SCWP Feasibility Study Guidelines to be eligible for consideration for the Infrastructure Program, and also comply with the US Army Corps of Engineers Guidelines for Landscaping and Vegetative Management at Levees, Floodwalls, and Embankments.
The project's objective is to develop a green corridor bike trail and walking path that offers multi-benefit and nature based solutions that will infiltrate and filter captured urban runoff and improve water quality. Community benefits objectives include an increased access to open space, additional shade from and capture of water from planted trees, increase of property value, safe transportation methods and methods to address climate change. The landscape improvement objectives seek to utilize natural based solutions by planting a combination of native plants, trees, shrubs, and vegetation that will treat receiving waters by bio filtration, such as restoring a riparian habitat by utilizing rock for filtration.
On August 8, 2022, staff issued a Request for Proposal (RFP) for Development of a Feasibility Study for the Arrow Highway Beautification Project. Staff received proposals from three qualified professional environmental/civil engineering firms on September 21, 2022 with the following results:
PROPOSALS FOR THE DEVELOPMENT OF A FEASIBILITY STUDY FOR THE ARROW HIGHWAY BEAUTIFICATION PROJECT, P-1040
CONSULTANT RANKING FEE PROPOSAL COMMENTS
Craftwater Engineering, 1 $ 106,314.00 Inc.
CWE 2 $ 149,891.00
Watearth 3 $ 292,224.75
DUDEK 4 DECLINED TO
PROPOSE
Irwindale Municipal Code (IMC) 3.44.020 Definition of "Services" exempts professional or other contractual services for which the procedure for procurement is specifically provided by law or approved city procedures or are in their nature unique and not subject to competition.
The City has adopted a Purchasing Policy, which sets forth the procurement process for Professional Services. City staff have complied with Irwindale Purchasing Policy Section 5 Professional Consultant Selection requirements such that the contract is exempt from the centralized purchasing requirements of IMC Chapter 3.44, per IMC sections 3.44.060 and
3.44.080(0).
Staff evaluated each proposal received by ranking each consultant based on technical competency, project understanding, experience, staff qualifications and availability.
Craftwater Engineering, Inc. was determined to be the most qualified firm with immense experience in developing feasibility studies for public agencies and meeting the Safe Clean Water Programs feasibility study requirements within the Upper San Gabriel and Rio Hondo Watersheds.
Staff recommends awarding the contract to Craftwater Engineering, Inc. for the development of a feasibility study for the Arrow Highway Beautification Project.
The attached contract agreement has been reviewed and approved as to form by the City Attorney's office.
Fiscal Impact:
Sufficient funding for this Capital Improvements Program (CIP) Project is currently budgeted in the FY 2022/2023 Adopted Budget. The total service fee of $127,576.80 will be fully funded through the Capital Improvement Program - SCWP Arrow Hwy Beautification Project account 48-80-800-45600-8707.
Attachments:
• Contract Agreement for Professional Consultant Services 01005.0006/845880.1 Page 3
AGREEMENT FOR CONTRACT SERVICES
BETWEEN THE CITY OF IRWINDALE AND
CRAFTWATER ENGINEERING, INC.
FOR
DEVELOPMENT OF A FEASIBILITY STUDY FOR THE ARROW HIGHWAY BEAUTIFICATION PROJECT; P-1040
This AGREEMENT FOR CONTRACT SERVICES (herein "Agreement") is made and entered into this 11th day of January, 2023 by and between the CITY OF IRWINDALE, a California Charter City and municipal corporation ("City") and Craftwater Engineering, Inc. ("Consultant"). City and Consultant are sometimes hereinafter individually referred to as "Party" and hereinafter collectively referred to as the "Parties." NOW, THEREFORE, the parties hereto agree as follows:
1. SERVICES OF CONSULTANT
1.1 Scope of Services. In compliance with all of the terms and conditions of this Agreement, the Consultant shall perform the work or services set forth in the "Scope of Services" attached hereto as Exhibit "A" and incorporated herein by reference. Consultant warrants that it has the experience and ability to perform all work and services required hereunder and that it shall diligently perform such work and services in a professional and satisfactory marmer.
1.2 Compliance With Law. All work and services rendered hereunder shall be provided in accordance with all ordinances, resolutions, statutes, rules, and regulations of the City and any Federal, State or local governmental agency of competent jurisdiction.
1.3 Licenses, Permits, Fees and Assessments. Consultant shall obtain at its sole cost and expense such licenses, permits, and approvals as may be required by law for the performance of the services required by the Agreement.
1.4 Special Reguirements. Additional terms and conditions of this Agreement, if any, which are made a part hereof are set forth in the "Special Requirements" attached hereto as Exhibit "B" and incorporated herein by this reference. In the event of a conflict between the provisions of Exhibit "B" and any other provisions of this Agreement, the provisions of Exhibit "B" shall govern.
2. COMPENSATION
2.1 Contract Sum. For the services rendered pursuant to this Agreement, Consultant shall be compensated in accordance with the "Schedule of Compensation" attached hereto as Exhibit "C" and incorporated herein by this reference, but not exceeding the maximum contract amount of One Hundred Six Thousand Three Hundred Fourteen aud 00/100 Dollars ($106,314) ("Contract Sum").
2.2 Invoices. Each month Consultant shall furnish to City an original invoice for all work performed and expenses incurred during the preceding month in a form approved by 01005.0006/845881.1 -1-
City's Director of Finance. By submitting an invoice for payment under this Agreement, Consultant is certifying compliance with all provisions of the Agreement. The invoice shall detail charges for all necessary and actual expenses by the following categories: labor (by sub-category), travel, materials, equipment, supplies, and subcontractor contracts. Subcontractor charges shall also be detailed by such categories. Consultant shall not invoice City for any duplicate services performed by more than one person.
City shall independently review each invoice submitted by the Consultant to determine whether the work performed and expenses incurred are in compliance with the provisions of this Agreement. Except as to any charges for work performed or expenses incurred by Consultant which are disputed by City, City will use its best efforts to cause Consultant to be paid within forty five (45) days of receipt of Consultant's correct and undisputed invoice; however, Consultant acknowledges and agrees that due to City warrant run procedures, the City cannot guarantee that payment will occur within this time period. In the event any charges or expenses are disputed by City, the original invoice shall be returned by City to Consultant for correction and resubmission.
Review and payment by the City of any invoice provided by the Consultant shall not constitute a waiver of any rights or remedies provided herein or any applicable law.
2.3 Additional Services. City shall have the right at any time during the performance of the services, without invalidating this Agreement, to order extra work beyond that specified in the Scope of Services or make changes by altering, adding to or deducting from said work. No such extra work may be undertalcen unless a written order is first given by the Contract Officer to the Consultant, incorporating therein any adjustment in (i) the Contract Sum for the actual cost of the extra work, and/or (ii) the time to perform this Agreement, which said adjustments are subject to the written approval of the Consultant. Any increase in compensation of up to twenty percent (20%) of the Contract Sum but not exceeding a total amount of Twenty One Thousand Two Hundred Sixty Three and 00/100 Dollars ($21,263) or in the time to perform of up to ninety (90) days may be approved by the Contract Officer. Any greater increases, talcen either separately or cumulatively, must be approved by the City Council. No claim for an increase in the Contract Sum or time for performance shall be valid unless the procedures established in this Section are followed.
3. PERFORMANCE SCHEDULE
3.1 Time of Essence. Time is of the essence in the performance of this Agreement.
3.2 Schedule of Performance. Consultant shall commence the services pursuant to this Agreement upon receipt of a written notice to proceed and shall perform all services within the time period(s) established in the "Schedule of Performance" attached hereto as Exhibit "D" and incorporated herein by this reference. When requested by the Consultant, extensions to the time period(s) specified in the Schedule of Performance may be approved in writing by the Contract Officer but not exceeding thirty (30) days cumulatively.
3.3 Force Majeure. The time period(s) specified in the Schedule of Performance for performance of the services rendered pursuant to this Agreement shall be extended because of any delays due to unforeseeable causes beyond the control and without the fault or negligence of the Consultant, including, but not restricted to, acts of God or of the public enemy, unusually severe weather, fires, earthquakes, floods, epidemics, quarantine restrictions, riots, strikes, freight 01005.0006/845881.1 -2-
embargoes, wars, litigation, and/or acts of any governmental agency, including the City, if the Consultant shall within ten (10) days of the commencement of such delay notify the Contract Officer in writing of the causes of the delay. The Contract Officer shall ascertain the facts and the extent of delay, and extend the time for performing the services for the period of the enforced delay when and if in the judgment of the Contract Officer such delay is justified. The Contract Officer's determination shall be final and conclusive upon the parties to this Agreement. In no event shall Consultant be entitled to recover damages against the City for any delay in the performance of this Agreement, however caused, Consultant's sole remedy being extension of the Agreement pursuant to this Section.
3 .4 Term. Unless earlier terminated in accordance with Article 7 of this Agreement, this Agreement shall continue in full force and effect until completion of the services but not exceeding one (1) year from the date hereof, except as otherwise provided in the Schedule of Performance (Exhibit "D").
4. COORDINATION OF WORK
4.1 Representative of Consultant. Mr. Oliver Galang, PE, ENV SP is hereby designated as being the representative of Consultant authorized to act on its behalf with respect to the work and services specified herein and make all decisions in connection therewith. All personnel of Consultant and any authorized agents shall be under the exclusive direction of the representative of Consultant. Consultant shall utilize only competent personnel to perform services pursuant to this Agreement. Consultant shall make every reasonable effort to maintain the stability and continuity of Consultant's staff and subcontractors, and shall keep City informed of any changes.
4.2 Contract Officer. Mr. Julian A. Miranda [or such person as may be designated by the City Manager] is hereby designated as being the representative the City authorized to act in its behalf with respect to the work and services specified herein and to malce all decisions in connection therewith ("Contract Officer").
4.3 Prohibition Against Subcontracting or Assignment. Consultant shall not contract with any entity to perform in whole or in part the work or services required hereunder without the express written approval of the City. Neither this Agreement nor any interest herein may be assigned or transferred, voluntarily or by operation of law, without the prior written approval of City. Any such prohibited assignment or transfer shall be void.
4.4 Independent Consultant. Neither the City nor any of its employees shall have any control over the manner, mode or means by which Consultant, its agents or employees, perform the services required herein, except as otherwise set forth. Consultant shall perform all services required herein as an independent contractor of City with only such obligations as are consistent with that role. Consultant shall not at any time or in any manner represent that it or any of its agents or employees are agents or employees of City, or that it is a member of a joint enterprise with City.
5. INSURANCE AND INDEMNIFICATION
5 .1 Insurance Coverages. The Consultant shall procure and maintain, at its sole cost and expense, in a form and content satisfactory to City, during the entire term of this 01005.0006/845881.1 -3-
Agreement including any extension thereof, the following policies of insurance which shall cover all elected and appointed officers, employees and agents of City:
(a) Commercial General Liabilitv Insurance (Occurrence Form CGOOOl or equivalent). A policy of comprehensive general liability insurance written on a per occurrence basis for bodily injury, personal injury and property damage. The policy of insurance shall be in an amount not less than $1,000,000.00 per occurrence or if a general aggregate limit is used, either the general aggregate limit shall apply separately to this contract/location, or the general aggregate limit shall be twice the occurrence limit. (b) Worker's Compensation Insurance. A policy of worker's compensation insurance in such amount as will fully comply with the laws of the State of California and which shall indemnify, insure and provide legal defense for the Consultant against any loss, claim or damage arising from any injuries or occupational diseases occurring to any worker employed by or any persons retained by the Consultant in the course of carrying out the work or services contemplated in this Agreement.
( c) Automotive Insurance (Form CA 0001 (Ed 1/87) including "any auto" and endorsement CA 0025 or equivalent). A policy of comprehensive automobile liability insurance written on a per occurrence for bodily injury and property damage in an amount not less than either (i) bodily injury liability limits of $100,000 per person and $300,000 per occurrence and property damage liability limits of $150,000 per occurrence or (ii) combined single limit liability of $1,000,000. Said policy shall include coverage for owned, non-owned, leased, hired cars, and any other automobile.
( d) Professional Liabilitv. Professional liability insurance appropriate to the Consultant's profession. This coverage may be written on a "claims made" basis, and must include coverage for contractual liability. The professional liability insurance required by this Agreement must be endorsed to be applicable to claims based upon, arising out of or related to services performed under this Agreement. The insurance must be maintained for at least 5 consecutive years following the completion of Consultant's services or the termination of this Agreement. During this additional 5-year period, Consultant shall annually and upon request of the City submit written evidence of this continuous coverage. ( e) Additional Insurance. Policies of such other insurance, as may be required in the Special Requirements in Exhibit "B".
(f) Subcontractors. Consultant shall include all subcontractors as insureds under its policies or shall furnish separate certificates and certified endorsements for each subcontractor. All coverages for subcontractors shall be subject to all of the requirements stated herein.
5 .2 General Insurance Requirements.
All of the above policies of insurance shall be primary insurance and shall name the City, its elected and appointed officers, employees and agents as additional insureds and any insurance maintained by City or its officers, employees or agents may apply in excess of, and not contribute with Consultant's insurance. The insurer is deemed hereof to waive all rights of subrogation and contribution it may have against the City, its officers, employees and agents and their respective 01005.0006/845881.1 -4-
insurers. The insurance policy must specify that where the primary insured does not satisfy the self-insured retention, any additional insured may satisfy the self-insured retention. All of said policies of insurance shall provide that said insurance may not be amended or cancelled by the insurer or any party hereto without providing thirty (30) days prior written notice by certified mail return receipt requested to the City. In the event any of said policies of insurance are cancelled, the Consultant shall, prior to the cancellation date, submit new evidence of insurance in conformance with this Section 5.1 to the Contract Officer. No work or services under this Agreement shall commence until the Consultant has provided the City with Certificates of Insurance, additional insured endorsement forms or appropriate insurance binders evidencing the above insurance coverages and said Certificates of Insurance or binders are approved by the City.
City reserves the right to inspect complete, certified copies of and endorsement to all required insurance policies at any time. Any failure to comply with the reporting or other provisions of the policies including breaches or warranties shall not affect coverage provided to City.
The insurance required by this Agreement shall be satisfactory only if issued by companies qualified to do business in California, rated "A" or better in the most recent edition of Best Rating Guide, The Key Rating Guide or in the Federal Register, and only if they are of a financial category Class VII or better, unless such requirements are waived by the City's Risk Manager or other designee of the City due to unique circumstances.
5.3 Indemnification. To the full extent permitted by law, Consultant agrees to indemnify, defend and hold harmless the City, its officers, employees and agents ("Indemnified Parties") against, and will hold and save them and each of them harmless from, any and all actions, either judicial, administrative, arbitration or regulatory claims, damages to persons or property, losses, costs, penalties, obligations, errors, omissions or liabilities whether actual or threatened (herein "claims or liabilities") that may be asserted or claimed by any person, firm or entity arising out of or in connection with the negligent performance of the work, operations or activities provided herein of Consultant, its officers, employees, agents, subcontractors, invitees, or any individual or entity for which Consultant is legally liable ("indemnitors"), or arising from Consultant's or indemnitors' reckless or willful misconduct, or arising from Consultant's or indemnitors' negligent performance of or failure to perform any term, provision, covenant or condition of this Agreement, except claims or liabilities occurring as a result of City's sole negligence or willful acts or omissions. The indemnity obligation shall be binding on successors and assigns of Consultant and shall survive termination of this Agreement.
6. RECORDS, REPORTS, AND RELEASE OF INFORMATION
6.1 Records. Consultant shall keep, and require subcontractors to keep, such ledgers, books of accounts, invoices, vouchers, canceled checks, reports, studies or other documents relating to the disbursements charged to City and services performed hereunder (the "books and records"), as shall be necessary to perform the services required by this Agreement and enable the Contract Officer to evaluate the performance of such services and shall keep such records for a period of three years following completion of the services hereunder. The Contract Officer shall have full and free access to such books and records at all times during normal business hours of City, including the right to inspect, copy, audit and make records and transcripts from such records.
01005.0006/845881.1 -5-
6.2 Reports. Consultant shall periodically prepare and submit to the Contract Officer such reports concerning the performance of the services required by this Agreement or as the Contract Officer shall require.
6.3 Confidentialitv and Release ofinformation.
(a) All information gained or work product produced by Consultant in performance of this Agreement shall be considered confidential, unless such information is in the public domain or already known to Consultant. Consultant shall not release or disclose any such information or work product to persons or entities other than the City without prior written authorization from the Contract Officer.
(b) Consultant shall not, without prior written authorization from the Contract Officer or unless requested by the City Attorney, voluntarily provide documents, declarations, letters of support, testimony at depositions, response to interrogatories or other information concerning the work performed under this Agreement. Response to a subpoena or court order shall not be considered "voluntary" provided Consultant gives the City notice of such court order or subpoena.
( c) If Consultant provides any information or work product in violation of this Agreement, then the City shall have the right to reimbursement and indenmity from Consultant for any damages, costs and fees, including attorney's fees, caused by or incurred as a result of Consultant's conduct.
( d) Consultant shall promptly notify the City should Consultant be served with any summons, complaint, subpoena, notice of deposition, request for documents, interrogatories, request for admissions or other discovery request, court order or subpoena from any party regarding this Agreement and the work performed thereunder. The City retains the right, but has no obligation, to represent Consultant or be present at any deposition, hearing or similar proceeding. Consultant agrees to cooperate fully with the City and to provide the City with the opportunity to review any response to discovery requests provided by Consultant.
6.4 Ownership of Documents. All studies, surveys, data, notes, computer files, reports, records, drawings, specifications, maps, designs, photographs, documents and other materials (the "documents and materials") prepared by Consultant in the performance of this Agreement shall be the property of the City and shall be delivered to the City upon request of the Contract Officer or upon the termination of this Agreement, and Consultant shall have no claim for further employment or additional compensation as a result of the exercise by the City of its full rights of ownership use, reuse, or assignment of the documents and materials hereunder. Moreover, Consultant with respect to any documents and materials that may qualify as "works made for hire" as defined in 17 U.S.C. § 101, such documents and materials are hereby deemed "works made for hire" for the City.
7. ENFORCEMENT OF AGREEMENT AND TERMINATION
7 .1 California Law. This Agreement shall be interpreted, construed and governed both as to validity and to performance of the parties in accordance with the laws of the State of California. Legal actions concerning any dispute, claim or matter arising out of or in relation to this Agreement shall be instituted in the Superior Court of the County of Los Angeles, 01005.0006/845881.1 -6-
State of California. In the event oflitigation in a U.S. District Court, venue shall lie exclusively in the Central District of California, in the County of Los Angeles, State of California. 7 .2 Disputes; Default. In the event that Consultant is in default under the terms of this Agreement, the City shall not have any obligation or duty to continue compensating Consultant for any work performed after the date of default. Instead, the City may give notice to Consultant of the default and the reasons for the default. The notice shall include the timeframe in which Consultant may cure the default. This timeframe is presumptively thirty (30) days, but may be extended, if circumstances warrant. During the period of time that Consultant is in default, the City shall hold all invoices and shall, when the default is cured, proceed with payment on the invoices. If Consultant does not cure the default, the City may take necessary steps to terminate this Agreement under this Article.
7.3 Legal Action. In addition to any other rights or remedies, either party may talce legal action, in law or in equity, to cure, correct or remedy any default, to recover damages for any default, to compel specific performance of this Agreement, to obtain declaratory or injunctive relief, or to obtain any other remedy consistent with the purposes of this Agreement.
Notwithstanding any contrary provision herein, Consultant shall file a statutory claim pursuant to Government Code Sections 905 et. seq. and 910 et. seq., in order to pursue any legal action under this Agreement.
Except with respect to rights and remedies expressly declared to be exclusive in this Agreement, the rights and remedies of the parties are cumulative and the exercise by either party of one or more of such rights or remedies shall not preclude the exercise by it, at the same or different times, of any other rights or remedies for the same default or any other default by the other party.
7.4 Termination Prior to Expiration of Term. This Section shall govern any termination of this Contract except as specifically provided in the following Section for termination for cause. The City reserves the right to terminate this Contract at any time, with or without cause, upon thirty (30) days' written notice to Consultant, except that where termination is due to the fault of the Consultant, the period of notice may be such shorter time as may be determined by the Contract Officer. In addition, the Consultant reserves the right to terminate this Contract at any time, with or without cause, upon sixty (60) days' written notice to City, except that where termination is due to the fault of the City, the period of notice may be such shorter time as the Consultant may determine. Upon receipt of any notice of termination, Consultant shall immediately cease all services hereunder except such as may be specifically approved by the Contract Officer. Except where the Consultant has initiated termination, the Consultant shall be entitled to compensation for all services rendered prior to the effective date of the notice of termination and for any services authorized by the Contract Officer thereafter in accordance with the Schedule of Compensation or such as may be approved by the Contract Officer. In the event the Consultant has initiated termination, the Consultant shall be entitled to compensation only for the reasonable value of the work product actually produced hereunder, but not exceeding the compensation provided therefore in the Schedule of Compensation Exhibit "C". In the event of termination without cause pursuant to this Section, the terminating party need not provide the nonterminating party with the opportunity to cure pursuant to Section 7.2. 01005.0006/845881.1 -7-
7.5 Termination for Default of Consultant. If termination is due to the failure of the Consultant to fulfill its obligations under this Agreement, City may, after compliance with the provisions of Section 7 .2, take over the work and prosecute the same to completion by contract or otherwise, and the Consultant shall be liable to the extent that the total cost for completion of the services required hereunder exceeds the compensation herein stipulated (provided that the City shall use reasonable efforts to mitigate such damages), and City may withhold any payments to the Consultant for the purpose of set-off or partial payment of the amounts owed the City as previously stated.
8. MISCELLANEOUS
8.1 Covenant Against Discrimination. Consultant covenants that, by and for itself, its heirs, executors, assigns and all persons claiming under or through them, that there shall be no discrimination against or segregation of, any person or group of persons on account of race, color, creed, religion, sex, gender, sexual orientation, marital status, national origin, ancestry, or other protected class in the performance of this Agreement. Consultant shall take affirmative action to ensure that applicants are employed and that employees are treated during employment without regard to their race, color, creed, religion, sex, gender, sexual orientation, marital status, national origin, ancestry, or other protected class
8.2 Non-liability of City Officers and Employees. No officer or employee of the City shall be personally liable to the Consultant, or any successor in interest, in the event of any default or breach by the City or for any amount, which may become due to the Consultant or to its successor, or for breach of any obligation of the terms of this Agreement.
8.3 Notice. Any notice, demand, request, document, consent, approval, or communication either party desires or is required to give to the other party or any other person shall be in writing and either served personally or sent by prepaid, first-class mail, in the case of the City, to the City Manager and to the attention of the Contract Officer (with her/his name and City title), City oflrwindale, 5050 N Irwindale Ave, Irwindale, CA 91706 and in the case of the Consultant, to the person(s) at the address designated on the execution page of this Agreement.
Either party may change its address by notifying the other party of the change of address in writing.
Notice shall be deemed communicated at the time personally delivered or in seventy-two (72) hours from the time of mailing if mailed as provided in this Section. 8 .4 Integration; Amendment. It is understood that there are no oral agreements between the parties hereto affecting this Agreement and this Agreement supersedes and cancels any and all previous negotiations, arrangements, agreements and understandings, if any, between the parties, and none shall be used to interpret this Agreement. This Agreement may be amended at any time by the mutual consent of the parties by an instrument in writing.
8.5 Severabilitv. In the event that part of this Agreement shall be declared invalid or unenforceable by a valid judgment or decree of a court of competent jurisdiction, such invalidity or unenforceability shall not affect any of the remaining portions of this Agreement which are hereby declared as severable and shall be interpreted to carry out the intent of the parties hereunder unless the invalid provision is so material that its invalidity deprives either party of the basic benefit of their bargain or renders this Agreement meaningless. 01005.0006/845881.1 -8-
8.6 Waiver. No delay or omission in the exercise of any right or remedy by nondefaulting party on any default shall impair such right or remedy or be construed as a waiver. A party's consent to or approval of any act by the other party requiring the party's consent or approval shall not be deemed to waive or render unnecessary the other party's consent to or approval of any subsequent act. Any waiver by either party of any default must be in writing and shall not be a waiver of any other default concerning the same or any other provision of this Agreement.
8.7 Attorneys' Fees. If either party to this Agreement is required to initiate or defend or made a party to any action or proceeding in any way connected with this Agreement, the prevailing party in such action or proceeding, in addition to any other relief which any be granted, whether legal or equitable, shall be entitled to reasonable attorney's fees, whether or not the matter proceeds to judgment.
8.8 Interpretation. The terms of this Agreement shall be construed in accordance with the meaning of the language used and shall not be construed for or against either party by reason of the authorship of this Agreement or any other rule of construction which might otherwise apply.
8.9 Counterparts. This Agreement may be executed in counterparts, each of which shall be deemed to be an original, and such counterparts shall constitute one and the same instrument.
8.10 Warranty & Representation of Non-Collusion. No official, officer, or employee of City has any financial interest, direct or indirect, in this Agreement, nor shall any official, officer, or employee of City participate in any decision relating to this Agreement which may affect his/her financial interest or the financial interest of any corporation, partnership, or association in which (s)he is directly or indirectly interested, or in violation of any corporation, partnership, or association in which (s)he is directly or indirectly interested, or in violation of any State or municipal statute or regulation. The determination of "financial interest" shall be consistent with State law and shall not include interests found to be "remote" or "noninterests" pursuant to Government Code Sections 1091or1091.5. Consultant warrants and represents that it has not paid or given, and will not pay or give, to any third party including, but not limited to, any City official, officer, or employee, any money, consideration, or other thing of value as a result or consequence of obtaining or being awarded any agreement. Consultant further warrants and represents that (s)he/it has not engaged in any act(s), omission(s), or other conduct or collusion that would result in the payment of any money, consideration, or other thing of value to any third party including, but not limited to, any City official, officer, or employee, as a result of consequence of obtaining or being awarded any agreement. Consultant is aware of and understands that any such act(s), omission(s) or other conduct resulting in such payment of money, consideration, or other thing of value will render this Agreement void and of no force or effect.
Consultant's Authorized Initials ---
8.11 Corporate Authority. The persons executing this Agreement on behalf of the parties hereto warrant that (i) such party is duly organized and existing, (ii) they are duly authorized to execute and deliver this Agreement on behalf of said party, (iii) by so executing this Agreement, such party is fonnally bound to the provisions of this Agreement, and (iv) the entering into this Agreement does not violate any provision of any other Agreement to which said party is 01005.00061845881.1 -9-
bound. This Agreement shall be binding upon the heirs, executors, administrators, successors and assigns of the parties.
[Signatures on the following page.]
OJ 005.0006/845881.1 -10-
IN WITNESS WHEREOF, the parties hereto have executed this Agreement on the date and year first-above written.
ATTEST:
Laura Nieto, Chief Deputy City Clerk
APPROVED AS TO FORM:
ALESHIRE & WYNDER, LLP
Adrian R. Guerra, City Attorney
CITY:
CITY OF IRWINDALE, a municipal corporation
Julian A. Miranda, City Manager
CONSULTANT:
Craftwater Engineering, Inc.
By: _____________ _
Name:
Title:
By: _____________ _
Name:
Title:
Address: 10711 Oakbend Drive
San Diego, CA 92131
Two corporate officer signatures required when Consultant is a corporation, with one signature required from each of the following groups: I) Chairman of the Board, President or any Vice President; and 2) Secretary, any Assistant Secretary, Chief Financial Officer or any Assistant Treasurer. CONSULTANT'S
SIGNATURES SHALL BE DULY NOTARIZED, AND APPROPRIATE ATTESTATIONS SHALL BE
INCLUDED AS MAY BE REQUIRED BY THE BYLAWS, ARTICLES OF INCORPORATION, OR OTHER RULES OR REGULATIONS APPLICABLE TO CONSULTANT'S BUSINESS ENTITY. 01005.0006/845881.1 -11-
CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT
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 , 2023 before me, , personally appeared , proved to me on the basis of satisfactory evidence to be the person(s) whose names(s) is/are subscribed to the within instrument and aclmowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument.
I certify nnder 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.
Signature:
OPTIONAL
Though the data below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent reattachment of this form.
CAPACITY CLAIMED BY SIGNER DESCRIPTION OF ATTACHED DOCUMENT
D INDIVIDUAL
D CORPORATE OFFICER
TITLE OR TYPE OF DOCUMENT
TITLE(S)
D PARTNER(S) D LIMITED
D GENERAL NUMBER OF PAGES
D ATTORNEY-IN-FACT
D TRUSTEE(S)
D GUARDIAN/CONSERVATOR
D OTHER DATE OF DOCUMENT
SIGNER IS REPRESENTING:
(NAME OF PERSON(S) OR ENTITY(IES)) SIGNER(S) OTHER THAN NAMED ABOVE 01005.0006/845881.1
CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT
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 , 2023 before me, , personally appeared , proved to me on the basis of satisfactory evidence to be the person(s) whose names(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument.
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.
Signature:
OPTIONAL
Though the data below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent reattachment of this form
CAPACITY CLAIMED BY SIGNER DESCRIPTION OF ATTACHED DOCUMENT
D INDIVIDUAL
D CORPORATE OFFICER
TITLE OR TYPE OF DOCUMENT
TITLE(S)
D PARTNER(S) D LIMITED
D GENERAL NUMBER OF PAGES
D ATTORNEY-IN-FACT
D TRUSTEE(S)
D GUARDIAN/CONSERVATOR
D OTHER DATE OF DOCUMENT
SIGNER IS REPRESENTING:
(NAME OF PERSON(S) OR ENTITY(IES)) SIGNER(S) OTHER THAN NAMED ABOVE 01005.0006/845881.1
EXHIBIT "A"
SCOPE OF SERVICES
I. Consultant will perform the following Services:
Task 1: Project Management, Coordination, and Meetings
A. Project Management - managing project controls; scheduling, budgeting, progress reports, and invoicing. Support the City with coordinating the project with the Upper San Gabriel Valley Watershed Management Group (SGVWMP) and the Rio Hondo Watershed Management Group (RHWMG).
B. Kick-Off Meeting- Initial meeting between the City, Watershed Coordinator, and Craftwater held at City offices, with the objective to discuss the project scope, the final details of the schedule, review the data needs, and obtain feedback on success factors. Craftwater Engineering will prepare an agenda, presentation, and meeting summary notes for the kick-off meeting.
C. Project Site Visit - One day of field reconnaissance work with City representatives and the Watershed Coordinator. The field reconnaissance will be an opportunity for Craftwater Engineering to identify design alternatives. In addition, City representatives will have an opportunity to discuss the proposed LID features for the Project and provide input regarding opportunities and constraints as part of the project development process.
D. Monthly Progress and Periodic Coordination Meetings - Monthly Progress Meetings will be conducted with the City Project Manager and other select stakeholders. A detailed agenda, presentation including schedule, action item list, and meeting summary notes developed for each meeting. Craftwater Engineering will also conduct regular project correspondence, including coordination calls to ensure that the project delivered on scope, on schedule, and within budget.
E. Review Coordination - facilitate review of the Draft Feasibility Study with the City and Watershed Coordinator to discuss the review comments.
F. Feasibility Study Schedule - develop a detailed Critical Path Method (CPM) schedule for managing this project. The schedule will be prepared in Microsoft Project and will detail the degree of activity for the major tasks of the project. The schedule includes task predecessors, float time, start/finish dates, and task dependency to ensure that work products are completed on a timely basis. The preliminary schedule also reflects the schedule of deliverables. The schedule will serve as a planning tool for the project team and will be evaluated and updated, if necessary, and as approved by the City Project Manager.
Task 2: Feasibility Study Development
A. Existing Conditions Report & Stormwater Capture Strategies Technical Memorandum - address all applicable requirements outlined in the Feasibility Study A-1
01005.0006/845881.1
Guidelines from the SCWP in order to be eligible for consideration for the Infrastructure Program and address all US Army Corps of Engineers Guidelines for Landscaping & Vegetation Management at Levees, Floodwalls, & Embankments.
Below describes the relevant studies to conceptualize, analyze, and surmnarize the project in a format easily translated into the SCWP application module.
B. Utility Research
C. Water Quality Hydrology Study
D. BMP Sizing and Optimization
E. Water Supply Benefits Analysis
F. Draft SCWP Feasibility Study Report
G. Feasibility Study Report
a) Project Description
b) Safe Clean Water Program benefits
c) Project Schedule
d) Effectiveness of Similar Projects
e) Monitoring Plan
f) Life-Cycle Cost
g) Operations and Maintenance Plan
h) Engineering Analysis
i) Permitting Assessment
j) Outreach/Engagement Plan
k) County-Wide Displacement Policies
1) Vector Minimization Plan
m) Nature-Based Solutions
n) Legal Requirements
o) LACFCD Conceptual Review Letter
p) Eligible Expenditures
q) Leveraged Funding (if applicable)
r) Disadvantaged Community Benefit
s) Executive Surmnary
t) Application Surmnary
Task 3: Preliminary Design Plans
A. 10% Design Plans - Craftwater Engineering will work with the City to develop 10% Preliminary Plans for the identified design alternative from the Task 2 analysis. The 10% design documents will be developed for the site and consist of approximately 4 sheets, depending on the project alternative selected. For existing infrastructure to be used to convey runoff, existing as-built sheets will be included into the plan set for reference. The following are the anticipated types of drawing sheets for the 10% design documents:
• Title Sheet
• Civil: plan, profile, and sections
• Limited Details: diversion schematic, storage/infiltration facility, etc.
A-2
01005.0006/845881.1
Task 4: Final Feasibility Study
A. Craftwater will incorporate review comments from the Draft Feasibility Study to the Final Feasibility Study. One set of consolidated review comments from the City will be addressed for the Final Feasibility Study.
Task 5: Application Submittal
A. SCQP Application Submittal - Craftwater will upload the information from the Feasibility Study into the SCWP Projects Application Module for the FY2023-24 Call for Projects. A PDF of the input data will be generated for review and approval.
The submittal of the application will be executed by the City ofirwindale.
B. SCWP Technical Support - Once the project application has been reviewed by the Los Angeles County Flood Control District (LACFCD), the project application must be evaluated by the Scoring Committee and assessed by the WASC for selection and funding. Craftwater Engineering will provide technical assistance during the evaluation of the project by the SCWP Scoring Committee meeting and by the USGR W ASC. It is assumed that this task will consist of attendance at one (1) SCWP Scoring Committee to respond to questions and requests for clarification from the SCWP Scoring Committee. Craftwater Engineering will also develop the presentation slides in PowerPoint and presentation of the project and presentation at one (1) USGR W ASC meeting.
II. As part of the Services, Consultant will prepare and deliver the following tangible work products to the City:
Task 1 Deliverables: Attendance at the Kick-Off Meeting (1) followed by up to six (6) Monthly Progress Meetings including agenda, presentation, and summary notes. i. Monthly feasibility study schedule updates, cost proposal, attendance at the kickoff meeting ii. Up to (6) Monthly Progress Meetings, meeting agendas and meeting minutes. iii. Monthly reports, invoices, presentations, summarized review comments, and responses.
Task 2 Deliverables:
L Site Specific Existing Conditions Report & Stormwater Capture Strategies Technical Memo
IL Draft Feasibility Study Report and Application Summary ni. Cost Analysis Report
1v. Task 2 Assumptions: The City will work to acquire land rights and easements with the Army Corp of Engineers and LADWP. No boundary survey is included.
A-3
01005.0006/845881.1
Task 3 Deliverable:
1. Draft 10% City Approved Preliminary Design plans in PDF and AutoCAD format.
ii. Task 3 Assumptions:
a. Bicycle trail alignment will be outside of the existing curb line. No alternations will be made to travel lanes for the feasibility analysis. b. Final 10% Design Plans that address draft comments will be incorporated into the Final Feasibility Study Report (Task 4).
c. City will obtain permission to use the County LiDAR data for the site base map used in the development of the design plans.
d. This task does not include topographic survey data and is anticipated to rely on the County LiDAR dataset.
e. Preparation of environmental documents, technical studies, jurisdictional delineations, and/or permit packages are not included.
Task 4 Deliverable: Final Feasibility Study and Application Summary in PDF and AutoCAD format.
Task 5 Deliverables:
1. SCWP Application Submittal for the FY2024-25 Call for Projects.
11. Attendance at one (1) SCWP Scoring Committee Meeting to address Technical Questions.
111. Project Presentation (Draft and Final) and attendance at (1) USGR W ASC Meeting.
III. All work product is subject to review and acceptance by the City, and must be revised by the Consultant without additional charge to the City until found satisfactory and accepted by City.
IV. Consultant will utilize the following personnel to accomplish the services:
A. Merrill Taylor, PE, Project Manager
B. Oliver Galang, PE, ENV SP, QSD, Principal-in-Charge and QA/QC Manager C. Courtney Semlow, PE (MA,VA), Civil Design Lead
D. Thom Epps, PhD, SCWP Model Specialist
E. Frank Coyle, Permits & Environmental
A-4
01005.0006/845881.1
01005.0006/845881.1
EXHIBIT "B"
SPECIAL REQUIREMENTS
(Superseding Contract Boilerplate)
NIA
B-1
" ~ 0
0 ~ ~
:".:
n
~ '
' 1a!e(IMOntn1 ' ' ' " I " I " 2 " 2 " "' • water Oual<tY HyarolOQV S1u(fy. Hydraulic Analysis. Bt.\P Sizin, -. and Water CoriseNillion ,An~~- _____ _.J. __ !.I. ' ' • oratt Feasibility Study Report and Application S:llITlm<l'Y " "' IT.ask 3. Pre!fm!nary ~sign Pl;ins (10%[)esllJI\) " " "' 10% Deskin Plans " " " !Task 4. Fln;il ~:islbllltv Stud' " " "' ' " " " 4----- -~ !I _____________ ~_
" " •
Final Feasibility Study and Applie,allo;J_n S:llrrllflil'Y ITask 5. Appllca!lon Submlttll
scwPAjiiilica~on Submttal Support ' SCWP TeCMlcal Supj 2 Scoring Committee Re\1ew 2
USGR WASC Presen\a1icm ,, •ucen!;l!d In MA, VA
Scope of Work Assumptlcms:
--One Klck-OffMtttins and ladditional as-needed projettteam coordination meeting;. The project management task duration will not exceed 6 months. Al! meetings a•sumed 1 hour In duration -City utilities and storm drain Infrastructure will be provided by the City -Poth cling cf utlllt!es are net Included
-Access permlts with the City will be provided at no effort er cost to cur team. No permits with the County are induded in this cost proposal -No allowance fer traffic centre! plans has been Included In tills cost estimate -The City will cbtaln permission to use the County LlDAR data for the 11)% Design Plans. -Topcgraph\c survey ls not Included.
-Pump station design Is not included.
-Electrical englne<?ring design is not included.
-Environmental Documentation !Initial Study, Mitigated Negative D<!daratlcn, and technical studies) are not included In thlscost. -The City will obtain letters of local community organization support. -Monitoring plan that Includes objectives, types of constituents, methodology, and "'!Ulpement ls not lncluded.
Task#! Task
2 !Draft Feasibility Study Report
4 !Final Feasibility Study Report
"1)i-;"1B•r- 1){(! :~,i1){(1 l!i~!("i:f •J: >'.oi:]l((I " "" " 2.616
' 1.356
'" 34,064
" 1,872
'" 15.848
'" 16,344
m 17,St&
"' 17,916
" 8.052
" 8,052
" 6,084
" 2,652
" 3,432
' 1,220
" '·"'
"'"1"A))
craft -:~water·
•""" .. ""'· '"·
2.616
1,356
12.188 46,352.
1,872
15,848
12.288 26.632
17.916
17.916
'·"' 11,401
3.349 11.401
6,084
2,652
3,432
1,220
2,212
Total
$ 12,288.00
$ 3,349.00
':1.11"0
GRAND TOTAL.: I $ 15,637.00
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Cl I COST SCHEDUliliE
Below reflects the current billing rates of our classifications and staff personnel and the following page is our anticipated level of effort on a task-by-task basis. All rates contain all fringe benefits, indirect costs, and profit. All work contained within the Section A Scope of Work will be completed using the rates Identified and the hours outlined. Any additional work beyond the outlined scope of work will be negotiated using the rate table below.
The work assigned to each of the pay classifications is found within the task-by-task cost proposal.
Senior Associate Engineer
Associate Engineer
Junior Engineer
Senior Water Resources Specialist or Hydrologist
Associate Water Resources Specialist or Hydrologist
Junior Water Resources Specialist or Hydrologist
Senior Scientist
Associate Scientist
CADD Technician
Senior GIS Analyst
Associate GIS Analyst
Senior Technical Editor
Technical Editor
Contract Administrator
Administrative/Clerical
Water Resources Intern
C-2
01005.0006/84588 l.l
CASC ENGINEERING AND CONSULTING RATE SCHEDULE
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Pr61d~nt/Prin(iJnl fne;.,~,
sr.ouectcr
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II. Within the bndgeted amonnts for each Task, and with the approval of the Contract Officer, fnnds may be shifted from one Task subbudget to another so long as the Contract Sum is not exceeded per Section 2.1, unless Additional Services are approved per Section 2.3.
III. The City will compensate Consultant for the Services performed upon submission of a valid invoice, in accordance with Section 2.2. Each invoice is to include:
A. Line items for all the work performed, the number of hours worked, and the hourly rate.
B. Line items for all materials and equipment properly charged to the Services.
C. Line items for all other approved reimbursable expenses claimed, with supporting documentation.
D. Line items for all approved subcontractor labor, supplies, equipment, materials, and travel properly charged to the Services.
IV. The total compensation for the Services shall not exceed $ 106,314 as provided in Section 2.1 of this Agreement.
V. Consultant's billing rates for all personnel are attached as Exhibit C-1 to C-3.
C-3
01005.00061845881.1
EXHIBIT "D"
SCHEDULE OF PERFORMANCE
Unless earlier terminated in accordance with Article 7 of this Agreement, this Agreement shall continue in full force and effect until completion of the Services or for one (1) year from the date hereof, whichever comes first. The term of this agreement can be extended with for a twelve-month period with written notice issued by the Director of Engineering/Building Official.
Project schedule assumptions:
• The project is anticipated to be completed within 7 months of notice to proceed {NTP) • The NTP will be issued by the City by December 5, 2022 • The Safe, Clean Water Program Application for the Arrow Highway Beautification Project will be submitted no later than July 31, 2022, which is the anticipated submittal date. • The LACFCD requires a 2-month period to review and provide Conceptual Approval of a project that affects lACFCD Storm Drains or Channels. The. application submittal is dependent on receiving the conceptual approval. Historic appliations indicate that approvals are normally sent the last week of July. • Coordination with the Vector Control District of Greater Los Angeles County will consist of electronic/email communication
• City review of submittals is anticipated to take 2-weeks D-1
01005.0006/845881.1
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ISi City Council
DSuccessor Agency
D Housing Authority
DReclamation Authority
DJoint Powers Authority
Date: January 11, 2023
Cityo/
IRWINDALE
AGENDA REPORT
To:
From:
Honorable Mayor and Members of the City Council
Julian A Miranda, City Manager
CC Item 1D
Issue: Amendment No. 1 to Contract Services Agreement with Coory Engineering for Professional Design Services for the preparation of Plans, Specifications and Estimate of a Vitrified Clay Pipe Sewer Line Extension on Arrow Highway; P-1035
City Manager's Recommendation:
That the City Council approve and authorize the City Manager to execute Amendment No. 1 to Contract Services Agreement with Coory Engineering for Professional Design Services for the preparation of Plans, Specifications and Estimate (PS&E) of a Vitrified Clay Pipe (VCP) Sewer Line Extension on Arrow Highway (P-1035) to increase the contract amount from $50,800 to $78,000, an increase of $27,200.
Administrative Action:
Submitted by: ,I i / h
1 A \ l
Arsanious M. Hanna, City Engineer/ Building Official ~~ Prepared by: ~
Luis Pimentel, Assistant Engineer _____.r ;{~
7 'Fl
(626) 430-2259 ~~ c__,;
Reviewed by:
Adrian R. Guerra, City Attorney
Electronically Approved
Kambiz Borhani, Finance Director I City Treasurer
Approved by:
Julian Miranda, City Manager
01005.0006/845734.1 Page 1
Background and Analysis:
On October 13, 2021, the City Council awarded a contract for Professional Design Services for the preparation of Plans, Specifications and Estimate (PS&E) of a Vitrified Clay Pipe (VCP) Sewer Line Extension on Arrow Highway to Coory Engineering in the amount of $50,800.
Since the initial contract award, Coory Engineering has submitted two (2) change orders to the City for additional work requested pursuant to the contract. The change orders consist of acquiring title reports, creating right of way acquisition deeds, additional surveying and pot holing services for locating underground substructures and alternative sewer designs based on substructure findings.
The total amount for the two (2) change orders is $27,200, which would result in a total contract amount of $78,000.
The attached contract agreement amendment has been reviewed and approved as to form by the City Attorney's office.
Fiscal Impact:
Sufficient funding is still available in CIP Budget Account 48-80-800-45700-8804. This project is funded 40% by the General Fund, 40% by the Mining Impact Fund, and 20% by the Development Impact Fund.
Attachment(s):
• Amendment No. 1 to Contract Agreement for Professional Services • Change Order No. 1 and Change Order No. 2