Laguna Hills City Council
June 24, 2025

4899-5371-9117, v. 1
EXHIBIT “C”
CITY’S SS4A GRANT AGREEMENT
UNDER THE FISCAL YEAR 2023
SAFE STREETS AND ROADS FOR ALL GRANT PROGRAM (SS4A)
WITH THE UNITED STATES DEPARTMENT OF TRANSPORTATION’S

FEDERAL HIGHWAY ADMINISTRATION (FHWA)

1 BILLING CODE 4910-9X

DEPARTMENT OF TRANSPORTATION
Office of the Secretary of Transportation
DOT-OST-2023-0048
USDOT FY23 Safe Streets and Roads for All Funding
AGENCY: Office of the Secretary of Transportation, U.S. Department of Transportation (DOT or the Department) ACTION: Notice of Funding Opportunity (NOFO), Assistance Listing # 20.939 SUMMARY: The purpose of this notice is to solicit applications for Safe Streets and Roads for All (SS4A) grants.

Funds for the fiscal year (FY) 2023 SS4A grant program are to be awarded on a competitive basis to support planning, infrastructure, behavioral, and operational initiatives to prevent death and serious injury on roads and streets involving all roadway users, including pedestrians; bicyclists; public transportation, personal conveyance, and micromobility users; motorists; and commercial vehicle operators. 1 DATES: Applications must be submitted by 5:00 PM EDT on Monday, July 10, 2023. Late applications will not be accepted.

ADDRESSES: Applications must be submitted via Valid Eval, an online submission proposal system used by USDOT, at https://usg.valideval.com/teams/usdot_ss4a_2023_implementation/signup for Implementation Grant applicants, andhttps://usg.valideval.com/teams/usdot_ss4a_2023_planning_demo/signup for Planning and Demonstration Grants. Customer support for Valid Eval can be reached at [email protected].

FOR FURTHER CONTACT INFORMATION: Please contact the SS4A grant program staff via email at [email protected], or call Paul Teicher at 202-366-4114. A telecommunications device for the deaf (TDD) is available at 202-366-3993. In addition, DOT will regularly post answers to questions and requests for clarifications, as well as schedule information regarding webinars providing additional guidance, on DOT’s website at https://www.transportation.gov/grants/SS4A. The deadline to submit technical questions is June 16, 2023. The NOFO is listed under opportunity number DOT-SS4A-FY23-01 at grants.gov. SUPPLEMENTARY INFORMATION: Each section of this notice contains information and instructions relevant to the application process for SS4A grants, and all applicants should read this notice in its entirety so that they have the information they need to submit eligible and competitive applications.

Section Content
N/A Summary Information
A Program Description
B Federal Award Information
C Eligibility Information
D Application and Submission Information
E Application Review Information
F Federal Award Administration Information
G Federal Awarding Agency Contacts 1The term “pedestrians” is inclusive of all users of the pedestrian infrastructure, including persons with disabilities.

2 Section Content
H Other Information
Section A (Program Description) describes the Department’s goals and purpose in making awards, and Section E (Application Review Information) describes how the Department will select from eligible applications. To support applicants through the process, the Department will provide technical assistance and resources at https://www.transportation.gov/grants/SS4A. DEFINITIONS Term Definition
Applicant’s Jurisdiction(s) The U.S. Census tract/tracts where the applicant operates or performs their safety responsibilities. If an applicant is seeking funding for multiple jurisdictions, all of the relevant Census tracts for the jurisdictions covered by the application should be included.

Complete Streets Standards or policies that ensure the safe and adequate accommodation of all users of the transportation system, including pedestrians, bicyclists, personal conveyance and micromobility users, public transportation users, children, older individuals, individuals with disabilities, motorists, and freight vehicles. 2
Comprehensive Safety Action Plan A comprehensive safety action plan (referred to as an Action Plan) is aimed at preventing roadway fatalities and serious injuries in a locality or region or on Tribal land. This can be either a plan developed with a Planning and Demonstration Grant, or a previously developed plan that is substantially similar and meets the eligibility requirements (e.g., a Vision Zero plan or similar plan). See Table 1 for a detailed description.

Equity The consistent and systematic fair, just, and impartial treatment of all individuals, including individuals who belong to underserved communities that have been denied such treatment, such as Black, Latino, Indigenous and Native Americans, Asian Americans and Pacific Islanders, and other persons of color; members of religious minorities; lesbian, gay, bisexual, transgender, and queer (LGBTQ+) persons; persons with disabilities; persons who live in rural areas; and persons otherwise adversely affected by persistent poverty or inequality.

High-Injury Network Identifies the highest concentrations of traffic crashes resulting in serious injuries and fatalities within a given roadway network or jurisdiction. 2
The definition is based on the “Moving to a Complete Streets Design Model: A Report to Congress on Opportunities and Challenges,” https://highways.dot.gov/sites/fhwa.dot.gov/files/2022- 03/Complete%20Streets%20Report%20to%20Congress.pdf. Also see https://highways.dot.gov/complete-streets.

3 Term Definition
Micromobility Any small, low-speed, human- or electric-powered transportation device, including bicycles, scooters, electric-assist bicycles, electric scooters (e-scooters), and other small, lightweight, wheeled conveyances. 3
Personal Conveyance A personal conveyance is a device, other than a transport device, used by a pedestrian for personal mobility assistance or recreation. These devices can be motorized or human powered, but not propelled by pedaling (e.g., a wheelchair). 4
Political Subdivision of a State A unit of government created under the authority of State law. This includes cities, towns, counties, special districts, certain transit agencies, and similar units of local government. A transit district, authority, or public benefit corporation is eligible if it was created under State law, including transit authorities operated by political subdivisions of a State.

Rural For the purposes of this NOFO, jurisdictions outside an Urban Area (UA) or located within Urban Areas with populations fewer than 200,000 will be considered rural. Lists of UAs are available on the U.S. Census Bureau website at
https://www2.census.gov/geo/docs/reference/ua/2020_Census_ua_list _all.xlsx. Safe System Approach A guiding principle to address the safety of all road users. It involves a paradigm shift to improve safety culture, increase collaboration across all safety stakeholders, and refocus transportation system design and operation on anticipating human mistakes and lessening impact forces to reduce crash severity and save lives. 5, 6 3 Source: FHWA, Public Roads Magazine, Spring 2021, “Micromobility: A Travel Innovation.” Publication Number: FHWAHRT-21-003 4 https://crashstats.nhtsa.dot.gov/Api/Public/ViewPublication/813251, see page 127 for the full definition as defined in the 2020 FARS/CRSS Coding and Validation Manual. 5
See: https://www.transportation.gov/NRSS/SafeSystem 6
Safety culture can be defined as the shared values, actions, and behaviors that demonstrate a commitment to safety over competing goals and demands.

4 Term Definition
Underserved Community An underserved community as defined for this NOFO is consistent with the Office of Management and Budget (OMB) and DOT
definitions of a disadvantaged community designation, which includes any Tribal land; any territory or possession of the United States; or U.S. Census tracts identified in one of the following tools (may only select one option to identify underserved communities):

The interim USDOT Equitable Transportation Community
Explorer (ETCE)
https://experience.arcgis.com/experience/0920984aa80a4362 b8778d779b090723/page/Applicant-Explorer/ Any subsequent iterations of the ETCE released during the NOFO period; or
The Climate and Economic Justice Screening Tool (CEJST) to identify disadvantaged communities
https://screeningtool.geoplatform.gov/ Funds to underserved communities are spent in, and provide benefits to, underserved communities.

A. Program Description

1. Overview
Section 24112 of the Infrastructure Investment and Jobs Act (Pub. L. 117–58, November 15, 2021; also referred to as the “Bipartisan Infrastructure Law” or “BIL”) authorized and appropriated $1 billion to be awarded by the Department of Transportation for FY 2023 for the SS4A grant program. This NOFO solicits applications for activities to be funded under the SS4A grant program. The FY 2023 funding will be implemented, as appropriate and consistent with law, in alignment with the priorities in Executive Order 14052, Implementation of the Infrastructure Investment and Jobs Act (86 FR 64355).

The purpose of SS4A grants is to improve roadway safety by significantly reducing or eliminating roadway fatalities and serious injuries through safety action plan development and refinement and implementation focused on all users, including pedestrians, bicyclists, public transportation users, motorists, personal conveyance and micromobility users, and commercial vehicle operators. The program provides funding to develop the tools to help strengthen a community’s approach to roadway safety and save lives and is designed to meet the needs of diverse local, Tribal, and regional communities that differ dramatically in size, location, and experience administering Federal funding.

The FY 2023 NOFO incorporates lessons learned from the FY 2022 NOFO, and substantively differs in a few ways:

Applications are submitted through Valid Eval instead of Grants.gov. The application structure for the key information table and other application submission details has been standardized through Valid Eval.

Updated the definition of an underserved community, with different tools to determine whether a U.S.

Census tract is an underserved community.

Planning and Demonstration Grants replaced Action Plan Grants from FY 2022, with a number of substantive changes throughout the NOFO:
o Section A further clarifies eligible planning and demonstration activities; o Section B.3 changed the expected minimum and maximum award range to $100,000 to $10 million; o Section B.4 has a longer expected period of performance under certain circumstances;

5 o Section C.3 has changed eligibility requirements and allows applicants currently developing a comprehensive safety action plan to request additional funding for planning and demonstration; and o Section E has a revised selection criteria requirement for the “Additional Safety Context” narrative, which is now expected to be between 1 and 2 pages.

Implementation Grants had the following substantive changes:
o Section B.3 changed the expected minimum and maximum award range to $2.5 million to $25 million; o Section E selection criteria were refined, and a fifth selection criterion specifically for applicants who bundle planning and supplemental planning was added; and o Section E award selection considerations were expanded to include rural areas, whether the applicant is identified as a priority community within the Federal Thriving Communities Network, requests less than $10 million, and selections that support diversity amongst the award recipients, in addition to project readiness and percent of funds to underserved communities.

2. Grant Options and Deliverables
The SS4A program provides funding for two main types of grants: Planning and Demonstration Grants for comprehensive safety action plans, including supplemental safety planning, and/or safety demonstration activities; and Implementation Grants. Planning and Demonstration Grants are used to develop, complete, or supplement a comprehensive safety action plan, as well as carry out demonstration activities that inform an Action Plan.

Implementation Grants are used to implement strategies or projects that are consistent with an existing Action Plan and may also bundle funding requests for supplemental planning and demonstration activities that inform an Action Plan. To apply for an Implementation Grant, an eligible applicant must have a qualifying Action Plan; see Section C for what constitutes a qualifying Action Plan. Applicants for Implementation Grants can self-certify that they have one or more plans in place by June 2023 that together are substantially similar to and meet the eligibility requirements for an Action Plan.
i. Planning and Demonstration Grants
Planning and Demonstration Grants have three different types of activities:
a) Develop an Action Plan;
b) Conduct supplemental safety planning to enhance an Action Plan; and c) Carry out demonstration activities to inform the development of, or an update to, an Action Plan.

The three different types of activities under Planning and Demonstration Grants can either be bundled together into one application, or an applicant may choose to request funding for only one of the activities. Applicants may only apply for a single grant type, but both grant types have the option to include Planning and Demonstration projects under them. The development of, or updates to, an Action Plan must be the intended end result of each supplemental planning and demonstration activity. Further information on which activities can be bundled together are described in Section C.3.i.
a) Action Plan
An Action Plan is the foundation of the SS4A grant program. Grants for Action Plans provide Federal funds to eligible applicants to develop, complete, or enhance an Action Plan.

The primary deliverable is a publicly available Action Plan. For the purposes of the SS4A grant program, an Action Plan includes the components in Table 1. DOT considers the process of developing an Action Plan to be critical for success, and the components reflect a process-oriented set of activities.

6 Table 1: Action Plan Components Component Description Leadership
Commitment and
Goal Setting
An official public commitment (e.g., resolution, policy, ordinance) by a highranking official and/or governing body (e.g., Mayor, City Council, Tribal Council, metropolitan planning organization [MPO], Policy Board) to an eventual goal of zero roadway fatalities and serious injuries. The commitment must include a goal and timeline for eliminating roadway fatalities and serious injuries achieved through one, or both, of the following:
(1) the target date for achieving zero roadway fatalities and serious injuries, OR (2) an ambitious percentage reduction of roadway fatalities and serious injuries by a specific date with an eventual goal of eliminating roadway fatalities and serious injuries.

Planning Structure A committee, task force, implementation group, or similar body charged with oversight of the Action Plan development, implementation, and monitoring.

Safety Analysis Analysis of existing conditions and historical trends that provides a baseline level of crashes involving fatalities and serious injuries across a jurisdiction, locality, Tribe, or region. Includes an analysis of locations where there are crashes and the severity of the crashes, as well as contributing factors and crash types by relevant road users (motorists, pedestrians, transit users, etc.). Analysis of systemic and specific safety needs is also performed, as needed (e.g., high-risk road features, specific safety needs of relevant road users, public health approaches, analysis of the built environment, demographics, and structural issues). To the extent practical, the analysis should include all roadways within the jurisdiction, without regard for ownership. Based on the analysis performed, a geospatial identification of higher-risk locations is developed (a High-Injury Network or equivalent).

Engagement and
Collaboration
Robust engagement with the public and relevant stakeholders, including the private sector and community groups, that allows for both community representation and feedback. Information received from engagement and collaboration is analyzed and incorporated into the Action Plan. Overlapping jurisdictions are included in the process. Plans and processes are coordinated and aligned with other governmental plans and planning processes to the extent practicable.

Equity
Considerations
Plan development using inclusive and representative processes. Underserved communities are identified through data and other analyses in collaboration with appropriate partners. Analysis includes both population characteristics and initial equity impact assessments of the proposed projects and strategies.

Policy and Process
Changes
Assessment of current policies, plans, guidelines, and/or standards (e.g., manuals) to identify opportunities to improve how processes prioritize transportation safety.

The Action Plan discusses implementation through the adoption of revised or new policies, guidelines, and/or standards, as appropriate.

7 Component Description
Strategy and
Project Selections
Identification of a comprehensive set of projects and strategies—shaped by data, the best available evidence and noteworthy practices, and stakeholder input and equity considerations—that will address the safety problems described in the Action Plan. These strategies and countermeasures focus on a Safe System Approach and effective interventions and consider multidisciplinary activities. To the extent practicable, data limitations are identified and mitigated.

Once identified, the projects and strategies are prioritized in a list that provides time ranges for when the strategies and countermeasures will be deployed (e.g., short-, mid-, and long-term timeframes). The list should include specific projects and strategies, or descriptions of programs of projects and strategies, and explains prioritization criteria used. The list should contain interventions focused on infrastructure, behavioral, and/or operational safety.

Progress and
Transparency
Method to measure progress over time after an Action Plan is developed or updated, including outcome data. A means to ensure ongoing transparency is established with residents and other relevant stakeholders. The approach must include, at a minimum, annual public and accessible reporting on progress toward reducing roadway fatalities and serious injuries and public posting of the Action Plan online.

Applicants requesting funds to develop an Action Plan may also request funding for supplemental planning and demonstration activities subsequently described in Section A.2.i.b and A.2.i.c below. The goal of an Action Plan is to develop a holistic, well-defined strategy to prevent roadway fatalities and serious injuries in a locality, Tribe, or region. Further information on eligibility requirements is in Section C. b) Supplemental Planning
Supplemental action plan activities support or enhance an existing Action Plan. To only fund supplemental Action Plan activities through the SS4A program, an applicant must have an existing Action Plan; have a plan that is substantially similar and meets the eligibility requirements for having an existing plan; or be in the process of completing an Action Plan described in Table 1. Examples of supplemental planning include:

Topical safety sub-plans focused on topics such as speed management, vulnerable road users, accessibility for individuals with disabilities, Americans with Disabilities Act of 1990 (ADA) transition plans, health equity, safety-focused Intelligent Transportation System implementation, lighting, or other relevant safety topics
Road safety audits
Additional safety analysis and expanded data collection and evaluation using integrated data Targeted equity assessments
Required supplemental planning as a condition to receiving an Implementation Grant award as described in Section A.2.ii:
o Updating Action Plans finalized and last updated in 2020 or earlier o Broadening the road user focus to include all road users o Updating plan components laid out in Table 1 and missing in an eligible plan Follow-up stakeholder engagement and collaboration
Reporting on the progress from Action Plan implementation for transparency Other roadway safety planning activities that enhance an Action Plan The final deliverable for supplemental planning is a written product that connects to, and enhances, an Action Plan.

Final products shall be made publicly available. Additional information on supplemental planning is located at https://www.transportation.gov/grants/SS4A.

8 c) Demonstration Activities
Demonstration activities inform an Action Plan by testing proposed project and strategy approaches to determine their potential benefits and future scope; demonstration activities are temporary. Demonstration activities must measure potential benefits through data collection and evaluation and inform an Action Plan’s list of selected projects and strategies and their future implementation. To receive funds only for demonstration activities through the SS4A program, an applicant must have an existing Action Plan, have a plan that is substantially similar and meets the eligibility requirements for having an existing plan, or be in the process of completing an Action Plan described in Table 1. Demonstration activities could include:

Feasibility studies using quick-build strategies that inform permanent projects in the future (e.g., use of paint and plastic delineator posts to experiment with impermanent roadway design changes, use of removable barriers to re-allocate roadway space).

Various MUTCD Engineering Studies that further safety applications of the MUTCD (e.g., evaluating warrants for traffic signal installation, high-visibility crosswalk markings, bike lane treatments, etc.).

Pilot programs for behavioral or operational activities that include at least one element of the Safe System Approach (e.g., test out a new education campaign’s messaging at a small scale, trial changes to how Emergency Medical Services respond to crashes).

Pilot programs that demonstrate safety benefits of technologies not yet adopted in the community (e.g., variable speed limits, technology for adaptive signal timing, adaptive lighting, Intelligent Transportation Systems, vehicle-to-infrastructure technology, etc.). 7 Eligible technologies must be commercially available and at a prototype or advanced technological readiness level. 8 Demonstration activities and pilot programs must inform Action Plans through small-scale tests with finite trial periods intended to gauge potential project and strategy effectiveness that will lead to project and strategy selection at a systemic level. The final deliverable is an assessment of the demonstration activities and an updated Action Plan that incorporates the information gathered from the demonstration activities into the Action Plan’s list of projects or strategies and/or informs another part of the Action Plan. DOT intends to prioritize demonstration activities that are set up within 18 months (e.g., quick-builds on the roadway, pilot project established). ii. Implementation Grants
Implementation Grants fund projects and strategies identified in an Action Plan that address roadway safety problems. Implementation Grants may also fund supplemental planning and demonstration activities as described in Section A.2.i, as well as planning, design, and development activities for projects and strategies identified in an Action Plan. DOT encourages Implementation Grant applicants to include supplemental planning and demonstration activities in their application. Applicants must have an existing Action Plan to apply for Implementation Grants or have an existing plan that is substantially similar and meets the eligibility requirements of an Action Plan. If applicants do not have an existing Action Plan, they should apply for Planning and Demonstration Grants and NOT Implementation Grants.

The Action Plan components may be contained within several plans. DOT requires applicants who have an Action Plan that is missing components required in Table 1 but still have a substantially similar plan based on the SelfCertification Eligibility Worksheet outlined in Section C to update an Action Plan to contain all components in a Comprehensive Safety Action Plan as outlined in Table 1. Updating an existing Plan to address missing components is a condition to receive Implementation Grant funding, and applicants applying for Implementation Grants can request to use SS4A supplemental planning funds to update an existing Action Plan to conform with all the components in Table 1. Additional information on eligibility requirements and eligible activities is in Section C below. 7
Eligible vehicle-to-infrastructure demonstrations use interoperable vehicle-to-infrastructure (V2X) communications capabilities using 4G LTE cellular V2X (C-V2X) technology in the 5.905 – 5.925 GHz spectrum frequency band to enable safety applications for public fleet vehicles. 8
The corresponding level would be “Development,” level 7 Prototype demonstrated in operational environment. See https://www.fhwa.dot.gov/publications/research/ear/17047/17047.pdf.

9 3. SS4A Grant Priorities
This section discusses priorities specific to SS4A and those related to the Department’s overall mission, which are reflected in the selection criteria and NOFO requirements. Successful grant applications will:

Promote safety to prevent death and serious injuries on public roadways; Employ low-cost, high-impact strategies that can improve safety over a wide geographic area; Ensure equitable investment in the safety needs of underserved communities, which includes both underserved urban and rural communities;
Incorporate evidence-based projects and strategies and adopt innovative technologies and strategies; Demonstrate engagement with a variety of public and private stakeholders; and Align with the Department’s mission and Strategic Goals such as safety; climate change and sustainability; equity and Justice40; and workforce development, job quality, and wealth creation. 9 The Department seeks to award Planning and Demonstration Grants based on safety impact, equity, and other safety considerations. For Implementation Grants, DOT seeks to make awards to projects and strategies that save lives and reduce roadway fatalities and serious injuries; incorporate equity, engagement, and collaboration into how projects and strategies are executed; use effective practices and strategies; consider climate change, sustainability, and economic competitiveness in project and strategy implementation; and will be able to complete the full scope of funded projects and strategies within five years after the establishment of a grant agreement.

Additional award consideration will be made for Implementation Grant applicants that have a high percentage of funds that benefit underserved communities, are in rural areas, request less than $10 million in Federal funds, and/or support geographic diversity amongst the Implementation Grant award recipients. Section D provides more information on the specific measures an application should demonstrate to support these goals.

The SS4A grant program aligns with both Departmental and Biden-Harris Administration activities and priorities.

The National Roadway Safety Strategy (NRSS, issued January 27, 2022) commits the Department to respond to the current crisis in roadway fatalities by “taking substantial, comprehensive action to significantly reduce serious and fatal injuries on the Nation’s roadways,” in pursuit of the goal of achieving zero roadway deaths through a Safe System Approach. 10 DOT recognizes that zero is the only acceptable number of deaths on our roads, and SS4A program outcomes align with the NRSS and support the FY 2022-2026 DOT Strategic Plan safety performance goals such as a medium-term goal of a two-thirds reduction in roadway fatalities by 2040. 11 DOT also incentivizes communities to adopt and implement Complete Streets policies that prioritize the safety of all users in transportation network planning, design, construction, and operations, and encourages applicants to use a Complete Streets design model on roadways where adjacent land use suggests that trips could be served by varied modes. 12 For applicants seeking to use innovative technologies and strategies, the Department’s Innovation Principles serve as a guide to ensure innovations reduce deaths and serious injuries while committing to the highest standards of safety across technologies. 13 This NOFO aligns with and considers Departmental policy priorities that have a nexus to roadway safety and grant funding. Consistent with the Department’s implementation of Executive Order 14008, Tackling the Climate Crisis at Home and Abroad (86 FR 7619), the Department seeks to fund applications that address equity and environmental justice, particularly for communities that have experienced decades of underinvestment and are most impacted by climate change, pollution, and environmental hazards. 14 Additionally, DOT seeks to fund projects that reduce greenhouse gas emissions in the transportation sector, including those that improve safety for low- and zero-emission modes of travel. Applicants should also consider the incorporation of evidence-based 9 FY 2022-2026 USDOT Strategic Plan https://www.transportation.gov/dot-strategic-plan. 10 https://www.transportation.gov/NRSS. 11 https://www.transportation.gov/dot-strategic-plan. 12 More information on Complete Streets can be found at https://highways.dot.gov/complete-streets. 13 https://www.transportation.gov/priorities/innovation/us-dot-innovation-principles. Released January 6, 2022. 14 See the definition of an underserved community, which includes Census tracts identified in the OMB CEJST and DOT ETCE tools.

10 climate resilience measures and features; reduce the lifecycle greenhouse gas emissions from project materials; avoid adverse environmental impacts to air or water quality, wetlands, and endangered species; and address the disproportionate negative environmental impacts of transportation on disadvantaged communities.

Consistent with Executive Order 13985, Advancing Racial Equity and Support for Underserved Communities Through the Federal Government (86 FR 7009), the Department seeks to award funds under the SS4A grant program that will create proportional impacts to all populations in a project area, remove transportation related disparities to all populations in a project area, and increase equitable access to project benefits. An important area for DOT’s focus is the disproportionate, adverse safety impacts that affect certain groups on our roadways, particularly people walking, biking, and rolling in underserved communities. In accordance with the Americans with Disabilities Act of 1990 (ADA), awards focused on infrastructure and demonstration activities must ensure that newly constructed facilities in the public right-of-way are accessible to, and usable by, individuals with disabilities to the extent that it is not structurally impracticable to do so. The ADA also requires that, when an existing facility is altered, the altered facility be made accessible to and usable by individuals with disabilities to the maximum extent feasible (28 CFR 35.151[a] and 35.151[b]). See Section E of this NOFO for climate and equity-related selection criteria and Section F for related award administration requirements.

The Department intends to use the SS4A program to support the creation of good-paying jobs with the free and fair choice to join a union and the incorporation of strong labor standards and training and placement programs, especially registered apprenticeships, in project planning stages, consistent with Executive Order 14025, Worker Organizing and Empowerment (86 FR 22829), and Executive Order 14052, Implementation of the Infrastructure Investment and Jobs Act (86 FR 64335). The Department also intends to use the SS4A program to support wealth creation, consistent with the Department’s Equity Action Plan through the inclusion of local inclusive economic development and entrepreneurship such as the utilization of Disadvantaged Business Enterprises, Minority-owned Businesses, Women-owned Businesses, or 8(a) firms.

B. Federal Award Information

1. Total Funding Available
The BIL established the SS4A program with $5,000,000,000 in advanced appropriations in Division J, including $1,000,000,000 for FY 2023. Additionally, DOT has $177,213,000 in FY 2022 carryover funds set aside for Planning and Demonstration Grants as well as certain eligible safety planning and demonstrative activities that may be included under an Implementation Grant request. Therefore, this Notice makes available up to $1,177,213,000 for FY 2023 grants under the SS4A program. Refer to Section D for greater detail on additional funding considerations and Section D.5 for funding restrictions.

2. Availability of Funds
Grant funding obligation occurs when a selected applicant and DOT enter into a written grant agreement after the applicant has satisfied applicable administrative requirements. Unless authorized by DOT in writing after DOT’s announcement of FY 2023 SS4A grant awards, any costs incurred prior to DOT’s obligation of funds for activities (“pre-award costs”) are ineligible for reimbursement and may not be used as matching funds. All SS4A funds must be expended within five years after the grant agreement is executed and DOT obligates the funds.

3. Award Size and Anticipated Quantity
In FY 2023, DOT expects to award hundreds of Planning and Demonstration Grants and up to one hundred Implementation Grants. The Department reserves the right to make more, or fewer, awards. DOT reserves the discretion to alter minimum and maximum award sizes upon receiving the full pool of applications and assessing the needs of the program in relation to the SS4A grant priorities in Section A.3. Federal funding requests must be made in whole dollar amounts (no cents).

11 iii. Planning and Demonstration Grants
For Planning and Demonstration Grants, award amounts will be based on estimated costs, with an expected minimum of $100,000 and an expected maximum of $10,000,000 for all applicants. The Department expects larger award amounts for a metropolitan planning organization (MPO), an application comprised of a multijurisdictional group of entities that is regional in scope (e.g., a multijurisdictional group of counties, a council of governments and cities within the same region), or those who are conducting activities in a large geographic area. The Department will consider applications with funding requests under the expected minimum award amount. DOT reserves the right to make Planning and Demonstration Grant awards less than the total amount requested by the applicant.

An application that engages multiple jurisdictions in the same region is encouraged in order to ensure collaboration across multiple jurisdictions and leverage the expertise of agencies with established financial relationships with DOT and knowledge of Federal grant administration requirements. For applicants developing a new Action Plan, the application may propose the development of a single Action Plan covering all jurisdictions, several plans for individual jurisdictions, or a system to administer sub-awards to entities within its jurisdiction.

Of the total amount available, DOT anticipates that it will award at least $250 million for demonstration activities that will inform the development of an Action Plan, as described in Section A. iv. Implementation Grants
For Implementation Grants, DOT expects the minimum award will be $2,500,000 and the maximum award will be $25,000,000. DOT reserves the right to make Implementation Grant awards less than the total amount requested by the applicant.

4. Start Dates and Period of Performance
DOT expects to obligate SS4A award funding via a signed grant agreement between the Department and the recipient, as flexibly and expeditiously as possible, within 12 months after awards have been announced.

Applicants who have never received Federal funding from DOT before are encouraged to partner with eligible applicants within the same region, such as an MPO, that have established financial relationships with DOT and knowledge of Federal grant administration requirements. While States are not eligible applicants and cannot be a co-applicant (which includes State Departments of Transportation and similar State-level entities), eligible applicants are encouraged to separately coordinate with States and other entities experienced with administering Federal grants, outside of the SS4A grant award process, to ensure effective administration of a grant award. The expected period of performance for Planning and Demonstration Grant agreements is between 12 months and 5 years, depending on the scope and extent of the grant activities. The period of performance for Planning and Demonstration Grant and Implementation Grant agreements may not exceed five years.

5. Data Collection Requirements
Under BIL, the Department shall post on a publicly available website best practices and lessons learned for preventing roadway fatalities and serious injuries pursuant to strategies or interventions implemented under SS4A.

Additionally, DOT shall evaluate and incorporate, as appropriate, the effectiveness of strategies and interventions implemented under the SS4A grant program. 15 The Department intends to measure safety outcomes through a combination of grant agreement activities and data collections, DOT data collections already underway, and program evaluations separate from the individual grant agreements in accordance with Section F.3.iii. The grant data-collection requirements reflect the need to build evidence of noteworthy strategies and what works. The Department expects to use the data and outcome information collected before and after evaluations. See Section F for more information about post-award reporting requirements. 15 BIL specifically cites Countermeasures That Work: A Highway Safety Countermeasure Guide for State Highway Safety Offices, Ninth Edition or any successor document, but DOT also is to consider applied research focused on infrastructure and operational projects and strategies.

12 C. Eligibility Information

1. Eligible Applicants
Eligible applicants for SS4A grants are:
(1) a metropolitan planning organization (MPO);
(2) a political subdivision of a State or territory;
(3) a federally recognized Tribal government; and
(4) a multijurisdictional group of entities described in any of the aforementioned three types of entities.

A multijurisdictional group of entities described in (4) should identify a lead applicant as the primary point of contact. For the purposes of this NOFO, a political subdivision of a State under (2), above, is defined as a unit of government under the authority of State law. This includes cities, towns, counties, special districts, and similar units of local government. A transit district, authority, or public benefit corporation is eligible if it was created under State law, including transit authorities operated by political subdivisions of a State. States are not eligible applicants, but DOT encourages applicants to coordinate with State entities, as appropriate. Eligible MPOs, transit agencies, and multijurisdictional groups of entities with a regional scope are encouraged to support subdivisions of a State such as cities, towns, and counties with smaller populations within their region. The Department strongly encourages applications that involve multijurisdictional partnerships for Planning and Demonstration Grants and for applicants who have never received Federal funding and can apply with entities experienced in executing DOT grants.

An eligible applicant for an Implementation Grant must also meet at least one of these conditions:
(1) have ownership and/or maintenance responsibilities over a roadway network; (2) have safety responsibilities that affect roadways; or (3) have agreement from the agency that has ownership and/or maintenance responsibilities for the roadway within the applicant’s jurisdiction.

For the purposes of this NOFO, an applicant’s jurisdiction is defined as the U.S. Census tracts where the applicant operates or performs their safety responsibilities.

2. Cost Sharing or Matching
The Federal share of a SS4A grant may not exceed 80 percent of total eligible activity costs. Recipients are required to contribute a local matching share of no less than 20 percent of eligible activity costs. Unless otherwise authorized by statute, all matching funds must be from non-Federal sources. Matching funds may include funding from the applicant, or other eligible non-Federal sources. In accordance with 2 CFR § 200.306, grant recipients may use in-kind or cash contributions toward local match requirements so long as those contributions meet the requirements under 2 CFR § 200.306(b). Any in-kind contributions used to fulfill the cost-share requirement for both Planning and Demonstration Grants and Implementation Grants must:

Be in accordance with the cost principles in 2 CFR § 200 Subpart E; Include documented evidence of completion within the period of performance; and Support the execution of the eligible activities in Section C.4.

SS4A funds will reimburse recipients only after a grant agreement has been executed, allowable expenses are incurred, and valid requests for reimbursement are submitted. Grant agreements are expected to be administered on a reimbursement basis, and at the Department’s discretion alternative funding arrangements may be established on a case-by-case basis.

13 3. Grant Eligibility Requirements
If an applicant is eligible for both a Planning and Demonstration Grant and an Implementation Grant, the applicant may only apply for a Planning and Demonstration Grant or an Implementation Grant, not both. An eligible applicant may only submit one application to the funding opportunity. Implementation Grant applicants may request funds to bundle supplemental planning and demonstration activities as described in Section A.2.i to update an Action Plan, with funds to implement projects and strategies. Planning and Demonstration Grant funding recipients are not precluded from applying for Implementation Grants in future funding rounds. SS4A award recipients from FY 2022 are eligible to apply in FY 2023. i. Planning and Demonstration Grant Eligibility Requirements Eligibility requirements are contingent on whether an applicant is requesting funds to develop a new Action Plan, conduct supplemental planning to update an existing Action Plan, and/or carry out demonstration activities to inform the development of or update to an Action Plan. Any applicant that meets the eligibility requirements may apply for a Planning and Demonstration Grant to develop an Action Plan. Applicants applying to develop an Action Plan may also bundle supplemental planning and demonstration activities into their funding request.

Applicants with an existing Action Plan may also apply to update their Action Plan. The development of an Action Plan must include all relevant road users and be at a broad, systemic geographic level (e.g., the entire eligible applicant’s jurisdiction, and cannot be for a few road segments within a jurisdiction).

If a higher-level jurisdiction (e.g., an MPO or county would be a higher-level jurisdiction for a city or town) has an existing plan in place, or is in the process of completing an Action Plan, an eligible applicant can apply for supplemental planning or demonstration activities without its own plan as long as: 1) the higher-level jurisdiction’s Action Plan’s geographic boundaries covers the eligible applicant’s jurisdiction; 2) the proposed activities are coordinated with the high-level jurisdiction, and the application demonstrates such coordination; and 3) the activities will inform the Action Plan of the higher-level jurisdiction. Duplicative efforts (e.g., requesting funds to develop an Action Plan even though a higher-level jurisdiction already received an FY 2022 award that covers the same area, multiple applicants requesting to carry out the same types of demonstration activities in the same area) will be identified and assessed for merit within the context of other jurisdictions and their planning and demonstration activities. The Department encourages complementary but distinctive activities, including but not limited to demonstration activities that will help inform the development of an Action Plan in an FY 2022 award. ii. Implementation Grant Eligibility Requirements
To apply for an Implementation Grant, the applicant must certify that they have an existing plan that is substantially similar to an Action Plan. The plan or plans must be uploaded as an attachment to the application or provided as web links to publicly available sites. Applicants should use the Self-Certification Eligibility Worksheet to determine eligibility. 16 The existing plan must be focused, at least in part, on the roadway network within the applicant’s jurisdiction. The components required for an existing plan to be substantially similar to an Action Plan may be found in multiple plans. State-level Action Plans (e.g., a Strategic Highway Safety Plan required in 23 U.S.C. § 148, State Highway Safety Plans required in 23 U.S.C. § 402, Commercial Vehicle Safety Plans required in 49 U.S.C. § 31102, etc.) as well as Public Transportation Agency Safety Plans in 49 U.S.C. § 5329 cannot be used as an established plan to apply for an Implementation Grant. If a higher-level jurisdiction (e.g., an MPO, county, etc.) has an existing plan in place that meets the plan eligibility requirements, an eligible applicant covered within the Action Plan’s geographic boundaries could apply without its own plan as long as the other eligibility requirements are met.

Further, Implementation Grant applicants who meet any of the following conditions must update their Action Plan during the execution of a grant agreement to align with all the Comprehensive Safety Action Plan components in Table 1 as a condition to receiving SS4A funds:

Self-Certification Eligibility Worksheet areas that include a “no” response; 16 https://www.transportation.gov/grants/ss4a/self-certification-worksheet.

14 Safety focus in the qualifying Action Plan does not include all road users, including pedestrians, bicyclists, and motor vehicle safety; or
Action Plans last updated more than three years ago (to apply in the first place, applicants must have a plan that was finalized and/or last updated between 2018 and June 2023) Implementation Grant applicants are encouraged to request supplemental planning funding in their application to complete missing components of an existing plan but may choose to complete such activities without Federal funding.

4. Eligible Activities and Costs
i. Eligible Activities
Broadly, eligible activity costs must comply with the cost principles set forth in 2 CFR, Subpart E (i.e., 2 CFR § 200.403 and § 200.405). DOT reserves the right to make cost eligibility determinations on a case-by-case basis.

Eligible activities for grant funding include the following three elements:

A. Developing a comprehensive safety action plan or Action Plan (i.e., the activities in Table 1, as well as the supplemental planning and demonstration activities described in Section A.2); B. Conducting planning, design, and development activities for projects and strategies identified in an Action Plan; and
C. Carrying out projects and strategies identified in an Action Plan.

For Implementation Grants, activities must include element (C) “carrying out projects and strategies identified in an Action Plan,” and may include element (B) “conducting planning, design, and development activities for projects and strategies identified in an Action Plan” and/or element (A) “supplemental planning or demonstration activities.” Projects and strategies identified in element (C) must be either infrastructure, behavioral, or operational activities identified in the Action Plan, and must be directly related to addressing the safety problem(s) identified in the application and Action Plan. Applicants may “bundle” different projects, strategies, supplemental planning, and/or demonstration activities into one Implementation Grant application, even if they address different safety problems or are located in different areas. Examples of eligible Implementation Grant activities are listed on the SS4A website located at https://www.transportation.gov/grants/SS4A. The following activities are not eligible for element (C) “projects and strategies” nor demonstration activity funding:

Projects and strategies whose primary purpose is not roadway safety.

Projects and strategies exclusively focused on non-roadway modes of transportation, including air, rail, marine, and pipeline. Roadway intersections with other modes of transportation (e.g., at-grade highway rail crossings, etc.) are eligible activities.

Capital projects to construct new roadways used for motor vehicles. New roadway facilities exclusively for non-motorists (e.g., a shared use path) is an eligible activity if the primary purpose is safety related.

Infrastructure projects primarily intended to expand capacity to improve Levels of Service for motorists on an existing roadway, such as the creation of additional lanes.

Maintenance activities for an existing roadway primarily to maintain a state of good repair. However, roadway modifications on an existing roadway in support of specific safety-related projects identified in an Action Plan are eligible activities.

Development or implementation of a public transportation agency safety plan (PTASP) required by 49 U.S.C. § 5329. However, a PTASP that identifies and addresses risks to pedestrians, bicyclists, personal conveyance and micromobility users, transit riders, and others may inform Action Plan development.

Projects, strategies, and demonstration activities must have equity—the consistent, fair, just, and impartial treatment of all people—at their foundation. This includes traffic enforcement strategies. As part of the Safe

15 System Approach adopted in the USDOT’s National Roadway Safety Strategy, any activities related to compliance or enforcement efforts to make our roads safer should affirmatively improve equity outcomes as part of a comprehensive approach to achieve zero roadway fatalities and serious injuries. The SS4A program can be used to support safety projects and strategies that address serious safety violations of drivers (e.g., speeding, alcohol and drug-impaired driving, etc.), so long as the proposed strategies are data-driven and demonstrate a process in alignment with goals around community policing and in accordance with Federal civil rights laws and regulations. 17 Funds may not be used, either directly or indirectly, to support or oppose union organizing. ii. Project and Strategy Location
For Implementation Grants, applications must identify the problems to be addressed, the relevant geographic locations (e.g., corridors, intersections, etc.), and the projects and strategies they plan to implement based on their Action Plan or established plan. This should include specific intervention types, address common safety risk characteristics, and be located on the Action Plan’s High-Injury Network to the extent practicable. To provide flexibility in the implementation of projects and strategies that involve systemic safety strategies or bundling of similar countermeasures, an applicant may wait to finalize site locations as part of executing the grant agreement, if necessary, upon approval of the Department, and as long as the identified site locations are primarily on the HighInjury Network and designs remain consistent with the intent of the award.

D. Application and Submission Information

1. Address to Request Application Package
All grant application materials can be accessed at grants.gov under opportunity number DOT-SS4A-FY23-01.

Applicants must submit their applications via Valid Eval at https://usg.valideval.com/teams/usdot_ss4a_2023_implementation/signup for Implementation Grant applicants, and https://usg.valideval.com/teams/usdot_ss4a_2023_planning_demo/signup for Planning and Demonstration Grants under the Notice of Funding Opportunity Number cited herein. Potential applicants may also request paper copies of materials at:

Telephone: 202-366-4114
Mail: U.S. Department of Transportation
1200 New Jersey Avenue SE
W84-322
Washington, DC 20590

2. Content and Form of Application Submission
The Planning and Demonstration Grant, and the Implementation Grant, respectively, have different application submission and supporting document requirements.
i. Planning and Demonstration Grant Application Submissions The application must include the following: Standard Forms (SF); Key Information Questions; Project Narrative and Summary Budget Narrative. This information must be submitted via Valid Eval at https://usg.valideval.com/teams/usdot_ss4a_2023_planning_demo/signup. More detailed information about each application material is provided below. The necessary file formats for each application component will be displayed on the Valid Eval intake site.

Standard forms: All applicants must submit the following Standard Forms: Application for Federal Assistance (SF-424), Budget Information for Non-Construction Programs (SF-424A), Assurances for NonConstruction Programs (SF-424B), and Disclosure of Lobbying Activities (SF-LLL). 17 For one such example, see https://cops.usdoj.gov/RIC/Publications/cops-p157-pub.pdf.

16 Key Information Questions: Below is a preview list of the questions that are asked on USDOT’s automated proposal website at https://usg.valideval.com/teams/usdot_ss4a_2023_planning_demo/signup.

After registering in the system, the applicant will be prompted to answer these questions on the website.

Table 2: Example Planning and Demonstration Application Key Information Table Title Instructions
Lead Applicant Name This should be consistent with Q. 8.a. of the SF424.

Lead Applicant Unique Entity Identifier (UEI) See Section D.3 below for more information about obtaining a UEI from SAM.gov.

Eligible Entity Type See Section C.1.

Do you have additional applicants as part of a
multijurisdictional group of eligible entities?
List of additional applicants.

Total Applicant Jurisdiction Population 2020 U.S. Census American Community Survey.

Total Applicant Jurisdiction Applicant Census
Tract(s)
List of all Census tracts covered by the
jurisdiction.

Census Tract(s) of any pilot or demonstration
projects (if applicable)
Census tracts where pilot or demonstration projects
would take place.

Total Count Motor Vehicle-Involved Roadway
Fatalities that includes the last five years of data
made available in the Fatality Analysis Reporting
System (FARS) during the NOFO period
From the Fatality Analysis Reporting System
(FARS) for the applicant jurisdiction. Use 2016-
2020 data; or if available, 2017-2021 data.

NOTE: The 2021 FARS data is expected to be
released early in the NOFO period.

Total Average Annual Fatality Rate (per 100,000
population
The fatality rate calculated using the 5-year annual
average from the total count of fatalities based on
FARS data, divided by the population of the
applicant’s jurisdiction based on 2020 U.S. Census
ACS population data.

Total Percent of Population in Underserved
Communities Census Tract(s)
The population in underserved communities should
be a percentage obtained by dividing the
population living in Census tracts with an
Underserved Community designation divided by
the total population living in the jurisdiction.

Project Title A concise, descriptive title for the project. This should be the same title used in the SF-424 form
and the application narrative.

Application Type (select all that apply) Develop a new Action Plan; Conduct Supplemental Planning to update an
Action Plan;
Demonstration Activities to inform development of
an Action Plan.

Description of Supplemental Planning and
Demonstration Activities (if relevant)
See Section A.2.i.

Total Federal Funding Request Must be a whole number (no cents).

Total Local share/Match Must be equal to, or greater than, 20% of total project cost.

Total Project Cost Sum of Total Federal Funding Request and Total Local share/Match.

17 Title Instructions
Regional Coordination Questions on your application in relation to overlapping jurisdictions that received an award in
FY 2022 or are applying for a grant in FY 2023.

Narrative: In narrative form, the applicant must respond to the Planning and Demonstration Grant selection criteria described in Section E.1.i to affirm its alignment with SS4A safety considerations and address the criteria. The narrative must be no longer than 2 pages.

For applicants requesting funding for demonstration activities to inform an Action Plan: you must provide a brief schedule showing when the activities will be in place (e.g., hardware installed, when the pilot would begin, etc.), and the start/end dates of the work. If anticipated to be a schedule constraint, applicants should include in the narrative any potential timeline implications of meetings administration requirements in Section F such as domestic preference and any required waivers, the National Environmental Policy Act requirements, as well as any applicable permitting and approval timeframes.

Self-Certification Eligibility Worksheet: If only applying for supplement planning and/or demonstration activities that will inform the update of an existing plan, applications must either demonstrate their existing plan is eligible by attaching the filled out Self-Certification Eligibility Worksheet, or be in the process of developing a comprehensive safety action plan. If applying to develop a new Action Plan, applicants do not need to include the worksheet even if supplemental planning and/or demonstration activities are included.

Map: The applicant must submit a map in a PDF format that shows the location of the jurisdiction and highlights the roadway network under the applicant’s jurisdiction.

Budget: Applicants are required to provide a brief budget summary and a high-level overview of estimated activity costs, as organized by all major cost elements. Funding sources should be grouped into two categories: Federal Funding share, and non-Federal share funds. The costs or value of in-kind match should also be provided. This budget shall not include any previously incurred expenses, or costs to be incurred before the time of award. DOT requires applicants use SF-424A to provide this information. Additionally, applicants must summarize the amount of funding going towards the three eligible activities for a Planning and Demonstration Grant (developing a new Action Plan, conducting supplemental planning to update an existing plan, and carrying out demonstration activities to inform the development or update of an Action Plan).
ii. Implementation Grant Application Submissions
The application must include the following: Standard Forms (SF); Key Information Questions; Project Narrative and Summary Budget Narrative. This information must be submitted via Valid Eval at https://usg.valideval.com/teams/usdot_ss4a_2023_implementation/signup. More detailed information about each application material is provided below. The necessary file formats for each application component will be displayed on the Valid Eval intake site.

Standard forms: All applicants must submit the following Standard Forms: Application for Federal Assistance (SF-424), Budget Information for Construction Programs (SF-424C), Assurances for Construction Programs (SF-424D), and Disclosure of Lobbying Activities (SF-LLL).

Key Information Questions: This is a preview list of the questions that are asked on USDOT’s automated proposal website at https://usg.valideval.com/teams/usdot_ss4a_2023_implementation/signup. After registering in the system, the applicant will be prompted to answer these questions on the website.

18 Table 3: Example Implementation Grant Application Key Information Table Title Instructions
Lead Applicant Name This should be consistent with Q. 8.a. of the SF424.

Lead Applicant Unique Entity Identifier (UEI) See Section D.3 below for more information about obtaining a UEI from SAM.gov. 18
Eligible Entity Type See Section C.1.

Do you have additional applicants as part of a
multijurisdictional group of eligible entities?
List of additional applicants.

Total Applicant Jurisdiction Population 2020 U.S. Census American Community Survey.

Total Applicant Jurisdiction Applicant Census
Tract(s)
List of all Census tracts covered by the
jurisdiction.

Total Applicant Jurisdiction Count of Motor
Vehicle-Involved Roadway Fatalities that includes
the last five years of data made available in FARS
during the NOFO period
From the Fatality Analysis Reporting System
(FARS) for the applicant jurisdiction. Use 2016-
2020 data; or if available, 2017-2021 data.

NOTE: The 2021 FARS data is expected to be
released early in the NOFO period.

Total Jurisdiction Average Annual Fatality Rate
(per 100,000 population)
The fatality rate calculated using the 5-year annual
average from the total count of fatalities based on
FARS data, divided by the population of the
applicant’s jurisdiction based on 2020 U.S. Census
ACS population data.

Census Tract(s) of the project(s) Census tract(s) where project(s) would take place.

Specific project location(s) Names of corridors or intersections, latitude/longitude coordinates, or other description
of project limits.

Percent of Population in Underserved
Communities in the project area Census Tract(s)
The population in underserved communities should
be a percentage obtained by dividing the
population living in Census tracts with an
Underserved Community designation divided by
the total population living in the jurisdiction.

Project Area Fatalities 2017-2021 Count of fatalities in the project area(s). May use source other than FARS.

Project Area Serious Injuries 2017-2021 OR
Project Area Injuries Severity Unknown 2017-
2021
Count of serious injuries in the project area(s).

Applicants without reliable serious injury data may
use suspected serious injury figures. Please cite
source.

Project Title A concise, descriptive title for the project. This should be the same title used in the SF-424 form
and the application narrative.

Project Goals One sentence summary of the safety problem(s) this project will address.
18 https://sam.gov/content/home

19 Title Instructions
Applicant roadway safety responsibility (select all
that apply):

Ownership and/or maintenance
responsibilities over a roadway network;
Safety responsibilities that affect
roadways;
Have an agreement from the agency that
has ownership and/or maintenance
responsibilities for the roadway within the
applicant’s jurisdiction
Primary project purpose (select one) Infrastructure Projects and Strategies Behavioral Project and Strategies
Operational or Technology Projects and
Strategies
Roadway users that this project will significantly
benefit (check all that apply)
Pedestrians
Bicyclists
Micromobility Users (e.g., scooters, etc.)
Transit Users
Commercial Motor Vehicles
Motorists
Emergency Medical Services
Other (please specify)
Does this project include major construction,
minor construction, or both?
Major construction projects
Minor construction projects
Neither major nor minor constructions
projects
Does your project include Demonstration
Activities?
See Section A.2.i.

Would you consider accepting funding for only
demonstration activities and/or supplemental
planning?
Yes, no, n/a.

Total Federal Funding Request Must be a whole number (no cents).

Total Local share/Match Must be equal to, or greater than, 20% of total project cost.

Total Project cost Sum of Total Federal Funding Request and Total Local share/Match.

Total Federal Funds Allocated to Underserved
Communities
Funds to be spent in Census tracts identified as
underserved through the DOT Equitable
Transportation Community Explorer tool.

Supplemental Planning Activities (A) Federal
Funding Request
Supplemental Planning Activities (A) Total
Project Costs
Planning, Design, and Development Activities for
Projects/Strategies (B) Federal Funding Request
Planning, Design, and Development Activities for
Projects/Strategies (B) Total Project Costs
Carrying Out Projects and Strategies (C) Federal
Funding Request

20 Title Instructions
Carrying Out Projects and Strategies (C) Total
Project Costs
Existing Comprehensive Safety Action Plan (or
equivalent)
Link to or attachment,
a) Narrative
The Department recommends that the narrative follows the outline below to address the program requirements and assist evaluators in locating relevant information. The narrative may not exceed 12 pages in length, excluding cover pages and the table of contents. The Self-Certification Eligibility Worksheet and Budget sections do not count towards the 12-page limit. Appendices may include documents supporting assertions or conclusions made in the 12-page narrative and also do not count towards the 12-page limit. If possible, website links to supporting documentation should be provided rather than copies of these supporting materials. If supporting documents are submitted, applicants should clearly identify within the narrative the relevance of each supporting document.

Letters of support will only be considered if they are submitted with the application as one consolidated set of support letters in one supporting attachment.

I. Overview See D.2.ii.a.I
II. Location See D.2.ii.a.II
III. Response to Selection Criteria See D.2.ii.a.III and Section E.1.ii IV. Project Readiness See D.2.ii.a.IV
I. Overview
This section should provide an introduction, describe the safety context, jurisdiction, and any high-level background information that would be useful to understand the rest of the application.

II. Location
This section of the application should describe the jurisdiction’s location, the jurisdiction’s High-Injury Network or equivalent geospatial identification (geographic or locational data using maps) of higher risk locations, and potential locations and corridors of the projects and strategies. Note that the applicant is not required to provide exact locations for each project or strategy; rather, the application should identify which geographic locations are under consideration for projects and strategies to be implemented and what analysis will be used in a final determination.

III. Response to Selection Criteria
This section should respond to the criteria for evaluation and selection in Section E.1.ii of this Notice and include a compelling narrative to highlight how the application aligns with criteria #1 Safety Impact; #2 Equity, Engagement, and Collaboration; #3 Effective Practices and Strategies; #4 Other DOT Strategic Goals; #5 Additional Safety Context (only if applying for supplemental planning and/or demonstration activities).

Note, criterion #1 Safety Impact assesses “implementation cost” information, which will be described in SF-424C, Budget of the narrative, and the Key Information Table. The Federal funding requested per person(s) killed or seriously injured from 2017-2021 in the Key Information Table should be itemized by separating different locations and/or different sets of proposed projects and strategies that address a similar safety problem and match the itemization in the Budget.

The applicant must respond to each of the four criteria 1-4 and respond to criterion #5 if applying for supplemental planning and/or demonstration activities. Applicants are not required to follow a specific narrative format, but the

21 structure should clearly identify the narrative associated with each selection criterion. To the extent practical, DOT encourages applicants to incorporate existing content from their Action Plan/established plan(s).

IV. Project Readiness
The applicant must provide information to demonstrate the applicant’s ability to substantially execute and complete the full scope of work in the application proposal within five years of when the grant is executed, with a particular focus on design and construction, as well as environmental, permitting, and approval processes.

Applicants should indicate if they will be seeking permission to use roadway design standards that are different from those generally applied by the State in which the project is located. As part of this portion of the narrative, the applicant must include a detailed activity schedule that identifies all major project and strategy milestones.

Examples of such milestones include State and local planning approvals; start and completion of National Environmental Policy Act (NEPA) and other Federal environmental reviews and approvals including permitting; design completion; right of way acquisition; approval of plans, specifications, and estimates; procurement; State and local approvals; public involvement; partnership and implementation agreements; and construction.

Environmental review documentation should describe in detail known project impacts, and possible mitigation for those impacts. When a project results in impacts, an award recipient must take steps to engage the public. At a minimum, the project readiness narrative and detailed project activity schedule must include the applicability and disposition of: NEPA and Federal environment reviews and approvals; utility relocation; and right-of-way acquisition. For additional guidance and resources, visit https://www.transportation.gov/grants/SS4A. b) Self-Certification Eligibility Worksheet Attach a completed Self-Certification Eligibility Worksheet. c) Budget This section of the application should describe the budget for the SS4A proposal. Applicants are required to provide a brief budget summary and provide a high-level overview of estimated activity costs, as organized by all major cost elements. The budget shall provide itemized estimates of the costs by separating different locations and/or different sets of proposed projects and strategies that address a similar safety problem, and then providing additional details about those from the itemized list at the component level. This information should include capital costs for infrastructure safety improvements and costs associated with behavioral and operational safety projects and strategies. The section should also distinguish between the three eligible activity areas: (A) supplemental planning and demonstration activities in support of an existing Action Plan; (B) conducting planning, design, and development activities for projects and strategies identified in an Action Plan; and (C) carrying out projects and strategies identified in an Action Plan.

Funding sources should be grouped into two categories: SS4A funding Federal share, and non-Federal share funds.

Estimated costs or value of in-kind matches should also be provided. The budget should show how each source of funds will be spent. This budget should not include any previously incurred expenses, or costs to be incurred before the time of award and obligation because these expenses are not eligible for reimbursement or cost-sharing.

DOT requires applicants use form SF-424C, and the applicant must also provide the information in Table 4 below.

Table 4: Supplemental Estimated Budget
Activities
Federal Funding
Request Total Project Cost
Federal Funds to
Underserved
Communities
Itemized Estimated Costs of the (A) supplemental action plan activities Item #1 $0.00 $0.00
Item #2 $0.00 $0.00

22 Activities
Federal Funding
Request Total Project Cost
Federal Funds to
Underserved
Communities
Subtotal Budget for (A)
supplemental action plan
activities $0.00 $0.00 $0.00
Itemized Estimated Costs of the (B) planning, design, and development activities Location or Project #1 $0.00 $0.00 $0.00
Individual Component
for #1 $0.00 $0.00
Individual Component
for #1 $0.00 $0.00
Location or Project #2 $0.00 $0.00 $0.00
Individual Component
for #2 $0.00 $0.00
Individual Component
for #2 $0.00 $0.00
Subtotal Budget for (B)
conducting planning, design,
and development activities $0.00 $0.00 $0.00
Itemized Estimated Costs of the (C) proposed projects and strategies Location or Project #1 $0.00 $0.00 $0.00
Individual Component
for #1 $0.00 $0.00
Individual Component
for #1 $0.00 $0.00
Location or Project #2 $0.00 $0.00 $0.00
Individual Component
for #2 $0.00 $0.00
Individual Component
for #2 $0.00 $0.00
Subtotal Budget for (C)
carrying out projects and
strategies $0.00 $0.00 $0.00

3. Unique Entity Identifier and System for Award Management (SAM) Each applicant is required to: (i) be registered in SAM (https://sam.gov/content/home) before submitting its application; (ii) provide a valid unique entity identifier in its application; and (iii) 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. DOT may not make a Federal award to an applicant until the applicant has complied with all applicable unique entity identifier and SAM requirements and, if an applicant has not fully complied with the requirements by the time DOT is ready to make an award, DOT may

23 determine that the applicant is not qualified to receive an award and use that determination as a basis for making an award to another applicant.

4. Submission Dates and Times
Applications must be submitted by 5:00 PM EDT on Monday, July 10, 2023. Late applications will not be accepted.

5. Funding Restrictions
Per BIL requirements, not more than 15 percent of the $1 billion in FY 2023 funds made available to carry out the SS4A program may be awarded to eligible applicants in a single State. 19 In addition, 40 percent of the total funds made available in FY 2023 and all $177 million of the funds carried over from FY 2022 must be awarded for developing an Action Plan, including supplemental planning to update an existing Action Plan, or demonstration activities to inform the development of or update an Action Plan (total $577 million). Due in part to these restrictions, in FY 2022, nearly all the eligible applicants requesting funds for Action Plan development were awarded, while less than 20 percent of Implementation Grant applications were awarded.

6. Other Submission Requirements
The format of the Section D.2 application submission should be in PDF format, with font size no less than 12-point Times New Roman, margins a minimum of 1 inch on all sides, and include page numbers. The necessary file formats for each application component will be displayed on the Valid Eval intake site.

The complete application must be submitted via Valid Eval, an online submission proposal system used by USDOT at https://usg.valideval.com/teams/usdot_ss4a_2023_implementation/signup for Implementation Grant applicants, and https://usg.valideval.com/teams/usdot_ss4a_2023_planning_demo/signup for Planning and Demonstration Grant applicants.

E. Application Review Information

1. Selection Criteria
This section specifies the criteria DOT will use to evaluate and select applications for SS4A grant awards. The Department will review merit criteria for all complete applications from eligible applicants. Planning and Demonstration Grants, and Implementation Grants, respectively, each have their own set of application review and selection criteria.
i. Planning and Demonstration Grant Selection Criteria
For Planning and Demonstration Grants, the Department will use three evaluation criteria. The Department will evaluate quantitative data in two selection criteria areas: #1 Safety Impact; and #2 Equity. The Department will also assess the narrative for #3 Additional Safety Context. Costs will also be considered.

The activities are in jurisdictions that will likely support a significant reduction or elimination of roadway fatalities and serious injuries involving various road users, including pedestrians, bicyclists, public transportation users, personal conveyance and micromobility users, motorists, and commercial operators, within the timeframe proposed by the applicant. The Department will assess safety impact using two quantitative ratings: 19 Funding for Tribal lands will be treated as their own State and will not count toward a State’s 15% limit.

24 The count of roadway fatalities from the most recent set of 5-year data 20 based on DOT’s FARS data, an alternative traffic crash dataset, or a comparable data set with roadway fatality information. 21 The fatality rate, which is calculated using 5-year annual average from the total count of fatalities (based on FARS data or an alternative traffic crash dataset) divided by the 2020 population of the applicant’s jurisdiction based on 2020 ACS population data from the U.S. Census. The rate should be normalized per 100,000 persons.

The activities will ensure equitable investment in the safety needs of underserved communities in preventing roadway fatalities and injuries, including rural communities. The Department will assess the equity criterion using one quantitative rating:

The percentage of the population in the applicant’s jurisdiction that resides in an Underserved Community Census tract. 22 Population of a Census tract, either a tract that is Underserved Community or not, must be based on 2020 ACS population data from the U.S. Census.

The applicant must address these considerations in narrative form. The Department will assess whether the applicant has: described the scope of work to be performed; the roadway safety issues that necessitate further Action Plan development, supplemental planning, and /or demonstration activities, as applicable; and how the funded activities will inform an Action Plan and support the identification of projects and strategies that will:

Lead to a significant reduction or elimination of roadway fatalities and serious injuries involving various road users;
Employ low-cost, high-impact strategies that can improve safety over a wider geographical area; Involve engaging with a variety of public and private stakeholders; Adopt innovative technologies to promote safety and equity; and Be evidence-based or build evidence around what works.

Applicants applying to carry out demonstration activities to inform the development of an Action Plan will also be assessed as to whether their approach to measuring the potential benefits of the demonstration activities through data collection and evaluation are described, and the extent to which the activities will be set up (e.g., quick builds on the roadway, pilot project established) within 18 months of executing a grant agreement.

The Department will assess the extent to which the budget and costs to perform the activities required to execute the Planning and Demonstration Grant are reasonable, necessary, and allocable based on 2 CFR § 200.404 and 405, and the extent to which the application delineates the breakdown of Federal funds requested between developing an Action Plan, conducting supplemental planning to update an existing plan, and/or carrying out demonstration activities to inform the development or update of an Action Plan. ii. Implementation Grant Selection Criteria
Implementation Grants have five merit criteria: #1 Safety Impact; #2 Equity, Engagement, and Collaboration; #3 Effective Practices and Strategies; #4 Other DOT Strategic Goals; and #5 Supplemental Planning and Demonstration Activities. DOT will only evaluate selection criterion #5 Supplemental Planning and Demonstration 20 At the time of NOFO publication this would be 2016-2020 data; however, the 2021 data is expected to be released early in the NOFO period. 21 https://cdan.dot.gov/query 22 https://experience.arcgis.com/experience/0920984aa80a4362b8778d779b090723/page/Applicant-Explorer/

25 Activities for Implementation Grant applicants requesting funds to conduct supplemental planning and/or carry out demonstration activities. Two considerations will also be used in the selection process: Project Readiness, and Additional Considerations. The response to each criterion, to the extent practicable, should be aligned with the applicant’s Action Plan. Below describes the specific content the applicant should respond to for each of these criteria.

DOT will assess whether the proposal is likely to: significantly reduce or eliminate roadway fatalities and serious injuries; employ low-cost, high-impact strategies over a wide geographic area; and include evidence-based projects and strategies. Safety impact is the most important criterion and will be weighed more heavily in the review and selection process. The Department will assess the applicant’s description of the safety problem, safety impact assessment, and costs as part of the Safety Impact criterion:

Description of the safety problem. DOT will assess the extent to which:
o The safety problem to be addressed is described, including historical trends, fatal and serious injury crash locations, contributing factors, and crash types by category of road user. o Crashes and/or crash risk are displayed in a High-Injury Network, hot spot analysis, or similar geospatial risk visualization.
o Project and strategy locations are described in relation to the High-Injury Network and geospatial information.
o Safety risk is summarized from risk models, hazard analysis, the identification of high-risk roadway features, road safety audits/assessments, near miss data, and/or other proactive safety analyses.

Safety impact assessment. DOT will assess the extent to which projects and strategies:
o Align with and comprehensively address the identified safety problems. o Are primarily on a High-Injury Network or address high-risk roadway features correlated with severe crash types.
o Significantly reduce or eliminate roadway fatalities and serious injuries involving various road users. o Use low-cost, high-impact strategies and projects over a wide geographical area. o Use evidence-based, Proven Safety Countermeasures or other effective safety countermeasures to significantly improve existing roadways. 23 o Use evidence-based Countermeasures that Work with four or five stars to address persistent behavioral safety issues and consider equity in their implementation. 24 o Measure safety impact through models, studies, reports, proven noteworthy practices, Crash Modification Factors (CMF), and other information on project and strategy effectiveness. o Will have safety benefits that persist over time. 25 Implementation Costs. DOT will assess the extent to which the projects and strategies:
o Are itemized and summarized in a logical manner, including capital costs for infrastructure, behavioral, and operational safety improvements.
23 https://safety.fhwa.dot.gov/provencountermeasures/ 24 https://www.nhtsa.gov/sites/nhtsa.gov/files/2021-09/Countermeasures-10th_080621_v5_tag.pdf 25 https://highways.dot.gov/safety/data-analysis-tools

26 o Fund locations with past traffic fatalities and serious injuries and is expected to prevent fatalities and serious injuries per funds requested. Injuries will be weighted and combined with fatalities to assess this figure in relation to the Federal funding request. 26 This criterion supports the legislative requirements to assess the extent to which the application ensures the equitable investment in the safety needs of underserved communities and demonstrates engagement with a variety of public and private stakeholders. The response to this criterion should focus on equity, engagement, and collaboration in relation to the implementation of the projects and strategies. DOT will assess the extent to which projects and strategies:

Ensure equitable investment in underserved communities in preventing roadway fatalities and serious injuries, including rural communities.

Are designed to decrease existing disparities identified through equity analysis.

Consider key population groups (e.g., people in underserved communities, children, seniors, Black, Latino, Indigenous and Native Americans, Asian Americans and Pacific Islanders, other persons of color, persons with disabilities, persons who live in rural areas, and persons otherwise adversely affected by persistent poverty or inequality) to ensure the impact to these groups is understood and addressed.

Include equity analysis, both quantitative and qualitative, and stakeholder engagement in underserved communities as part of the development and implementation process. 27 Include meaningful engagement with the public, including public involvement for underserved communities, community benefit agreements, and relevant stakeholders such as private sector and community groups, as part of implementation.

Leverage partnerships within their jurisdiction, with other government entities, non-governmental organizations, the private sector, academic institutions, and/or other relevant stakeholders to achieve safety benefits while preventing unintended consequences for persons living in the jurisdiction.

Inform representatives from areas impacted on implementation progress and meaningfully engage over time to evaluate the impact of projects and strategies on persons living in the jurisdiction.

Align with the equity analysis performed as part of the development of an existing Action Plan.

DOT will assess the extent to which the applicant demonstrates how it applies policies, guidelines, standards, and practices to promote systemic safety improvements. DOT will assess the extent to which the projects and strategies reflect effective safety practices that:

Demonstrate how updated policies, guidelines, and standards improve safety decision making.

Are supported by an existing Complete Streets Policy that prioritizes safety in standard agency procedures and guidance, or other roadway safety policies that have eliminated barriers to prioritizing the safety of all users.

Incorporate practices that promote efficiency within the planning and road management lifecycle (e.g., dig once, etc.).

Consider the impacts of land use and the built environment to promote transportation efficient design. 26 The weighting will use the Benefit Cost Analysis Guidance 2023 Update:
https://www.transportation.gov/sites/dot.gov/files/2023- 01/Benefit%20Cost%20Analysis%20Guidance%202023%20Update.pdf. One fatality equals 20.9 serious injuries, or 55.2 injured severity unknowns. 27 See Table 1 under “Equity Considerations” for what equity analysis entails.

27 Leverage a Safe System Approach that uses multiple activities and interventions to address safety problems.

Encompass at least three of the five Safe System Approach elements in the National Roadway Safety Strategy (Safer People, Safer Roads, Safer Speeds, Safer Vehicles, and Post-Crash Care) to address the identified safety problem.

Include a mix of infrastructure, behavioral, operational, and/or post-crash safety activities.

Involve widely implemented improvements based on high-risk roadway features correlated with particularly severe crash types, including design features that reinforce appropriate motor vehicle speeds.

Incorporate technologies that promote safety and/or equity.

Improve safety for all road users along a roadway by providing accessible facilities (e.g., Public-Rights-ofWay Accessibility Guidelines [PROWAG]) and correcting barriers to individuals with disabilities. 28 Improve multimodal networks for people outside of a motor vehicle, including people who are walking, biking, rolling, public transit users, and have disabilities.

This program's focus on equity and safety is also advanced by considerations of how applications address climate and sustainability considerations, as well as whether applications support economic competitiveness. DOT will assess the extent to which the projects and strategies use safety strategies to support the Departmental strategic goals of climate change, sustainability, workforce, and economic competitiveness, and the extent to which the proposal is expected to:

Climate and Sustainability
Reduce motor vehicle-related pollution such as air pollution and greenhouse gas emissions.

Increase safety of lower-carbon travel modes such as public transit, micromobility and active transportation (e.g., people biking and walking).

Improve multimodal transportation systems that incorporate affordable transportation options such as public transit, micromobility, and active transportation such as walking and biking to transit stops and stations.

Reduce the lifecycle greenhouse gas emissions from the project materials such as the use of lower-carbon pavement and construction materials.

Support fiscally responsible land use and transportation efficient design that reduces greenhouse gas emissions through land use and zoning reform, rural main street revitalization, growth management, and equitable transit-oriented development.

Includes evidence-based climate resilience measures or features such as enhanced storm water management practices, upgrading infrastructure using the Federal Flood Risk Management Standard, and nature-based solutions that improve the built and/or natural environment.

Economic Competitiveness
Lead to increased economic or business activity due to enhanced safety features for all road users.

Increase mobility and expand connectivity for all road users to critical community services such as education and healthcare, jobs, and business opportunities, especially for people in underserved communities.

Address the unique challenges rural and Tribal communities face related to mobility and economic development, including isolation and transportation cost burden. 28 https://www.access-board.gov/prowag/

28 Workforce
For skilled construction labor needed on the project, incorporate strong labor standards (e.g., wages and benefits at or above prevailing; use of project labor agreements, registered apprenticeship programs).

For non-construction work on the project, commit to supporting training opportunities as part of the project, including pre-apprenticeship or apprenticeship readiness programs and youth service, with a description of how training and job opportunities on the project will lead into registered apprenticeship or good-paying jobs.

Track and publish aggregate workforce data, including information on demonstrating that employment opportunities are available to historically underserved workers in the community.

Include Local inclusive economic development and entrepreneurship such as utilization of Disadvantaged Business Enterprises, Minority-owned Businesses, Women-owned businesses, or 8(a) firms.

Implementation Grant applicants should only respond to this selection criterion if supplemental planning and/or demonstration activities are included in the application. DOT will assess whether the applicant has described the scope of supplemental planning or demonstration work to be performed; the roadway safety issues that necessitate further Action Plan development, including supplemental planning, and /or demonstration activities, as applicable; and how the funded activities will inform an Action Plan and support the identification of projects and strategies that will:

Lead to a significant reduction or elimination of roadway fatalities and serious injuries involving various road users;
Employ low-cost, high-impact strategies that can improve safety over a wider geographical area; Involve engaging with a variety of public and private stakeholders; Adopt innovative technologies to promote safety and equity; and Be evidence-based or build evidence around what works.

Applicants applying to carry out demonstration activities will also be assessed as to whether their approach to measuring the potential benefits of the demonstration activities through data collection and evaluation are described, and the extent to which the activities will be set up (e.g., quick builds on the roadway, pilot project established) within 18 months of executing a grant agreement.

Applications will be reviewed for Project Readiness, which will be a consideration for application selection.

Project Readiness focuses on the extent to which the applicant will be able to substantially execute and complete the full scope of work in the Implementation Grant application within five (5) years of when the grant is executed.

This includes information related to required design and construction standards, as well as environmental, permitting, and approval processes. DOT will evaluate the extent to which the application:

Documents all applicable local, State, and Federal requirements.

Includes information on activity schedule, required permits and approvals, the National Environmental Policy Act (NEPA) class of action and status, State Transportation Improvement Program (STIP) and Transportation Improvement Program (TIP) status (if applicable), public involvement, right-of-way acquisition plans, procurement schedules, multi-party agreements, utility relocation plans and risk and mitigation strategies, as appropriate.

Is reasonably expected to begin any construction-related projects in a timely manner consistent with all applicable local, State, and Federal requirements.

29 The Department may consider the following when SS4A Implementation Grant awards:

The percentage of Implementation Grant funds that will be spent in, and provide safety benefits to, locations in Census tracts designated as underserved communities as defined by this NOFO. 29 Whether the applicant is in a rural area.

Whether the applicant is identified as a priority community within the federal Thriving Communities Network. 30
Whether the applicant would enhance the geographic diversity of Implementation Grant award recipients.

Federal funding requests under $10 million.

2. Review and Selection Process
This section addresses the BIL requirement to describe the methodology for evaluation in the NOFO, including how applications will be rated according to selection criteria and considerations, and how those criteria and considerations will be used to assign an overall rating. The SS4A grant program review and selection process consists of eligibility reviews, merit criteria review, and Senior Review. The Secretary makes the final selections.

Among well-rated applicants, the Secretary may prioritize applicants and jurisdictions that did not receive an SS4A grant in FY 2022 over applicants that did receive an FY 2022 award. The Secretary may also prioritize applications that will use demonstration activities or supplemental planning as part of the development of, or update to, an Action Plan.
i. Planning and Demonstration Grant Review and Selection Process a) Overall Selection Process and Ratings
The process for the application review is described below:

Teams of Department and contractor support staff will review all applications to determine eligibility based on the eligibility information in Section C.

Eligible Action Plan applications received by the deadline will be reviewed for their merit based on the selection criteria in Section E.1.i.

If multiple applications are received from the same applicant, the last one submitted will be reviewed.

Applications are rated numerically based on Merit Criteria #1 Safety Impact and #2 Equity Criteria.

The #3 Additional Safety Context criterion narrative will be reviewed and assessed, and then receive a rating of “High,” “Medium,” “Low,” or “Not Qualified.” Applications that do not address the #3 Additional Safety Context are deemed “not qualified” and will not be considered for award.

The Teams will note which of the three Planning and Demonstration Grant activities—develop a new Action Plan, conduct supplemental planning to update an existing plan, and carry out demonstration activities to inform the development or update of an Action Plan—are requested in an application.

In order to ensure that final selections will meet the statutory requirement that no more than 15 percent of program funds may be awarded to eligible applicants in one State, applications will have their State location denoted. Awards to Federally recognized Tribal governments are not counted towards this 15 percent maximum. 29 See the definition of an underserved community, which includes Census tracts identified in the OMB CEJST and DOT ETCE tools. 30 Thriving Community Networks include the Rural Partner Network, Energy Communities, or DOT Thriving Communities Initiative

30 The Teams will examine the locations of the applicants to identify if an applicant is requesting funds in a geographic area that received an Action Plan Grant in FY 2022, as well as any potential overlap in geographic boundaries in funding requests for FY 2023. DOT will assess the extent to which the application is duplicative of existing or proposed activities and reserves the right to request applicants with duplicative funding requests to consolidate their efforts as one multijurisdictional group prior to receiving an award. DOT may decline to fund duplicative applications irrespective of their individual merits. b) Additional Safety Context Criterion Rating Methodology For the #3 Additional Safety Context, the Department will assess the narrative’s alignment to the selection criterion, and will determine a rating of “high,” “medium,” “low,” or “non-responsive.” High Medium Low Non-Responsive
Rating
Scale
The application is
very responsive to
the criteria and is
expected to advance
safety planning. The
narrative has clear
descriptions of the
work scope and the
roadway safety
problem to be
addressed. The
proposed approach
will strongly inform
an Action Plan.

For demonstration
activities only: The
activities are likely to
be put in place within
18 months. The
narrative clearly
describes how the
activities will be
measured and
evaluated.

The application is
responsive to the
criteria and is
performing safety
planning activities.

The narrative has
descriptions of the
work scope and the
roadway safety
problem to be
addressed. The
proposed approach
will inform an Action
Plan.

For demonstration
activities only: The
activities have a
possibility of being
put in place within 18
months. The narrative
describes how the
activities will be
measured and
evaluated.

The application is
minimally responsive
to the criteria. The
proposed approach is
weakly tied to an
Action Plan.

For demonstration
activities only: It is
unclear if the
activities will be put
in place within 18
months. The narrative
provides minimal
detail on how the
activities will be
measured and
evaluated.

The narrative
indicates the proposal
is counter to the
criteria, does not
contain sufficient
information, or is not
connected to an
Action Plan.

For demonstration
activities only: No
timeline schedule is
provided. Detail on
how the activities will
be measured and
evaluated are not
included.
ii. Implementation Grant Review and Selection Process
a) Overall Selection Process and Ratings
Teams of Department and contractor support staff review all applications to determine whether they are eligible applicants based on the eligibility information in Section C. If multiple applications are received from the same applicant, the last one submitted will be reviewed. All eligible Implementation Grant applications received by the deadline will be reviewed and receive ratings for each of these criteria: #1 Safety Impact; #2 Equity, Engagement, and Collaboration; #3 Effective Practices and Strategies; #4 Other DOT Strategic Goals. Based on the criteria ratings, the Department will assign an overall application rating of “Highly Recommended,” “Recommended,” “Acceptable,” or “Not Recommended” as a result of evaluation team consensus discussion. The selection criteria are considered in numeric order of most to least important (e.g., criterion #1 Safety Impact will be considered most heavily, followed by #2 Equity, Engagement, and Collaboration as the second most important, etc.).

31 Implementation Grant applications that include supplemental planning or demonstration activities will also be reviewed for criterion #5 Additional Safety Context and quantitative Key Information Table information on fatality counts, fatality rate per 100,000 persons, and percentage of population in underserved communities, but it will not affect the overall Implementation Grant rating. Instead, DOT will use the information to determine whether the supplemental planning and/or demonstration activities should be funded as part of the overall project. DOT is more likely to fund, as part of an overall implementation project, supplemental planning and demonstration activities that rate well on criterion #5. Alternatively, DOT may award an Implementation Grant but exclude proposed supplemental planning or demonstration activities from the scope of the award if those activities were not rated well under criterion #5.
b) Safety Impact Criterion Rating Methodology
For the #1 Safety Impact criterion, the Department will assess three subcomponents, and for each determine a rating of “high,” “medium,” and “low,” or “non-responsive.” The three subcomponents are: the description of the safety problem; the safety impact assessment; and the implementation costs.

The sub-ratings will use the guidelines below:

High Medium Low Non-responsive
Description of
the Safety
Problem
The narrative and
supporting
information
demonstrate the
proposal is addressing
a substantial safety
problem. The
narrative is wellarticulated and is
strongly supported by
data and analysis. The
narrative links the
specific safety
problem to relevant
historical data at
intervention locations
and describes whether
the locations are on
their High-Injury
Network or
equivalent.

The narrative and
supporting
information
demonstrate the
proposal is
addressing an
existing safety
problem. Narrative
articulates the
description, is
generally
supported by data
and analysis. The
narrative links the
specific safety
problem to relevant
historical data and
refers to the HighInjury Network or
equivalent.

The narrative and
supporting
information
demonstrate the
proposal is
addressing a safety
problem more
minor in scope.

The narrative is not
well-articulated,
and the supporting
data and analysis
are limited. The
narrative provides
an overall
connection
between the safety
problem and the
jurisdiction’s
historical data.

The narrative and
supporting
information do not
address a safety
problem.

Safety Impact
The projects and
strategies have
comprehensively
addressed the safety
problem. The projects
and strategies
proposed are highly
effective, based on
evidence, use a
systemic approach,
are mostly on a HighInjury Network, and
have benefits that
persist over time.

The projects and
strategies address
the safety problem.

Most of the
projects and
strategies proposed
are effective
measures, based on
evidence, use a
systemic approach,
are at least partially
on a High-Injury
Network, and have
benefits that persist
over time.

The projects and
strategies address
the safety problem
to a limited degree.

Some or none of
the projects and
strategies proposed
are effective
measures, based on
evidence, use a
systemic approach,
or have benefits
that persist over
time.

The projects and
strategies do not
address the safety
problem.

32 High Medium Low Non-responsive
Implementation
Costs
The costs for the
implementation of the
projects and strategies
are clearly articulated,
well-summarized, and
reasonable. The
projects and strategies
address locations that
have many historical
fatalities and serious
injuries, and are
expected to prevent a
significant number of
fatalities and serious
injuries per funds
requested.

The costs for the
implementation of
the projects and
strategies are
summarized and
appear to be
reasonable. The
projects and
strategies address
locations that have
some historical
fatalities and
serious injuries,
and are expected to
prevent some
fatalities and
serious injuries per
funds requested.

The costs for the
implementation of
the projects and
strategies are not
well-articulated or
missing key
details, and it is
uncertain whether
the costs are
reasonable. The
projects and
strategies address
locations that have
very few to no
historical fatalities
and serious injuries
and may have
minimal impact.

Cost information
and/or fatality and
serious injury
information at the
location level are
not provided.
c) Other Criteria Rating Methodology
For the merit criteria #2 Equity, Engagement, and Collaboration, #3 Effective Practices and Strategies, and #4 Other DOT Strategic Goals, the Department will consider whether the application narrative is clear, direct, responsive to the selection criterion focus areas, logical, and includes specific details and examples, which will result in a rating of “high, “medium,” “low,” or “non-responsive.” High Medium Low Non-Responsive
Rating
Scale
The application is
substantively
responsive to the
criteria, with clear,
direct, and logical
narrative. Compelling,
specific details, as
well as quantified or
illustrative examples,
are provided.

The application is
moderately responsive
to the criteria, with
mostly clear, direct,
and logical narrative.

Some details and
examples are provided.

The application is
minimally responsive
to the criteria and is
somewhat addressed in
the narrative. General
information is
provided.

The narrative indicates
the proposal is counter
to the criteria or does
not contain sufficient
information.

All applications will receive a Project Readiness evaluation, as described below. The reviewers will use the application materials outlined in Section D to assess the applicant’s Project Readiness and will provide a rating of either “Likely” or “Unlikely.”
Likely Unlikely
Rating
Scale
Based on the information provided in the
application and the proposed scope of the
projects and strategies, it is likely the applicant
can complete all projects and strategies within
a five-year time horizon. Application provides
information on NEPA status, utility relocation,
and right-of-way acquisition.

Based on the information provided in the
application and the proposed scope of the
projects and strategies, it is uncertain whether
the applicant can complete all projects and
strategies within a five-year time horizon.

Application is missing information on NEPA
status, and whether utility relocation and/or
right-of-way acquisition is required.

33 Implementation Grant applications that include supplemental planning and/or demonstration activities will be assessed on the extent to which the narrative aligns with the selection criterion #5 Additional Safety Context and will be evaluated to determine a rating of “high,” “medium,” “low,” or “non-responsive.” High Medium Low Non-Responsive
Rating
Scale
The application is
very responsive to
the criteria and is
expected to advance
safety planning. The
narrative has clear
descriptions of the
work scope and the
roadway safety
problem to be
addressed. The
proposed approach
will strongly inform
an Action Plan.

For demonstration
activities only: The
activities are likely to
be put in place within
18 months. The
narrative clearly
describes how the
activities will be
measured and
evaluated.

The application is
responsive to the
criteria and is
performing safety
planning activities.

The narrative has
descriptions of the
work scope and the
roadway safety
problem to be
addressed. The
proposed approach
will inform an Action
Plan.

For demonstration
activities only: The
activities have a
possibility of being
put in place within 18
months. The narrative
describes how the
activities will be
measured and
evaluated.

The application is
minimally responsive
to the criteria. The
proposed approach is
weakly tied to an
Action Plan.

For demonstration
activities only: It is
unclear if the
activities will be put
in place within 18
months. The narrative
provides minimal
detail on how the
activities will be
measured and
evaluated.

The narrative
indicates the proposal
is counter to the
criteria, does not
contain sufficient
information, or is not
connected to an
Action Plan.

For demonstration
activities only: The
narrative provides no
timeline schedule or
detail on how the
activities will be
measured and
evaluated.
iii. Senior Review Team Phase
a) Planning and Demonstration Grant Senior Review Team Phase For the Planning and Demonstration Grants, the Secretary will review the three quantitative criteria ratings as well as the rating from the Additional Safety Context and select projects that are most advantageous to the U.S.

Government’s interest. The Secretary will consult with a Senior Review Team (SRT) to make the determinations. b) Implementation Grant Senior Review Team Phase
Once every Implementation Grant application has been assigned an overall rating based on the methodology above, all “Highly Recommended” applications will be included in a list of Applications for Consideration. The SRT will also review all “Highly Recommended” applications that received an “Unlikely” project readiness rating, and either remove those applicants from the Applications for Consideration or recommend a reduced scope to remove components that reduced the project’s readiness, so that if awarded the applicant would be likely to complete the scope of work within five years of the grant agreement execution. The Secretary will consider the applications with a reduced scope due to the Unlikely project readiness in the same way as applications with a “Likely” rating.

Additionally, to ensure the funding awards align to the extent practicable to the program goal of equitable investment in the safety needs of underserved communities, the SRT may review “Recommended” applications and set a threshold based on the percentage of funds that will be spent in, and provide safety benefits to, locations

34 within underserved communities. Any “Recommended” applications at or above that threshold will be included in the proposed list of Applications for Consideration.

For applications that would not otherwise be included on the list of Applications for Consideration, the SRT may include applications with supplemental planning and demonstration activity funding that received a “High” rating for selection criterion #5 Additional Safety Context. The SRT may recommend the Secretary to fund a reduced scope of only the supplemental planning and demonstration activities for these applications.

For each grant type, the SRT will present the list of Applications for Consideration to the Secretary, either collectively or through a representative of the SRT. The SRT may advise the Secretary on any application on the list of Applications for Consideration, including options for reduced awards; the Secretary makes final selections.

If an Implementation Grant application includes supplemental planning and demonstration activities, DOT may award just those activities as a standalone Planning and Demonstration Grant based on the rating received in selection criterion #5 Additional Safety Context. The Secretary’s final selections identify the applications that best address program requirements and are most worthy of funding.

3. Additional Information
Prior to entering into a grant agreement, each selected applicant will be subject to a risk assessment as required by 2 CFR § 200.206. The Department must review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently the Federal Awardee Performance and Integrity Information System [FAPIIS]). An applicant may review information in FAPIIS and comment on any information about itself that a Federal awarding agency previously entered. The Department will consider comments by the applicant, in addition to the other information in FAPIIS, in making a judgment about the applicant's integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants.

Because award recipients under this program may be first-time recipients of Federal funding, DOT is committed to implementing the program as flexibly as permitted by statute and to provide assistance to help award recipients through the process of securing a grant agreement and delivering both Planning and Demonstration Grant activities and Implementation Grant projects and strategies. Award recipients are encouraged to identify any needs for assistance in delivering the Implementation Grant projects and strategies so that DOT can provide directly, or through a third party, sufficient support and technical assistance to mitigate potential execution risks.

4. Anticipated Announcement and Federal Award Dates
The Department anticipates making two rounds of awards for this NOFO: one earlier round of awards only focused on applications requesting Planning and Demonstration Grants, and a later round of awards that will encompass Implementation Grants as well as Planning and Demonstration Grant applicants who did not receive funding in the earlier round. The earlier round is anticipated to be in October 2023, and the later round is anticipated to be in December 2023.

F. Federal Award Administration Information

1. Federal Award Notices
Following the evaluation outlined in Section E, the Secretary will announce awarded applications by posting a list of selected recipients at .The posting of the list of selected award recipients will not constitute an authorization to begin performance. Following the announcement, the Department will contact the point of contact listed in the SF424 to initiate negotiation of a grant agreement unless the applicant notifies DOT of a changed contact via [email protected] after July 10.

35 2. Administrative and National Policy Requirements
i. Climate Change and Environmental Justice
Each applicant selected for SS4A grant funding must demonstrate effort to consider climate change and environmental justice impacts as described in Section A. Projects that have not sufficiently considered climate change and environmental justice in their planning, as determined by the Department, will be required to do so before receiving funds, consistent with Executive Order 14008, Tackling the Climate Crisis at Home and Abroad (86 FR 7619).
ii. Equity and Barriers to Opportunity
Each applicant selected for SS4A grant funding must demonstrate effort to improve equity and reduce barriers to opportunity as described in Section A. Projects that have not sufficiently considered equity and barriers to opportunity in their planning, as determined by the Department, will be required to do so before receiving funds, consistent with Executive Order 13985, Advancing Racial Equity and Support for Underserved Communities Through the Federal Government (86 FR 7009).
iii. Civil Rights and Title VI
As a condition of a grant award, grant recipients should demonstrate that the recipient has a plan for compliance with civil rights obligations and nondiscrimination laws, including Title VI of the Civil Rights Act of 1964 and implementing regulations (49 CFR § 21), the Americans with Disabilities Act of 1990 (ADA), and Section 504 of the Rehabilitation Act, all other civil rights requirements, and accompanying regulations. This should include a current Title VI plan, completed Community Participation Plan, and a plan to address any legacy infrastructure or facilities that are not compliant with ADA standards. DOT’s and the applicable Operating Administrations’ Office of Civil Rights may work with awarded grant recipients to ensure full compliance with Federal civil rights requirements.
iv. National Environmental Policy Act of 1969 (NEPA)
Funding recipients must comply with NEPA under 42 U.S.C. § 4321 et seq. and the Council on Environmental Quality’s NEPA implementing regulations at 40 CFR §§ 1500-1508, where applicable. v. Domestic Preference Requirements
As expressed in Executive Order 14005, Ensuring the Future Is Made in All of America by All of America’s Workers (86 FR 7475), it is the policy of the executive branch to maximize, consistent with law, the use of goods, products, and materials produced in, and services offered in, the United States. Infrastructure projects and demonstration activities are subject to the Build America, Buy America Act (Pub. L. No 117–58, div. G §§ 70901– 70927) as clarified in OMB Memorandum M-22-11. 31 The Department expects all recipients to comply with this requirement. Projects under this notice will be subject to the domestic preference requirements at § 70914 of the Build America, Buy America Act.
vi. Labor and Workforce
Each applicant selected for SS4A grant funding must demonstrate, to the full extent possible consistent with the law, an effort to create good-paying jobs with the free and fair choice to join a union and incorporation of high labor standards. To the extent that applicants have not sufficiently considered job quality and labor rights in their planning, as determined by the Department of Labor, the applicants will be required to do so before receiving funds, consistent with Executive Order 14025, Worker Organizing and Empowerment (86 FR 22829), and Executive Order 14052, Implementation of the Infrastructure Investment and Jobs Act (86 FR 64335). 31 Pub. L. No. 117-58, division. G, Title IX, Subtitle A, 135 Stat. 429, 1298 (2021). For additional information on § 70914, see OMB-22-11. https://www.whitehouse.gov/wp-content/uploads/2022/04/M-22-11.pdf

36 vii. Federal Contract Compliance
As a condition of grant award and consistent with EO 11246, Equal Employment Opportunity (30 FR 12319, and as amended), all Federally assisted contractors are required to make good faith efforts to meet the goals of 6.9 percent of construction project hours being performed by women, in addition to goals that vary based on geography for construction work hours and for work being performed by people of color. Under Section 503 of the Rehabilitation Act and its implementing regulations, affirmative action obligations for certain contractors include an aspirational employment goal of 7 percent workers with disabilities.

The U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) is charged with enforcing Executive Order 11246, Section 503 of the Rehabilitation Act of 1973, and the Vietnam Era Veterans’ Readjustment Assistance Act of 1974. OFCCP has a Mega Construction Project Program through which it engages with project sponsors as early as the design phase to help promote compliance with non-discrimination and affirmative action obligations. OFCCP will identify projects that receive an award under this notice and are required to participate in OFCCP’s Mega Construction Project Program from a wide range of Federally- assisted projects over which OFCCP has jurisdiction and that have a project cost above $35 million. DOT will require project sponsors with costs above $35 million that receive awards under this funding opportunity to partner with viii.Critical Infrastructure Security and Resilience
It is the policy of the United States to strengthen the security and resilience of its critical infrastructure against both physical and cyber threats. Each applicant selected for SS4A grant funding must demonstrate, prior to the signing of the grant agreement, effort to consider and address physical and cyber security risks relevant to the transportation mode and type and scale of the activities. Award recipients that have not appropriately considered and addressed physical and cyber security and resilience in their planning, design, and oversight, as determined by the Department and the Department of Homeland Security, will be required to do so before receiving Implementation Grant funds for construction, consistent with Presidential Policy Directive 21, Critical Infrastructure Security and Resilience and the National Security Presidential Memorandum on Improving Cybersecurity for Critical Infrastructure Control Systems. Additionally, funding recipients must be in compliance with 2 CFR § 200.216 and the prohibition on certain telecommunications and video surveillance services or equipment.
ix. Other Administrative and Policy Requirements
All awards will be administered pursuant to the Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards found in 2 CFR § 200 as adopted by the Department at 2 CFR § 1201.

Additionally, as permitted under the requirements described above, applicable Federal laws, rules, and regulations of the relevant operating administration (e.g., the Federal Highway Administration, etc.) administering the activities will apply to the activities that receive SS4A grants, including planning requirements, Stakeholder Agreements, and other requirements under the Department’s other highway and transit grant programs. DOT anticipates grant recipients to have varying levels of experience administering Federal funding agreements and complying with Federal requirements, and DOT will take a risk-based approach to SS4A program grant agreement administration to ensure compliance with all applicable laws and regulations.

In connection with any program or activity conducted with or benefiting from funds awarded under this notice, recipients of funds must comply with all applicable requirements of Federal law, including, without limitation, the Constitution of the United States; the conditions of performance, nondiscrimination requirements, and other assurances made applicable to the award of funds in accordance with regulations of the Department of Transportation; and applicable Federal financial assistance and contracting principles promulgated by the Office of Management and Budget. In complying with these requirements, recipients, in particular, must ensure that no concession agreements are denied, or other contracting decisions made on the basis of speech or other activities protected by the First Amendment. If the Department determines that a recipient has failed to comply with applicable Federal requirements, the Department may terminate the award of funds and disallow previously incurred costs, requiring the recipient to reimburse any expended award funds.

37 3. Reporting
i. Progress Reporting on Grant Activity
Reporting responsibilities include quarterly program performance reports using the Performance Progress Report (SF-PPR) and quarterly financial status using the SF-425 (also known as the Federal Financial Report or SFFFR). 32 Budget and recipient performance information will be gathered on a quarterly basis in a Performance Progress Report (SF-PPR). To fulfill the data collection requirements and in accordance with the USDOT Public Access Plan, award recipients must consider, budget for, and implement appropriate data management, for data and information outputs acquired or generated during the course of the grant. 33, 34 Federally recognized Tribal governments receiving grants may request alternative data collection requirements during grant agreement formulation, as appropriate. Applicants are expected to account for data and performance reporting in their budget submission.
ii. Post Award Reporting Requirements/Reporting of Matters Related to Integrity and Performance
All award recipients shall submit a report by the end of the period of performance that describes:

The costs of each eligible project and strategy carried out using the grant; The roadway safety outcomes and any additional benefits (e.g., increased walking, biking, or transit use without a commensurate increase in serious and fatal crashes, etc.) that each such project and strategy has generated, as—
o Identified in the grant application; and
o Measured by data, to the maximum extent practicable;
The percent of funds spent in, and providing benefits to, underserved communities; and The lessons learned and any recommendations relating to future projects or strategies to prevent death and serious injury on roads and streets.

Implementation Grant recipients must also provide: geo-coordinate information identifying specific project location(s); crash data on serious injury and fatalities in the locations where projects and strategies are implemented on an annual basis and at the end of the period of performance, which are expected to include crash characteristics and contributing factor information associated with the safety problems being addressed; and quantitative and qualitative project benefits documented in a final report.

Award recipients carrying out demonstration activities must also measure potential benefits through data collection and evaluative activities and report to the Department how the demonstration activities informed an Action Plan’s list of projects and strategies and future implementation.

If the total value of a selected applicant’s currently active grants, cooperative agreements, and procurement contracts from all Federal awarding agencies exceeds $10,000,000 for any period of time during the period of performance of this Federal award, then the applicant during that period of time must maintain the currency of information reported in SAM that is made available in the designated integrity and performance system (currently the Federal Awardee Performance and Integrity Information System (FAPIIS)) about civil, criminal, or administrative proceedings described in paragraph 2 of this award term and condition. This is a statutory requirement under section 872 of Pub. L. No.110–417, as amended (41 U.S.C. § 2313). As required by section 3010 of Pub. L. No. 111–212, all information posted in the designated integrity and performance system on or after 32 https://www.grants.gov/forms/post-award-reporting-forms.html 33 https://doi.org/10.21949/1520559 34 United States. Department of Transportation. (2022) DOT Public Access [Home page]. https://doi.org/10.21949/1503647

38 April 15, 2011, except past performance reviews required for Federal procurement contracts, will be publicly available. Additionally, if applicable funding recipients must be in compliance with the audit requirements in 2 CFR § 200, Subpart F.
iii. Program Evaluation
As a condition of grant award, SS4A grant recipients may be required to participate in an evaluation undertaken by DOT, or another agency or partner. The evaluation may take different forms such as an implementation assessment across grant recipients, an impact and/or outcomes analysis of all or selected sites within or across grant recipients, or a benefit/cost analysis or assessment of return on investment. The Department may require applicants to collect data elements to aid the evaluation and/or use information available through other reporting. As a part of the evaluation, as a condition of award, grant recipients must agree to: (1) make records available to the evaluation contractor; (2) provide access to program records, and any other relevant documents to calculate costs and benefits; (3) in the case of an impact analysis, facilitate the access to relevant information as requested; and (4) follow evaluation procedures as specified by the evaluation contractor or DOT staff.

Recipients and sub-recipients are also encouraged to incorporate program evaluation including associated data collection activities from the outset of their program design and implementation to meaningfully document and measure the effectiveness of their projects and strategies. Title I of the Foundations for Evidence-Based Policymaking Act of 2018 (Evidence Act), Pub. L. No. 115–435 (2019) urges Federal awarding agencies and Federal assistance recipients and sub-recipients to use program evaluation as a critical tool to learn, to improve equitable delivery, and to elevate program service and delivery across the program lifecycle. Evaluation means “an assessment using systematic data collection and analysis of one or more programs, policies, and organizations intended to assess their effectiveness and efficiency” (codified at 5 U.S.C. § 311). For grant recipients, evaluation expenses are allowable costs (either as direct or indirect), unless prohibited by statute or regulation, and such expenses may include the personnel and equipment needed for data infrastructure and expertise in data analysis, performance, and evaluation (2 CFR §200).

G. Federal Awarding Agency Contacts
For further information concerning this notice, please contact the Office of the Secretary via email at [email protected]. In addition, up to the application deadline, the Department will post answers to common questions and requests for clarifications on the Department’s website at https://www.transportation.gov/grants/SS4A. To ensure applicants receive accurate information about eligibility or the program, the applicant is encouraged to contact the Department directly, rather than through intermediaries or third parties, with questions. Department staff may also conduct briefings on the SS4A grant selection and award process upon request.

H. Other Information

1. Publication of Application Information
Following the completion of the selection process and announcement of awards, the Department intends to publish a list of all applications received along with the names of the applicant organizations and a few relevant data fields from the application. This includes unsuccessful applicants. The Department may share application information within the Department or with other Federal agencies if the Department determines that sharing is relevant to the respective program’s objectives.

2. Department Feedback on Applications
The Department will not review applications in advance, but Department staff are available for technical questions and assistance. DOT expects to hold “virtual-office hours” to further describe how to submit a complete application; for more information visit https://www.transportation.gov/grants/SS4A. The deadline to submit technical questions is June 16, 2023. The Department strives to provide as much information as possible to assist

39 applicants with the application process. Unsuccessful applicants may request a debrief up to 30 days after the selected funding recipients are publicly announced on https://www.transportation.gov/grants/SS4A. Program staff will address questions to [email protected] throughout the application period.

3. Grant Application Resources
The Department will provide resources to help interested applicants understand the different DOT discretionary grant programs through webinars, frequently asked questions, and other materials provided such as the SS4A program website https://www.transportation.gov/grants/SS4A. Additional grant applications resources for this and other Departmental grant programs can be found on the DOT Navigator at www.transportation.gov/dot-navigator. User-friendly information and resources regarding DOT’s discretionary grant programs relevant to rural applicants can be found on the Rural Opportunities to Use Transportation for Economic Success (ROUTES) website at www.transportation.gov/rural.

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U.S. DEPARTMENT OF TRANSPORTATION

GENERAL TERMS AND CONDITIONS UNDER THE
FISCAL YEAR 2023 SAFE STREETS AND ROADS FOR ALL (“SS4A”) GRANT PROGRAM:

FHWA PROJECTS
Date: January 4, 2024
Revised: October 1, 2024

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Table of Contents
Article 7 Purpose............................................................................................................................. 6

7.1 Purpose. ......................................................................................................................................... 6 Article 8 USDOT Role.................................................................................................................... 6

8.1 Division of USDOT Responsibilities. ........................................................................................... 6

8.2 USDOT Program Contact. ............................................................................................................ 7 Article 9 Recipient Role.................................................................................................................. 7

9.1 Statements on the Project. ............................................................................................................. 7

9.2 Statements on Authority and Capacity. ......................................................................................... 7

9.3 USDOT Reliance. ......................................................................................................................... 8

9.4 Project Delivery. ........................................................................................................................... 8

9.5 Rights and Powers Affecting the Project. ..................................................................................... 8

9.6 Notification of Changes to Key Personnel. ................................................................................... 9 Article 10 Award Amount, Obligation, and Time Periods ............................................................. 9

10.1 Federal Award Amount ................................................................................................................. 9

10.2 Federal Obligations. ...................................................................................................................... 9

10.3 Budget Period .............................................................................................................................. 10

10.4 Period of Performance. ............................................................................................................... 10 Article 11 Statement of Work, Schedule, and Budget Changes ................................................... 11

11.1 Notification Requirement. ........................................................................................................... 11

11.2 Statement of Work Changes. ...................................................................................................... 11

11.3 Schedule Changes. ...................................................................................................................... 11

11.4 Budget Changes. ......................................................................................................................... 11

11.5 USDOT Acceptance of Changes. ................................................................................................ 12 Article 12 General Reporting Terms............................................................................................. 13

12.1 Report Submission. ..................................................................................................................... 13

12.2 Alternative Reporting Methods. .................................................................................................. 13

12.3 Paperwork Reduction Act Notice. .............................................................................................. 13 Article 13 Progress and Financial Reporting ................................................................................ 13

13.1 Quarterly Performance Progress Reports. ................................................................................... 13

13.2 Quarterly Financial Status. .......................................................................................................... 13 Article 14 Performance Reporting ................................................................................................ 13

14.1 Baseline Performance Measurement. .......................................................................................... 13

14.2 SS4A Final Report ...................................................................................................................... 14 Article 15 Noncompliance and Remedies ..................................................................................... 15

15.1 Noncompliance Determinations. ................................................................................................. 15

15.2 Remedies. .................................................................................................................................... 16

15.3 Other Oversight Entities.............................................................................................................. 16 Article 16 Agreement Termination ............................................................................................... 17

16.1 USDOT Termination. ................................................................................................................. 17

16.2 Closeout Termination. ................................................................................................................. 17

16.3 Post-Termination Adjustments. .................................................................................................. 18

16.4 Non-Terminating Events. ............................................................................................................ 18

16.5 Other Remedies. .......................................................................................................................... 18 Article 17 Monitoring, Financial Management, Controls, and Records ....................................... 18

17.1 Recipient Monitoring and Record Retention. ............................................................................. 18

17.2 Financial Records and Audits. .................................................................................................... 18

17.3 Internal Controls. ........................................................................................................................ 19

17.4 USDOT Record Access. ............................................................................................................. 19

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Article 18 Contracting and Subawards ......................................................................................... 19

18.1 Build America, Buy America ...................................................................................................... 19

18.2 Small and Disadvantaged Business Requirements. .................................................................... 22

18.3 Engineering and Design Services. .............................................................................................. 22

18.4 Foreign Market Restrictions........................................................................................................ 22

18.5 Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment. .. 22

18.6 Recipient Responsibilities for Subawards. .................................................................................. 22

18.7 Subaward and Contract Authorization. ....................................................................................... 23 Article 19 Costs, Payments, and Unexpended Funds ....................Error! Bookmark not defined.

19.1 Limitation of Federal Award Amount. ....................................................................................... 23

19.2 Projects Costs. ............................................................................................................................. 23

19.3 Timing of Project Costs. ............................................................................................................. 23

19.4 Recipient Recovery of Federal Funds. ........................................................................................ 23

19.5 Unexpended Federal Funds. ........................................................................................................ 23

19.6 Timing of Payments to the Recipient. ......................................................................................... 23

19.7 Payment Method. ........................................................................................................................ 24

19.8 Information Supporting Expenditures ......................................................................................... 24

19.9 Reimbursement Frequency. ........................................................................................................ 24

19.10 Match. ......................................................................................................................................... 24 Article 20 Liquidation, Adjustments, and Funds Availability...................................................... 24

20.1 Liquidation of Recipient Obligations. ......................................................................................... 24 Article 21 Agreement Modifications ............................................................................................ 25

21.1 Bilateral Amendments................................................................................................................. 25

21.2 Unilateral Contact Modifications. ............................................................................................... 25

21.3 USDOT Unilateral Modifications. .............................................................................................. 25

21.4 Other Modifications. ................................................................................................................... 25 Article 22 Climate Change and Environmental Justice ................................................................ 25

22.1 Climate Change and Environmental Justice. .............................................................................. 25 Article 23 Racial Equity and Barriers to Opportunity .................................................................. 25

23.1 Racial Equity and Barriers to Opportunity.................................................................................. 25 Article 24 Federal Financial Assistance, Administrative, and National Policy Requirements .... 26

24.1 Uniform Administrative Requirements for Federal Awards. ...................................................... 26

24.2 Federal Law and Public Policy Requirements. ........................................................................... 26

24.3 Federal Freedom of Information Act. ......................................................................................... 26

24.4 History of Performance. .............................................................................................................. 26

24.5 Whistleblower Protection. ........................................................................................................... 26

24.6 External Award Terms and Obligations. ..................................................................................... 26

24.7 Incorporated Certifications. ........................................................................................................ 27 Article 25 Assignment .................................................................................................................. 27

25.1 Assignment Prohibited. ............................................................................................................... 27 Article 26 Waiver.......................................................................................................................... 27

26.1 Waivers. ...................................................................................................................................... 27 Article 27 Additional Terms and Conditions................................................................................ 28

27.1 Effect of Planning and Demonstration or Implementation Award. ............................................ 28

27.2 Disclaimer of Federal Liability. .................................................................................................. 28

27.3 Environmental Review ................................................................................................................ 28

27.4 Railroad Coordination. ................................................................................................................ 29

27.5 Relocation and Real Property Acquisition. ................................................................................. 29

27.6 Equipment Disposition. ............................................................................................................... 30 Article 28 Mandatory Award Information.................................................................................... 30

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28.1 Information Contained in a Federal Award. ...............................................................................30 Article 29 Construction and Definitions....................................................................................... 30

29.1 Attachments. ............................................................................................................................... 30

29.2 Exhibits. ...................................................................................................................................... 30

29.3 Construction. ............................................................................................................................... 31

29.4 Integration. .................................................................................................................................. 31

29.5 Definitions. .................................................................................................................................. 31 Article 30 Agreement Execution and Effective Date ................................................................... 31

30.1 Counterparts. ............................................................................................................................... 31

30.2 Effective Date. ............................................................................................................................ 31

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Index of Definitions
Administering Operating Administration ....................................................................................... 7 Environmental Review Entity…………………………………………………………………....25 Federal Share ................................................................................................................................ 11 FHWA ............................................................................................................................................. 7 NOFO .............................................................................................................................................. 6 OMB ............................................................................................................................................. 11 Program Statute ............................................................................................................................. 28 Project……………………………………………………………………………………………19
Project Closeout ............................................................................................................................ 16 SS4A Grant ................................................................................................................................... 28 USDOT ........................................................................................................................................... 6

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GENERAL TERMS AND CONDITIONS
The Infrastructure Investment and Jobs Act (Pub. L. 117–58, November 15, 2021; also referred to as the “Bipartisan Infrastructure Law” or “BIL”) established the Safe Streets and Roads for All (the “SS4A”) Discretionary Grant Program (BIL Section 24112) and appropriated funds to the United States Department of Transportation (the “USDOT”) under Division J, Title VIII of BIL to implement the program. The funds are available to provide Federal financial assistance to support local initiatives to prevent death and serious injury on roads and streets, commonly referred to as “Vision Zero” or “Toward Zero Deaths” initiatives.

The USDOT published a Notice of Funding Opportunity (the “NOFO”) to solicit applications for Federal financial assistance in Fiscal Year 2023 for the SS4A Discretionary Grant Program (88 Fed. Reg. 22090, April 12, 2023).

These general terms and conditions are incorporated by reference in a project-specific grant agreement under the fiscal year 2023 SS4A grant program. Articles 1–6 are in the project-specific portion of the agreement. The term “Recipient” is defined in the projectspecific portion of the agreement. Attachments A through F are project-specific attachments.

ARTICLE 7

PURPOSE

7.1 Purpose. The purpose of this award is to improve roadway safety by significantly reducing or eliminating roadway fatalities and serious injuries through safety action plan development or projects focused on all users, including pedestrians, bicyclists, public transportation users, motorists, personal conveyance and micromobility users, and commercial vehicle operators. The parties will accomplish that purpose by achieving the following objectives:
(1) timely completing the Project; and
(2) ensuring that this award does not substitute for non-Federal investment in the Project, except as proposed in the Grant Application, as modified by section

3.3 and Attachment B.

ARTICLE 8

USDOT ROLE

8.1 Division of USDOT Responsibilities.
(a) The Office of the Secretary of Transportation is ultimately responsible for the USDOT’s administration of the SS4A Grant Program.

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(b) The Federal Highway Administration (the “FHWA”) will administer this grant agreement on behalf of the USDOT. In this agreement, the “Administering Operating Administration” means the FHWA.

8.2 USDOT Program Contact.

Safe Streets and Roads for All
Federal Highway Administration
Office of Safety
1200 New Jersey Avenue SE
HSSA-1, Mail Drop E71-117
Washington, DC 20590
[email protected]
(202) 366-2822
ARTICLE 9

RECIPIENT ROLE

9.1 Statements on the Project. The Recipient states that:
(1) all material statements of fact in the Grant Application were accurate when that application was submitted; and
(2) Attachment B documents all material changes in the information contained in that application.

9.2 Statements on Authority and Capacity. The Recipient states that:
(1) it has the authority to receive Federal financial assistance under this agreement; (2) it has the legal authority to complete the Project, including either ownership and/or maintenance responsibilities over a roadway network; safety responsibilities that affect roadways; or has an agreement from the agency that has ownership and/or maintenance responsibilities for the roadway within the applicant’s jurisdiction; if applicable;
(3) it has the capacity, including institutional, managerial, and financial capacity, to comply with its obligations under this agreement;
(4) not less than the difference between the “Total Eligible Project Cost” and the “SS4A Grant Amount” listed in section 3.3 are committed to fund the Project; (5) it has sufficient funds available, or an agreement with the agency that has ownership and/or maintenance responsibilities for the roadway within the

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recipient’s jurisdiction, to ensure that infrastructure completed or improved under this agreement will be operated and maintained in compliance with this agreement and applicable Federal law; and
(6) the individual executing this agreement on behalf of the Recipient has authority to enter this agreement and make the statements in this article 9 and in section

24.7 on behalf of the Recipient.

9.3 USDOT Reliance. The Recipient acknowledges that:
(1) the USDOT relied on statements of fact in the Grant Application to select the Project to receive this award;
(2) the USDOT relied on statements of fact in both the Grant Application and this agreement to determine that the Recipient and the Project are eligible under the terms of the NOFO;
(3) the USDOT relied on statements of fact in both the Grant Application and this agreement to establish the terms of this agreement; and (4) the USDOT’s selection of the Project to receive this award prevented awards under the NOFO to other eligible applicants.

9.4 Project Delivery.
(a) The Recipient shall complete the Project under the terms of this agreement. (b) The Recipient shall ensure that the Project is financed, constructed, operated, and maintained in accordance with all applicable Federal laws, regulations, and policies. (c) The Recipient shall provide any certifications or assurances deemed necessary by the USDOT in ensuring the Recipient’s compliance with all applicable laws, regulations, and policies.
(d) The Recipient shall provide access to records as provided at 2 C.F.R. 200.337.

9.5 Rights and Powers Affecting the Project.
(a) The Recipient shall not take or permit any action that deprives it of any rights or powers necessary to the Recipient’s performance under this agreement without written approval of the USDOT.
(b) The Recipient shall act, in a manner acceptable to the USDOT, promptly to acquire, extinguish, or modify any outstanding rights or claims of right of others that would interfere with the Recipient’s performance under this agreement.

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9.6 Notification of Changes to Key Personnel. The Recipient shall notify all USDOT representatives who are identified in Section 4.3 in writing within 30 calendar days of any change in key personnel who are identified in Section 4.2.

ARTICLE 10

AWARD AMOUNT, OBLIGATION, AND TIME PERIODS

10.1 Federal Award Amount The USDOT hereby awards a SS4A Grant to the Recipient in the amount listed in section 2.2 as the SS4A Grant Amount.

10.2 Federal Obligations.

This agreement obligates funds for the period of performance listed on Page 1, Block 6 of the grant agreement.
(a) If the Federal Obligation Type identified in section 2.3 is “Single,” then the project-specific agreement obligates for the budget period the amount listed in section

2.2. as the Grant Amount and sections 10.2 (c)–10.2(f) do not apply to the project specific agreement.
(b) If the Federal Obligation Type identified in section 2.3 is “Multiple,” (for phased agreements) then an amount up to the Grant Amount listed in section 2.2 will be obligated with one initial obligation and one or more subsequent, optional obligations, as described in sections 10.2(c)–10.2(f).
(c) The Obligation Condition Table in section 2.3 allocates the Grant funds among separate phases of the Project for the purpose of the Federal obligation of funds. The scope of each phase of the Project that is identified in that table is described in section

2.3. (d) The project-specific agreement obligates for the budget period only the amounts allocated in the Obligation Condition Table in section 2.3 to portions of the Project for which that table does not list an obligation condition. (e) The project-specific agreement does not obligate amounts allocated in the Obligation Condition Table in section 2.3 to portions of the Project for which that table lists an obligation condition. The parties may obligate the amounts allocated to those portions of the Project only by modifying the project specific agreement under section 21.
(f) For each portion of the Project for which the Obligation Condition Table in section

2.3 lists an obligation condition, the amount allocated in that table to that portion of the Project will be obligated if the condition is met not later than the date listed in Section 2.4 of the project-specific agreement.

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(g) For any portion of the Project for which the Obligation Condition Table in section

2.3 lists an obligation condition, if the obligation condition is satisfied, the parties amend this agreement documenting that:
(1) the FHWA determines that the obligation condition listed in that table for that portion of the Project is satisfied; and
(2) the FHWA determines that all applicable Federal requirements for obligating the amount are satisfied.
(h) The Recipient shall not request reimbursement of costs for a portion of the Project for which the Obligation Condition Table in section 2.3 lists an obligation condition, unless the amount allocated in that table to that portion of the Project is obligated under section 10.2(c)-(f).
(i) Reserved.
(j) The Recipient acknowledges that:
(1) the FHWA is not liable for payments for a portion of the Project for which the Obligation Condition Table in section 2.3 lists an obligation condition, unless the amount allocated in that table to that portion of the Project is obligated under section 10.2(c)-(f);
(2) any portion of the Grant that is not obligated under this section 10.2 by the budget period end date identified in the project-specific agreement for those funds lapses on the day after that date and becomes unavailable for the Project; and
(3) the FHWA may consider the failure to obligate funds by the budget period end date identified in the project-specific agreement as applicable to the Grant Program for those funds to be a basis for terminating the project-specific agreement under section 16.

10.3 Budget Period
The budget period for this award begins on the effective date of this agreement and ends on the budget period end date that is listed in section 2.4, which shall be no later than 5 years from the date of grant execution. In this agreement, “budget period” is used as defined at 2 C.F.R. 200.1.

10.4 Period of Performance.
(a) The period of performance for this award begins on the effective date of award listed in page 1 item 2 and ends on the period of performance end date that is listed in Page 1, Block 6.

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(b) In this agreement, “period of performance” is used as defined at 2 C.F.R. 200.1.

ARTICLE 11

STATEMENT OF WORK, SCHEDULE, AND BUDGET CHANGES

11.1 Notification Requirement. The Recipient shall notify all USDOT representatives who are identified in section 4.4 in writing within 30 calendar days of any change in circumstances or commitments that adversely affect the Recipient’s plan to complete the Project. In that notification, the Recipient shall describe the change and what actions the Recipient has taken or plans to take to ensure completion of the Project.

This notification requirement under this section 11.1 is separate from any requirements under this article 11 that the Recipient request amendment of this agreement.

11.2 Statement of Work Changes. If the Project’s activities differ from the statement of work that is described in section 3.1 and Attachment B, then the Recipient shall request an amendment of this agreement to update section 3.1.

11.3 Schedule Changes. If one or more of the following conditions are satisfied, then the Recipient shall request an amendment of this agreement to update the relevant dates:
(1) a substantial completion date for the Project or a component of the Project that is listed in section 3.2 and the Recipient’s estimate for that milestone changes to a date that is more than six months after the date listed in section 3.2; or (2) a schedule change would require the period of performance to continue after the period of performance end date listed on Page 1, Block 6.

For other schedule changes, the Recipient shall request an amendment of this agreement unless the USDOT has consented, in writing consistent with applicable requirements, to the change.

11.4 Budget Changes.
(a) The Recipient acknowledges that if the cost of completing the Project increases:
(1) that increase does not affect the Recipient’s obligation under this agreement to complete the Project; and
(2) the USDOT will not increase the amount of this award to address any funding shortfall.
(b) The Recipient shall request an amendment of this agreement to update section 3.3 and Attachment B if, in comparing the Project’s budget to the amounts listed in section

3.3:
(1) the “Non-Federal Funds” amount decreases; or

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(2) the “Total Eligible Project Cost” amount decreases. (c) For budget changes that are not identified in section 11.4(b), the Recipient shall request an amendment of this agreement to update section 3.3 and Attachment B unless the USDOT has consented, in writing consistent with applicable requirements, to the change.
(d) If the actual eligible project costs are less than the “Total Eligible Project Cost” that is listed in section 3.3, then the Recipient may propose to the USDOT, in writing consistent with applicable requirements, specific additional activities that are within the scope of this award, as defined in sections 7.1 and 3.1, and that the Recipient could complete with the difference between the “Total Eligible Project Cost” that is listed in section 3.3 and the actual eligible project costs.
(e) If the actual eligible project costs are less than the “Total Eligible Project Cost” that is listed in section 3.3 and either the Recipient does not make a proposal under section

11.4(d) or the USDOT does not accept the Recipient’s proposal under section 11.4(d), then:
(1) in a request under section 11.4(b), the Recipient shall reduce the Federal Share by the difference between the “Total Eligible Project Cost” that is listed in section 3.3 and the actual eligible project costs; and
(2) if that amendment reduces this award and the USDOT had reimbursed costs exceeding the revised award, the Recipient shall request to add additional project work that is within the scope of this project.

In this agreement, “Federal Share” means the sum of the “SS4A Grant Amount” and the “Other Federal Funds” amounts that are listed in section 3.3(a). (f) The Recipient acknowledges that amounts that are required to be refunded under section 11.4(e)(2) constitute a debt to the Federal Government that the USDOT may collect under 2 C.F.R. 200.346 and the Standards for Administrative Collection of Claims (31 C.F.R. part 901).

11.5 USDOT Acceptance of Changes. The USDOT may accept or reject amendments requested under this article 11, and in doing so may elect to consider only the interests of the SS4A grant program and the USDOT. The Recipient acknowledges that requesting an amendment under this article 11 does not amend, modify, or supplement this agreement unless the USDOT accepts that amendment request and the parties modify this agreement under section 21.1.

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ARTICLE 12

GENERAL REPORTING TERMS

12.1 Report Submission. The Recipient shall send all reports required by this agreement to all USDOT contacts who are listed in section 4.4. Reports will be added to a central repository maintained by FHWA.

12.2 Alternative Reporting Methods. FHWA may establish processes for the Recipient to submit reports required by this agreement, including electronic submission processes.

If the Recipient is notified of those processes in writing, the Recipient shall use the processes required by the FHWA.

12.3 Paperwork Reduction Act Notice.

Under 5 C.F.R. 1320.6, the Recipient is not required to respond to a collection of information that does not display a currently valid control number issued by the Office of Management and Budget (the “OMB”). Collections of information conducted under this agreement are approved under OMB Control No. 2125-0675.

ARTICLE 13

PROGRESS AND FINANCIAL REPORTING

13.1 Quarterly Performance Progress Reports. Quarterly, on or before the 20th day of the first month of each calendar year (e.g., reports due on or before January 20th, April 20th, July 20th, and October 20th) and until the end of the period of performance, the Recipient shall submit to the USDOT a Quarterly Performance Progress Report in the format and with the content described in Exhibit C. If the date of this agreement is in the final month of a calendar year, then the Recipient shall submit the first Quarterly Performance Progress Report in the second calendar year quarter that begins after the date of this agreement.

13.2 Quarterly Financial Status. Quarterly, on or before the 20th day of the first month of each calendar year (e.g., reports due on or before January 20th, April 20th, July 20th, and October 20th) and until the end of the period of performance, the Recipient shall submit a Federal Financial Report using SF-425.

ARTICLE 14

PERFORMANCE REPORTING

14.1 Baseline Performance Measurement. Recipients of Implementation Grants or Planning and Demonstration Grants with demonstration activities shall:

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(1) collect data for each performance measure that is identified in the Performance Measure Table in Attachment A, accurate as of the Baseline Measurement Date that is identified in Attachment A; and
(2) on or before the Baseline Report Date that is stated in Attachment A, the Recipient shall submit a Baseline Performance Measurement Report that contains the data collected under this section 14.1 and a detailed description of the data sources, assumptions, variability, and estimated levels of precision for each performance measure that is identified in the Performance Measure Table in Attachment A.

14.2 SS4A Final Report: The Recipient shall submit to the USDOT, not later than 120 days after the end of the period of performance, a report in the format specified by FHWA and with the content described in Attachment A that describes, consistent with sections 24112(g)-(h) of BIL:
(1) the costs of each eligible project and strategy carried out using the grant; (2) the roadway safety outcomes and any additional benefits (e.g., increased walking, biking, or transit use without a commensurate increase in serious and fatal crashes, etc.) that each such project and strategy has generated, as— identified in the grant application; and
measured by data to the maximum extent practicable;
(3) the percent of funds spent in, and providing benefits to, underserved communities; and
(4) the lessons learned, and any recommendations related to future projects or strategies to prevent death and serious injuries on roads and streets.

14.3 Performance Measurement Information.

For each performance measure identified to be submitted annually in the Performance Measure Table in Attachment A, not later than January 31 of each year, the Recipient shall submit to the USDOT a Performance Measurement Report containing the data collected in the previous calendar year and stating the dates when the data was collected.

14.4 Performance Reporting Survival.

The data collection and reporting requirements in this article 14 survive the termination of this agreement which is three years post period of performance.

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14.5 Program Evaluation.

As a condition of grant award, the recipient may be required to participate in an evaluation undertaken by USDOT, or another agency or partner. The evaluation may take different forms such as an implementation assessment across grant recipients, an impact and/or outcomes analysis of all or selected sites within or across grant recipients, before/after photographs of the sites, qualitative activities such as videos describing the project and its impact on the community, or a benefit/cost analysis or assessment of return on investment. The Department may require applicants to collect data elements to aid the evaluation. As a part of the evaluation, as a condition of award, grant recipients must agree to: (1) make records available to the evaluation contractor; (2) provide access to program records, and any other relevant documents to calculate costs and benefits; (3) in the case of an impact analysis, facilitate the access to relevant information as requested; and (4) follow evaluation procedures as specified by the evaluation contractor or USDOT staff.

ARTICLE 15

NONCOMPLIANCE AND REMEDIES

15.1 Noncompliance Determinations.
(a) If the USDOT determines that the Recipient may have failed to comply with the United States Constitution, Federal law, or the terms and conditions of this agreement, the USDOT may notify the Recipient of a proposed determination of noncompliance.

For the notice to be effective, it must be written and the USDOT must include an explanation of the nature of the noncompliance, describe a remedy, state whether that remedy is proposed or effective at an already determined date, and describe the process through and form in which the Recipient may respond to the notice. (b) If the USDOT notifies the Recipient of a proposed determination of noncompliance under section 15.1(a), the Recipient may, not later than 7 calendar days after the notice, respond to that notice in the form and through the process described in that notice. In its response, the Recipient may:
(1) accept the remedy;
(2) acknowledge the noncompliance, but propose an alternative remedy; or (3) dispute the noncompliance.

To dispute the noncompliance, the Recipient must include in its response documentation or other information supporting the Recipient’s compliance. (c) The USDOT may make a final determination of noncompliance only:
(1) after considering the Recipient’s response under section 15.1(b); or

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(2) if the Recipient fails to respond under section 15.1(b), after the time for that response has passed.
(d) To make a final determination of noncompliance, the USDOT must provide a notice to the Recipient that states the basis for that determination.

15.2 Remedies.
(a) If the USDOT makes a final determination of noncompliance under section 15.1(d), the USDOT may impose a remedy, including:
(1) additional conditions on the award;
(2) any remedy permitted under 2 C.F.R. 200.339–200.340, including withholding of payments; disallowance of previously reimbursed costs, requiring refunds from the Recipient to USDOT; suspension or termination of the award; or suspension and disbarment under 2 C.F.R. part 180; or
(3) any other remedy legally available.
(b) To impose a remedy, the USDOT must provide a written notice to the Recipient that describes the remedy, but the USDOT may make the remedy effective before the Recipient receives that notice.
(c) If the USDOT determines that it is in the public interest, the USDOT may impose a remedy, including all remedies described in section 15.2(a), before making a final determination of noncompliance under section 15.1(d). If it does so, then the notice provided under section 15.1(d) must also state whether the remedy imposed will continue, be rescinded, or modified.
(d) In imposing a remedy under this section 15.2 or making a public interest determination under section 15.2(c), the USDOT may elect to consider the interests of only the USDOT.
(e) The Recipient acknowledges that amounts that the USDOT requires the Recipient to refund to the USDOT due to a remedy under this section 15.2 constitute a debt to the Federal Government that the USDOT may collect under 2 C.F.R. 200.346 and the Standards for Administrative Collection of Claims (31 C.F.R. part 901).

15.3 Other Oversight Entities.

Nothing in this article 15 limits any party’s authority to report activity under this agreement to the United States Department of Transportation Inspector General or other appropriate oversight entities.

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ARTICLE 16

AGREEMENT TERMINATION

16.1 USDOT Termination.
(a) The USDOT may terminate this agreement and all its obligations under this agreement if any of the following occurs:
(1) the Recipient fails to obtain or provide any non-SS4A Grant contribution (all eligible project costs other than the SS4A Grant Amount, as described in section 3.3(a) of the grant agreement) or alternatives approved by the USDOT as provided in this agreement and consistent with article 3; (2) a construction start date for the project or strategy is listed in section 3.2 and the Recipient fails to meet that milestone by six months after the date listed in section 3.2;
(3) a substantial completion date for the project or strategy is listed in section 3.2 and the Recipient fails to meet that milestone by six months after the date listed in section 3.2;
(4) the Recipient fails to comply with the terms and conditions of this agreement, including a material failure to comply with the schedule in section 3.2 even if it is beyond the reasonable control of the Recipient; or,
(5) the USDOT determines that termination of this agreement is in the public interest.
(6) the Recipient fails to expend the funds within 5 years after the date on which the government executes the grant agreement, which is the date funds are provided for the project.
(b) In terminating this agreement under this section, the USDOT may elect to consider only the interests of the USDOT.
(c) This section 16.1 does not limit the USDOT’s ability to terminate this agreement as a remedy under section 15.2.
(d) The Recipient may request that the USDOT terminate the agreement under this section

16.1. 16.2 Closeout Termination.
(a) This agreement terminates on Project Closeout.

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(b) In this agreement, “Project Closeout” means the date that the USDOT notifies the Recipient that the award is closed out. Under 2 C.F.R. 200.344, Project Closeout should occur no later than one year after the end of the period of performance.

16.3 Post-Termination Adjustments. The Recipient acknowledges that under 2 C.F.R. 200.345–200.346, termination of the agreement does not extinguish the USDOT’s authority to disallow costs, including costs that USDOT reimbursed before termination, and recover funds from the Recipient.

16.4 Non-Terminating Events.
(a) The end of the period of performance described under section 10.4 does not terminate this agreement or the Recipient’s obligations under this agreement. (b) The liquidation of funds under section 20.1 does not terminate this agreement or the Recipient’s obligations under this agreement.

16.5 Other Remedies. The termination authority under this article 16 supplements and does not limit the USDOT’s remedial authority under article 15 or 2 C.F.R. part 200, including 2 C.F.R. 200.339–200.340.

ARTICLE 17

MONITORING, FINANCIAL MANAGEMENT, CONTROLS, AND RECORDS

17.1 Recipient Monitoring and Record Retention.
(a) The Recipient shall monitor activities under this award, including activities under subawards and contracts, to ensure:
(1) that those activities comply with this agreement; and (2) that funds provided under this award are not expended on costs that are not allowable under this award or not allocable to this award. (b) If the Recipient makes a subaward under this award, the Recipient shall monitor the activities of the subrecipient in compliance with 2 C.F.R. 200.332(e). (c) The Recipient shall retain records relevant to the award as required under 2 C.F.R. 200.334.

17.2 Financial Records and Audits.
(a) The Recipient shall keep all project accounts and records that fully disclose the amount and disposition by the Recipient of the award funds, the total cost of the project, and the amount or nature of that portion of the cost of the project supplied by other sources, and any other financial records related to the project.

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(b) The Recipient shall keep accounts and records described under section 17.2(a) in accordance with a financial management system that meets the requirements of 2 C.F.R. 200.302–200.307, 2 C.F.R. part 200, subpart F, and title 23, United States Code, and will facilitate an effective audit in accordance with 31 U.S.C. 7501–7506. (c) The Recipient shall separately identify expenditures under the fiscal year 2023 SS4A grants program in financial records required for audits under 31 U.S.C. 7501–7506.

Specifically, the Recipient shall:
(1) list expenditures under that program separately on the schedule of expenditures of Federal awards required under 2 C.F.R. part 200, subpart F, including “FY 2023” in the program name; and
(2) list expenditures under that program on a separate row under Part II, Item 1 (“Federal Awards Expended During Fiscal Period”) of Form SF-SAC, including “FY 2023” in column c (“Additional Award Identification”).

17.3 Internal Controls. The Recipient shall establish and maintain internal controls as required under 2 C.F.R. 200.303.

17.4 USDOT Record Access. The USDOT may access Recipient records related to this award under 2 C.F.R. 200.337.

ARTICLE 18

CONTRACTING AND SUBAWARDS

18.1 Build America, Buy America. This award term implements § 70914(a) of the Build America, Buy America Act, Pub. L. No. 117-58, div. G, tit. IX, subtitle A, 135 Stat. 429, 1294 (2021), 2 CFR part 184, and Office of Management and Budget (OMB) Memorandum M-24-02, “Initial Implementation Guidance on Application of Buy America Preference in Federal Financial Assistance Programs for Infrastructure.” Requirement to Use Iron, Steel, Manufactured Products, and Construction Materials Produced in the United States.

The Recipient shall not use funds provided under this award for a project for infrastructure unless:
(1) all iron and steel used in the project are produced in the United States—this means all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States;
(2) all manufactured products used in the project are produced in the United States—this means the manufactured product was manufactured in the United States; and the cost of the components of the manufactured product that are mined, produced, or

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manufactured in the United States is greater than 55 percent of the total cost of all components of the manufactured product; and
(3) all construction materials are manufactured in the United States—this means that all manufacturing processes for the construction material occurred in the United States.

Inapplicability.

The domestic content procurement preference in this award term only applies to articles, materials, and supplies that are consumed in, incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools, equipment, and supplies, such as temporary scaffolding, brought to the construction site and removed at or before the completion of the infrastructure project. Nor does a Buy America preference apply to equipment and furnishings, such as movable chairs, desks, and portable computer equipment, that are used at or within the finished infrastructure project but are not an integral part of the structure or permanently affixed to the infrastructure project.

Waivers.

When necessary, the Recipient may apply for, and the USDOT may grant, a waiver from the domestic content procurement preference in this award term.

A request to waive the application of the domestic content procurement preference must be in writing. The USDOT will provide instructions on the waiver process and on the format, contents, and supporting materials required for any waiver request. Waiver requests are subject to public comment periods of no less than 15 days and must be reviewed by the Office of Management and Budget (OMB) Made in America Office.

When the USDOT has made a determination that one of the following exceptions applies, the awarding official may waive the application of the domestic content procurement preference in any case in which the USDOT determines that:
(1) applying the domestic content procurement preference would be inconsistent with the public interest;
(2) the types of iron, steel, manufactured products, or construction materials are not produced in the United States in sufficient and reasonably available quantities or of a satisfactory quality; or
(3) the inclusion of iron, steel, manufactured products, or construction materials produced in the United States will increase the cost of the overall project by more than 25 percent.

There may be instances where an award qualifies, in whole or in part, for an existing waiver described at https://www.transportation.gov/office-policy/transportation-policy/madein-america.

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Definitions
“Construction materials” means articles, materials, or supplies —that consist of only one of the items listed below in paragraph (1) of this definition, except as provided in paragraph (2) of this definition. To the extent that one of the items listed in paragraph (1) contains as inputs other items listed in paragraph (1), it is nonetheless a construction material:

(1) The listed Items are: • non-ferrous metals; • plastic and polymer-based products (including polyvinylchloride, composite building materials, and polymers used in fiber optic cables); • glass (including optic glass); • fiber optic cable (including drop cable) • optical fiber; • lumber; • engineered wood; and • drywall. (2) Minor additions of articles, materials, supplies, or binding agents to a construction material do not change the categorization of the construction material. “Domestic content procurement preference” means all iron and steel used in the project are produced in the United States; the manufactured products used in the project are produced in the United States; or the construction materials used in the project are produced in the United States.
“Iron or steel products” means articles, materials, or supplies that consist wholly or predominantly or iron or steel or a combination of both. “Manufactured products” means:
(1) Articles, materials, or supplies that have been: (i) Processed into a specific form and shape; or (ii) combined with other articles, materials, or supplies to create a product with different properties than the individual articles, materials, or supplies. (2) If an item is classified as an iron or steel product, a construction material, or a Section 70917(c) material under 2 CFR 184.4(e) and the definitions set forth in 2 CFR 184.3, then it is not a manufactured product. However, an article, material, or supply classified as a manufactured product under 2 CFR 184.4(e) and paragraph (1) of this definition may include components that are construction materials, iron or steel products, or Section 70917(c) materials.
“Predominantly of iron or steel or a combination of both” means that the cost of the iron and steel content exceeds 50 percent of the total cost of all its components. The cost of iron and steel is the cost of the iron or steel mill products (such as bar, billet, slab, wire, plate, or sheet),

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castings, or forging utilized in the manufacture of the product and a good faith estimate of the cost of iron or steel components.
“Project” means temporary or permanent construction, alteration, maintenance, or repair of infrastructure in the United States.
“Section 70917(c) materials” cement and cementitious materials; aggregates such as stone, sand, or gravel; or aggregate binding agents or additives.

18.2 Small and Disadvantaged Business Requirements. The Recipient shall expend all funds under this award in compliance with the requirements at 2 C.F.R. 200.321 (“Contracting with small businesses, minority businesses, women’s business enterprises, veteran-owned businesses, and labor surplus area firms”).

18.3 Engineering and Design Services. The Recipient shall award each contract or subcontract for program management, construction management, planning studies, feasibility studies, architectural services, preliminary engineering, design, engineering, surveying, mapping, or related services with respect to the project in the same manner that a contract for architectural and engineering services is negotiated under 2 C.F.R. 200.320 or an equivalent qualifications-based requirement prescribed for or by the Recipient.

18.4 Foreign Market Restrictions. The Recipient shall not allow funds provided under this award to be used to fund the use of any product or service of a foreign country during the period in which such foreign country is listed by the United States Trade Representative as denying fair and equitable market opportunities for products and suppliers of the United States in procurement and construction.

18.5 Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment. The Recipient acknowledges that Section 889 of Pub. L. No. 115-232, 2 C.F.R. 200.216 and 2 C.F.R. 200.471 prohibit the Recipient and all subrecipients from procuring or obtaining certain telecommunications and video surveillance services or equipment under this award.

18.6 Recipient Responsibilities for Subawards. If the Recipient makes a subaward under this award, the Recipient shall comply with the requirements on pass-through entities under 2 C.F.R. parts 200 and 1201, including 2 C.F.R. 200.331–200.333.

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18.7 Subaward and Contract Authorization. If the USDOT Office for Subaward Authorization identified in section 5.1 is “FHWA Office of Acquisition and Grants Management,” then the Recipient must follow the requirements in 2 C.F.R. 200.308 (f)(6) and 2 C.F.R. 200.333, as applicable, for the subaward of any SS4A Grant work under the Project-Specific Agreement. Approvals under 2 CFR 200.308(f)(6) do not apply to the procurement acquisition of goods and services.

ARTICLE 19

COSTS, PAYMENTS, AND UNEXPENDED FUNDS

19.1 Limitation of Federal Award Amount. Under this award, the USDOT shall not provide funding greater than the amount obligated on the SS4A Grant cover page, Item 11, Federal Funds Obligated. The Recipient acknowledges that USDOT is not liable for payments exceeding that amount, and the Recipient shall not request reimbursement of costs exceeding that amount.

19.2 Projects Costs. This award is subject to the cost principles at 2 C.F.R. part 200 subpart E, including provisions on determining allocable costs and determining allowable costs.

19.3 Timing of Project Costs.
(a) The Recipient shall not charge to this award costs that are incurred after the period of performance.
(b) The Recipient shall not charge to this award costs that were incurred before the effective date of award of this agreement, unless there has been an approval of preaward costs under 2 C.F.R. 200.458.

19.4 Recipient Recovery of Federal Funds. The Recipient shall make all reasonable efforts, including initiating litigation, if necessary, to recover Federal funds if the USDOT determines, after consultation with the Recipient, that those funds have been spent fraudulently, wastefully, or in violation of Federal laws, or misused in any manner under this award. The Recipient shall not enter a settlement or other final position, in court or otherwise, involving the recovery of funds under the award unless approved in advance in writing by the USDOT.

19.5 Unexpended Federal Funds. Any Federal funds that are awarded at section 10.1 but not expended on allocable, allowable costs remain the property of the United States.

19.6 Timing of Payments to the Recipient. When reimbursement is used, the Recipient shall not request reimbursement of a cost before the Recipient has entered an obligation for that cost.

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19.7 Payment Method. The USDOT may deny a payment request that is not submitted using the method identified in section 5.2.

19.8 Information Supporting Expenditures
(a) If the USDOT Payment System identified in section 5.2 is “DELPHI iSupplier,” then when requesting reimbursement of costs incurred or credit for cost share incurred, the Recipient shall electronically submit the SF-270 (Request for Advance or Reimbursement) or SF-271 (Outlay Report and Request for Reimbursement for Construction Programs), shall identify the Federal share and the Recipient’s share of costs, and shall submit supporting cost detail to clearly document all costs incurred. As supporting cost detail, the Recipient shall include a detailed breakout of all costs incurred, including direct labor, indirect costs, other direct costs, and travel. (b) If the Recipient submits a request for reimbursement that the USDOT determines does not include or is not supported by sufficient detail, the USDOT may deny the request or withhold processing the request until the Recipient provides sufficient detail.

19.9 Reimbursement Frequency. If the USDOT Payment System identified in section 5.2 is “DELPHI iSupplier,” then the Recipient shall not request reimbursement more frequently than monthly.

19.10 Match. The recipient should show on each request for reimbursement that at least 20 percent of the incurred costs will count towards match. If the recipient intends to vary the match percentage over the life of the project, it must communicate its plan to USDOT. The recipient is responsible for tracking match according to the plan. At the completion of the grant award, the cost share requirement must be met, and Federal funds must not exceed the project's Federal share.

ARTICLE 20

LIQUIDATION, ADJUSTMENTS, AND FUNDS AVAILABILITY

20.1 Liquidation of Recipient Obligations.
(a) The Recipient shall liquidate all obligations of award funds under this agreement not later than the earlier of (1) 120 days after the end of the period of performance or (2) the statutory availability to eligible entities date, which shall be 5 years after the date on which the grant is provided.
(b) Liquidation of obligations and adjustment of costs under this agreement follow the requirements of 2 C.F.R. 200.344–200.346.

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ARTICLE 21

AGREEMENT MODIFICATIONS

21.1 Bilateral Amendments. The parties may amend, modify, or supplement this agreement by mutual agreement in writing signed by the USDOT and the Recipient.

Either party may request to amend, modify, or supplement this agreement by written notice to the other party.

21.2 Unilateral Contact Modifications.
(a) The USDOT may update the contacts who are listed in sections 4.4 by written notice to all of the Recipient contacts who are listed in section 4.3.

21.3 USDOT Unilateral Modifications.
(a) The USDOT may unilaterally modify this agreement to comply with Federal law, including the Program Statute.
(b) To unilaterally modify this agreement under this section 21.3(a), the USDOT must provide a notice to the Recipient that includes a description of the modification and state the date that the modification is effective.

21.4 Other Modifications. The parties shall not amend, modify, or supplement this agreement except as permitted under sections 21.1, 21.2, or 21.3. If an amendment, modification, or supplement is not permitted under section 21.1, not permitted under section 21.2, and not permitted under section 21.3, it is void.

ARTICLE 22

CLIMATE CHANGE AND ENVIRONMENTAL JUSTICE

22.1 Climate Change and Environmental Justice. Consistent with Executive Order 14008, “Tackling the Climate Crisis at Home and Abroad” (Jan. 27, 2021), Attachment C documents the consideration of climate change and environmental justice impacts of the Project.

ARTICLE 23

RACIAL EQUITY AND BARRIERS TO OPPORTUNITY

23.1 Racial Equity and Barriers to Opportunity. Consistent with Executive Order 13985, “Advancing Racial Equity and Support for Underserved Communities Through the Federal Government” (Jan. 20, 2021), Attachment D documents activities related to the Project to improve racial equity and reduce barriers to opportunity.

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ARTICLE 24

FEDERAL FINANCIAL ASSISTANCE, ADMINISTRATIVE, AND NATIONAL

POLICY REQUIREMENTS

24.1 Uniform Administrative Requirements for Federal Awards. The Recipient shall comply with the obligations on non-Federal entities under 2 C.F.R. parts 200 and 1201.

24.2 Federal Law and Public Policy Requirements.
(a) The Recipient shall ensure that Federal funding is expended in full accordance with the United States Constitution, Federal law, and statutory and public policy requirements: including but not limited to, those protecting free speech, religious liberty, public welfare, the environment, and prohibiting discrimination. (b) The failure of this agreement to expressly identify Federal law applicable to the Recipient or activities under this agreement does not make that law inapplicable.

24.3 Federal Freedom of Information Act.
(a) The USDOT is subject to the Freedom of Information Act, 5 U.S.C. 552. (b) The Recipient acknowledges that the Technical Application and materials submitted to the USDOT by the Recipient related to this agreement may become USDOT records subject to public release under 5 U.S.C. 552.

24.4 History of Performance. Under 2 C.F.R 200.206, any Federal agency may consider the Recipient’s performance under this agreement when evaluating the risks of making a future Federal financial assistance award to the Recipient.

24.5 Whistleblower Protection.
(a) The Recipient acknowledges that it is a “grantee” within the scope of 41 U.S.C. 4712, which prohibits the Recipient from taking certain actions against an employee for certain disclosures of information that the employee reasonably believes are evidence of gross mismanagement of this award, gross waste of Federal funds, or a violation of Federal law related this this award.
(b) The Recipient shall inform its employees in writing of the rights and remedies provided under 41 U.S.C. 4712, in the predominant native language of the workforce.

24.6 External Award Terms and Obligations.
(a) In addition to this document and the contents described in article 29, this agreement includes the following additional terms as integral parts:

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(1) Appendix A to 2 C.F.R. part 25: System for Award Management and Universal Identifier Requirements;
(2) Appendix A to 2 C.F.R. part 170: Reporting Subawards and Executive Compensation;
(3) 2 C.F.R part 175: Award Term for Trafficking in Persons; and (4) Appendix XII to 2 C.F.R. part 200: Award Term and Condition for Recipient Integrity and Performance Matters.
(b) The Recipient shall comply with:
(1) 49 C.F.R. part 20: New Restrictions on Lobbying;
(2) 49 C.F.R. part 21: Nondiscrimination in Federally-Assisted Programs of the Department of Transportation—Effectuation of Title VI of the Civil Rights Act of 1964;
(3) 49 C.F.R. part 27: Nondiscrimination on the Basis of Disability in Programs or Activities Receiving Federal Financial Assistance; and
(4) Subpart B of 49 C.F.R. part 32: Governmentwide Requirements for Drug-free Workplace (Financial Assistance).

24.7 Incorporated Certifications. The Recipient makes the statements in the following certifications, which are incorporated by reference:
(1) Appendix A to 49 C.F.R. part 20 (Certification Regarding Lobbying).

ARTICLE 25

ASSIGNMENT

25.1 Assignment Prohibited. The Recipient shall not transfer to any other entity any discretion granted under this agreement, any right to satisfy a condition under this agreement, any remedy under this agreement, or any obligation imposed under this agreement.

ARTICLE 26
WAIVER

26.1 Waivers.
(a) A waiver granted by USDOT under this agreement will not be effective unless it is in writing and signed by an authorized representative of USDOT.

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(b) A waiver granted by USDOT under this agreement on one occasion will not operate as a waiver on other occasions.
(c) If USDOT fails to require strict performance of a provision of this agreement, fails to exercise a remedy for a breach of this agreement, or fails to reject a payment during a breach of this agreement, that failure does not constitute a waiver of that provision or breach.

ARTICLE 27

ADDITIONAL TERMS AND CONDITIONS

27.1 Effect of Planning and Demonstration or Implementation Award. Based on information that the Recipient provided to the USDOT, including the Grant Application, as indicated in section 2.5, this agreement designates this award as a Planning and Demonstration award or an Implementation award, as defined in the NOFO. The Recipient shall comply with the requirements that accompany that designation as listed in the FY 2023 Notice of Funding Opportunity for Safe Streets and Roads for All.

27.2 Disclaimer of Federal Liability. The USDOT shall not be responsible or liable for any damage to property or any injury to persons that may arise from, or be incident to, performance or compliance with this agreement.

27.3 Environmental Review
(a) In this section, “Environmental Review Entity” means:
(1) if the Project is located in a State that has assumed responsibilities for environmental review activities under 23 U.S.C. 326 or 23 U.S.C. 327 and the Project is within the scope of the assumed responsibilities, the State; and (2) for all other cases, the FHWA.
(b) Except as authorized under section 27.3(c), the Recipient shall not begin final design; acquire real property, construction materials, or equipment; begin construction; or take other actions that represent an irretrievable commitment of resources for the Project unless and until:
(1) the Environmental Review Entity complies with the National Environmental Policy Act, 42 U.S.C. 4321 to 4370m-12, and any other applicable environmental laws and regulations; and
(2) if the Environmental Review Entity is not the Recipient, the Environmental Review Entity provides the Recipient with written notice that the environmental review process is complete.

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(c) If the Recipient is using procedures for early acquisition of real property under 23 C.F.R. 710.501 or hardship and protective acquisitions of real property 23 C.F.R. 710.503, the Recipient shall comply with 23 C.F.R. 771.113(d)(1). (d) The Recipient acknowledges that:
(1) the Environmental Review Entity’s actions under section 27.3(a) depend on the Recipient conducting necessary environmental analyses and submitting necessary documents to the Environmental Review Entity; and
(2) applicable environmental statutes and regulation may require the Recipient to prepare and submit documents to other Federal, State, and local agencies. (e) Consistent with 23 C.F.R. 771.105(a), to the extent practicable and consistent with Federal law, the Recipient shall coordinate all environmental investigations, reviews, and consultations as a single process.
(f) The activities described in this agreement may inform environmental decisionmaking processes, but the parties do not intend this agreement to document the alternatives under consideration under those processes. If a build alternative is selected that does not align information in this agreement, then:
(1) the parties may amend this agreement under section 21.1 for consistency with the selected build alternative; or
(2) if the USDOT determines that the condition at section 16.1(a)(5) is satisfied, the USDOT may terminate this agreement under section 16.1(a)(5). (g) The Recipient shall complete any mitigation activities described in the environmental document or documents for the Project, including the terms and conditions contained in the required permits and authorizations for the Project.

27.4 Railroad Coordination. If the agreement includes one or more milestones identified as a “Railroad Coordination Agreement,” then for each of those milestones, the Recipient shall enter a standard written railroad coordination agreement, consistent with 23 C.F.R. 646.216(d), no later than the deadline date identified for that milestone, with the identified railroad for work and operation within that railroad’s right-of-way.

27.5 Relocation and Real Property Acquisition.
(a) The Recipient shall comply with the land acquisition policies in 49 C.F.R. part 24 subpart B and shall pay or reimburse property owners for necessary expenses as specified in that subpart.
(b) The Recipient shall provide a relocation assistance program offering the services described in 49 C.F.R. part 24 subpart C and shall provide reasonable relocation payments and assistance to displaced persons as required in 49 C.F.R. part 24 subparts D–E.

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(c) The Recipient shall make available to displaced persons, comparable replacement dwellings in accordance with 49 C.F.R. part 24.

27.6 Equipment Disposition.
(a) In accordance with 2 C.F.R. 200.313 and 1201.313, if the Recipient or a subrecipient acquires equipment under this award, then when that equipment is no longer needed for the Project that entity shall request disposition instructions from the FHWA. (b) In accordance with 2 C.F.R. 200.443(d), the distribution of the proceeds from the disposition of equipment must be made in accordance with 2 C.F.R. 200.310–200.316 and 2 C.F.R. 1201.313.
(c) The Recipient shall ensure compliance with this section (27.6) for all tiers of subawards under this award.

ARTICLE 28

MANDATORY AWARD INFORMATION

28.1 Information Contained in a Federal Award. For 2 C.F.R. 200.211:
(1) the “Federal Award Date” is the date of this agreement, as defined under section 30.2;
(2) the “Assistance Listings Number” is 20.939 and the “Assistance Listings Title” is “Safe Streets and Roads for All Grant Program”; and
(3) this award is not for research and development.

ARTICLE 29

CONSTRUCTION AND DEFINITIONS

29.1 Attachments. This agreement includes the following attachments as integral parts unless Attachments D-F are not required for certain Planning and Demonstration Grants:

Attachment A Performance Measurement Information
Attachment B Changes from Application
Attachment C Racial Equity and Barriers to Opportunity
Attachment D Climate Change and Environmental Justice Impacts Attachment E Labor and Workforce
Attachment F Critical Infrastructure Security and Resilience

29.2 Exhibits. The following exhibits, which are in the document titled “Exhibits to FHWA Grant Agreements Under the Fiscal Year 2023 SS4A Grant Program”, dated January

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4, 2024, and available at https://www.transportation.gov/grants/ss4a/grant-agreements, are part of this agreement.

Exhibit A Applicable Federal Laws and Regulations
Exhibit B Additional Standard Terms
Exhibit C Quarterly Performance Progress Reports: Format and Content Exhibit D Form for Subsequent Obligation of Funds

29.3 Construction. If a provision in the exhibits or the attachments conflicts with a provision in articles 1–30, then the provision in articles 1–30 prevails. If a provision in the attachments conflicts with a provision in the exhibits, then the provision in the attachments prevails.

29.4 Integration. This agreement constitutes the entire agreement of the parties relating to the SS4A grant program and awards under that program and supersedes any previous agreements, oral or written, relating to the SS4A grant program and awards under that program.

29.5 Definitions. In this agreement, the following definitions apply: “Program Statute” means the BIL section 24112 and statutory text under the heading “Safe Streets and Roads for All Grants” in title I of division J of the Infrastructure Investment and Jobs Act, Pub. L. No. 117-58 (November 15, 2021), and all other provisions of that act that apply to amounts appropriated under that heading. “Project” means the project proposed in the Grant Application, as modified by the negotiated provisions of this agreement. “SS4A Grant” means an award of funds that were made available under the SS4A NOFO. “Grant Application” means the application identified in section 2.1, including Standard Form 424 and all information and attachments submitted with that form through Grants.gov.

ARTICLE 30

AGREEMENT EXECUTION AND EFFECTIVE DATE

30.1 Counterparts. This agreement may be executed in counterparts, which constitute one document. The parties intend each countersigned original to have identical legal effect.

30.2 Effective Date. The agreement will become effective when all parties have signed it.

The effective date of this agreement will be the date this agreement is signed by the last party to sign it. This instrument constitutes a SS4A Grant when the USDOT’s authorized representative signs it.

4899-5371-9117, v. 1
EXHIBIT “D”

DISCLOSURE OF LOBBYING ACTIVITIES

4899-5371-9117, v. 1

DISCLOSURE OF LOBBYING ACTIVITIES
COMPLETE THIS FORM TO DISCLOSE LOBBYING ACTIVITIES PURSUANT TO 31 U.S.C. 1352

1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type:
a. contract a. bid/offer/application a. initial
b. grant b. initial award b. material change
c. cooperative agreement c. post-award
d. loan For Material Change Only:
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:

Prime Subawardee
Tier _____ , if known
Congressional District, if known Congressional District, if known

6. Federal Department/Agency: 7. Federal Program Name/Description:

CFDA Number, if applicable_________________

8. Federal Action Number, if known: 9. Award Amount, if known:

10. Name and Address of Lobby Entity 11. Individuals Performing Services (If individual, last name, first name, MI) (including address if different from No. 10) (last name, first name, MI)
(attach Continuation Sheet(s) if necessary)

12. Amount of Payment (check all that apply) 14. Type of Payment (check all that apply) $____________ actual planned a. retainer
b. one-time fee

13. Form of Payment (check all that apply): c. commission a. cash d. contingent fee
b. in-kind; specify: nature __________ e. deferred
Value ___________ f. other, specify ___________________

15. 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 12:
(attach Continuation Sheet(s) if necessary)

16. Continuation Sheet(s) attached: Yes No

17.Information requested through this form is authorized by Title 31 U.S.C. Section 1352. This disclosure of lobbying reliance was placed by the tier above when his transaction was made or entered into. This disclosure is required
pursuant to 31 U.S.C. 1352. This information will be
reported to Congress semiannually and will be available for public inspection. Any person who fails to file the required disclosure shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each
such failure.

Signature: ___________________________________
Print Name: __________________________________
Title:________________________________________
Telephone No.: _________________ Date: _________

Authorized for Local Reproduction
Federal Use Only: Standard Form - LLL Standard Form LLL Rev. 04-28-06 Distribution: Orig- Local Agency Project Files

4899-5371-9117, v. 1

INSTRUCTIONS FOR COMPLETING EXHIBIT D - DISCLOSURE OF LOBBYING ACTIVITIES This disclosure form shall be completed by the reporting entity, whether subawardee or prime federal recipient at the initiation or receipt of covered federal action or a material change to previous filing pursuant to title 31 U.S.C.

Section 1352. The filing of a form is required for such payment or agreement to make payment to 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. Attach 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 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 subaward recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the first 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 organization 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 identification in item 1 (e.g., Request for Proposal (RFP) number, Invitation for Bid (IFB) number, grant announcement number, the contract grant. 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 commitments for the prime entity identified in item 4 or 5.

10. 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.

11. Enter the 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).

12. 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.

13. Check all boxes that apply. If payment is made through an in-kind contribution, specify the nature and value of the inkind payment.

14. Check all boxes that apply. If other, specify nature.

15. 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 officer(s) or employee(s) contacted or the officer(s) employee(s) or Member(s) of Congress that were contacted.

16. Check whether or not a continuation sheet(s) is attached.

17. The certifying official shall sign and date the form, and print his/her name title and telephone number.

4899-5371-9117, v. 1
Public reporting burden for this collection of information is estimated to average 30-minutes per response, including time for reviewing instruction, 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. SF-LLL-Instructions Rev. 06-04

Item No. 4.8
City of Laguna Hills
City Council / Planning Agency
Staff Report
Date: June 24, 2025
To: Mayor and Council Members
From: Joe Ames, Assistant City Manager
Issue: Award of a Professional Services Agreement to GMU Geotechnical, Inc. for On-Call Plan Check, Geotechnical and Pavement Engineering and Inspection Consulting Services
Recommendation: That the City Council approve the proposed Professional Services Agreement with GMU Geotechnical, Inc., in the amount of $50,000, and authorize the City Manager to execute the Agreement.

Background:

The City's staffing model requires reliance upon professional on-call consultant services for staff support of a variety of initiatives and responsibilities and for capital improvement project implementation in the areas of civil engineering, project management, and related support services. City staff has determined that there is a need to retain the professional services of a qualified licensed civil engineering firm to provide certain plan check, geotechnical, and pavement engineering and inspection consulting services that may be required on an as-needed, on-call basis. To this end, City staff contacted GMU Geotechnical, Inc., a local geotechnical engineering company with the requisite experience. GMU Geotechnical, Inc. submitted a proposal, dated May 22, 2025, to the City to provide professional civil engineering consulting services pursuant to the terms and conditions of the proposed Professional Services Agreement, attached. GMU Geotechnical, Inc. has provided the City with excellent service in the past, and City staff desire to retain GMU Geotechnical, Inc. during FY 2025-2026 for plan check, geotechnical, and pavement engineering and inspection consulting services.

While the proposed Professional Services Agreement is within the City's Manager's procurement authority as provided within Chapter 3-08 of the Laguna Hills Municipal

Item No. 4.8
Code, historically, when the City has multiple contracts with the same firm in effect at the same time, the maximum contract amount of any subsequent contract entered into with that same firm for different services are aggregated for purposes of determining contracting authority. And, if after aggregating the total contract amounts, the total of the contracts exceeds $50,000, then each subsequent contract may, at the City Manager's direction, be taken to City Council for approval. GMU Geotechnical, Inc. has an existing contract to provide geotechnical engineering, pavement design, and testing services for the Paseo de Valencia and La Paz Road Pavement Rehabilitation Project, CIP 104/109, in the not-to-exceed contract amount of $90,000. Therefore, this proposed on-call Professional Services Agreement together with the existing Professional Services Agreement for CIP 104/109 exceeds the $50,000 threshold.

Fiscal Impact:

The continued use of professional consultant services for on-call plan check, geotechnical, and pavement engineering and inspection consulting services is incorporated and considered in the annual Public Works Department Operating Budget as well as in the related Capital Improvement Program Budget. A portion of the compensation to the professional consultant may be offset by revenues generated through reimbursements as relates to review of private development geotechnical engineering reports. By entering into this on-call Professional Services Agreement for as-needed services, the City is neither obligating itself nor guaranteeing any compensation to GMU Geotechnical, Inc. The proposed Professional Services Agreement establishes an annual maximum compensation of $50,000.

Attachments:

1. Proposed Professional Services Agreement with GMU Geotechnical, Inc

Item No. 4.9
City of Laguna Hills
City Council / Planning Agency
Staff Report
Date: June 24, 2025
To: Mayor and Council Members
From: Joe Ames, Assistant City Manager
Issue: Amendment No. 1 to Citywide Weed Abatement Maintenance Services Agreement with Specialty Mowing Services, Inc.

Recommendation: That the City Council approve proposed Amendment No. 1 to the current Citywide Weed Abatement Maintenance Services Agreement with Specialty Mowing Services, Inc., and authorize the Mayor to execute the Agreement.

Background:

On April 21, 2020, City Council approved the current five-year Citywide Weed Abatement Maintenance Services Agreement with Specialty Mowing Services, Inc. to provide full-service weed abatement maintenance services for the purpose of reducing fire hazards and removing unwanted debris in accordance with the City's established Weed Abatement Specifications on a scheduled basis and on-call, as-needed basis. The current Agreement expires June 30, 2025. The current Agreement allows for one (1) three-year extension on the same terms and conditions as the original Agreement.

Specialty Mowing Services, Inc. has provided excellent service to the City and support to City staff over the past five years. Consequently, City staff recommend that City Council approve proposed Amendment No. 1 to the current Citywide Weed Abatement Maintenance Services Agreement with Specialty Mowing Services, Inc. to provide continued weed abatement services for another three years, ending June 30, 2028.

Fiscal Impact:

The continued use of full-service weed abatement maintenance services is incorporated and considered in the annual Public Works Department Operating Budget. By entering into this on-call Maintenance Services Agreement for as-needed services, the City is

Item No. 4.9
neither obligating itself nor guaranteeing any compensation to Specialty Mowing Services, Inc. The proposed Maintenance Services Agreement increases the Maximum Contract Amount set forth in Section 2.1 of the Agreement by $300,000 from $265,000 to $565,000.

Attachments:

1. Maintenance Service Agreement with Speciality Mowing, Inc.

2. Proposed Amendment No 1 to MSA with Speciality Mowing, Inc.

1 4934-5980-4750, v. 1
AMENDMENT NO. 1

TO CITYWIDE WEED ABATEMENT MAINTENANCE SERVICES AGREEMENT Specialty Mowing Services, Inc.

THIS FIRST AMENDMENT to the Specialty Mowing Services, Inc., Citywide Weed Abatement Maintenance Services Agreement (the "Amendment" or “Amendment No. 1”) is made and entered into to be effective this 24th day of June 2025, by and between the CITY OF LAGUNA HILLS, a municipal corporation organized and existing under the laws of the State of California, (hereinafter referred to as "City") and SPECIALTY MOWING SERVICES, INC., a California corporation (hereinafter referred to as “Contractor"). City and Contractor are sometimes hereinafter individually referred to as "Party" and are hereinafter collectively referred to as "Parties".

RECITALS
A. City and Contractor previously entered into that certain Maintenance Services Agreement for the provision of citywide full-service weed abatement maintenance services for the purpose reducing fire hazards and to remove unwanted debris in accordance with the City's established Weed Abatement Specifications on a scheduled as well as on-call, as-needed basis, which was made and entered into on May 1, 2020 (the “Agreement”), and which may be duly amended, in writing, from time to time by the Parties. Sections 1.8 (Additional Services), 2.4 (Changes in Scope), 3.3 (Term), and 10.2 (Entire Agreement) of the Agreement provide that the Agreement may be amended to provide for additional services, the term extended, and to include additional fees for services requested in writing at any time by mutual consent of the Parties.

More specifically, Section 3.3 of the Agreement provides that at the conclusion of the initial three (3) year term (“Initial Term”), at its sole option and discretion, the City may renew and extend the term of this Agreement for no more than one (1) additional period of three (3) years, ending on June 30, 2028, under the same terms and conditions (“Renewal Option”).

B. Unless amended by mutual written agreement of the Parties, the Agreement is currently scheduled to expire on June 30, 2025 by operation of its own terms. Contractor has now requested that the term of the Agreement be extended for three (3) additional years, pursuant to Section 3.3 of the Agreement (“Renewal Option”), in order for Contractor to provide continued uninterrupted weed abatement maintenance services at the same hourly rates and charges and unit pricing and under the same terms and conditions as established and set forth in the Agreement.

C. Toward this end, the Parties now mutually desire to enter into this Amendment No. 1 for the purpose of extending the term of the Agreement for three (3) additional years in order to provide for continued uninterrupted weed abatement maintenance services at the same hourly rates and charges and unit pricing and under the same terms and conditions as established and set forth in the Agreement, as well as to increase the Maximum Contract Amount set forth in Section 2.1 of the Agreement by $300,000 from $265,000 to $565,000.

2 4934-5980-4750, v. 1
NOW, THEREFORE, in consideration of the mutual promises and covenants herein, the Parties agree as follows:

AGREEMENT

1. Amendment to Section 3.3, entitled “Term,” of the Agreement. Section 3.3 of the Agreement is hereby amended as follows:

The Parties understand and mutually agree that the term of the Agreement is hereby extended for one additional three (3) year term, commencing on July 1, 2025, and ending on June 30, 2028, under the same terms and conditions as set forth in the Agreement (“Renewal Option”).

2. Amendment to Section 2.1, entitled "Maximum Contract Amount," of the Agreement.

Section 2.1 of the Agreement is hereby amended and restated in its entirety to read as follows: “2.1 Maximum Contract Amount. For the Services and Work rendered pursuant to this Agreement, Contractor shall be compensated by City in accordance with the Schedule of Compensation/Fees/Rates and Unit Prices set forth in Contractor’s Proposal/Scope of Work (Exhibit "A"), but not exceeding the total maximum contract amount of Five Hundred Sixty-Five Thousand Dollars ($565,000) (hereinafter referred to as the "Maximum Contract Amount"), except as may be provided pursuant to Section 1.8 above and Section 2.4 below. Compensation shall be payable according to the fees and at the rates, charges, and unit prices set forth in Exhibit “A” attached hereto. The Maximum Contract Amount shall include the attendance of Contractor at all Project meetings deemed reasonably necessary by the City. Contractor shall not be entitled to any increase in the Maximum Contract Amount for attending these meetings. The maximum amount of City’s payment obligation under this Agreement is the amount specified in this section.”

3. Full Force and Effect. This Amendment No. 1 is supplemental to the Agreement and is by reference made part of said Agreement. All of the terms, conditions, and provisions, thereof, unless specifically modified herein, shall continue in full force and effect. In the event of any conflict or inconsistency between the provisions of this Amendment and any provisions of the Agreement, the provisions of this Amendment No. 1 shall in all respects govern and control.

4. Recitals. The above-referenced Recitals are hereby incorporated into this Amendment No. 1 as though fully set forth herein and made part of the Agreement and each Party acknowledges and agrees that such Party is bound, for purposes of this Agreement, by the same.

3 4934-5980-4750, v. 1

5. Corporate Authority. Each of the undersigned represents and warrants that (i) the Party for which he/she is executing this Amendment is duly authorized and existing, (ii) he/she is duly authorized to execute and deliver this Amendment on behalf of the Party for which he/she is signing, (iii) by so executing this Amendment, the Party for which he/she is signing is formally bound to the provisions of this Amendment, and (iv) the entering into this Amendment does not violate any provision of any other agreement to which the Party for which he/she is signing is bound.
[SIGNATURES ON NEXT PAGE]

4 4934-5980-4750, v. 1
IN WITNESS WHEREOF, the Parties have executed and entered into this Amendment to the Agreement as of the date first written above. "CITY" CITY OF LAGUNA HILLS, a California municipal
corporation
By: ______________________________________

JOSHUA SWEENEY,
Mayor
ATTEST:

By:________________________________
JENNIFER LEE, City Clerk
APPROVED AS TO FORM:

By:________________________________
GREGORY E. SIMONIAN,
City Attorney
"CONTRACTOR"
SPECIALTY MOWING SERVICES, INC., a
California corporation
By:

Name: MARTTI SILVOLA
Its: President/Secretary

Item No. 4.10
City of Laguna Hills
City Council / Planning Agency
Staff Report
Date: June 24, 2025
To: Mayor and Council Members
From: Joe Ames, Assistant City Manager
Issue: Assignment and Assumption of Lease and First Amendment to Lease with Premier Group International, an Investigative and Security Corporation, a California corporation, for 24031 El Toro Road, Suite 203, Laguna Hills, California
Recommendation: That the City Council: 1. Approve the proposed assignment and assumption agreement for 24031 El Toro Road, Suite 203, Laguna Hills, California;

2. Approve the first amendment to the lease agreement with Premier Group International, an Investigative and Security Corporation, a California corporation, for 24031 El Toro Road, Suite 203, Laguna Hills, California; and 3. Authorize the City Manager to make minor modifications, as necessary, to the assignment and assumption agreement and to the first amendment to the lease agreement and to execute both agreements.

Background:

City staff and the Civic Center property management company, Essex Realty Management, Inc., have negotiated a three-year lease renewal with Premier Group International, an Investigative and Security Corporation, a California corporation, for 24031 El Toro Road, Suite 203. Premier Group International currently operates a private investigative service, and has been leasing space in the Civic Center since 2019 under its former corporate name, "Premier Group International." The current lease was executed March 22, 2022 for a three-year period starting May 1, 2022 and expiring April 30, 2025. The first amendment to the lease has been included as an attachment to this staff report. City staff is recommending approval of the lease amendment. As part of the first amendment to the lease, City staff is also recommending approval of the assignment and assumption agreement to allow for Premier Group International to

Item No. 4.10
change its official name as lessor from "Premier Group International" to "Premier Group International, an Investigative and Security Corporation." CEQA Findings:

Environmental review is not required under the California Environmental Quality Act (CEQA) pursuant to the California Code of Regulations, Title 14, Chapter 3, Section 15301 as a Class 1 Categorical Exemption – “Existing Facilities.” Fiscal Impact:

The following is a summary of the key lease terms and financial analysis:

Commencement Date: May 1, 2025
Term: Thirty-six (36) months
Rentable Square Feet: 1,151
Estimated Upfront
Capital: $3,362.00
Base Rent: Months 1-36: $3,291.03 per month (~$2.87/SF/month) Total Estimated Rent
Payments: $118,477.08
The Base Rent includes the lessee’s share of eligible operating expenses (also known as common area maintenance charges) for the first year. In the second and subsequent years, any increases in eligible operating expenses will be borne, proportionally, by the lessee up to 4% annually.

Upfront Capital includes leasing commissions and tenant improvements (or allowances for tenant improvements). The negotiated first amendment to the lease includes carpet cleaning at the Lessor's (City's) expense, estimated at $400. Essex Realty, per the terms of the existing property management agreement, will receive approximately $2,962 for its lease commission (2.5% of total rent consideration). This is substantially lower than what would have been paid in commissions to the procuring broker if the space had been leased to someone not currently a tenant.

Attachments:

1. Proposed Assignment & Assumption of Lease for Suite 203

2. Proposed Amendment No. 1 to Lease for Suite 203

Item No. 4.11
City of Laguna Hills
City Council / Planning Agency
Staff Report
Date: June 24, 2025
To: Mayor and Council Members
From: Joe Ames, Assistant City Manager
Issue: First Amendment to Lease with Layla Fijany, DDS MS Corp., a California corporation, for 24031 El Toro Road, Suite 205, Laguna Hills, California Recommendation: That the City Council: 1. Approve the first amendment to the lease agreement with Layla Fijany, DDS MS Corp., a California corporation, for 24031 El Toro Road, Suite 205, Laguna Hills, California; and 2. Authorize the City Manager to make minor modifications, as necessary, to the first amendment to the lease agreement and to execute the first amendment to the lease agreement.

Background:

City staff and the Civic Center property management company, Essex Realty Management, Inc., have negotiated an amendment to the existing ten-year lease with Layla Fijany DDS MS Corp, a California corporation, for 24031 El Toro Road, Suite 205.

Dr. Layla Fijany plans to open a new orthodontic practice in Suite 205 this Fall 2025.

As City Council may recall, during the May and June 2023 Special Study Session Budget Workshops, City staff presented an overview of the Civic Center Enterprise Fund’s historical profits and losses, reviewed needed capital improvements, and requested funding for capital improvement projects. During that discussion, City staff indicated Suite 205 had never been built out and made ready for leasing, and consequently, this has been lost revenue. In June 2023, City Council authorized the transfer of $850,000 in general fund reserves to CIP 505, Civic Center Improvements, for the build-out of tenant improvements for Suite 205 and other improvements at the Civic Center.

Because the Civic Center is owned by the City of Laguna Hills (“lessor”), if the City provides any tenant improvement funding to a tenant (“lessee”), any subsequent

Item No. 4.11
construction improvement project may be considered a “public works project” subject to California Labor Code Section 1720. This may require that anyone working on a tenant improvement project be paid prevailing wages as determined by the Department of Industrial Relations regardless if the contractor was hired by the lessee or the lessor. Therefore, in part due to Labor Code Section 1720, City staff recommended the build-out of Suite 205 to make it ready to lease to relieve any potential lessee from the expense of paying prevailing wages to construction workers.

Between July 2023 and May 2024, City staff simultaneously worked to develop plans and specifications for tenant improvements to Suite 205 to make it ready for leasing for use as a “traditional office” suite, while also authorizing Essex Realty Management, Inc., the City’s property management company for the Laguna Hills Civic Center, to market the space for lease.

On May 14, 2024, City Council approved the plans and specifications and authorized the advertisement for bids for the Laguna Hills Civic Center Suite 205 Tenant Improvements Project, CIP No. 505-B. Construction bids were opened on June 20, 2024. The lowest responsive, responsible bidder provided a bid of $289,000.

During the bidding process in early June 2024, Essex Realty Management, Inc., received an offer from a new orthodontic practice, Layla Fijany, DDS MS Corp., for a 10-year lease of Suite 205. At the time, the market rate for medical office use (an orthodontic practice is considered a medical use) in shell form was approximately $3.50 per square foot, with the lessor contributing approximately $100/square foot for tenant improvements to the lessee. This would equate to a tenant improvement allowance of approximately $234,000. Therefore, in lieu of providing a tenant improvement allowance to the lessee, City staff and Essex negotiated a lease that: 1. reduced the 10- year lease rate and provided for rent abatement for a period of five months congruent with the lessee’s expected cost of building out the suite for use as a dental office, and

2. started the lease term upon the issuance of a certificate of occupancy or 180 days after the execution of the lease. This 10-year, five-month lease was approved by City Council on July 9, 2024 and, after additional negotiations with Dr. Fijany, was entered into on October 23, 2024.

The lease with Dr. Layla Fijany saved City staff time that would otherwise have been spent on managing a very specialized tenant improvement project, preserved funding in CIP No. 505 (Civic Center Improvements) for other capital improvements, and allowed the lessee complete control over the design and tenant improvements. The lease requires the City to provide rough electrical, plumbing, and HVAC in the unit at its own expense, which is typical, and has already been completed.

Item No. 4.11
Currently, Dr. Fijany's contractor is diligently working on the tenant improvements.

Some field issues arose that will delay the opening of the orthodontic practice, some of which were not within the control of Dr. Fijany or her contractor. Dr. Fijany's broker has requested that the lessor (City) provide four additional months of rent abatement. In a show of good faith, City staff and the Civic Center property management company agreed to the additional rent abatement, subject to City Council approval, and negotiated a four-month extension of the lease so that the total amount of rent collected will remain substantially the same. The amendment to the existing lease agreement is presented for City Council approval.

CEQA Findings:

Environmental review is not required under the California Environmental Quality Act (CEQA) pursuant to the California Code of Regulations, Title 14, Chapter 3, Section 15301 as a Class 1 Categorical Exemption – “Existing Facilities.” Fiscal Impact:

None. The original commencement date of the base rate rent was set to commence on April 21, 2025, with the following five months (April 21, 2025 to September 30, 2025) considered an abatement period negotiated as part of the original lease. The proposed additional four months of rent abatement will run from October 1, 2025, through January 31, 2026. However, the proposed amendment to the lease agreement extends the lease by an additional four months, preserving the total rent to be collected over the course of the lease.

Attachments:

1. Proposed First Amendment to Lease for Suite 205

Item No. 4.12
City of Laguna Hills
City Council / Planning Agency
Staff Report
Date: June 24, 2025
To: Mayor and Council Members
From: Joe Ames, Assistant City Manager
Issue: Adoption of Fiscal Year 2025/2026 Civic Center Budget Recommendation: That the City Council approve and adopt the FY2025/2026 Civic Center Budget.

Background:

The Laguna Hills Civic Center is a standalone enterprise fund operation of the City.

Altogether, there are 51,970 square feet of leasable office space in the Civic Center. The City currently occupies 20,843 square feet and leases 31,127 square feet to outside parties.

For the 2025/2026 fiscal year, Essex Realty Management, Inc., the property management company the City uses to manage the day-to-day operations of the Civic Center, is recommending a proposed Civic Center Budget that will generate a net income of $48,385. However, after anticipated leasing commissions totaling $60,717 and proposed one-time capital improvements totaling approximately $202,000, the budget estimates a short-term net loss of $214,332.

Proposed one-time capital improvements for the 2025/2026 fiscal year include replacement of the elastomeric roof coating on the west side of the building, the anticipated replacement of four water heat source pumps throughout the year, and termite fumigation (tenting of the building). All of these capital improvements will actually be funded by CIP No. 505.

On March 14, 2023, the City Council approved the transfer of $850,000 from general fund reserves to CIP No. 505, Civic Center Improvements. On February 13, 2024, the

Item No. 4.12
City Council approved the transfer of $192,125 from CIP No. 505 to the Civic Center Enterprise Fund for the reimbursement of capital improvement projects managed by Essex for contracting efficiency. As of June 17, 2025, the total fiscal activity for FY2024/2025 has been $199,067 and the remaining balance in CIP No. 505 is $320,440, which is sufficient for the work contemplated in the proposed budget.

The proposed FY2025/2026 Civic Center Budget is based on the following significant assumptions:
• Suite 205 rent starts February 1, 2026.
• The Civic Center remains fully occupied (all available lease space is rented).

Included as an attachment to this report is the proposed FY2025/2026 Civic Center Budget.

CEQA Findings:

CEQA Guidelines Section 15378 specifically excludes organizational or administrative activities of government that will not result in direct or indirect physical changes in the environment.

Fiscal Impact:

The proposed FY2025/2026 Civic Center Budget includes the following highlights:

Budget Highlights Totals
Income (Rent and Common Area Maintenance Charges) $852,745.00 Expenses (Direct and Indirect) $804,360.00
Estimated Net Income (Income minus Expenses) $48,385.00 Leasing Commission Expenses ($60,717.00)
Capital Improvement Expenses ($202,000.00)
Short Term Net Loss ($214,332.00)
The separate enterprise fund managed by Essex Reality Management, Inc. has a fund balance of $109,384.56 as of May 31, 2025.

While the proposed FY2025/2026 Civic Center Budget projects a net loss of $214,332 after proposed capital improvement expenses and leasing commissions, this net loss is mostly due to the proposed capital improvement expenses, which can be funded by CIP

Item No. 4.12
No. 505, Civic Center Improvements. At this time, City staff is not recommending any additional funds be transferred from General Fund reserves to CIP No. 505 or the Civic Center enterprise fund.

It should be noted that with Suite 205 being rented and paying rent starting in February 2026, the Assistant City Manager estimates that the net income will increase by $67,478 in FY26/27.

Attachments:

1. Laguna Hills Civic Center FY2025/2026 Budget

Reviewed an Approved: _________________________________________ Dated: _________________________________________
PREPARED BY:

Property Manager: Chris Johar
Accountant: Vasuki Sathialingum
2025-2026 BUDGET

THE CITY OF LAGUNA HILLS CIVIC CENTER
24031-24035 El Toro Road, Laguna Hills, CA
PREPARED FOR:

The City of Laguna Hills
6/10/2025
TITLE PG (2), NEW DRAFT LHC 2025-2026 Fiscal YR Budget.xlsx

A. HISTORIC SUMMARY
B. DETAIL PROFORMA (MRI)
C. MONTHLY SUITE FORECAST (MRI)
D. REVENUE ASSUMPTION WORKSHEET
E. EXPENSE ASSUMPTION WORKSHEET
F. MONTHLY OCCUPANCY SUMMARY

TABLE OF CONTENTS
NEW DRAFT LHC 2025-2026 Fiscal YR Budget.xlsx
ESSEX REALTY MANAGEMENT, INC.
6/10/2025

THE CITY OF LAGUNA HILLS CIVIC CENTER
2025-2026 BUDGET

HISTORIC SUMMARY
Project Size 51,946
2022/2023 2023/2024 2024/2025 2025/2026
Actuals Actuals Annualized Fiscal Budget COMMENTS
REVENUES:

Rental Income 1,224,370 1,285,411 1,262,168 1,371,525
Contra Revenue (549,965) (549,965) (549,965) (549,965)
CAM Income 143,049 167,026 163,772 176,517
Contra CAM (124,180) (157,820) (129,978) (145,332)
CAM Rec. Rev. 22,835 57,275 0 0
Late Fee Revenue 0 0 170 0
NSF Revenue 0 0 0 0
Other Revenue 7,511 11,858 8,411 0
TOTAL REVENUES: 723,620 813,785 754,578 852,746
AVERAGE OCCUPANCY: 88% 90% 92% 100%
DIRECT OPERATING EXPENSES: psf/yr
Security 7,554 4,179 9,633 3,915 $0.08
Cleaning 127,273 133,527 138,715 138,064 $2.66
Management Fee 52,705 54,104 54,767 57,768 $1.11
HVAC 78,056 39,251 44,950 47,408 $0.91
Elevator 11,669 8,279 11,494 12,941 $0.25
Repairs & Maintenance 138,299 101,379 90,877 98,169 $1.89 Utilities 178,780 201,484 201,342 209,420 $4.03
Parking Lot 9,154 6,369 19,435 10,426 $0.20
Landscaping 35,322 36,027 44,745 39,745 $0.77
Insurance 155,537 125,000 128,384 130,000 $2.50
Real Estate Taxes 9,325 10,942 11,873 12,110 $0.23
Non-Reimb Expense 0 1,156 0 0 $0.00
DIRECT OPERATING EXPENSES: 803,674 721,697 756,215 759,966 $14.63 Direct Expenses psf/year $15.47 $13.89 $14.56 $14.63
Direct Expenses psf/month $1.289 $1.158 $1.213 $1.219 0.5% NET OPERATING INCOME: ($80,054) $92,088 ($1,637) $92,780 INDIRECT OPERATING EXPENSES:

Lease Commission Expense 0 0 0 2,509
Variance due to additional interior plants installation in 2024 for the City, $4,361; (4) privacy planter installation, $825.

Variance due to 1-year lease renewals commission expense.

Renewals include: Suite 250A, B, C, D, E, and 220.

Variance due to an increase in occupancy, i.e., Suite 300, 205, 320, and 255
Variance due to multiple unanticipated repairs in 2024, i.e., electrical tree receptacles, $4,270; 36-in ground lights installation, $4,900.

Variance due to multiple unanticipated services in 2024 - assist with annual elevator compliance inspection in 2024, $1,950; fire system underground wire conduit, $4,175;
cellular communicator upgrade, $3,675
Variance contracting different nighttime janitorial services - MBM Services. The cost per square foot is less than that of the current janitorial company, $74,484
Variance due to the increase in occupancy.

Variance due to HVAC repair contingency has not been fully utilized in 2024 - the monthly contingency rate remains the same in 2025.

Variance due to elevator repair contingency has not been fully utilized in 2024 - the monthly contingency rate remains the same in 2025; annual testing for two elevators, $3,500.

Variance due to roof, f/s, plumbing, door and locks,
contingency repair has not been fully utilized in 2024; the contingency rate remains the same in 2025. Plus, wages
increase for onsite maintenance to 5%.

Standard annual percentage increase 4%
NEW DRAFT LHC 2025-2026 Fiscal YR Budget.xlsx
ESSEX REALTY MANAGEMENT, INC.
6/16/2025

Advertising & Promotions 3,347 4,044 2,870 7,250
Legal Fees 167 0 0 600
Admin & Professional Expense 725 9,365 305 600
Environmental Expense 224 2,484 1,625 1,575
Vacant/Tenant Space Refurbishment 8,327 1,710 0 2,000
Repairs & Maint. Indirect 14,740 41,688 29,390 29,861
Interest Income (129) 591,725 0 0
Total Indirect Oper. Costs: 27,401 651,016 34,190 44,395 NET INCOME AFTER INTEREST: (107,455) (558,928) (35,827) 48,385 Capital Expenses:

Capital Improvements
0 144,768 86,151 202,000
Tenant Improvements 13,100 39,781 0 0
Lease Commissions 5,094 21,355 37,427 60,716
Total Capital Expenses: 18,194 205,904 123,578 262,716
NET CASHFLOW AFTER CAPITAL: (125,649) (764,832) (159,405) (214,331) Other Adjustments 0 (570,072) (24,559) 0
OWNER (CONTRIB.) 0 (129,125) 0 0
OWNER DISTRIB. 0 0 0 0
NET CASHFLOW: (125,649) (65,635) (134,846) (214,331)
Variance in 2024 has not been fully utilized; deferred to 25/26. Budget Yr for west section roof repair, $36,000; (4) WHSP unit replacement, $56,000; Termite fumigation,
$110,000
See revenue assumptions
See revenue assumptions
Variance due to legal fees contingency has not been utilized.

Variance due to the City's indirect repair and maintenance initially budgeted at $5,000 per quarter in 2024 has not been fully utilized. The rate has been reduced to $3,500 per quarter for 2025.

Variance due to holiday décor refresh and new ornament
replacement, $4,750. Plus, the tenant appreciation Christmas party is hosted by the City.

Contingency in 2024 has not been fully utilized.

NEW DRAFT LHC 2025-2026 Fiscal YR Budget.xlsx
ESSEX REALTY MANAGEMENT, INC.
6/16/2025

Database: Budgeting and Forecasting Detail Proforma Page: 1 Date:

Time:

Total
Report:

Base Currency:

ESSEXREALTY
6/16/2025
Essex Realty SaaS DB 8:09 PM
Accrual
1623
2025 - 742 - Fiscal
B&F Budget:

Budget amounts from 07/25 to 06/26
07/25 08/25 09/25 10/25 11/25 12/25 01/26 02/26 03/26 04/26 05/26 06/26 BF_PROFORMD Detailed & Summarized
Entity: CITY OF LAGUNA HILLS
INCOME
4100-0000 Rent 110,369 111,140 112,498 112,498 107,263 113,024 113,110 118,733 118,733 118,733 117,282 118,140 1,371,525 - AGATHA GLOBAL TECH (RNT) 742-304 1,537 1,537 1,537 1,537 1,537 1,583 1,583 1,583 1,583 1,583 1,583 1,583 18,764 - ALAN & DOMARINA PACE (RNT) 742-250C 637 637 637 637 637 637 0 0 0 0 0 0 3,824 - ALAN & DOMARINA PACE (RNT) 742-250C 0 0 0 0 0 0 656 656 656 656 656 656 3,939 - ALAN PACE (RNT) 742-250E 848 848 848 848 848 848 0 0 0 0 0 0 5,086 - ALAN PACE (RNT) 742-250E 0 0 0 0 0 0 873 873 873 873 873 873 5,239 - BANC OF CALIFORNIA (RNT) 742-130 5,928 5,928 5,928 5,928 0 0 0 0 0 0 0 0 23,711 - BANC OF CALIFORNIA (RNT) 742-130 0 0 0 0 6,105 6,105 6,105 6,105 6,105 6,105 6,105 6,105 48,838 - BERGER HARRISON APC (ABR) 742-310 -2,046 0 0 0 0 0 0 0 0 0 0 0 -2,046 - BERGER HARRISON APC (RNT) 742-200 3,855 3,855 3,855 3,855 3,855 3,855 3,855 3,855 3,855 3,855 3,855 3,971 46,377 - BERGER HARRISON APC (RNT) 742-310 2,046 2,108 2,108 2,108 2,108 2,108 2,108 2,108 2,108 2,108 2,108 2,108 25,231 - CARNO LAW GROUP (RNT) 742-260 6,613 6,613 6,613 6,613 6,613 6,613 6,613 6,613 6,613 6,613 6,613 6,878 79,622 - CAROLYN BEHRENS (RNT) 742-330 2,025 2,025 2,025 2,025 2,025 2,025 2,025 2,025 2,025 2,025 2,025 2,106 24,378 - CITY OF LAGUNA HILLS (RNT) 742-100 45,830 45,830 45,830 45,830 45,830 45,830 45,830 45,830 45,830 45,830 45,830 45,830 549,965 - DR. KOOROSH HOSN DDS (RNT) 742-230 3,719 3,719 3,719 3,719 3,719 3,719 3,719 3,719 3,719 3,719 3,719 3,831 44,745 - FAY BLIX (ABR) 742-301 0 0 0 0 -5,715 0 0 0 0 0 0 0 -5,715 - FAY BLIX (RNT) 742-301 5,549 5,549 5,549 5,549 5,715 5,715 5,715 5,715 5,715 5,715 5,715 5,715 67,917 - JAMES R. FERRARA (RNT) 742-250B 637 637 637 637 637 637 0 0 0 0 0 0 3,822 - JAMES R. FERRARA (RNT) 742-250B 0 0 0 0 0 0 656 656 656 656 656 656 3,937 - JOHN A ROSENBAUM (RNT) 742-250A 740 740 740 740 740 740 0 0 0 0 0 0 4,440 - JOHN A ROSENBAUM (RNT) 742-250A 0 0 0 0 0 0 762 762 762 762 762 762 4,573 - KAPRI, Inc. (ABR) 742-255 0 -1,358 0 0 0 0 0 0 0 0 0 0 -1,358 - KAPRI, Inc. (RNT) 742-255 1,358 1,358 1,358 1,358 1,358 1,358 1,358 1,358 1,358 1,358 1,358 1,358 16,301 - LAYLA FIJANY, DDS MS CORP., A CALIFORNIA CORPORATION -5,623 -5,623 (ABR) 742-205-5,623 -5,623 -5,623 -5,623 -5,623 0 0 0 0 0 -39,362 - LAYLA FIJANY, DDS MS CORP., A CALIFORNIA CORPORATION 5,623 (RNT) 5,623 742-2055,623 5,623 5,623 5,623 5,623 5,623 5,623 5,623 5,623 5,623 67,478 - LEWELLEN ACCOUNTANCY CORP. (RNT) 742-220 4,558 4,558 4,558 4,558 0 0 0 0 0 0 0 0 18,231 - LEWELLEN ACCOUNTANCY CORP. (RNT) 742-220 0 0 0 0 4,694 4,694 4,694 4,694 4,694 4,694 4,694 4,694 37,556 - NYA LLC (RNT) 742-210 5,260 5,260 5,260 5,260 5,260 5,260 5,260 5,260 5,260 5,260 5,260 5,260 63,117 - PREMIER GROUP INTERNATIONAL (RNT) 742-203 3,291 3,291 3,291 3,291 3,291 3,291 3,291 3,291 3,291 3,291 3,291 3,291 39,492 - SENATE RULES COMMITTEE (RNT) 742-201 3,204 3,204 3,204 3,204 3,204 3,204 3,204 3,204 3,204 3,204 3,333 3,333 38,709 - SERENITY ESCROW, INC. (RNT) 742-300 1,579 1,579 1,579 1,579 1,579 1,579 1,579 1,579 1,579 1,579 0 0 15,792 - SIGNATURE AMERICA (RNT) 742-320 2,984 2,984 2,984 2,984 2,984 2,984 2,984 2,984 2,984 2,984 2,984 2,984 35,809 - SOCAL COUNSELLING SERVICES (RNT) 742-250D 700 0 0 0 0 0 0 0 0 0 0 0 700 - SOCAL COUNSELLING SERVICES (RNT) 742-250D 0 721 721 721 721 721 721 721 721 721 721 721 7,931 - THE COUNTY OF ORANGE (RNT) 742-150 9,516 9,516 9,516 9,516 9,516 9,516 9,516 9,516 9,516 9,516 9,516 9,802 114,480 4125-0000 Contra Revenue -45,830 -45,830 -45,830 -45,830 -45,830 -45,830 -45,830 -45,830 -45,830 -45,830 -45,830 -45,830 -549,965

Database: Budgeting and Forecasting Detail Proforma Page: 2 Date:

Time:

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Report:

Base Currency:

ESSEXREALTY
6/16/2025
Essex Realty SaaS DB 8:09 PM
Accrual
1623
2025 - 742 - Fiscal
B&F Budget:

Budget amounts from 07/25 to 06/26
07/25 08/25 09/25 10/25 11/25 12/25 01/26 02/26 03/26 04/26 05/26 06/26 BF_PROFORMD Detailed & Summarized
Entity: CITY OF LAGUNA HILLS
- CITY OF LAGUNA HILLS (CON) 742-100 -45,830 -45,830 -45,830 -45,830 -45,830 -45,830 -45,830 -45,830 -45,830 -45,830 -45,830 -45,830 -549,965 4200-0000 CAM Revenue 15,203 15,203 15,203 15,203 14,463 14,463 14,463 14,463 14,463 14,463 14,463 14,463 176,517 - AGATHA GLOBAL TECH (CAM) 742-304 191 191 191 191 191 191 191 191 191 191 191 191 2,291 - BANC OF CALIFORNIA (CAM) 742-130 740 740 740 740 0 0 0 0 0 0 0 0 2,960 - BERGER HARRISON APC (CAM) 742-200 174 174 174 174 174 174 174 174 174 174 174 174 2,088 - BERGER HARRISON APC (CAM) 742-310 87 87 87 87 87 87 87 87 87 87 87 87 1,046 - CARNO LAW GROUP (CAM) 742-260 43 43 43 43 43 43 43 43 43 43 43 43 519 - CAROLYN BEHRENS (CAM) 742-330 249 249 249 249 249 249 249 249 249 249 249 249 2,985 - CITY OF LAGUNA HILLS (CAM) 742-100 12,111 12,111 12,111 12,111 12,111 12,111 12,111 12,111 12,111 12,111 12,111 12,111 145,332 - DR. KOOROSH HOSN DDS (CAM) 742-230 350 350 350 350 350 350 350 350 350 350 350 350 4,200 - LEWELLEN ACCOUNTANCY CORP. (CAM) 742-220 639 639 639 639 0 0 0 0 0 0 0 0 2,556 - LEWELLEN ACCOUNTANCY CORP. (CAM) 742-220 0 0 0 0 639 639 639 639 639 639 639 639 5,111 - NYA LLC (CAM) 742-210 619 619 619 619 619 619 619 619 619 619 619 619 7,429 4205-0000 Contra CAM -12,111 -12,111 -12,111 -12,111 -12,111 -12,111 -12,111 -12,111 -12,111 -12,111 -12,111 -12,111 -145,332 - CITY OF LAGUNA HILLS (CCA) 742-100 -12,111 -12,111 -12,111 -12,111 -12,111 -12,111 -12,111 -12,111 -12,111 -12,111 -12,111 -12,111 -145,332 TOTAL INCOME 67,631 68,402 69,760 69,760 63,784 69,546 69,632 75,255 75,255 75,255 73,804 74,662 852,745

DIRECT EXPENSES

BLDG OPERATING EXPENSE
TOTAL BLDG OPERATING EXPENSE 0 0 0 0 0 0 0 0 0 0 0 0 0

SECURITY
5121-0000 Security-Fire Alarms 390 135 135 390 135 135 390 135 135 390 1,410 135 3,915 742 - Annual Fire Alarm Testing 0 0 0 0 0 0 0 0 0 0 1,275 0 1,275 742 - Fire Alarm Monitoring 255 0 0 255 0 0 255 0 0 255 0 0 1,020 742 - SSD Security System Monitoring 135 135 135 135 135 135 135 135 135 135 135 135 1,620 TOTAL SECURITY 390 135 135 390 135 135 390 135 135 390 1,410 135 3,915

CLEANING
5130-0000 Cleaning Contract-Janitor 5,445 5,445 5,445 5,445 5,445 5,445 5,445 5,709 5,709 5,710 5,710 5,710 66,663 5150-0000 Add'l Cleaning-DayPorter 4,356 4,355 4,356 4,356 4,356 4,556 4,447 4,447 4,447 4,447 4,447 4,447 53,017 5160-0000 Cleaning Supplies 981 981 981 981 981 981 981 981 981 981 981 981 11,771 5180-0000 Window Cleaning 0 0 0 0 2,622 0 0 0 0 0 3,990 0 6,612 742 - Exterior Window Cleaning w/ boom lift 0 0 0 0 2,622 0 0 0 0 0 2,622 0 5,244 742 - Interior Window Cleaning 0 0 0 0 0 0 0 0 0 0 1,368 0 1,368

Database: Budgeting and Forecasting Detail Proforma Page: 3 Date:

Time:

Total
Report:

Base Currency:

ESSEXREALTY
6/16/2025
Essex Realty SaaS DB 8:09 PM
Accrual
1623
2025 - 742 - Fiscal
B&F Budget:

Budget amounts from 07/25 to 06/26
07/25 08/25 09/25 10/25 11/25 12/25 01/26 02/26 03/26 04/26 05/26 06/26 BF_PROFORMD Detailed & Summarized
Entity: CITY OF LAGUNA HILLS
TOTAL CLEANING 10,782 10,781 10,782 10,782 13,404 10,982 10,873 11,137 11,137 11,138 15,128 11,138 138,063

MANAGEMENT FEES
5305-0000 Mgmt Fee-Agent 4,814 4,814 4,814 4,814 4,814 4,814 4,814 4,814 4,814 4,814 4,814 4,814 57,768 - BF Management Fees 4,814 4,814 4,814 4,814 4,814 4,814 4,814 4,814 4,814 4,814 4,814 4,814 57,768 TOTAL MANAGEMENT FEES 4,814 4,814 4,814 4,814 4,814 4,814 4,814 4,814 4,814 4,814 4,814 4,814 57,768 HVAC
5410-0000 HVAC Contract Services 125 3,958 125 125 4,150 125 125 4,150 125 125 4,150 125 17,408 742 - DSL for EMS 125 125 125 125 125 125 125 125 125 125 125 125 1,500 742 - HVAC Preventative Maintenance 0 3,833 0 0 4,025 0 0 4,025 0 0 4,025 0 15,908 5415-0000 HVAC Repair/Maint 2,500 2,500 2,500 2,500 2,500 2,500 2,500 2,500 2,500 2,500 2,500 2,500 30,000 TOTAL HVAC 2,625 6,458 2,625 2,625 6,650 2,625 2,625 6,650 2,625 2,625 6,650 2,625 47,408

ELEVATOR
5435-0000 Elevator Contract Service 1,915 0 0 2,442 0 0 1,992 0 0 1,992 0 0 8,341 742 - Annual Permit 0 0 0 450 0 0 0 0 0 0 0 0 450
742 - Quarterly Preventative Maintenance 1,915 0 0 1,992 0 0 1,992 0 0 1,992 0 0 7,891 5440-0000 Elevator Repair/Maint 0 550 3,500 0 0 0 0 550 0 0 0 0 4,600 742 - Annual Testing 0 0 3,500 0 0 0 0 0 0 0 0 0 3,500
742 - Contingency Repair 0 550 0 0 0 0 0 550 0 0 0 0 1,100 TOTAL ELEVATOR 1,915 550 3,500 2,442 0 0 1,992 550 0 1,992 0 0 12,941

REPAIRS AND MAINTENANCE
5445-0000 Roof/Solar/Waterproofing 0 0 0 0 2,200 3,000 3,000 3,000 0 0 0 0 11,200 742 - Annual Roof Gutter | Maintenance 0 0 0 0 2,200 0 0 0 0 0 0 0 2,200 742 - Contingency Roof Repairs 0 0 0 0 0 3,000 3,000 3,000 0 0 0 0 9,000 5448-0000 Fire, Life, Safety 300 0 1,100 300 0 0 300 0 0 300 4,250 0 6,550 742 - Annual Fire Extinguisher Inspection 0 0 650 0 0 0 0 0 0 0 0 0 650 742 - Annual Fire Sprinkler Test 0 0 0 0 0 0 0 0 0 0 750 0 750 742 - Contingency Deficiency Sprinkler Repair 0 0 0 0 0 0 0 0 0 0 3,500 0 3,500 742 - Fire Extinguisher Replacement 0 0 450 0 0 0 0 0 0 0 0 0 450 742 - Quarterly Fire Sprinkler Inspection 300 0 0 300 0 0 300 0 0 300 0 0 1,200 5450-0000 Painting 150 0 0 150 0 0 150 0 0 150 0 0 600

Database: Budgeting and Forecasting Detail Proforma Page: 4 Date:

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ESSEXREALTY
6/16/2025
Essex Realty SaaS DB 8:09 PM
Accrual
1623
2025 - 742 - Fiscal
B&F Budget:

Budget amounts from 07/25 to 06/26
07/25 08/25 09/25 10/25 11/25 12/25 01/26 02/26 03/26 04/26 05/26 06/26 BF_PROFORMD Detailed & Summarized
Entity: CITY OF LAGUNA HILLS
5460-0000 Plumbing Repairs/Supplies 2,100 1,000 1,000 1,000 1,000 1,000 1,000 1,000 1,000 1,000 1,000 1,000 13,100 742 - Annual Hydro Jetting Mainline 1,100 0 0 0 0 0 0 0 0 0 0 0 1,100 742 - Contingency Repairs 1,000 1,000 1,000 1,000 1,000 1,000 1,000 1,000 1,000 1,000 1,000 1,000 12,000 5465-0000 Electrical Repair/Maint 0 1,500 0 0 1,500 0 0 1,500 0 0 1,500 0 6,000 742 - LED Upgrade | Replacement Contingency 0 1,500 0 0 1,500 0 0 1,500 0 0 1,500 0 6,000 5475-0000 Doors & Locks 0 200 0 0 200 0 0 200 0 0 200 0 800 742 - Door Repair Contingency 0 200 0 0 200 0 0 200 0 0 200 0 800 5480-0000 Sign Repair/Maint 100 0 0 100 0 0 100 0 0 100 0 0 400 742 - Parking Sign Replacement Contingency 100 0 0 100 0 0 100 0 0 100 0 0 400 5485-0000 Floor & Carpet Rpr/Maint 1,255 6,525 0 1,255 0 0 1,255 0 0 1,255 0 0 11,545 742 - Annual Stone Cleaning 0 6,525 0 0 0 0 0 0 0 0 0 0 6,525 742 - Common Area Carpet Cleaning 1,255 0 0 1,255 0 0 1,255 0 0 1,255 0 0 5,020 5490-0000 Pest Control 95 95 95 95 95 95 95 95 95 1,595 95 95 2,640 742 - Pest Control Services 95 95 95 95 95 95 95 95 95 95 95 95 1,140 742 - Termite Spot Treatment Contingency 0 0 0 0 0 0 0 0 0 1,500 0 0 1,500 5491-0000 Misc Repair/Maint 500 1,791 500 500 1,791 500 500 1,791 500 500 1,791 500 11,164 742 - Common Area Wood Restoration 0 1,291 0 0 1,291 0 0 1,291 0 0 1,291 0 5,164 742 - Repair Maintenance Contingency Repairs 500 500 500 500 500 500 500 500 500 500 500 500 6,000 5495-0000 Onsite Maint Personnel 2,750 2,750 2,750 2,880 2,880 2,880 2,880 2,880 2,880 2,880 2,880 2,880 34,170 TOTAL REPAIRS & MAINTENANCE 7,250 13,861 5,445 6,280 9,666 7,475 9,280 10,466 4,475 7,780 11,716 4,475 98,169

UTILITIES
5499-0000 Electricity-General 16,990 34,847 22,685 20,078 5,914 8,515 11,031 11,149 10,173 12,181 12,465 8,187 174,216 5500-0000 Gas 11 19 15 17 15 54 677 524 601 208 49 175 2,364 5502-0000 Water & Sewer 2,504 3,016 4,868 4,297 3,563 3,051 691 3,022 1,722 1,949 994 1,364 31,040 5504-0000 Property Telephone 150 150 150 150 150 150 150 150 150 150 150 150 1,800 TOTAL UTILITIES 19,654 38,032 27,718 24,542 9,641 11,769 12,550 14,845 12,647 14,488 13,659 9,876 209,420

PARKING LOT
5510-0000 Pkg Lot-Lighting 500 0 0 500 2,323 0 500 2,323 0 500 0 0 6,646 742 - Contingency Repair 500 0 0 500 0 0 500 0 0 500 0 0 2,000 742 - Palm Tree Holiday Decor Installation 0 0 0 0 2,323 0 0 2,323 0 0 0 0 4,646 5525-0000 Pkg Lot-Sweeping 315 315 315 315 315 315 315 315 315 315 315 315 3,780 TOTAL PARKING LOT 815 315 315 815 2,638 315 815 2,638 315 815 315 315 10,426

Database: Budgeting and Forecasting Detail Proforma Page: 5 Date:

Time:

Total
Report:

Base Currency:

ESSEXREALTY
6/16/2025
Essex Realty SaaS DB 8:09 PM
Accrual
1623
2025 - 742 - Fiscal
B&F Budget:

Budget amounts from 07/25 to 06/26
07/25 08/25 09/25 10/25 11/25 12/25 01/26 02/26 03/26 04/26 05/26 06/26 BF_PROFORMD Detailed & Summarized
Entity: CITY OF LAGUNA HILLS

LANDSCAPING
5560-0000 Landscaping Contract 2,600 2,600 2,600 2,600 2,600 2,600 2,600 2,600 2,600 2,600 2,600 2,600 31,200 5562-0000 Landscaping-Interior 360 360 360 360 360 585 360 360 360 360 360 360 4,545 742 - (15) Poinsettias Holiday Installations 0 0 0 0 0 225 0 0 0 0 0 0 225 742 - Monthly Interior Services 360 360 360 360 360 360 360 360 360 360 360 360 4,320 5565-0000 Fountain Maintenance 250 250 250 750 250 250 250 750 250 250 250 250 4,000 742 - Contingency Fountain Repair 0 0 0 500 0 0 0 500 0 0 0 0 1,000 742 - Monthly Services 250 250 250 250 250 250 250 250 250 250 250 250 3,000 TOTAL LANDSCAPE 3,210 3,210 3,210 3,710 3,210 3,435 3,210 3,710 3,210 3,210 3,210 3,210 39,745

INSURANCE
5805-0000 Insurance 0 0 0 130,000 0 0 0 0 0 0 0 0 130,000 TOTAL INSURANCE 0 0 0 130,000 0 0 0 0 0 0 0 0 130,000

REAL ESTATE TAXES
6205-0000 Real Estate Taxes 0 0 0 0 6,055 0 0 0 6,055 0 0 0 12,110 TOTAL REAL ESTATE TAXES 0 0 0 0 6,055 0 0 0 6,055 0 0 0 12,110 TOTAL DIRECT EXPENSE 51,455 78,156 58,544 186,400 56,213 41,550 46,548 54,945 45,413 47,252 56,902 36,588 759,965 NET OPERATING INCOME 16,176 -9,754 11,216 -116,640 7,571 27,995 23,083 20,310 29,842 28,003 16,902 38,074 92,780

INDIRECT EXPENSES / INCOME
7300-0000 Lease Commissions Exp 0 216 0 0 1,408 0 885 0 0 0 0 0 2,509 742 - Suite 220 | Lewellen Accountancy Renewal 0 0 0 0 1,408 0 0 0 0 0 0 0 1,408 742 - Suite 250A | John Rosenbaum Renewal 0 0 0 0 0 0 229 0 0 0 0 0 229 742 - Suite 250B | James R. Ferrara Renewal 0 0 0 0 0 0 197 0 0 0 0 0 197 742 - Suite 250C | Domarina Pace Renewal 0 0 0 0 0 0 197 0 0 0 0 0 197 742 - Suite 250D | Social Counselling Renewal 0 216 0 0 0 0 0 0 0 0 0 0 216 742 - Suite 250E | Alan Pace Renewal 0 0 0 0 0 0 262 0 0 0 0 0 262 7305-0000 Advertising & Promotion 0 0 0 0 4,750 0 2,500 0 0 0 0 0 7,250 742 - Holiday Decorative Installation 0 0 0 0 4,750 0 0 0 0 0 0 0 4,750

Database: Budgeting and Forecasting Detail Proforma Page: 6 Date:

Time:

Total
Report:

Base Currency:

ESSEXREALTY
6/16/2025
Essex Realty SaaS DB 8:09 PM
Accrual
1623
2025 - 742 - Fiscal
B&F Budget:

Budget amounts from 07/25 to 06/26
07/25 08/25 09/25 10/25 11/25 12/25 01/26 02/26 03/26 04/26 05/26 06/26 BF_PROFORMD Detailed & Summarized
Entity: CITY OF LAGUNA HILLS
742 - Tenant Appreciation | Christmas Event 0 0 0 0 0 0 2,500 0 0 0 0 0 2,500 7310-0000 Legal Fees 0 150 0 0 150 0 0 150 0 0 150 0 600 7320-0000 Admin & Professional Exp. 50 50 50 50 50 50 50 50 50 50 50 50 600 7326-0000 Environmental Expense 0 0 450 0 0 0 0 0 1,125 0 0 0 1,575 742 - Annual Enviornmental Inspection 0 0 450 0 0 0 0 0 0 0 0 0 450 742 - Annual Utility Compliance 0 0 0 0 0 0 0 0 1,125 0 0 0 1,125 7330-0000 Tenant Space Refurb 0 500 0 0 500 0 0 500 0 0 500 0 2,000 742 - Minor Repair Contingency 0 500 0 0 500 0 0 500 0 0 500 0 2,000 7333-0000 Repairs & Maint- Indirect 3,416 1,707 1,231 3,416 4,182 416 7,016 1,707 1,231 3,416 1,707 416 29,861 742 - Annual Camera Maintenance Services 0 0 0 0 0 0 3,600 0 0 0 0 0 3,600 742 - General R/M Service for City's Office 3,000 0 0 3,000 0 0 3,000 0 0 3,000 0 0 12,000 742 - Generator Battery Replacement Contingency 0 0 0 0 1,475 0 0 0 0 0 0 0 1,475 742 - Generator Bi-Annual Inspection | Services 0 0 815 0 0 0 0 0 815 0 0 0 1,630 742 - Generator Load Bank Test 0 0 0 0 1,000 0 0 0 0 0 0 0 1,000 742 - SSD Access Control Services 416 416 416 416 416 416 416 416 416 416 416 416 4,992 742 - Wood Restoration Service for City's Office 0 1,291 0 0 1,291 0 0 1,291 0 0 1,291 0 5,164 TOTAL INDIRECT EXPENSES / INCOME 3,466 2,623 1,731 3,466 11,040 466 10,451 2,407 2,406 3,466 2,407 466 44,395 NET INCOME 12,710 -12,377 9,485 -120,106 -3,469 27,529 12,632 17,903 27,436 24,537 14,495 37,608 48,385

OTHER SOURCES AND USE OF CASH
1230-0000 Capital Improvements 0 14,000 36,000 0 124,000 0 0 14,000 0 0 14,000 0 202,000 742 - (4) WHSP Unit Replacement Contingency 0 14,000 0 0 14,000 0 0 14,000 0 0 14,000 0 56,000 742 - Roof Repair Coating - Westside Section 0 0 36,000 0 0 0 0 0 0 0 0 0 36,000 742 - Termite Fumigation 0 0 0 0 110,000 0 0 0 0 0 0 0 110,000 1260-0000 Lease Commissions 20,526 0 0 0 9,157 0 0 31,033 0 0 0 0 60,717 - BANC OF CALIFORNIA (LC) 742-130 0 0 0 0 9,157 0 0 0 0 0 0 0 9,157 - KAPRI, Inc. (LC) 742-255 4,259 0 0 0 0 0 0 0 0 0 0 0 4,259 - LAYLA FIJANY, DDS MS CORP., A CALIFORNIA CORPORATION 0 (LC)0742-205 0 0 0 0 0 31,033 0 0 0 0 31,033 - PREMIER GROUP INTERNATIONAL (LC) 742-203 2,962 0 0 0 0 0 0 0 0 0 0 0 2,962 - SERENITY ESCROW, INC. (LC) 742-300 948 0 0 0 0 0 0 0 0 0 0 0 948 - SIGNATURE AMERICA (LC) 742-320 12,358 0 0 0 0 0 0 0 0 0 0 0 12,358 TOTAL OTHER SOURCES AND USE OF CASH 20,526 14,000 36,000 0 133,157 0 0 45,033 0 0 14,000 0 262,717 NET CASHFLOW -7,817 -26,377 -26,515 -120,106 -136,626 27,529 12,632 -27,130 27,436 24,537 495 37,608 -214,332

Monthly Suite Forecast Page: 1
Date:

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Rentable Sq. Ft. Projected
Total PSF
Avg.

Database:

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Basis:

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Bldg Suite Area Effective Rent Start Lease Expires
Calculation Type:

Area Type:

Entity:

ESSEXREALTY
6/15/2025
4:59 PM
07/25 08/25 09/25 10/25 11/25 12/25 01/26 02/26 03/26 04/26 05/26 06/26 2025 - 742 - Fiscal
Accrual
USD
742 - STD_Rev - 742
For Year 2025
Unit of Measure:

None
GLA

CITY OF LAGUNA HILLS
Square Feet
742 000 Available 552
742 100 CITY OF LAGUNA HILLS 7/1/2004 12/31/2099
Effective -7/1/2025 21,033
CAM Common Area Maintenance 12,578.98 12,578.98 12,578.98 12,578.98 12,578.98 12,578.98 12,578.98 12,578.98 12,578.98 12,578.98 12,578.98 12,578.98 150,947.76 7.177 CCA Contra CAM -12,578.98 -12,578.98 -12,578.98 -12,578.98 -12,578.98 -12,578.98 -12,578.98 -12,578.98 -12,578.98 -12,578.98 -12,578.98 -12,578.98 -150,947.76 -7.177 CON Contra Revenue -45,830.40 -45,830.40 -45,830.40 -45,830.40 -45,830.40 -45,830.40 -45,830.40 -45,830.40 -45,830.40 -45,830.40 -45,830.40 -45,830.40 -549,964.80 -26.148 RNT Base Rent 45,830.40 45,830.40 45,830.40 45,830.40 45,830.40 45,830.40 45,830.40 45,830.40 45,830.40 45,830.40 45,830.40 45,830.40 549,964.80 26.148 742 100A Available 0
742 100B Available 0
742 110 Available 0
742 130 BANC OF CALIFORNIA 11/1/2015 10/31/2025
Effective -7/1/2025 2,394
CAM Common Area Maintenance 1,224.65 1,224.65 1,224.65 1,224.65 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 4,898.60 2.046 RNT Base Rent 5,927.83 5,927.83 5,927.83 5,927.83 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 23,711.32 9.904 Total Rent For Lease 7,152.48 7,152.48 7,152.48 7,152.48 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 28,609.92 11.951 LC Leasing Commissions 0.00 0.00 0.00 0.00 -9,157.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -9,157.00 0.000 Total Capital For Lease 0.00 0.00 0.00 0.00 -9,157.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -9,157.00 0.000 742 130 BANC OF CALIFORNIA 11/1/2025 10/31/2030
Effective -7/1/2025 2,394
RNT Base Rent 0.00 0.00 0.00 0.00 6,104.70 6,104.70 6,104.70 6,104.70 6,104.70 6,104.70 6,104.70 6,104.70 48,837.60 20.400 Total Rent For Lease 0.00 0.00 0.00 0.00 6,104.70 6,104.70 6,104.70 6,104.70 6,104.70 6,104.70 6,104.70 6,104.70 48,837.60 20.400 Total Rent for Suite 7,152.48 7,152.48 7,152.48 7,152.48 6,104.70 6,104.70 6,104.70 6,104.70 6,104.70 6,104.70 6,104.70 6,104.70 77,447.52 20.400 Total Capital for Suite 0.00 0.00 0.00 0.00 -9,157.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -9,157.00 0.000 742 150 THE COUNTY OF ORANGE 2/1/2006 5/31/2032
Effective -7/1/2025 1,769
RNT Base Rent 9,516.23 9,516.23 9,516.23 9,516.23 9,516.23 9,516.23 9,516.23 9,516.23 9,516.23 9,516.23 9,516.23 9,801.72 114,480.25 64.715 Total Rent For Lease 9,516.23 9,516.23 9,516.23 9,516.23 9,516.23 9,516.23 9,516.23 9,516.23 9,516.23 9,516.23 9,516.23 9,801.72 114,480.25 64.715 742 200 BERGER HARRISON APC 6/1/2022 8/31/2027
Effective -7/1/2025 1,568
CAM Common Area Maintenance 208.92 208.92 208.92 208.92 208.92 208.92 208.92 208.92 208.92 208.92 208.92 208.92 2,507.04 1.599 RNT Base Rent 3,855.15 3,855.15 3,855.15 3,855.15 3,855.15 3,855.15 3,855.15 3,855.15 3,855.15 3,855.15 3,855.15 3,970.80 46,377.45 29.577 Total Rent For Lease 4,064.07 4,064.07 4,064.07 4,064.07 4,064.07 4,064.07 4,064.07 4,064.07 4,064.07 4,064.07 4,064.07 4,179.72 48,884.49 31.176 742 201 SENATE RULES COMMITTEE 5/16/2015 2/28/2027
Effective -7/1/2025 1,274
RNT Base Rent 3,204.39 3,204.39 3,204.39 3,204.39 3,204.39 3,204.39 3,204.39 3,204.39 3,204.39 3,204.39 3,332.57 3,332.57 38,709.04 30.384 Total Rent For Lease 3,204.39 3,204.39 3,204.39 3,204.39 3,204.39 3,204.39 3,204.39 3,204.39 3,204.39 3,204.39 3,332.57 3,332.57 38,709.04 30.384 742 203 PREMIER GROUP INTERNATIONAL 2/1/2019 4/30/2025
Effective -7/1/2025 1,377
RNT Base Rent 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 39,492.36 28.680

Monthly Suite Forecast Page: 2
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Calculation Type:

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Entity:

ESSEXREALTY
6/15/2025
4:59 PM
07/25 08/25 09/25 10/25 11/25 12/25 01/26 02/26 03/26 04/26 05/26 06/26 2025 - 742 - Fiscal
Accrual
USD
742 - STD_Rev - 742
For Year 2025
Unit of Measure:

None
GLA

CITY OF LAGUNA HILLS
Square Feet
Total Rent For Lease 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 3,291.03 39,492.36 28.680 LC Leasing Commissions -2,961.93 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -2,961.93 0.000 Total Capital For Lease -2,961.93 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -2,961.93 0.000 742 205 LAYLA FIJANY, DDS MS CORP., A CALIFORNIA 4/21/2025CORPORATION 2/28/2036 Effective -7/1/2025 2,343
ABR Abated Rent -5,623.20 -5,623.20 -5,623.20 -5,623.20 -5,623.20 -5,623.20 -5,623.20 0.00 0.00 0.00 0.00 0.00 -39,362.40 -16.800 RNT Base Rent 5,623.20 5,623.20 5,623.20 5,623.20 5,623.20 5,623.20 5,623.20 5,623.20 5,623.20 5,623.20 5,623.20 5,623.20 67,478.40 28.800 Total Rent For Lease 0.00 0.00 0.00 0.00 0.00 0.00 0.00 5,623.20 5,623.20 5,623.20 5,623.20 5,623.20 28,116.00 12.000 LC Leasing Commissions 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -31,033.11 0.00 0.00 0.00 0.00 -31,033.11 0.000 Total Capital For Lease 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -31,033.11 0.00 0.00 0.00 0.00 -31,033.11 0.000 742 207 Available 0
742 210 NYA LLC 7/1/2019 6/30/2029
Effective -7/1/2025 1,987
CAM Common Area Maintenance 663.27 663.27 663.27 663.27 663.27 663.27 663.27 663.27 663.27 663.27 663.27 663.27 7,959.24 4.006 RNT Base Rent 5,259.79 5,259.79 5,259.79 5,259.79 5,259.79 5,259.79 5,259.79 5,259.79 5,259.79 5,259.79 5,259.79 5,259.79 63,117.48 31.765 Total Rent For Lease 5,923.06 5,923.06 5,923.06 5,923.06 5,923.06 5,923.06 5,923.06 5,923.06 5,923.06 5,923.06 5,923.06 5,923.06 71,076.72 35.771 742 210A Available 0
742 220 LEWELLEN ACCOUNTANCY CORP. 10/1/2013 10/31/2025 Effective -7/1/2025 1,855
CAM Common Area Maintenance 680.20 680.20 680.20 680.20 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 2,720.80 1.467 RNT Base Rent 4,557.74 4,557.74 4,557.74 4,557.74 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 18,230.96 9.828 Total Rent For Lease 5,237.94 5,237.94 5,237.94 5,237.94 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 20,951.76 11.295 742 220 LEWELLEN ACCOUNTANCY CORP. 11/1/2025 10/31/2026 Effective -7/1/2025 1,855
CAM Common Area Maintenance 0.00 0.00 0.00 0.00 680.20 680.20 680.20 680.20 680.20 680.20 680.20 680.20 5,441.60 2.933 RNT Base Rent 0.00 0.00 0.00 0.00 4,694.47 4,694.47 4,694.47 4,694.47 4,694.47 4,694.47 4,694.47 4,694.47 37,555.76 20.246 Total Rent For Lease 0.00 0.00 0.00 0.00 5,374.67 5,374.67 5,374.67 5,374.67 5,374.67 5,374.67 5,374.67 5,374.67 42,997.36 23.179 Total Rent for Suite 5,237.94 5,237.94 5,237.94 5,237.94 5,374.67 5,374.67 5,374.67 5,374.67 5,374.67 5,374.67 5,374.67 5,374.67 63,949.12 34.474 742 230 DR. KOOROSH HOSN DDS 3/1/2000 7/31/2028
Effective -7/1/2025 1,098
CAM Common Area Maintenance 374.41 374.41 374.41 374.41 374.41 374.41 374.41 374.41 374.41 374.41 374.41 374.41 4,492.92 4.092 RNT Base Rent 3,719.42 3,719.42 3,719.42 3,719.42 3,719.42 3,719.42 3,719.42 3,719.42 3,719.42 3,719.42 3,719.42 3,831.00 44,744.62 40.751 Total Rent For Lease 4,093.83 4,093.83 4,093.83 4,093.83 4,093.83 4,093.83 4,093.83 4,093.83 4,093.83 4,093.83 4,093.83 4,205.41 49,237.54 44.843 742 24035 Available 0
742 250 Available 0
742 250A JOHN A ROSENBAUM 9/1/2022 12/31/2025
Effective -7/1/2025 205
RNT Base Rent 740.00 740.00 740.00 740.00 740.00 740.00 0.00 0.00 0.00 0.00 0.00 0.00 4,440.00 21.659 Total Rent For Lease 740.00 740.00 740.00 740.00 740.00 740.00 0.00 0.00 0.00 0.00 0.00 0.00 4,440.00 21.659

Monthly Suite Forecast Page: 3
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Bldg Suite Area Effective Rent Start Lease Expires
Calculation Type:

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Entity:

ESSEXREALTY
6/15/2025
4:59 PM
07/25 08/25 09/25 10/25 11/25 12/25 01/26 02/26 03/26 04/26 05/26 06/26 2025 - 742 - Fiscal
Accrual
USD
742 - STD_Rev - 742
For Year 2025
Unit of Measure:

None
GLA

CITY OF LAGUNA HILLS
Square Feet
742 250A JOHN A ROSENBAUM 1/1/2026 12/31/2026
Effective -7/1/2025 205
RNT Base Rent 0.00 0.00 0.00 0.00 0.00 0.00 762.20 762.20 762.20 762.20 762.20 762.20 4,573.20 22.308 Total Rent For Lease 0.00 0.00 0.00 0.00 0.00 0.00 762.20 762.20 762.20 762.20 762.20 762.20 4,573.20 22.308 Total Rent for Suite 740.00 740.00 740.00 740.00 740.00 740.00 762.20 762.20 762.20 762.20 762.20 762.20 9,013.20 43.967 742 250B JAMES R. FERRARA 9/1/2022 12/31/2025
Effective -7/1/2025 155
RNT Base Rent 637.00 637.00 637.00 637.00 637.00 637.00 0.00 0.00 0.00 0.00 0.00 0.00 3,822.00 24.658 Total Rent For Lease 637.00 637.00 637.00 637.00 637.00 637.00 0.00 0.00 0.00 0.00 0.00 0.00 3,822.00 24.658 742 250B JAMES R. FERRARA 1/1/2026 12/31/2026
Effective -7/1/2025 155
RNT Base Rent 0.00 0.00 0.00 0.00 0.00 0.00 656.11 656.11 656.11 656.11 656.11 656.11 3,936.66 25.398 Total Rent For Lease 0.00 0.00 0.00 0.00 0.00 0.00 656.11 656.11 656.11 656.11 656.11 656.11 3,936.66 25.398 Total Rent for Suite 637.00 637.00 637.00 637.00 637.00 637.00 656.11 656.11 656.11 656.11 656.11 656.11 7,758.66 50.056 742 250C ALAN & DOMARINA PACE 9/1/2022 12/31/2025
Effective -7/1/2025 140
RNT Base Rent 637.36 637.36 637.36 637.36 637.36 637.36 0.00 0.00 0.00 0.00 0.00 0.00 3,824.16 27.315 Total Rent For Lease 637.36 637.36 637.36 637.36 637.36 637.36 0.00 0.00 0.00 0.00 0.00 0.00 3,824.16 27.315 742 250C ALAN & DOMARINA PACE 1/1/2026 12/31/2026
Effective -7/1/2025 140
RNT Base Rent 0.00 0.00 0.00 0.00 0.00 0.00 656.48 656.48 656.48 656.48 656.48 656.48 3,938.88 28.135 Total Rent For Lease 0.00 0.00 0.00 0.00 0.00 0.00 656.48 656.48 656.48 656.48 656.48 656.48 3,938.88 28.135 Total Rent for Suite 637.36 637.36 637.36 637.36 637.36 637.36 656.48 656.48 656.48 656.48 656.48 656.48 7,763.04 55.450 742 250D SOCAL COUNSELLING SERVICES 7/1/2024 7/31/2025
Effective -7/1/2025 205
RNT Base Rent 700.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 700.00 3.415 Total Rent For Lease 700.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 700.00 3.415 742 250D SOCAL COUNSELLING SERVICES 8/1/2025 7/31/2026
Effective -7/1/2025 205
RNT Base Rent 0.00 721.00 721.00 721.00 721.00 721.00 721.00 721.00 721.00 721.00 721.00 721.00 7,931.00 38.688 Total Rent For Lease 0.00 721.00 721.00 721.00 721.00 721.00 721.00 721.00 721.00 721.00 721.00 721.00 7,931.00 38.688 Total Rent for Suite 700.00 721.00 721.00 721.00 721.00 721.00 721.00 721.00 721.00 721.00 721.00 721.00 8,631.00 42.102 742 250E ALAN PACE 9/1/2022 12/31/2025
Effective -7/1/2025 295
RNT Base Rent 847.74 847.74 847.74 847.74 847.74 847.74 0.00 0.00 0.00 0.00 0.00 0.00 5,086.44 17.242 Total Rent For Lease 847.74 847.74 847.74 847.74 847.74 847.74 0.00 0.00 0.00 0.00 0.00 0.00 5,086.44 17.242 742 250E ALAN PACE 1/1/2026 12/31/2026
Effective -7/1/2025 295
RNT Base Rent 0.00 0.00 0.00 0.00 0.00 0.00 873.17 873.17 873.17 873.17 873.17 873.17 5,239.02 17.759

Monthly Suite Forecast Page: 4
Date:

Time:

Rentable Sq. Ft. Projected
Total PSF
Avg.

Database:

Budget ID:

Basis:

Base Currency:

Bldg Suite Area Effective Rent Start Lease Expires
Calculation Type:

Area Type:

Entity:

ESSEXREALTY
6/15/2025
4:59 PM
07/25 08/25 09/25 10/25 11/25 12/25 01/26 02/26 03/26 04/26 05/26 06/26 2025 - 742 - Fiscal
Accrual
USD
742 - STD_Rev - 742
For Year 2025
Unit of Measure:

None
GLA

CITY OF LAGUNA HILLS
Square Feet
Total Rent For Lease 0.00 0.00 0.00 0.00 0.00 0.00 873.17 873.17 873.17 873.17 873.17 873.17 5,239.02 17.759 Total Rent for Suite 847.74 847.74 847.74 847.74 847.74 847.74 873.17 873.17 873.17 873.17 873.17 873.17 10,325.46 35.002 742 255 KAPRI, Inc. 7/1/2025 6/30/2030
Effective -7/1/2025 566
ABR Abated Rent 0.00 -1,358.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -1,358.00 -2.399 RNT Base Rent 1,358.40 1,358.40 1,358.40 1,358.40 1,358.40 1,358.40 1,358.40 1,358.40 1,358.40 1,358.40 1,358.40 1,358.40 16,300.80 28.800 Total Rent For Lease 1,358.40 0.40 1,358.40 1,358.40 1,358.40 1,358.40 1,358.40 1,358.40 1,358.40 1,358.40 1,358.40 1,358.40 14,942.80 26.401 LC Leasing Commissions -4,259.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -4,259.00 0.000 Total Capital For Lease -4,259.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -4,259.00 0.000 742 260 CARNO LAW GROUP 3/1/2019 5/31/2027
Effective -7/1/2025 3,028
CAM Common Area Maintenance 43.25 43.25 43.25 43.25 43.25 43.25 43.25 43.25 43.25 43.25 43.25 43.25 519.00 0.171 RNT Base Rent 6,613.15 6,613.15 6,613.15 6,613.15 6,613.15 6,613.15 6,613.15 6,613.15 6,613.15 6,613.15 6,613.15 6,877.68 79,622.33 26.295 Total Rent For Lease 6,656.40 6,656.40 6,656.40 6,656.40 6,656.40 6,656.40 6,656.40 6,656.40 6,656.40 6,656.40 6,656.40 6,920.93 80,141.33 26.467 742 300 SERENITY ESCROW, INC. 5/1/2025 4/30/2026
Effective -7/1/2025 672
RNT Base Rent 1,579.20 1,579.20 1,579.20 1,579.20 1,579.20 1,579.20 1,579.20 1,579.20 1,579.20 1,579.20 0.00 0.00 15,792.00 23.500 Total Rent For Lease 1,579.20 1,579.20 1,579.20 1,579.20 1,579.20 1,579.20 1,579.20 1,579.20 1,579.20 1,579.20 0.00 0.00 15,792.00 23.500 LC Leasing Commissions -947.52 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -947.52 0.000 Total Capital For Lease -947.52 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -947.52 0.000 742 301 FAY BLIX 9/1/2012 10/31/2029
Effective -7/1/2025 2,312
ABR Abated Rent 0.00 0.00 0.00 0.00 -5,715.26 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -5,715.26 -2.472 CAM Common Area Maintenance 0.00 0.00 0.00 0.00 33.02 33.02 33.02 33.02 33.02 33.02 33.02 33.02 264.16 0.114 RNT Base Rent 5,548.80 5,548.80 5,548.80 5,548.80 5,715.26 5,715.26 5,715.26 5,715.26 5,715.26 5,715.26 5,715.26 5,715.26 67,917.28 29.376 Total Rent For Lease 5,548.80 5,548.80 5,548.80 5,548.80 33.02 5,748.28 5,748.28 5,748.28 5,748.28 5,748.28 5,748.28 5,748.28 62,466.18 27.018 742 304 AGATHA GLOBAL TECH 12/1/2017 11/30/2026
Effective -7/1/2025 614
CAM Common Area Maintenance 204.58 204.58 204.58 204.58 204.58 204.58 204.58 204.58 204.58 204.58 204.58 204.58 2,454.96 3.998 RNT Base Rent 1,536.78 1,536.78 1,536.78 1,536.78 1,536.78 1,582.88 1,582.88 1,582.88 1,582.88 1,582.88 1,582.88 1,582.88 18,764.06 30.560 Total Rent For Lease 1,741.36 1,741.36 1,741.36 1,741.36 1,741.36 1,787.46 1,787.46 1,787.46 1,787.46 1,787.46 1,787.46 1,787.46 21,219.02 34.559 742 310 BERGER HARRISON APC 8/1/2023 8/31/2027
Effective -7/1/2025 883
ABR Abated Rent -2,046.35 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -2,046.35 -2.317 CAM Common Area Maintenance 106.78 106.78 106.78 106.78 106.78 106.78 106.78 106.78 106.78 106.78 106.78 106.78 1,281.36 1.451 RNT Base Rent 2,046.35 2,107.74 2,107.74 2,107.74 2,107.74 2,107.74 2,107.74 2,107.74 2,107.74 2,107.74 2,107.74 2,107.74 25,231.49 28.575 Total Rent For Lease 106.78 2,214.52 2,214.52 2,214.52 2,214.52 2,214.52 2,214.52 2,214.52 2,214.52 2,214.52 2,214.52 2,214.52 24,466.50 27.708 742 320 SIGNATURE AMERICA 7/1/2025 6/30/2030
Effective -7/1/2025 1,218
RNT Base Rent 2,984.10 2,984.10 2,984.10 2,984.10 2,984.10 2,984.10 2,984.10 2,984.10 2,984.10 2,984.10 2,984.10 2,984.10 35,809.20 29.400