AMENDED AGENDA
CITY OF MONTEBELLO
CITY COUNCIL
REGULAR MEETING AGENDA
WEDNESDAY, MARCH 8, 2023 AT 6:00 PM
CITY HALL COUNCIL CHAMBERS
1600 WEST BEVERLY BOULEVARD
MONTEBELLO, CALIFORNIA
CITY COUNCIL
David N. Torres, Mayor
Scarlet Peralta, Mayor Pro Tem
Angie M. Jimenez, Councilmember
Salvador Melendez, Councilmember
Georgina Tamayo, Councilmember
CITY MANAGER
René Bobadilla
CITY TREASURER
David Matanga
CITY ATTORNEY
Arnold M. Alvarez-Glasman
CITY CLERK/SECRETARY OF AUTHORITY
Christopher Jimenez
DEPARTMENT HEADS
Assistant City Manager
Fire Chief
Police Chief
Director of Finance
Director of Human Resources
Director of Planning/Community Development
Director of Public Works
Director of Recreation and Community Services
Director of Transportation
Director of Public Affairs and Information Technology
Arlene Salazar
Fernando Pelaez
Paul Espinosa
Michael Solorza
Nicholas Razo
Joseph Palombi
James Enriquez
David Sosnowski
Adrianna Kendricks
Michael Chee
March 8, 2023: City Council Meeting Page 2 of 6
NOTICES
This City Council Meeting will be held in person and will meet at City Hall – City Council Chambers, 1600 West Beverly Boulevard, Montebello, California. The meeting will be live streamed and can be watched on the City’s website and YouTube Channel via the following link: https://www.montebelloca.gov, and may also be viewed on Spectrum Public Access Channel 3 for all Spectrum cable subscribers.
AMERICANS WITH DISABILITIES ACT: In compliance with the Americans with Disabilities Act (ADA) any person with a disability who requires special accommodations in order to participate in a meeting should contact the Administration Office at (323) 887-1437 Monday-Thursday from 7:30 a.m.-5:30 p.m. Please call 48 hours prior to the meeting to ensure that reasonable arrangements can be made to provide accessibility to this meeting (28 CFR 35.102-35.104 ADA Title II 1203). If you require translation services, please contact the City Clerk’s office 72 hours before this meeting. Si necesita servicios de traducción, comuníquese con la Oficina del Secretario Municipal 72 horas antes de esta reunión. 如果您需要翻译服务，请在会议前 72 小时联系市书记员办公室.
RULES OF DECORUM:
As established by Resolution No. 23-17, adopted on February 22, 2023: Speakers shall not engage in willful conduct which interrupts the meeting or interferes with the orderly conduct of the meeting. Any speaker who becomes boisterous while addressing the Council/Agency or who otherwise disrupts the orderly conduct of the Council/Agency business shall be called to order by the Mayor/Chairperson. If the conduct continues, the Mayor/Chairperson may bar the speaker from speaking and/or attending the meeting. Any disruption of the meeting shall be addressed in a manner consistent with AB 1100. The sergeant-of-arms shall enforce the rules of decorum and remove and/or arrest any person upon the direction of the Presiding Officer, or upon his or her own discretion, as applicable.
PUBLIC COMMENTS:
In-Person: For those interested in participating during the Public Comment period(s) or public testimony period for Public Hearings of the City Council meetings, you may address the City Council in person only the day of the meeting.
Speakers will be required to fill out a speaker card provided at the door and submit it to City Clerk staff prior to each Public Comment announcement period. Staff will number and call each speaker card in the order received. Closed Session begins at 6:00 p.m. and Regular Session begins immediately thereafter; if there is no Closed Session, Regular Session will begin at 6:00 p.m.
AGENDA MATERIALS: The agenda and/or agenda packet are available for public inspection at City’s website at:
Agendas, Minutes, and Videos,
March 8, 2023: City Council Meeting Page 3 of 6
IN CONSIDERATION OF OTHERS, PLEASE TURN OFF, OR MUTE, ALL CELL PHONES AND PAGERS
THANK YOU FOR YOUR COOPERATION
OPENING CEREMONIES
CALL TO ORDER - 6:00 P.M.
ROLL CALL
ANNOUNCEMENT OF CLOSED SESSION ITEMS
PUBLIC COMMENTS ON CLOSED SESSION ITEMS
At this time, the public may submit a speaker card to the City Clerk staff for Closed Session items, prior to the beginning of this statement. Speakers will be called in the order received. Please be aware that the maximum time allotted for members of the public to speak on Closed Session items shall not exceed three (3) minutes per person. State Law prohibits the City Council from taking action or entertaining extended discussion on a topic not listed on the agenda. Please show courtesy to others and direct all of your comments to the Mayor and City Council.
CLOSED SESSION
The City Attorney shall provide a briefing on the item listed for Closed Session as follows:
1. PUBLIC EMPLOYEE PERFORMANCE EVALUATION
Government Code Section 54957
Title: City Manager
REGULAR SESSION - IMMEDIATELY FOLLOWING CLOSED SESSION
CLOSED SESSION REPORT
INVOCATION
PLEDGE OF ALLEGIANCE
CORRECTIONS TO THE AGENDA - CITY MANAGER
PUBLIC COMMENTS ON NON-AGENDA (30 MINUTES)
At this time, the public may submit speaker card(s) to the City Clerk staff, for both agenda and non-agenda items, prior to the beginning of this statement; Public Hearing items do not require a speaker card.
The City Council will address non-agenda items during this section and speakers will be called in the order received. Those persons not accommodated during this 30-minute period will have an opportunity to speaker under “Public Comments – Continued”, after all scheduled matters have been considered. Public Hearing, Regular Business and/or Consent Calendar items will be addressed at the time that matter of business is heard, in the order received.
Please be aware that the maximum time allotted for members of the public to speak shall not exceed three (3) minutes per speaker. State Law prohibits the City Council from taking action or entertaining extended discussion on a topic not listed on the agenda. Please show courtesy to others and direct all of your comments to the Mayor and City Council.
STAFF COMMUNICATIONS ON ITEMS OF COMMUNITY INTEREST
REGULAR BUSINESS
March 8, 2023: City Council Meeting Page 4 of 6
2. MONTEBELLO MUNICIPAL GOLF COURSE RENOVATION PROJECT PHASE 3 (CP NO. 894-3) –
AUTHORIZE NOTICE INVITING BIDS AND SPENDING PLAN
RECOMMENDATION: It is recommended that the City Council:
1. Select Option 1 (Permanent Clubhouse) or Option 2 (Temporary Clubhouse) for the Montebello Municipal Golf Course Renovation Project – Phase 3 (CP No. 897-3) and authorize the City Clerk to publish the applicable Notice Inviting Bids (Attachment A); and
2. Approve the updated Total Project Budget/Spending Plan (Attachment B) for the selected option; and
3. Take such additional, related, action that may be desirable.
3. INTRODUCTION AND FIRST READING OF ORDINANCE NO. 2463 AMENDING SECTIONS 2.30.010 AND
2.30.130 OF THE MONTEBELLO MUNICIPAL CODE TO REINSTATE THE CIVIL SERVICE COMMISSION AND CHAPTER 2.44 OF THE MONTEBELLO MUNICIPAL CODE TO REINSTATE THE TRAFFIC AND
SAFETY COMMISSION
RECOMMENDATION: It is recommended that the City Council:
1. Introduce and conduct a first reading of Ordinance No. 2463, with waiver of a full reading, of an Ordinance amending Sections 2.30.010 and 2.30.130 of the Montebello Municipal Code to reinstate the Civil Service Commission and Chapter 2.44 of the Montebello Municipal Code to reinstate the Traffic and Safety Commission; and
2. Provide direction to bring this item back for a second reading and adoption at the next regular City Council meeting; and
3. Take such additional, related, action that may be desirable
CONSENT CALENDAR
All matters listed under the Consent Calendar are considered to be routine. Any items a Councilmember wishes to discuss, including any items the public submitted speaker cards for, should be designated at this time. All other items may be approved in a single motion. Such approval will also waive the reading of any Ordinance.
4. HYRAP STREETS PROJECT FISCAL YEAR 2022-23 (CP NO. 897) – NOTICE OF COMPLETION
RECOMMENDATION: It is recommended that the City Council:
1. Accept the HYRAP Street Project, Fiscal Year 2022-23 (CP No. 897) as completed by Manhole Adjusting Inc., and
2. Approve the recommended “Changes in Work” for the project in the amount of $311,343 (Attachment A); and
3. Approve the Final Total Project Budget (Attachment B); and
4. Amend the Fiscal Year 2022-23 budget by increasing appropriations by $61,602 in the Measure M Fund, Account No. 220-99-7116-100.897.30 (Measure M, Improvements Other Than Building, HYRAP Streets Project); and
5. Authorize the City Clerk to file the Notice of Completion with Los Angeles County Recorder (Attachment C) and authorize the City Manager to release the retention payment due to Manhole Adjusting, Inc. following the mandatory waiting period from the date of Notice of completion is recorded; and
6. Take such additional related action that may be desirable.
5. MONTEBELLO MUNICIPAL GOLF COURSE RENOVATION PROJECT (CP NO. 894) – ELECTRICAL
SWITCHGEAR PURCHASE ORDER
RECOMMENDATION: It is recommended that the City Council:
1. By a four-fifths vote of the City Council authorize the dispensing of a formal bidding procedure for the purchase of the electrical switchgear for the Montebello Municipal Golf Course Renovation Project (CP No. 894), in accordance with Montebello Municipal Code Chapter 3.20.050; and
2. Approve a contract with AAA Electrical Supply in the amount not-to-exceed $128,000 for the electrical switchgear and authorize the City Manager to execute the Purchase Order; and
March 8, 2023: City Council Meeting Page 5 of 6
3. Take such additional, related, action that may be desirable.
6. APPROVAL TO SUBMIT GRANT APPLICATION TO THE DEPARTMENT OF HEALTH AND HUMAN
SERVICES SUBSTANCE ABUSE AND MENTAL HEALTH SERVICES ADMINISTRATION (SAMHSA)
RECOMMENDATION: It is recommended that the City Council:
1. Approve submission of an application for the Department of Health and Human Services' Substance Abuse and Mental Health Services Administration (SAMHSA) FY 2023 grant program; and
2. Take such additional, related action that may be desirable.
7. APPROVAL TO SUBMIT APPLICATION FOR THE DEPARTMENT OF HOMELAND SECURITY (DHS) /
FEDERAL EMERGENCY MANAGEMENT AGENCY (FEMA)/ GRANT PROGRAMS DIRECTORATE (GPD) FISCAL YEAR 2022 STAFFING FOR ADEQUATE FIRE AND EMERGENCY RESPONSE (SAFER) GRANT
RECOMMENDATION: It is recommended that the City Council:
1. Approve submission of an application to the Department of Homeland Security (DHS) / Federal Emergency Management Agency (FEMA)/ Grant Programs Directorate (GPD) Fiscal Year 2022 Staffing for Adequate Fire and Emergency Response (SAFER) Grant Program; and
2. Take such additional, related action that may be desirable.
8. ADOPT RESOLUTION NO. 23-21 APPROVING THE FEMA-4683-DR-CA: CALIFORNIA EMERGENCY
DECLARATION SEVERE WINTER STORMS, FLOODING, LANDSLIDES, AND MUDSLIDES PROGRAM (STAFF REPORT AND SUPPORTING DOCUMENTS WILL BE INCLUDED AS PART OF THIS AGENDA
BEFORE THE MEETING)
RECOMMENDATION: It is recommended that the City Council:
1. Adopt Resolution No. 23-21, approving the FEMA-4683-DR-CA: California Emergency Declaration Severe Winter Storms, Flooding, Landslides, and Mudslides Program; and
2. Authorize Staff to Conduct Cost Recovery Processes on behalf of the City and to submit any subsequent documents and forms to facilitate any cost recovery: and
3. Take additional, related action that may be desirable.
9. PAYMENT OF BILLS: ADOPT RESOLUTION NO. 23-20 APPROVING THE CITY WARRANT REGISTER OF DEMANDS DATED MARCH 8, 2023
RECOMMENDATION: It is recommended that the City Council:
1. Adopt Resolution No. 23-20 approving the Warrant Register dated March 8, 2023.
PUBLIC COMMENTS - CONTINUED
AB 1234 TRAVEL REPORTS
Members of the City Council will provide a brief report on meetings attended at the expense of the local agency as required by Government Code Section 53232.3(d).
COUNCIL/AGENCY ORALS
Council member announcements and requests for future agenda items. • Georgina Tamayo, Councilmember
• Scarlet Peralta, Mayor Pro Tem
March 8, 2023: City Council Meeting Page 6 of 6
1. (A) Receive Council consensus to host A Celebration of Children with Special Needs Annual Event; (B) Direct staff to present to council on how to explore expanded funding for adaptive youth sports and or the development of a STAR (Special Time for Adaptive Recreation) Program.
2. Receive Council consensus to implement an engaging community budgeting process model that includes community surveys, community budgeting conversation sessions, etc.
3. Women’s History Month and Celebrating Montebello’s Favorite Women-Owned Businesses.
Nominate an inspiring female business owner at scarletmtb.com/nominate.
4. Mayor Pro Tem Scarlet Peralta’s Adopt a Furry Friend Sponsorship Fund. Submit an interest form at scarletmtb.com/adopt.
• Angie M. Jimenez, Councilmember
• Salvador Melendez, Councilmember
• David N. Torres, Mayor
CLOSED SESSION - CONTINUED
ADJOURNMENT
The City of Montebello will adjourn to the next Special Meeting on March 13, 2023 at 6:00 p.m. which can be live streamed at https://www.montebelloca.gov (Click on Live Stream).
I, Alicia Fernandez, Senior Deputy City Clerk for the City of Montebello hereby certify that a copy of this agenda has been posted on or before Sunday, March 5, 2023, no later than 6:00 p.m.
Alicia Fernandez, Senior Deputy City Clerk
ITEM # 2
CITY OF MONTEBELLO
CITY COUNCIL AGENDA STAFF REPORT
TO: Honorable Mayor and City Council Members
FROM: René Bobadilla, City Manager
BY: James Enriquez, Director of Public Works
SUBJECT: MONTEBELLO MUNICIPAL GOLF COURSE RENOVATION PROJECT PHASE 3 (CP NO. 894-3) – AUTHORIZE NOTICE INVITING BIDS AND
SPENDING PLAN
DATE: March 8, 2023
RECOMMENDATION(S):
It is recommended that the City Council:
1. Select Option 1 (Permanent Clubhouse) or Option 2 (Temporary Clubhouse) for the Montebello Municipal Golf Course Renovation Project – Phase 3 (CP No. 897- 3) and authorize the City Clerk to publish the applicable Notice Inviting Bids (Attachment A); and
2. Approve the updated Total Project Budget/Spending Plan (Attachment B) for the selected option; and
3. Take such additional, related, action that may be desirable.
FISCAL IMPACT:
On September 14, 2022, the City Council authorized the sale of lease revenue bonds (Series 2022A) in an amount not-to-exceed $16.5 million to fund the design and construction of the Golf Course Renovation Project. The total amount of bonds actually sold was $15.7 million, to be used for project expenses including architectural, engineering, project management and construction, as well as paying for the costs of issuance (i.e., expenses related to bond issuance by the finance team).
Staff created a separate capital project fund to track design and construction costs related to the Golf Course Renovation Project, as well as the bond proceeds recognized as revenue (Fund 310, Golf Course Renovation Project). Project funds are made available through the trustee (i.e., BNY Mellon Bank) and bond proceeds will be used to reimburse the City for related design and construction costs for this project.
CITY COUNCIL AGENDA REPORT - MEETING OF MARCH 8, 2023
Depending on the Phase 3 (CP No. 897-3) option chosen (i.e., permanent, or temporary clubhouse option), staff will prepare the applicable notice inviting bids. Should a contract be awarded to move forward with Phase 3, appropriations of funding will be made at that time. As the spending plan shows (Attachment 3), the majority of funding will be from General Fund reserves, with a portion of the project funding using State Gas Tax funds.
The Gas Tax funds can be utilized since the streets around the project are public, and hence qualify for the use of this funding for necessary improvements.
The Fiscal Year 2021-22 ending fund balance for the General Fund was $14.7 million. Since then (June 30, 2022), the City has received, or will most likely receive, additional funds that will grow this fund balance by the end of the current fiscal year (June 30, 2023).
In February 2023, escrow closed on the sale of the City’s water system to San Gabriel Valley Water Company. The City received $16.4 million in sale proceeds, which will increase the projected ending fund balance for FY 2022-23. Also, the City Council approved the sale of City-owned property to the City of Pico Rivera for $1.25 million. These funds will also increase projected ending fund balance.
Another source of funds comes from the City’s two hotels that it owns (i.e., Hilton Garden Inn and Home2Suites). Each of these hotels was built utilizing bond financing, and as such there are various bond documents and indentures that dictate the flow of funds generated. Specifically, each hotel’s indenture creates a “waterfall” of how income earned by each property is to “flow” to various accounts. This flow of funds guarantees sufficient funding for annual debt service, hotel operations, capital reserves and renewal and replacement. Section 5.0 et al of each indenture specifies that – after all mandatory expenses are paid – any remaining funds flow to the City “for any lawful purpose” (Section
5.03 NINTH).
Both hotels are performing well, as the negative impacts of the pandemic on business and leisure travel are ameliorated. Recent budget and financial projections presented to the City Council as part of the 2nd Quarter Budget update (February 22, 2023) indicate surpluses (net income) for both hotels in FY 2021-22 as well as projected surpluses for the current fiscal year (FY 2022-23). Staff have worked with the hotel management company to analyze revenue and expenditure forecasts for the next five years. Preliminary projections indicate at least $5.0 million could be made available over the next five years to be used towards clubhouse construction.
The additional unassigned fund balance described above that is forecasted to be available by June 30, 2023 can be utilized to fund either Option 1 or Option 2 for the Golf Course clubhouse. In addition, the available surplus revenue forecasted to be generated by the City-owned hotels would help replenish General Fund reserves utilized for clubhouse construction over the next several fiscal years.
Once City Council direction is provided on which option to pursue, Staff will return at a later date with appropriation recommendations and budget amendment requests, as well as a plan for how General Fund reserves will be replenished. Depending on the timing
CITY COUNCIL AGENDA REPORT - MEETING OF MARCH 8, 2023
of the project bid process, appropriations for the clubhouse construction may be included as part of the FY 2023-24 budget process. Therefore, no City Council action is required at this time to amend the budget or appropriate additional funds.
BACKGROUND/DISCUSSION:
The City Council approved a Sublessee Development and Participation Agreement with Topgolf on March 24, 2021 for the Driving Range Relocation Project (“DRR Project”). The DRR Project is adjacent to the Montebello Municipal Golf Course Renovation Project (“GCR Project”) and is located along the Via Campo frontage of the golf course campus.
The GCR Project will renovate a portion of the existing Montebello Municipal Golf Course property located immediately south of the DRR Project and northwest of the Quiet Cannon event center. The GCR project area is approximately 72.5 acres of the golf course campus as shown in the Project Site Plan (Attachment C). The project replaces the existing 18-hole golf course with a new and modern first-class championship golf course complex that will complement the adjacent Topgolf facility and existing hotels and Quiet Cannon event center. Construction is underway of a new 9-hole championship golf course with a new club house and putting green complex and a new 6-hole Par 3 golf course with lights.
The construction of the Golf Course Renovation Project is phased as follows:
• Phase 1 – Golf course rough site work construction (Civil Contractor) including rough grading, underground and utilities construction, pavement and concrete flatwork. The City Council awarded this construction contract on October 12, 2022 and construction commenced in November 2022;
• Phase 2 – Golf course construction (Golf Course Contractor) including finished grading, construction of golf course features (i.e. tee boxes, fairways, greens and sand traps), turf and landscaping. The City Council awarded this construction contract on November 9, 2022 and construction commenced in December 2022; and
• Phase 3 – Clubhouse construction. Two options are being presented for the consideration of the City Council as follows:
o Option 1 – Construction of a permanent clubhouse, including the outdoor event lawn area and surrounding landscaping. The site plan and renderings are included in Attachment D.
o Option 2 – Construction of a temporary clubhouse consisting of a modular building and construction of the cart garage portion of the permanent building. The cart garage would be saved when the remainder of the permanent building is constructed. The building could be built around the cart garage and the temporary clubhouse could continue to operate while the permanent clubhouse is constructed. A site plan of the temporary clubhouse is shown in Attachment E.
Phase 3 Notice Inviting Bids – Clubhouse Construction
The Engineer’s Estimate for construction for Phase 3 is $7,250,000 for Option 1
CITY COUNCIL AGENDA REPORT - MEETING OF MARCH 8, 2023
(Permanent Clubhouse) or $2,250,000 for Option 2 (Temporary Clubhouse).
The anticipated project schedule for Phase 3 is as follows:
Advertise for Construction Bids March 2023 Award of Contract May 2023 Start Construction July 2023 Complete Construction April 2024
Construction management and inspection for all phases is provided by AIM Consulting Services, one of the city’s as-needed construction management/inspection consultants.
ENVIRONMENTAL:
Pursuant to the California Environmental Quality Act (CEQA) Guidelines Section 15301, the recommended improvements are categorically exempt under Class 1(c) for existing facilities. Under CEQA, a project is exempt if the scope of work is limited to the repair, maintenance, and minor alterations of an existing facility and involves negligible or no expansion of the existing or former use. The project does not change the existing use as a golf course and, furthermore, that use is actually reduced since the project will replace an 18-hole golf course with a 9-hole golf course and a smaller 6-hole par 3 golf course.
ANALYSIS:
N/A
SUMMARY:
Upon approval of the recommended actions, staff will coordinate the advertisement of the Notice Inviting Bids for the subject project.
ATTACHMENT(S)
1. Attachment A - Notice Inviting Bids
2. Attachment B - Total Project Budget - Spending Plan
3. Attachment C - Project Site Plan
4. Attachment D - Option 1 - Permanent Clubhouse
5. Attachment E - Option 2 - Temporary Clubhouse
NEXT STEPS:
N/A
A - 1
NOTICE INVITING SEALED BIDS
FOR
Golf Course Renovation – Clubhouse Construction
C.P. No. 894-3
IN THE CITY OF MONTEBELLO
DATE OF BID OPENING: PUBLIC NOTICE IS HEREBY GIVEN that the City of Montebello as AGENCY, invites sealed bids for the above stated project and will receive such bids electronically ONLY thru PlanetBids, https://www.cityofmontebello.com/rfp-bids/bid- opportunities.html , by 11:00 am on Tuesday, March __, 2023. The ELECTRONIC Bid(s) will be evaluated and posted on PlanetBids, where they c an be viewed publicly shortly after the bid closes.
SCOPE OF WORK: The work to be performed or executed under these sp ecifications consists of furnishing all materials, equipment, tools, labo r, and incidentals as required by the contract documents to construct the above stated project. Th e general items of work include construction of a golf course clubhouse building, and other miscellaneous appurtenant work as indicated in the contract documents.
CONTRACT DOCUMENTS:
Copies of the contract documents and specifications are available on the City’s website at https://www.cityofmontebello.com/rfp-bids/bid-opportunities.html .
In order to be on the Planholder List for this proj ect, each bidder must submit a Bidders Information Sheet thru PlanetBids. Bids will not b e accepted unless the bidder is on the Planholder List. All questions from planholders, are to be posted on the website.
Questions: All questions relative to this project prior to th e opening of bids shall be submitted electronically and received no later than 12:00 p.m. on Tuesday, March __, 2023.
PREVAILING WAGE:
Pursuant to Section 1770, et seq., of the California Labor Code, the Contractor shall pay the general prevailing rate of per diem wages as determined by the Director of the Department of Industrial Relations of the State of California for the locali ty where the work is to be performed. A copy of said wage rates is available on-line at: B-2 www.dir.ca.gov/dlsr/DPreWageDetermination.htm .
The Contractor and any subcontractors shall pay not less than said specified rates and shall post a copy of said wage rates at the project site. This p roject is funded in whole or in part with Community Development Block Grant (CDBG) funds prov ided by the U.S. Department of Housing and Urban Development (HUD). Federal Labor Standards Provisions, including prevailing wage requirements of the Davis-Bacon and Related Acts will be enforced. In the event of a conflict between Federal and State wages rates, the higher of the two will prevail.
ATTACHMENT A
A - 2
LABOR COMPLIANCE:
To comply with SB 854, beginning January 1, 2015 the following applies:
1. No contractor or subcontractor may be listed on a b id proposal for public works project (submitted on or after March 1, 2015) unless regist ered with the Department of Industrial Relations (DIR) pursuant to Labor Code section 1725.5 [with limited exceptions from this requirement for bid purposes only under Labor Code section 1771.1(a)].
2. No contractor or subcontractor may be awarded a con tract for public works on a public works project awarded on or after April 1, 2015, unless registered with the DIR.
3. The project is subject to compliance monitoring and enforcement by the DIR.
4. Require the prime contractor to post job site notic es prescribed by regulation (regulation not created yet) or the City must post the notices itself.
The Contractor shall fill in the Department of Indu strial Relations (DIR) Contractor Registration Number Form provided in the Contract Specifications submit it with the sealed Bid.
The AGENCY hereby affirmatively ensures that minori ty business enterprises will be afforded full opportunity to submit bids in response to this notice and will not be discriminated against on the basis of race, color, national origin, ancestry, sex, marital status or religion in any consideration leading to the award of contract.
In entering into a public works contract, or subcon tract, to supply goods, services, or materials pursuant to a public works contract, the Contractor , or the Subcontractors, offers and agrees to assign to the awarding body all rights, title and interest in, and to, all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. Section 15) of under the Cartwright Act (Chapter 2 [commencing with Section 16700] of Part 2 of Division 7 of the Business and Professions Code), arising from purchases of goods, services, or materials pursuant to the public work contract or the subcontract. This assignment shall be made and beco me effective as the time the awarding body tenders final payment to the Contractor, without further acknowledgement by the parties.
Bids must be prepared on the approved Proposal form s in conformance with the “Instructions to Bidders” and submitted in a sealed envelope plainly marked on the outside. The bid must be accompanied by certified or cashier’s check, or bidder’s bond, made payable to the AGENCY for an amount no less than ten percent of the amount bid.
Bidders must hold a valid California Class A or B Contractor’s License.
No bid will be accepted from a Contractor who has not been licensed in accordance with provisions of the Business and Professions Code. The successfu l Contractor and his subcontractors will be required to possess business licenses from the City.
A - 3
The AGENCY will deduct five percent (5%) retention from all progress payments as specified in Section 9-3.2 of these Specifications. The Contrac tor may substitute an escrow holder surety of equal value to the retention and the Contractor sha ll be beneficial owner of the surety and shall receive any interest thereon.
The AGENCY reserves the right to reject any or all bids, to waive any irregularity and to take all bids, under advisement for a period of sixty (60) days.
The contract period for this project is Two Hundred (200) working days from the effective date of the Notice-to-Proceed to be issued by the City.
Publish Date: March __, 2023
BY ORDER OF: The City of Montebello, California
_____________________________
Alicia Fernandez, Deputy City Clerk
ATTACHMENT B
MONTEBELLO MUNICIPAL GOLF COURSE RENOVATION PROJECT
C.P. No. 894-3
CLUBHOUSE – OPTION 1 (PERMANENT)
TOTAL PROJECT BUDGET / SPENDING PLAN
Previously Authorized Project Budget
Project Expenses Estimated Cost
Conceptual Pre-Design Project Development (Trend Sports, LLC) (Auth 10/12/22) $494,705
Program Management Service (AIM CS – Auth 11/10/21) $382,720 Additional Services (Auth7/27/22 ) $188,841
Architectural/Engineering Design Service (Sportfive – Auth 11/10/21) $1,238,290 Additional Services (Auth 5/11/22) $188,790
Additional Services (Auth 8/1/22) $149,980
Additional Services (Administrative Auth 10/3/22) $ 7,928 Construction Management / Inspection – (Auth 10/12/22) $1,283,543 Phase 1 – Grading & Utilities Construction
(Los Angeles Engineering, Inc.) – (Auth 10/12/22) $5,094,000
Phase 1 Construction Contingency (5%) $254,700
Phase 2 – Golf Course Construction
(American Landscape, Inc.) - (Recommended) $9,664,658
Phase 2 Construction Contingency (5%) $483,233
Irrigation Pump Station Purchase (MCI-Flowtronex – Auth 9/28/22) $295,000 Utilities (Installation and Fees) $573,612
Total: $20,300,000
Recommended Project Budget Amendment
Project Expenses Estimated Cost
Architectural/Engineering Design Service (Sportfive) – Additional Services $150,000 Phase 3 – Golf Course Clubhouse (Permanent) $7,250, 000 Phase 3 Construction Contingency (5%) $362,500
Electrical Switch Gear $90,000
Fence Replacement $500,000
Miscellaneous Expenses $250,000
Total Expenses: $8,602,500
Project Funding Amount
Gas Tax $1,750,000
General Fund Reserve (See Fiscal Impacts in Staff Report) $6,852,500 Total Funding: $8,602,500
TOTAL PROJECT COST: $28,902,500
MONTEBELLO MUNICIPAL GOLF COURSE RENOVATION PROJECT
C.P. No. 894-3
CLUBHOUSE – OPTION 2 (TEMPORARY)
TOTAL PROJECT BUDGET / SPENDING PLAN
Previously Authorized Project Budget
Project Expenses Estimated Cost
Conceptual Pre-Design Project Development (Trend Sports, LLC) (Auth 10/12/22) $494,705
Program Management Service (AIM CS – Auth 11/10/21) $382,720 Additional Services (Auth7/27/22 ) $188,841
Architectural/Engineering Design Service (Sportfive – Auth 11/10/21) $1,238,290 Additional Services (Auth 5/11/22) $188,790
Additional Services (Auth 8/1/22) $149,980
Additional Services (Administrative Auth 10/3/22) $ 7,928 Construction Management / Inspection – (Auth 10/12/22) $1,283,543 Phase 1 – Grading & Utilities Construction
(Los Angeles Engineering, Inc.) – (Auth 10/12/22) $5,094,000
Phase 1 Construction Contingency (5%) $254,700
Phase 2 – Golf Course Construction
(American Landscape, Inc.) - (Recommended) $9,664,658
Phase 2 Construction Contingency (5%) $483,233
Irrigation Pump Station Purchase (MCI-Flowtronex – Auth 9/28/22) $295,000 Utilities (Installation and Fees) $573,612
Total: $20,300,000
Recommended Project Budget Amendment
Project Expenses Estimated Cost
Architectural/Engineering Design Service (Sportfive) – Additional Services $150,000 Phase 3 – Golf Course Clubhouse (Temporary) $2,250, 000 Phase 3 Construction Contingency (5%) $112,500
Electrical Switch Gear $90,000
Fence Replacement $500,000
Miscellaneous Expenses $250,000
Total Expenses: $3,352,500
Project Funding Amount
Gas Tax $1,750,000
General Fund Reserve (See Fiscal Impacts in Staff Report) $1,602,500 Total Funding: $3,352,500
TOTAL PROJECT COST: $23,652,500
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All ideas, designs, and arrangements indicated on these drawingsare intended to be used in connection with this specific projectonly and shall not otherwise be used for any purpose whatsoeverwithout the written consent of SportFive. There shall be nochanges or deviations from these drawings or the accompanyingspecifications without the written consent of SportFive.MONTEBELLO MUNICIPAL GOLF COURSE MONTEBELLO, CALIFORNIARENOVATION PROJECT 217GOLFCOURSESITE PLAN
GOLFCOURSEDESIGNPLANS
FUTUREDEVELOPMENTTOPGOLFTOPGOLFPARKING
GOLFCLUBHOUSEGOLFPARKINGEVENTLAWNEXISTING LAKE
EXISTINGLAKEEXPANDEDLAKENEW ENTRY ROAD
VIA SAN CLEMENTEEXISTINGHOME2 SUITESHOTEL
EXISTINGGOLF COURSEMAINTENANCE
EXISTINGQUIET CANNONEVENT FACILITYEXISTINGHILTONGARDEN INN
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NORTH050100200300
MJA22 - 01
SPORTFIVE7077 E. Marilyn Road, Suite 140Scottsdale, Arizona 85254(480) 483-9500RICK SMITH4400 NW 87th AveDoral, Florida 33178(305) 591-6487 SIX-HOLE & TEN-HOLE SHORT COURSEThe new six-hole golf course is designed for fun and players of allabilities. In addition to a relaxed, casual atmosphere, the new six-holecourse will help avid, more skilled golfers practice and improve their shortgame. There are six-holes that range from 50 yards to 90 yards in length.In the late afternoon when the regulation length Nine-Hole Course closes,the six-hole short course will convert to a ten-hole short course. Fouradditional short holes also ranging from 50-90 yards will be available forplay. A ten-hole short course will allow for a more substantial golfexperience and create an energy and vibrant atmosphere adjacent to thenew Golf Clubhouse. The ten-hole short course will be lighted for play tocontinue well into the night.This unique golf experience is inclusive for all, golfers of all abilities andnon-golfers. Being located near Topgolf, people on a wait-list for Topgolfmight be interested in playing this short course. We estimate the six-holecourse can be played in under 60 minutes, and the ten-hole course inunder 90 minutes. No cart paths on this course, a great walkableexperience to enjoy. For maximum playability and revenue the ten-holecourse will be overhead lighted and have on-course music.The location of the six-hole course works well with the Golf Clubhouse.We recommend considering a small “Starter” type patio / gathering areaadjacent to Hole 1 tee, providing golf operations control and a greatatmosphere for post round enjoyment.Small synthetic turf tees are designed into the golf course. Because ofthe amount of play, and short wedge shots on each hole. Real turf teeswill not grow and be a maintenance issue. Also, the synthetic tees “guide”people where to play from and will increase efficiency in time of play. Inaddition, the synthetic tees will be more consistent playing surface and bemore casual and less intimidating for the beginner or non-golfer.The new six-hole golf course consists of approximate 6.3 acres ofirrigated turf area. The existing lake is proposed to expand to 1.2 acres.The lake expansion will add to the golf experience, provide a challenge,be memorable and be an added value to the new Entry Drive experience.All areas of the course will be reshaped and include synthetic tees, newbunkers and new greens. New golf course drainage will be installed andconnected to the existing and new in ground storm drainage system. Allnew efficient irrigation system will be installed. All existing trees will becarefully reviewed and determined if appropriate to remain or be removedfor playability and better turf conditions. Additional trees will be installedas needed. All new turf will be planted consisting of Bermuda grass fortees, fairways and rough, and Bentgrass for all green surfaces.NINE-HOLE GOLF COURSEThe new nine-hole golf course is designed for players of all abilities, withmultiple tees at various yardages. Bunker placement is dictated forchallenge of the avid, better golfer and not a beginner. Green sizes willbe larger for multiple pin options and best quality greens turf conditionspossible.The new routing of the golf course and sequence of golf holes wasdesigned for playability, enjoyment and safety. The golf course will beenjoyable and easy to walk. During the round, golfers will have the optionto return to the Golf Clubhouse after Hole #4. During the round, golferswill have access to the existing on-course restroom after Hole #4 andagain after Hole #7.Options of playing a four-hole loop (Holes 1, 2, 3, 4) is provided.Beginners to the game of golf or people on a wait-list for Topgolf might beinterested in playing a four hole loop.The new nine-hole golf course consists of approximate 54.6 acres ofirrigated turf area. Three existing lakes are to remain and incorporatedinto the new golf course. One of the existing lakes will be expanded as anentry feature adjacent to the new Entry Drive, as well as an integral partof the Short Course. One of the existing lakes will be used as a featureand in view from the new Golf Clubhouse, as well as an integral part ofthe Short Course.All areas of the course will be reshaped and include all new tees andbunkers. New golf course drainage will be installed and connected to theexisting and new in ground storm drainage system. All new efficientirrigation system will be installed. Golf cart paths will be continuous cartpaths. All existing trees will be carefully reviewed and determined ifappropriate to remain or be removed for playability and better turfconditions. Additional trees will be installed as needed. All new turf willbe planted consisting of Bermuda grass for tees, fairways and rough, andBentgrass for all green surfaces.
HoleParYards 1 3 90 2 3 80 3 3 70 4 3 80 5 3 50 6 3 70Total 18 440SIX-HOLEShort CourseHoleParYards 1 3 90 2 3 80 3 3 70 4 3 80 5 3 50 6 3 70 7 3 60 8 3 90 9 3 80 10 3 90Total 30 760 TEN-HOLEShort Course
NINE-HOLE GOLF COURSEHolePar Yards BlackBlueWhiteRed 1 5 505495485450 2 4 430420410390 3 4 355345335310 4 4 390380370350 5 3 225215205180 6 4 430420410390 7 4 365355345320 8 4 350340330315 9 3 135125115100Total 353,1853,0953,0052,805
SHORT COURSE
EXISTING LAKE
EXISTINGRESTROOMIRRIGATIONPUMP STATIONNINE-HOLEREGULATIONLENGTH GOLFCOURSESIX-HOLE&TEN-HOLESHORTCOURSE July 22, 2022November 17, 20221Final Golf Construction Plans
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TEMPORARYCLUBHOUSE36'x60'
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Examples of
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Siena Golf Course
Thunderbirds Golf Course
ATTACHMENT E
TEMPORARY CLUBHOUSE
OPTION 2 - SITE PLAN
ITEM # 3
CITY OF MONTEBELLO
CITY COUNCIL AGENDA STAFF REPORT
TO: Honorable Mayor and City Council Members
FROM: Arnold M. Alvarez-Glasman, City Attorney
BY: Arnold Glasman, City Attorney
SUBJECT: INTRODUCTION AND FIRST READING OF ORDINANCE NO. 2463 AMENDING SECTIONS 2.30.010 AND 2.30.130 OF THE MONTEBELLO
MUNICIPAL CODE TO REINSTATE THE CIVIL SERVICE COMMISSION AND CHAPTER 2.44 OF THE MONTEBELLO MUNICIPAL CODE TO
REINSTATE THE TRAFFIC AND SAFETY COMMISSION
DATE: March 8, 2023
RECOMMENDATION(S):
It is recommended that the City Council:
1. Introduce and conduct a first reading of Ordinance No. 2463, with waiver of a full reading, of an Ordinance amending Sections 2.30.010 and 2.30.130 of the Montebello Municipal Code to reinstate the Civil Service Commission and Chapter
2.44 of the Montebello Municipal Code to reinstate the Traffic and Safety Commission; and
2. Provide direction to bring this item back for a second reading and adoption at the next regular City Council meeting; and
3. Take such additional, related, action that may be desirable FISCAL IMPACT:
There will be a fiscal impact to the General Fund related to staffing each meeting (i.e., additional staff time), stipends paid to each commission member, providing third-party legal and traffic engineering consultant services, and supplies (i.e., copies of agenda packets, studies, related hand-outs, etc.). In addition, there will be impacts on current staffing as additional time will be required to support each commission – creating and posting agendas, taking minutes, follow up on commission direction, and other necessary tasks. The total annual fiscal impact will be based on the number of meetings conducted for each commission and the scope of review for each issue presented to the commissions.
CITY COUNCIL AGENDA REPORT - MEETING OF MARCH 8, 2023
For the Traffic Commission, annual support costs will be approximately $225,000 for a traffic engineer. In addition, an additional $300,000 may be necessary to pay for the cost of the various traffic studies needed based on commission direction. The $525,000 in estimated annual expenses will be borne by the General Fund.
The Civil Service Commission will add approximately $300,000 annually, to provide third- party legal services for both the City and the Civil Service Commission, as needed language translation services, commission stipends, and additional dedicated staff time.
BACKGROUND/DISCUSSION:
At its meeting of November 18, 2020, the City Council adopted an Ordinance changing the title of Section 2.30.130 of the Montebello Municipal Code from “Duties – Civil service commission” to read as “Duties – Personnel advisory commission,” in effect, changing the name of the Civil Service Commission set forth in Chapter 2.60 to the Personnel Advisory Commission.
At its meeting of January 13, 2021, the City Council adopted an Ordinance amending Chapter 2.44 of the City of Montebello Municipal Code (MMC) relative to the then-existing Traffic and Safety Commission and transforming it into a Traffic and Safety Committee.
The changes made as a result of this transformation included the following:
• Eliminate the current Traffic and Safety Commission to be replaced with a new Traffic Committee to hear appeals of traffic control measures requested by the public.
• Committee shall consist of existing City employees such as Chief of Police, City Manager, City Engineer, and the City Attorney or others designated by these Department Directors.
• The City Council will be informed of any alternative appointees to the Committee designated by the Directors identified above, but no Council action will be required. • Two members of the public will be appointed to the Committee to participate during normal business hours. Public members will be appointed by the City Council with a 4/5ths vote.
At its first meeting in January 2023, the City Council expressed a consensus to reinstate the Traffic and Safety Commission and Civil Service Commission to its full form. Pursuant to this consensus, the City Attorney’s office has drafted the attached Ordinance (Attachment “A”) that, once adopted, will revert the name of the Personal Advisory Commission to the Civil Service Commission and will amend Chapter 2.44 of the MMC to revert the Traffic Committee back to a Traffic and Safety Commission, as it once was, and will be made up of five (5) members of the public, with each member being appointed by the City Council.
ENVIRONMENTAL:
N/A
CITY COUNCIL AGENDA REPORT - MEETING OF MARCH 8, 2023
ANALYSIS:
N/A
SUMMARY:
It is recommended that the City Council introduce and conduct a first reading, with waiver of a full reading, of an Ordinance amending Sections 2.30.010 and 2.30.130 of the Montebello Municipal Code to reinstate the Civil Service Commission and Chapter 2.44 of the Montebello Municipal Code to reinstate the Traffic and Safety Commission and provide direction to bring this item back for a second reading and adoption at the next regular City Council meeting.
ATTACHMENT(S)
1. Attachment A - Ordinance No. 2463, Amending Chapters 2.30.010 and 2.30.130
NEXT STEPS:
N/A
ORDINANCE NO. 2463
AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF
MONTEBELLO, CALIFORNIA, AMENDING SECTIONS 2.30.010 AND
2.30.130 OF THE MONTEBELLO MUNICIPAL CODE TO REINSTATE
THE CIVIL SERVICE COMMISSION AND CHAPTER 2.44 OF THE
MONTEBELLO MUNICIPAL CODE TO REINSTATE THE TRAFFIC AND
SAFETY COMMISSION
WHEREAS, the City of Montebello (“City”) is a general law city, incorporated under the laws of the State of California, with the power to make and enforce within its jurisdictional limits all local, police, sanitary, land use, and other ordinances and regulations not in conflict with general laws of the state; and WHEREAS, Ordinance No. 2322 was passed and approved by the City Council of the City of Montebello (“City Council”) in 2008, and amended the Montebello Municipal Code requiring that the City Council establish various Commissions to help advise the City; and
WHEREAS, on November 18, 2020, the City Council adopted an Ordinance changing the name of the Civil Service Commission to the Personnel Advisory Commission; and
WHEREAS, on January 13, 2021, the City Council adopted an Ordinance amending Chapter 2.44 of the City of Montebello Municipal Code relative to the then- existing Traffic and Safety Commission and transforming it into a Traffic and Safety Committee; and
WHEREAS, At its first meeting in January 2023, the City Council provided direction via City Council consensus to reinstate the Traffic and Safety Commission and Civil Service Commission to its full form as previously established; and WHEREAS, the City Council desires to amend the Montebello Municipal Code to reinstate the Civil Service Commission and the Traffic and Safety Commission.
NOW THEREFORE, THE CITY COUNCIL OF THE CITY OF MONTEBELLO HEREBY ORDAINS AS FOLLOWS:
SECTION 1.RECITALS. The above recitals are true and correct and made part of this Ordinance.
ORDINANCE NO. 2463
SECTION 2. AMENDMENT. Section 2.30.010 – Advisory commissions established and 2.30.130 – Duties – Personnel advisory commission of Chapter 2.30 – Advisory Commissions of the Montebello Municipal Code are hereby amended to read as follows (deletions in strikethrough and additions in double underline):
2.30.010 – Advisory commissions established.
A. The city council establishes the following commissions or committees to serve the city, identified as follows and collectively referred herein as the “commissions” or “committees”:
1. Personnel advisory Civil service commission;
2. Parks and recreation commission;
3. Planning commission;
4. Traffic committee and safety commission;
5. Youth and Education commission.
B. Nothing in this chapter shall be construed as restricting or curtailing any of the powers of the city council, or as a delegation to the commissions, of any authority or discretionary powers vested and imposed by law in the city council. The city council declares that the public interest, convenience, welfare and necessity require the establishment of the commissions to act in a purely advisory capacity, for the purposes set forth herein this chapter.
2.30.130 – Duties – Personnel advisory Civil service commission.
The powers and duties of the personnel civil service advisory commission shall be:
A. Pursuant to the rules set forth in Chapter 2.60 herein, to hear appeals submitted by any person in the classified service relative to any disciplinary action, dismissal, demotion or alleged violation of Chapter 2.60 or the civil service rules, and to certify its finding and recommendations.
B. In any investigation or hearing conducted by the commission, it shall have the power to examine witnesses under oath and compel their attendance or production of evidence by subpoenas issued in the name of the city and attested by the city clerk. It shall be the duty of the police chief to cause all such subpoenas to be served, and refusal of a person to attend or to testify in answer to such subpoena shall subject the person to prosecution in the same manner as set forth by law for failure to appear before the city council in response to a subpoena issued by the city council. Each member of the
ORDINANCE NO. 2463
commission shall have the power to administer oaths to witnesses. The commission shall afford every witness the opportunity to be heard.
C. To publish or post notices of tests for positions in the classified service; to receive application therefore; to conduct and grade tests (this duty and function may be contracted as provided in Section 2.60.280 of this title); to certify to the appointing authority a list of all persons eligible for appointment in the appropriate position in the classified service. The commission shall cause the duties imposed upon it by this subsection to be performed by the personnel office for the commission. In the performance of such duties so delegated by the provisions of this subsection, the personnel officer shall be subject to the direction and control of the civil service commission.
D. When required by the city council, the commission shall hold hearings and make recommendations on any matter of personnel administration, within the limits of such request.
E. To advise the city council on all matters and problems concerning personnel administration.
F. From time to time other duties may be directed by the city council.
A. To advise the city council on all matters concerning termination of personnel.
B. Any proceeding before this commission shall be a de novo hearing.
C. The employee may appear through an attorney or other qualified person at the level of commission appeal.
SECTION 3.AMENDMENT. Chapter 2.44 – Traffic Committee of the Montebello Municipal Code is hereby amended to read as follows.
Chapter 2.44 TRAFFIC COMMITTEE AND SAFETY COMMISSION
2.44.010 Created.
There is created a traffic committee and safety commission for the city as follows.
2.44.020 Members – Appointments – Removal.
ORDINANCE NO. 2463
The traffic committee and safety commission of this city shall consist of five (5) members of the public. Members shall be appointed for terms not to exceed four (4) years each; provided, that the city council shall stagger terms of office or portions of terms of office at such times as it shall be deemed necessary, so as to provide continuity in the membership of the commission. An individual shall be eligible for appointment to the commission as long as he or she is a resident within the city at the time of his or her appointment and at all times during his or her term.
Each member shall serve until his or her successor is appointed and qualified, or until he or she is removed from office, by not less than a majority vote of the total voting membership of the city council, with or without cause. shall consist of the following designated officers and employees of the city, or their duly authorized deputies or assistants, who are hereby appointed and directed to serve thereon without additional compensation therefor during their respective terms of office or employment.
(A) The city manager;
(B) The police chief;
(C) The city engineer;
(D) The city attorney; and
(E) Two resident members of the city who will be selected by the entire city council by a four-fifths vote of the then seated members of the city council.
2.44.030 Meetings Officers
The meetings of this committee shall be:
A. Officers. The commission shall select one of its members as chairperson and one of its members as vice chairperson of the commission for a term, respectively, of one year. Notices. Meetings of the traffic committee shall be held whenever necessary to properly and expeditiously carry out the powers and duties delegated to the traffic committee. At least three members collectively of the traffic committee shall have the power to call a meeting thereof, and each member shall receive a notice of every such meeting.
B. Meetings. The commission may normally hold at least one regular meeting each calendar month, at such time and place as the secretary of the commission shall designate for the commission. The commission shall adopt such rules as it deems to be necessary for the transaction of its business, and shall keep appropriate records thereof. Quorum. Three members shall constitute a quorum for the conduct of any business of the traffic committee and safety commission. All actions or recommendations of the traffic committee which are consistent with the
ORDINANCE NO. 2463
powers and duties delegated by the provisions of this chapter or otherwise shall be presumed valid if such actions or recommendations are approved or ratified by any three members thereof.
C. Absence from Meetings. If any member of the commission shall be absent from three (3) successive regular meetings of the commission, without cause, the office of such member shall be deemed to be vacant. The secretary of the commission shall immediately inform the city council of such vacancy. Time of Meetings. Unless otherwise needed to conduct the business of the traffic committee, all meetings shall be conducted during regular city business hours.
D. Absence for Cause. An absence due to illness, an unavoidable absence from the city, or provided that written notice thereof is given to the secretary of the commission in advance of such regular meeting, shall be deemed an absence for cause. Minutes. The traffic committee shall maintain a minute record of its proceedings in which shall be recorded the date, time, and place of each meeting, the name of each member present, and the action, if any, taken on each item of request or referral. A copy of such record shall be filed with the city clerk.
2.44.040 Powers and Duties.
The traffic and safety commission of the city shall perform such duties as may be provided for in this code or other applicable law. In addition, the commission shall perform such functions as may be specifically delegated to it from time to time by the city council. In addition to such powers as may be otherwise specified by the provisions of this chapter or any applicable law, ordinance, or resolution, the traffic committee shall serve as the hearing body for appeals filed by applicants whose request for a traffic control device, traffic calming device, parking restriction, or painted curb has been denied by the director of public works in accordance with adopted policy.
2.44.050 Compensation standards for exercising powers and duties.
Members of the traffic and safety commission shall be entitled to such compensation as may, by resolution, be determined by the city council. The powers, functions, and duties set forth in this chapter shall be exercised or performed only after the traffic committee has determined that such exercise or performance is necessary to prevent or relieve traffic congestion, to insure the orderly and safe movement of vehicular or pedestrian traffic, or to insure public safety and convenience. In each instance, such determination shall consider the
ORDINANCE NO. 2463
professional opinion of the city traffic engineer based upon one or more of the following:
(A) Available traffic information or studies;
(B) Field observations;
(C) Vehicular traffic or pedestrian counts;
(D) Established traffic engineering principles, standards, and practices; and (E) Traffic engineering surveys or studies.
2.44.060 Appeals from decision of commission.
A. Filing. Any person aggrieved by any decision or action of the traffic and safety commission committee, not later than fifteen (15) days following the rendering of the decision by the traffic and safety commission, file a written letter of appeal with the city clerk, appealing the decision of the traffic and safety commission to the council; or, the council, may upon motion, determine to review the decision of the traffic and safety commission in the same manner as if an appeal had been filed by a person aggrieved by such a decision.
B. Upon notification by the clerk of such appeal, the secretary of the traffic and safety commission shall transmit to the clerk of the traffic and safety commission the file with the matter appealed. The clerk shall place the matter on the council’s agenda as soon as possible thereafter, and shall give appellant, and any other interested person requesting such notice, ten day’s written notice of the time and place of such hearing. The council shall at the time of such hearing, review the matter and, shall affirm, modify or reverse the traffic safety commission’s decision.
The determination of the council shall be final and conclusive. or of any person charged with carrying out the orders of the traffic committee may appeal such decision or action by filing a written protest with the city clerk who shall submit such protest to the council at its next regular meeting.
B. Council action. Upon the receipt of any protest, or upon its own motion, the council may take such action regarding any decision, recommendation, or action of the traffic committee or concerning any matter referred to it as the council may determine to be in the best public interest. The decision of the council concerning any action, decision, or recommendation of the traffic committee shall be final and determinative of the issues. If any specific action, decision, or recommendation of the traffic committee, or any person charged by the provisions of this article with carrying out its orders, is subsequently reviewed and set aside by the council, no further action shall be taken thereon except upon a direct order of the council.
ORDINANCE NO. 2463
2.44.070 Hearings—Form.
Neither the city traffic and safety commission committee nor the council shall be required to hold formal noticed public hearings upon matters referred to in this chapter or Title 10 of this code. The city traffic and safety commission and the council shall hear any relevant evidence offered by any interested person, and shall consider the files and any staff report therein included.
2.44.080 Temporary powers and duties of the Police Chief.
Notwithstanding any other provisions of this chapter, the police chief shall have the power and authority to temporarily exercise any powers delegated by the provisions of this chapter to the traffic committee when such temporary action shall be necessary to provide for an emergency or for the orderly movement and control of pedestrian or vehicular traffic or vehicle parking or whenever such action is deemed by him or her to be necessary for the protection of life or property or the public safety. All such actions by the police chief shall be deemed lawful unless and until superseded by further action of the traffic committee or the council.
SECTION 4.SEVERABILITY. If any action, subsection, line, sentence, clause, phrase, or word of this Ordinance is for any reason held to be invalid or unconstitutional, either facially or as applied, by a decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this Ordinance, and each and every individual section, subsection, line, sentence, clause, phrase, or word without regard to any such decision.
SECTION 5. EFFECTIVE DATE. This Ordinance shall become effective thirty (30) days after adoption by the City Council.
SECTION 6. PUBLICATION. The City Clerk shall certify to the adoption of this Ordinance and shall cause the same to be published or posted according to law.
PASSED, APPROVED, AND ADOPTED ____TH DAY OF _____ 2023. _______________________________
David N. Torres, Mayor
ORDINANCE NO. 2463
ATTEST:
_______________________________
Christopher Jimenez, City Clerk
APPROVED AS TO FORM:
_______________________________
Arnold M. Alvarez-Glasman, City Attorney
I HEREBY CERTIFY that the foregoing Ordinance was introduced at the regular meeting of the City Council on the 8th day of March, 2023, and was adopted by the City Council of the City of Montebello at its meeting held on the ___th day of ____, 2023, by the following vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
_______________________________
Christopher Jimenez, City Clerk
ITEM # 4
CITY OF MONTEBELLO
CITY COUNCIL AGENDA STAFF REPORT
TO: Honorable Mayor and City Council Members
FROM: René Bobadilla, City Manager
BY: James Enriquez, Director of Public Works
SUBJECT: HYRAP STREETS PROJECT FISCAL YEAR 2022-23 (CP NO. 897) –
NOTICE OF COMPLETION
DATE: March 8, 2023
RECOMMENDATION(S):
It is recommended that the City Council:
1. Accept the HYRAP Street Project, Fiscal Year 2022-23 (CP No. 897) as completed by Manhole Adjusting Inc., and
2. Approve the recommended “Changes in Work” for the project in the amount of $311,343 (Attachment A); and
3. Approve the Final Total Project Budget (Attachment B); and
4. Amend the Fiscal Year 2022-23 budget by increasing appropriations by $61,602 in the Measure M Fund, Account No. 220-99-7116-100.897.30 (Measure M, Improvements Other Than Building, HYRAP Streets Project); and
5. Authorize the City Clerk to file the Notice of Completion with Los Angeles County Recorder (Attachment C) and authorize the City Manager to release the retention payment due to Manhole Adjusting, Inc. following the mandatory waiting period from the date of Notice of completion is recorded; and
6. Take such additional related action that may be desirable.
FISCAL IMPACT:
The Final Total Project Budget (Attachment B) shows the total funding and sources that were previously approved by the City Council throughout the life of the project in the total amount of $2,690,000. The Total Project Budget also shows the total expenditures for the project in the amount of $2,751,602, requiring an additional appropriation in the amount of $61,602 from Measure R (Fund 220) in order to close the project. It is recommended that the City Council amend the Fiscal Year 2022-23 budget by increasing appropriations by $61,602 in Account No. 220-99-7116-100.897.30 (Measure M,
CITY COUNCIL AGENDA REPORT - MEETING OF MARCH 8, 2023
Improvements Other Than Building, HYRAP Streets Project). The Measure M fund has sufficient fund balance to provide the needed additional appropriations.
BACKGROUND/DISCUSSION:
On August 1, 2022, the City Council awarded a construction contract to Manhole Adjusting, Inc. in an amount not-to-exceed $2,440,259 for the HYRAP Streets Project (CP No. 897). The project included resurfacing 16 residential streets with a two- layered system, the bottom pavement layer is an Asphalt-Rubber Aggregate Membrane (ARAM) and the top pavement layer is HYRAP asphalt pavement. The project also included the removal of the existing asphalt concrete pavement, including excess dirt, concrete curb and gutter, ramps, driveways, and sidewalk of 10th Street from Hughes Ave to South end.
Construction started on August 15, 2022 and was completed on October 31, 2022.
NOTICE OF COMPLETION
Pursuant to Civil Code Section 3093, when a Capital Improvement Project is completed, a Notice of Completion must be prepared and filed with the County Recorder’s Office after completion of the improvements. In compliance with this section of the Civil Code, the City Engineer has prepared the required Notice of Completion for the City Council to accept the project as complete; and to authorize the City Clerk to file the Notice of Completion for recordation with the County Recorder’s Office.
Concurrent with the preparation of the Notice of Completion, the City Engineer approved the final progress payment based on the agreed upon scope of work; with a five (5%) percent retention being withheld from the progress payments. The final retention payment is released to the contractor sixty (60) days after recordation of the Notice of Completion.
The City engineer has performed the field review and has reviewed the inspection reports and has concluded that the Project was completed satisfactorily and in accordance with the Project specifications.
ENVIRONMENTAL:
N/A
ANALYSIS:
N/A
SUMMARY:
The City Council is requested to accept as complete the HYRAP Streets project Fiscal Year 2022-23 (C.P. No. 897) and authorize the City Clerk to process the Notice of Completion; and amend the Fiscal Year 2022-23 budget by increasing appropriations by $61,602 in the Measure M Fund, Account No. 220-99-7116-100.897.30 (Measure M,
CITY COUNCIL AGENDA REPORT - MEETING OF MARCH 8, 2023
Improvements Other Than Building, HYRAP Streets Project).
ATTACHMENT(S)
1. Attachment A - Changes in Work
2. Attachment B - Total Project Budget
3. Attachment C - Notice of Completion
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CHANGES IN WORK SUMMARY
March 8, 2023
HYRAP STREETS PROJECT – FISCAL YEAR 2022-23
CP NO. 897
Project Description:
The project consists of resurfacing 16 residential streets with micro-grinding and other preparatory work followed by pavement resurfacing w ith a two-layered system. The bottom pavement layer is an Asphalt-Rubber Aggregat e Membrane (ARAM) and is topped with the final layer of HYRAP asphalt pavement.
Changes in Work:
(1) Reconstruction of 10 th Street from Hughes Ave to south end
$ 308,238
(2) Resurfacing work on 10 th Street from Hughes Ave to South End was removed.
$ -48,891
(3) Increase the width of the thermoplastic strip from 4 inches to 6 inches
$ 3,105
Total Changes in Work $ 311,343
Description of Changes:
(1) After further evaluation of the existing pavement conditions of 10 th Street, pavement limits from Hughes Ave to South end, City staff decided that 10 th street was not a good candidate for street resurfacing due to the bad condition of the pavement, cracks, and holes in the asphalt. Therefore, pavement reconstruction was selected as the pavement rehabilitation method. The reconstruction consisted of removing the existing pavement and base material, and installing 6” of crush mix base (CMB), 1 ½” HYRAP on 3” asphalt concrete (AC) conventional with 1/2” of Hot mix asphalt (HMA).
(2) Credit for the elimination of HYRAP work for 10 Street from Hughes Ave to South end. The street was reconstructed.
(3) Contractor bid on the proposed striping using 4” white lane to match the existing striping. However, the new striping standards has change to 6” wide striping lane at an increase in price.
ATTACHMENT A
Revised Contract Amount :
Original contract amount $ 2,440,259
Changes in work to be authorized $ 311, 343
Revised contract amount 2,751,602
Percent total change to original contract amount 12.8 %
ATTACHMENT B
HYRAP STREETS PROJECT- FISCAL YEAR 2022-23
C.P. NO. 897
FINAL TOTAL PROJECT BUDGET
Project Expenses Final Cost
Original Construction Contract (Manhole Adjusting, Inc) – (Awarded 08/01/22) $ 2,440,259
Construction Change Orders – (Recommended) $ 311,343
Total Project Cost: $ 2,751,602
Project Funding Budget Amount
Measure M (Fund 220) – (Appropriated 08/01/22) $ 600,000 Measure R (Fund 220) - (Appropriated 08/01/22) $ 90,000 SB1 RMRA (Fund 201) - (Appropriated 08/01/22) $ 2,000,000 Measure R (Fund 220) - (Recommended) $ 61,602
Total Project Budget: $ 2,751,602
RECORDING REQUESTED BY
CITY OF MONTEBELLO
AND WHEN RECORDED MAIL TO
NAME CITY OF MONTEBELLO
CITY CLERK
STREET 1600 W Beverly Blvd.
ADDRESS
CITY Montebello,
STATE CA
ZIP 90640
SPACE ABOVE LINE FOR RECORDERS USE
________________________________________________________________________________________________________________________________________________
NOTICE OF COMPLETION
Notice pursuant to Civil Code Section 3093, must be filed within 10 days after completion. (See reverse side for complete requirements.) Notice is hereby given that:
1. The undersigned is owner or corporate officer of the owner of the interest or estate stated below in the property hereinafter described:
2. The full name of the owner is City of Montebello
3. The full address of the owner is 1600 W Beverly Bl vd., Montebello, CA 90640
4. The nature of the interest or estate of the owner is: in fee.
(if other than Fee, strike “In fee” and insert, for example, “purchaser under contract of purchase”, or “lessee”)
5. The full names and full addresses of all persons, if any, who hold title with the undersigned as joint tenants or as tenants in common are:
NAMES ADDRESSES
__________________________________________________ _____________________________________________
6. The full names and addresses of the predecessors in interest of the undersigned, if the property was transferred subsequent to the commencement of the work or improvements herein referred to:
NAMES ADDRESSES
__________________________________________________ __________________________________________
7. A work of improvement on the property hereinafter d escribed was completed on October 27, 2022. The gen eral scope of work consisted of the removal and reconstruction of existing sidewalks, curb and gutters, drive app roaches, curb ramps, cold milling and repaving the existing stree ts, adjustments of utility covers, installation of pavement markings and striping, curb painting, installation of traffic detection loops and installation of a Bio-swell retention basin.
8. The name of the contractor, if any, for such work of improvement was Manhole Adjusting, Inc.
August 1, 2022
(If no contractor for work of improvement as a whole, insert “None”) (Date of Contract)
9. The property on which said work of improvement was completed is in the City of Montebello County of Lo s Angeles, State of CA, and is described as follows : City-Wide
Director of Public Works / City Engineer, City of Montebello (Signature of Owner or corporate officer of Owner named in paragraph 2, or his agent)
VERIFICATION
I, the undersigned, say: I am the City Clerk of the City of Montebello , the declarant of the foregoing Notice of Completion:
I have read said Notice of Completion and know the contents thereof; the same is true to my own knowle dge. I declare under penalty of perjury that the foregoing is true and correct.
Executed on_________________ , 2023 at City of Mont ebello, Montebello, CA __________________________________________________ (Personal signature of the individual who is swearing that the contents of the Notice of Completion are true)
ATTACHMENT C
DO NOT RECORD
REQUIREMENTS AS TO NOTICE OF COMPLETION
A notice of completion must be filed for record WIT HIN 10 DAYS after completion of the work of improvement (to be computed exclusive o f the day of completion), as provided in Civil Code Section 3093.
The “owner” who must file for record a notice of co mpletion of a building or other work of improvement means the owner (or his successor in -interest at the date the notice is filed) on whose behalf the work was done, though hi s ownership is less than the fee title.
For example, if A is the owner in fee, and B, lesse e under a lease, causes a building to be constructed, then B, or whoever has succeeded to hi s interest at the date the notice is filed, must file the notice.
If the ownership is in two or more persons as joint tenants or tenants is common, the notice may be signed by any one of the co-owners (i n fact, the foregoing form is designed for giving of the notice by only one cotenant), but the names and addresses of the other co-owners must be stated in paragraph 5 of the form.
Note that any Notice of Completion signed by a succ essor in interest shall recite the names and addresses of his transferor or transferors.
In paragraphs 3, 5 and 6, the full address called f or should include street number, city, county and state.
As to paragraphs 7 and 8, this form should be used only where the notice of completion covers the work of improvement as a whol e. If the notice is to be given only of completion of a particular contract, where the work of improvement is made pursuant to two or more original contracts, then this form must be modified as follows: (1) Strike the words “A work of improvement” from paragraph 6 and insert a general statement of the kind of work done or materials furnished pursuant t o such contract (e.g., “The foundations for the improvements”); (2) Insert the name of the contractor under the particular contract in paragraph 7.
In paragraph 8 of the notice, insert the name of th e contractor for the work of improvement as a whole. No contractor’s name need be given if there is no general contractor, e.g., on so-called “owner-builder jobs.”
In paragraph 9, insert the full, legal description, not merely a street address or tax description. Refer to deed or policy of title insu rance. If the space provided for description is not sufficient, a rider may be attached.
In paragraph 10, show the street address, if any, a ssigned to the property by any competent public or governmental authority.
This standard form covers most usual problems in th e field indicated. Before you sign, read it, fill in all blanks, and make changes proper to your transaction. Consult a lawyer if you doubt the form’s fitness for your purpose.
ITEM # 5
CITY OF MONTEBELLO
CITY COUNCIL AGENDA STAFF REPORT
TO: Honorable Mayor and City Council Members
FROM: René Bobadilla, P.E., City Manager
BY: James Enriquez, Director of Public Works
SUBJECT: MONTEBELLO MUNICIPAL GOLF COURSE RENOVATION PROJECT (CP NO. 894) – ELECTRICAL SWITCHGEAR PURCHASE ORDER
DATE: March 8, 2023
RECOMMENDATION(S):
It is recommended that the City Council:
1. By a four-fifths vote of the City Council authorize the dispensing of a formal bidding procedure for the purchase of the electrical switchgear for the Montebello Municipal Golf Course Renovation Project (CP No. 894), in accordance with Montebello Municipal Code Chapter 3.20.050; and
2. Approve a contract with AAA Electrical Supply in the amount not-to-exceed $128,000 for the electrical switchgear and authorize the City Manager to execute the Purchase Order; and
3. Take such additional, related, action that may be desirable.
FISCAL IMPACT:
The previously authorized budget for the subject project includes funding for the proposed purchase order. No additional appropriations are recommended at this time.
BACKGROUND/DISCUSSION:
The Montebello Golf Course Renovation Project (“Project”) proposes to renovate a portion of the existing Montebello Municipal Golf Course property located south of Via Campo and northwest of Via San Clemente. The Project area is approximately 72.5 acres of the golf course campus. The Project will replace the existing 18-hole golf course with a new and modern first-class championship golf course complex that will complement the adjacent Topgolf facility and existing hotels and Quiet Cannon event center. The project will include a new 9-hole championship golf course with a new club house and putting
CITY COUNCIL AGENDA REPORT - MEETING OF MARCH 8, 2023
green complex and a new 6-hole (9-hole at night) Par 3 golf course with lights.
The construction of the Golf Course Renovation Project is phased as follows:
• Phase 1 – Golf course rough site work construction (Civil Contractor) including rough grading, underground and utilities construction, pavement and concrete flatwork (Construction commenced November 2022);
• Phase 2 – Golf course construction (Golf Course Contractor) including finished grading, construction of golf course features (i.e. tee boxes, fairways, greens and sand traps), turf and landscaping (Construction commenced December 2022); and
• Phase 3 – Clubhouse construction (Approval of options and Notice Inviting Bids pending City Council approval).
The recommended contract with AAA Electrical Supply is for the purchase of new electrical switchgear for the electrical service for the irrigation pump station and for the clubhouse. The switchgear will be purchased by the city and provided to the contractor for installation.
ENVIRONMENTAL:
N/A
ANALYSIS:
Although the recommended action is to dispense with bidding procedures by a four-fifths vote of the City Council in accordance with MMC Chapter 3.20.050, various electrical suppliers were contacted for informal quotes in order to ensure a fair market-value price.
Although quotes from other suppliers were lower, AAA Electrical Supply provided the quote with the shortest delivery timeframe at 12 weeks. All other suppliers quoted delivery time in excess of 11 months, which would cause costly delays to the completion of the overall project.
Therefore, approval of a purchase order with AAA Electrical Supply for a not-to-exceed amount of $128,000 is recommended, including anticipated sales tax. Approval will allow the prompt payment of a deposit in order to ensure delivery of the equipment within the stated 14 weeks, and ensure that the irrigation pump station is operable when grassing is scheduled. Additionally, AAA Electrical Supply is a local vendor.
SUMMARY:
Upon approval by the City Council of the recommended actions, staff will execute the purchase order with AAA Electrical Supply in order to initiate the fabrication of the electrical switchgear. The Golf Course Renovation Project capital project fund (Fund 310) has sufficient appropriations for this purchase, therefore no budget amendments are needed at this time.
CITY COUNCIL AGENDA REPORT - MEETING OF MARCH 8, 2023
ATTACHMENT(S)
1. Attachment A - AAA Electrical Supply Quotes
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1014 S. Montebello Blvd. Montebello, California 90640 (323) 721-2700 (323)721-5437 Fax
February 27, 2023
Samantha Chenelia
City of Montebello Public Works
Montebello CA 90640
Re: Montebello Municipal Golf Course
903 Via San Clemente Montebello, CA 90640
Qty Description
1 600A NEMA 3R Main Service “SES-P”, 480Y/277V 3Ø 4W, 35kAIC to include:
600A Utility UGPS with Meter
600A Distribution Section with (1) 400A Molded Case Circuit Breaker with T.M.T.U., (1) 200A Molded Case Circuit Breaker with T.M.T.U.
Estimated delivery at the time of this quotation is 10-12 weeks. This will be updated/improved when order is entered.
Proposal is based on the information and specifications provided to us by the customer. It excludes any special testing, permits, drawings or anything else not discussed or provided. Any unforeseen issues are not covered nor deviations from the original scope.
Thank you for this opportunity to serve you. If you have any questions, please don't hesitate to call me.
Labor $32,416.47
Sales Tax $3,322.68
---------------------------------
Total $35,739.15
Regards,
Al Alvarez
Al Alvarez
1014 S. Montebello Blvd. Montebello, California 90640 (323) 721-2700 (323)721-5437 Fax
February 27, 2023
Samantha Chenelia
City of Montebello Public Works
Montebello CA 90640
Re: Montebello Municipal Golf Course
903 Via San Clemente Montebello, CA 90640
Qty Description
1 800A NEMA 3R Main Service “SES”, 208Y/120V 3Ø 4W, 65kAIC to include:
800A Utility UGPS with Meter
800A Distribution Section with (1) 800A Main Breaker with LSI E.T.U., (4) 200A/3P T.M.T.U., (1) 100A/3P T.M.T.U., (1) 200A/3P LSI E.T.U., and (6) Revenue Grade Sub-Meters for each load.
Estimated delivery at the time of this quotation is 10-12 weeks. This will be updated/improved when order is entered.
Proposal is based on the information and specifications provided to us by the customer. It excludes any special testing, permits, drawings or anything else not discussed or provided. Any unforeseen issues are not covered nor deviations from the original scope.
Thank you for this opportunity to serve you. If you have any questions, please don't hesitate to call me.
Labor $83,609.41
Sales Tax $8,569.96
---------------------------------
Total $92,179.37
Regards,
Al Alvarez
Al Alvarez
ITEM # 6
CITY OF MONTEBELLO
CITY COUNCIL AGENDA STAFF REPORT
TO: Honorable Mayor and City Council Members
FROM: René Bobadilla, City Manager
BY: Fernando Pelaez, Fire Chief
SUBJECT: APPROVAL TO SUBMIT GRANT APPLICATION TO THE
DEPARTMENT OF HEALTH AND HUMAN SERVICES SUBSTANCE
ABUSE AND MENTAL HEALTH SERVICES ADMINISTRATION
(SAMHSA)
DATE: March 8, 2023
RECOMMENDATION(S):
It is recommended that the City Council:
1. Approve submission of an application for the Department of Health and Human Services' Substance Abuse and Mental Health Services Administration (SAMHSA) FY 2023 grant program; and
2. Take such additional, related action that may be desirable.
FISCAL IMPACT:
The Substance Abuse and Mental Health Services Administration (SAMHSA), Center for Substance Abuse Treatment (CSAT), is accepting applications for Fiscal Year 2022-23 for the Grants for the Benefit of Homeless Individuals (GBHI) program. SAMHSA currently has a funding opportunity to submit a competitive grant application to address substance use disorders (SUDs) or co-occurring mental health disorders (CODs) impacting the unhoused community. If the City is successful in this grant application and is awarded funding, the projected award amount of $500,000 per year for a total amount of $2.5 million over the period of five (5) years. Once the City receives the award notice, staff will return to the City Council with a request to appropriate the funds.
BACKGROUND/DISCUSSION:
The Substance Abuse and Mental Health Services Administration (SAMHSA) is an agency within the U.S. Department of Health and Human Services (HHS) that leads
CITY COUNCIL AGENDA REPORT - MEETING OF MARCH 8, 2023
public health efforts to advance the behavioral health of the nation and to improve the lives of individuals living with mental and substance use disorders. Congress established the SAMHSA in 1992 to make substance use and mental disorder information, services, and research more accessible. This agency's goal is to lead public health and service delivery efforts that promote mental health, prevent substance misuse, and provide treatments and support to foster recovery while ensuring equitable access and better outcomes.
The SAMHSA- GBHI Program supports the development and/or expansion of the local implementation of a community infrastructure that integrates behavioral health treatment, peer support, recovery support services, and linkages to sustainable permanent housing. GBHI awards are authorized under Section 506 of the Public Health Service Act, as amended (42 USC 290aa-5: Grants for the Benefit of Homeless Individuals).
In January 2023, SAMHSA announced that $15,700,000 in funding had been allocated for the GBHI Program for Fiscal Year 2023. Successful applicants will be funded for a five-year grant project cycle commencing on September 30, 2023, and ending on October 30, 2028, with funding up to $2.5 million. The purpose of this program is to provide comprehensive, coordinated, and evidence-based treatment and services for individuals, including youth and families with substance-use disorders (SUDs) or co-occurring mental health conditions and SUDs (CODs) who are experiencing homelessness.
SAMHSA funds will support three primary types of activities:
1. Behavioral health outreach, treatment and recovery-oriented services;
2. Coordination of housing and services to support the implementation and/or enhance long-term sustainability of integrated community systems that provide permanent housing and supportive services;
3. Efforts to engage and connect individuals with SUD or COD, who are experiencing homelessness to resources for health insurance, Medicaid, and mainstream benefits programs (e.g., Supplemental Security Income (SSI)/ Social Security Disability Insurance (SSDI), Temporary Assistance for Needy Families (TANF), Supplemental Nutrition Assistance Program (SNAP), etc.) The Montebello Fire Department, in partnership with the San Gabriel Valley Council of Governments (SGVCOG), the San Gabriel Valley Regional Housing Trust (SGVRHT) and the Los Angeles Centers for Alcohol and Drug Abuse (LA CADA) will collaborate in developing an integrated approach that incorporates the three (3) primary types of activities: Behavioral Health Outreach, 2) Coordination of Housing and 3) Efforts to Engage Individuals with SUD or COD. The proposed program will be providing substance abuse services and mental health support to those who are unhoused, who report experiencing substance abuse and/or mental health conditions. Services will include behavioral counseling, outreach, residential treatment services, crisis services, peer support specialist services, transportation, and coordination of long-term housing solutions. The program will have an educational and outreach component to provide evidence-based harm reduction practices such as rapid fentanyl test strip distribution, overdose education, naloxone, and other FDA approved overdose reversal medications.
CITY COUNCIL AGENDA REPORT - MEETING OF MARCH 8, 2023
The funding will help address chronic health and behavioral health conditions that are exacerbated by the use of substances and/or dealing with a mental health diagnosis while experiencing homelessness, including data tracking and program evaluation. This funding would provide additional financial resources and increase access to licensed and certified substance-abuse and behavioral treatment services. The program also offers additional direct-service supportive services to first responders, allowing the most appropriate delivery of care to be provided to those impacted by SUD and COD conditions. This funding will have an indirect benefit to support our Public Safety (Fire and Police) with issues that are health conditions and don't require Fire or Police. The program's overall goal is to increase access to services, decrease barriers to appropriate care and improve the coordination of specific needs. Another potential benefit to the city will be to preserve emergency services and resources and remain local, instead of going outside the city limits for a prolonged time for emergency services., and could also benefit our local emergency room by linking individuals to the best intervention needed, such as medical detox, and other types of emergency services related to SUD or COD.
ENVIRONMENTAL:
This item is not subject to the California Environmental Quality Act (CEQA) pursuant to the State CEQA Guidelines, California Code of Regulations, Title 14, Chapter 3, sections:
15060(c)(2) (the activity will not result in a direct or reasonably foreseeable indirect physical change in the environment); 15060(c)(3) (the activity is not a project as defined in Section 15378); and 15061(b)(3), because the activity is covered by the general rule that CEQA applies only to projects which have the potential for causing a significant effect on the environment. Because there is no possibility that this item may have a significant adverse effect on the environment, the item is exempt from CEQA.
ANALYSIS:
N/A
SUMMARY:
That the City Council approve the submission of a grant proposal application for the Substance Abuse and Mental Health Services Administration (SAMHSA), Center for Substance Abuse Treatment (CSAT), for the Grants for the Benefit of Homeless Individuals (GBHI) Program. Should the City be successful in receiving the grant, subsequent City Council action will be presented to appropriate the grant funds and provide details on the exact use of the funding.
ATTACHMENT(S)
1. Attachment A - NOFO - Grants for the Benefit of Homeless Individuals
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1 Department of Health and Human Services
Substance Abuse and Mental Health Services
Administration
FY 2023 Grants for the Benefit of Homeless Individuals
(Short Title: GBHI)
(Modified Announcement)
Notice of Funding Opportunity (NOFO) No. TI-23-005
Assistance Listing Number: 93.243
Key Dates:
Application Deadline Applications are due by March 21, 2023.
Intergovernmental Review
(E.O. 12372)
Applicants must comply with E.O. 12372 if their state(s) participate(s). Review process recommendations from
the State Single Point of Contact (SPOC) are due no later than 60 days after application deadline.
Public Health System
Impact Statement
(PHSIS)/Single State
Agency Coordination
Applicants must send the PHSIS to appropriate state and local health agencies by the administrative deadline.
Comments from the Single State Agency are due no later
than 60 days after the application deadline.
2 Table of Contents
EXECUTIVE SUMMARY .................................................................................................. 4 I. PROGRAM DESCRIPTION .................................................................................... 6
1. PURPOSE ....................................................................................................... 6
2. KEY PERSONNEL .......................................................................................... 7
3. REQUIRED ACTIVITIES ................................................................................. 7
4. ALLOWABLE ACTIVITIES .............................................................................. 9
5. USING EVIDENCE-BASED PRACTICES ..................................................... 11
6. DATA COLLECTION/PERFORMANCE MEASUREMENT AND PROJECT
PERFORMANCE ASSESSMENT ................................................................. 12
7. OTHER EXPECTATIONS ............................................................................. 13
8. RECIPIENT MEETINGS ............................................................................... 17 II. FEDERAL AWARD INFORMATION ..................................................................... 17
1. GENERAL INFORMATION ........................................................................... 17 III. ELIGIBILITY INFORMATION ................................................................................ 18
1. ELIGIBLE APPLICANTS ............................................................................... 18
2. COST SHARING AND MATCHING REQUIREMENTS ................................ 18
3. OTHER REQUIREMENTS ............................................................................ 18 IV. APPLICATION AND SUBMISSION INFORMATION ............................................ 20
1. ADDRESS TO REQUEST APPLICATION PACKAGE .................................. 20
2. CONTENT AND FORM OF APPLICATION SUBMISSION ........................... 20
3. UNIQUE ENTITY IDENTIFIER AND SYSTEM FOR AWARD MANAGEMENT ...................................................................................................................... 23
4. APPLICATION SUBMISSION REQUIREMENTS ......................................... 24
5. FUNDING LIMITATIONS/RESTRICTIONS ................................................... 24
6. INTERGOVERNMENTAL REVIEW (E.O. 12372) REQUIREMENTS ........... 25
7. OTHER SUBMISSION REQUIREMENTS .................................................... 25 V. APPLICATION REVIEW INFORMATION ............................................................. 25
1. EVALUATION CRITERIA .............................................................................. 25
2. BUDGET JUSTIFICATION, EXISTING RESOURCES, OTHER SUPPORT. 28
3 3. REVIEW AND SELECTION PROCESS ....................................................... 28 VI. FEDERAL AWARD ADMINISTRATION INFORMATION ...................................... 30
1. FEDERAL AWARD NOTICES ...................................................................... 30
2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS ................. 30
3. REPORTING REQUIREMENTS ................................................................... 30 VII. AGENCY CONTACTS .......................................................................................... 31 Appendix A – Application and Submission Requirements .............................................. 32
1. GET REGISTERED ...................................................................................... 32
2. WRITE AND COMPLETE APPLICATION ..................................................... 34
3. SUBMIT APPLICATION ................................................................................ 38
4. AFTER SUBMISSION ................................................................................... 40 Appendix B - Formatting Requirements and System Validation ..................................... 43
1. SAMHSA FORMATTING REQUIREMENTS ................................................. 43
2. GRANTS.GOV FORMATTING AND VALIDATION REQUIREMENTS ......... 43
3. eRA COMMONS FORMATTING AND VALIDATION REQUIREMENTS ...... 44 Appendix C – General Eligibility Information .................................................................. 49 Appendix D – Confidentiality and SAMHSA Participant Protection/Human Subjects Guidelines .......................................................................................................... 50 Appendix E – Developing Goals and Measurable Objectives ......................................... 55 Appendix F – Developing the Plan for Data Collection and Performance Measurement 58 Appendix G – Biographical Sketches and Position Descriptions .................................... 60 Appendix H – Addressing Behavioral Health Disparities ................................................ 61 Appendix I – Standard Funding Restrictions .................................................................. 66 Appendix J – Intergovernmental Review (E.O. 12372) Requirements ............................ 68 Appendix K – Administrative and National Policy ........................................................... 70 Appendix L – Sample Budget and Justification............................................................... 77
4 EXECUTIVE SUMMARY
The Substance Abuse and Mental Health Services Administration (SAMHSA), for Center for Substance Abuse Treatment (CSAT), is accepting applications for fiscal year (FY) 2023 for the Grants for the Benefit of Homeless Individuals (Short Title: GBHI) program. The purpose of this program is to provide comprehensive, coordinated, and evidence-based treatment and services for individuals, including youth, and families with substance use disorders (SUDs) or co-occurring mental health conditions and SUDs (CODs) who are experiencing homelessness.
Award recipients will be expected to: 1) engage and connect the population of focus to behavioral health treatment, harm reduction services, case management, and recovery support services; 2) Assist with identifying sustainable permanent housing by collaborating with homeless services organizations and housing providers, including public housing agencies; and 3) Provide case management that includes care coordination/service delivery planning and other strategies that support stability across services and housing transitions. With this program, SAMHSA aims to further expand opportunities to improve access to and delivery of coordinated, comprehensive services to reduce substance use and improve housing stability.
Funding Opportunity Title: Grants for the Benefit of Homeless Individuals (Short Title: GBHI)
Funding Opportunity Number: TI-23-005
Due Date for Applications: March 21, 2023
Estimated Total Available
Funding:
Up to $15,700,000
Estimated Number of Awards: 32
Estimated Award Amount: Up to $500,000 per year per award Cost Sharing/Match Required: No
Anticipated Project Start Date: September 30, 2023
Anticipated Award Date August 31, 2023
Length of Project Period: Up to 5 years
Eligible Applicants: Eligible applicants are community-based public and private non-profit entities.
[See Section III-1 for complete eligibility information.]
5 Authorizing Statute: Grants for the Benefit of Homeless Individuals awards are authorized under Section 506 of the Public Health Service Act, as amended (42 USC 290aa-5).
6 Be sure to check the SAMHSA website periodically for any updates on this program.
I. PROGRAM DESCRIPTION
1. PURPOSE
The purpose of this program is to provide comprehensive, coordinated, and evidence- based treatment and services for individuals, including youth, and families with substance use disorders (SUDs) or co-occurring mental health conditions and SUDs (CODs) who are experiencing homelessness. This program supports the development and/or expansion of the local implementation of a community infrastructure that integrates behavioral health treatment, peer support, recovery support services, and linkages to sustainable permanent housing.
SAMHSA funds will support three primary types of activities: 1) behavioral health outreach, treatment and recovery-oriented services; 2) coordination of housing and services to support the implementation and/or enhance long-term sustainability of integrated community systems that provide permanent housing and supportive services; and 3) efforts to engage and connect individuals with SUD or COD, who are experiencing homelessness to resources for health insurance, Medicaid, and mainstream benefits programs (e.g., Supplemental Security Income (SSI)/Social All applicants MUST register with NIH’s eRA Commons in order to submit an application. This process takes up to six weeks. If you believe you are interested in applying for this opportunity, you MUST start the registration process immediately. Do not wait to start this process.
WARNING: BY THE DEADLINE FOR THIS NOFO YOU MUST HAVE
SUCCESSFULLY COMPLETED THE FOLLOWING TO SUBMIT AN APPLICATION:
• The applicant organization MUST be registered in NIH’s eRA Commons; AND
• The Project Director MUST have an active eRA Commons account (with the PI role) affiliated with the organization in eRA Commons.
No exceptions will be made.
Applicants also must register with the System for Award Management (SAM) and Grants.gov (see Appendix A of this NOFO for all registration requirements).
DO NOT WAIT UNTIL THE LAST MINUTE TO SUBMIT THE APPLICATION. If you wait until the last minute, there is a strong possibility that the application will not be received without errors by the deadline.
7 Security Disability Insurance (SSDI), Temporary Assistance for Needy Families (TANF), Supplemental Nutrition Assistance Program (SNAP), etc.).
GBHI awards are authorized under Section 506 of the Public Health Service Act, as amended (42 USC 290aa-5: Grants for the benefit of homeless individuals).
2. KEY PERSONNEL
Key personnel are staff members who must be part of the project regardless of whether they receive a salary or compensation from the project. These staff members must make a substantial contribution to the execution of the project and should reflect SAMHSA’s expectation of diversity, equity, and inclusion in the selection of staff.
Key Personnel for this program are the Project Director and the Evaluator. The Project Director is responsible for oversight of the entire project. The Evaluator is responsible for reviewing and evaluating the entire project.
If awarded, recipients will be notified by SAMHSA about whether the individuals designated for these position have been approved. If recipients need to replace a Key Personnel during the project period, the individual proposed for the vacant position requires prior approval by SAMHSA after reviewing of the staff member’s credential and the job description.
3. REQUIRED ACTIVITIES
Required activities are the activities that every award must implement. They must be reflected in the Project Narrative of your application. This is in response to Section V of this NOFO.
Project implementation is expected to begin by the fourth month of the award.
In the Project Narrative (B.1), applicants must indicate the total number of unduplicated individuals that will be served each year of the award and over the total project period. Do not include the anticipated outreach numbers in the total number of unduplicated individuals that will be served. Award recipients are expected to achieve the numbers that are proposed.
Award recipients must use SAMHSA’s funds to support direct services for individuals with SUDs or CODs who are experiencing homelessness. This includes the following activities:
• Provide outreach and other engagement strategies to unsheltered (including encampments) and sheltered populations to increase access to, and participation and retention in, harm reduction, case management, treatment, and recovery support services.
8 • Provide direct SUD and mental health treatment. Treatment must be culturally appropriate, trauma-informed, and evidence-based and may be provided in outpatient, intensive outpatient, day treatment, or residential settings. • Have access to or have the ability to partner with existing licensed Opioid Treatment Programs (OTPs), and Office-Based Opioid Treatment programs (OBOTs) to provide all forms of FDA-approved medications to treat opioid use disorder (MOUD). Recipients must ensure that individuals receiving MOUD are not excluded from any service.
• Provide evidence-based harm reduction practices such as rapid fentanyl test strip distribution, overdose education, naloxone, and other FDA approved overdose reversal medications as long as such purchases are consistent with the purposes of the program and consistent with other local, state, and federal laws. • Provide case management that includes care coordination/service delivery planning and other strategies that support stability across services and housing transitions such as referral to primary care services, enrollment in Medicaid and other benefit programs (e.g., SSDI and SSI, TANF, SNAP, etc.), and other human and community-based services.
• Utilize staff with lived expertise to provide project services. • Provide recovery support services including, but not limited to, recovery housing, childcare, vocational, educational, and transportation services designed to improve access and retention in services.
o SAMHSA has identified four dimensions of recovery that include home, health, community, and purpose.1 Important to maintaining and sustaining recovery is a safe and healthy living environment. While recovery housing programs vary widely in structure, they all provide an opportunity for individuals to build resources as they transition to living independently and productively in their community. Recovery housing programs should support and provide an individual’s access to evidence-based treatment, including all forms of medication for SUDs in addition to other recovery support services if requested.
o SAMHSA also expects recovery housing programs to implement standards and establish best practices for maintaining the safety and health of residents and the larger community. These best practices should include administrative, operational, property, and good neighbor
1 https://www.samhsa.gov/find-help/recovery
9 perspectives. SAMHSA understands the regulation and certification of recovery housing programs varies based on state, locality, and model of care. In general, states regulate clinical services, while local governments regulate health and safety standards. Both state and local government regulations must adhere to federal laws and limits, such as the Americans with Disabilities Act and the Fair Housing Act.
o Award recipients must describe the mechanism in their jurisdiction that assures the recovery housing program is guided by any regulation, credentialing, or certification requirements, and demonstrate how the recovery housing program abides by these requirements set forth by the state or local government.
• Assist with identifying sustainable permanent housing by collaborating with homeless services organizations and housing providers, including public housing agencies. Coordinate with local HUD Continuums of Care (CoCs) to ensure that individuals and families are enrolled in the local CoC Coordinated Entry System (CES).
• Establish a culturally and linguistically diverse steering committee that meets at least quarterly to monitor the goals outlined in the project. Membership must be comprised of, at a minimum: local or regional representatives from substance use and mental health authorities; health department; public housing authorities; service providers; community members, employees, individuals (including youth) and/or families who are currently experiencing homelessness or have experienced homelessness and are recovering from SUDs or CODs; and the SAMHSA Government Project Officer (GPO). Award recipients are encouraged to add additional members based on the goals, objectives, or specific population of focus of the project (e.g., criminal justice, veterans’ affairs) and may use existing committees that meet the membership, meeting, and goal requirements of the award to satisfy this activity. 2
4. ALLOWABLE ACTIVITIES
Allowable activities are an allowable use of funds to support individuals with SUDs or CODs who are experiencing homelessness but are not required. Allowable activities may include:
• Provide training, screening, including laboratory screening and confirmatory testing, counseling, and treatment linkage as appropriate for Hepatitis C and other sexually transmitted infections.
2 https://thinkculturalhealth.hhs.gov/clas/standards
10 • Initiate steps to reduce HIV/AIDS risk behaviors by clients. Steps include client screening and assessment, and/or direct provision of appropriate services or referral and coordination with other providers of appropriate services. For information on homelessness and HIV, viral hepatitis and other HIV/AIDS topics relevant to this program, reference the Health Resources and Services Administration Web page: http://hab.hrsa.gov, SAMHSA’s advisories on Behavioral Health Services For People Who Are Homeless
https://store.samhsa.gov/sites/default/files/SAMHSA_Digital_Download/PEP20- 06-04-003.pdf, Screening And Treatment Of Viral Hepatitis In People With Substance Use Disorders https://store.samhsa.gov/product/advisory-screening- and-treatment-viral-hepatitis-people-substance-use-disorders/pep20-06-04-004 and the Office of Infectious Disease and HIV/AIDS Policy, https://www.hhs.gov/oidp/index.html.
• Provide limited in-reach services, such as outreach and screening, to identify incarcerated individuals who may experience homelessness upon release from a jail or detention facility and provide a post-release housing and behavioral health services plan.
• Provide training in evidence-based practices (EBPs) for service providers, such as medication for opioid use disorder (MOUD), motivational interviewing, intensive case management (ICM), community reinforcement approach (A-CRA), motivational interviewing or peer supports.
• Develop and implement tobacco cessation programs, activities, and/or strategies. • Provide training on the National CLAS standards to service providers to increase awareness and acknowledgment of differences in language, age, culture, racial and ethnic disparities, socio-economic status, religious beliefs, sexual orientation and gender identity, and life experiences in order to improve the inclusiveness of the service delivery environment and ultimately improve behavioral health outcomes. (See also the Behavioral Health Implementation Guide for CLAS at https://www.minorityhealth.hhs.gov/Assets/PDF/clas%20standards%20doc_v06.
28.21.pdf).
• Provide activities that address behavioral health disparities and the social determinants of health.
• Implement efforts aligned to the award that may expand diversity equity, inclusion, and accessibility.
• Use data to understand who is served and disproportionately served (e.g., overserved or underserved).
• Develop and implement outreach and referral pathways that engage all demographic groups representative of your community.
11 Infrastructure Development (maximum 10 percent of the total award for the budget period)
Although awards for the provision of services must be used primarily for direct services, SAMHSA recognizes that infrastructure changes may be needed to implement the services or improve their effectiveness. You may use no more than 10 percent of the total award for the types of non-capitalizable infrastructure development listed below, if necessary, to support the direct service expansion of the project. You must describe in Section B of your Project Narrative the proposed use of funds for non-capitalizable infrastructure activities which may include:
• Developing partnerships with other providers for service delivery and stakeholders serving the population of focus, including those working with underserved and diverse populations.
• Training/workforce development to help your staff or other providers in the community identify mental health or substance abuse issues or provide effective culturally and linguistically competent services consistent with the purpose of the program.
• Policy development to support needed service system improvements (e.g., rate- setting activities, establishment of standards of care, adherence to the Behavioral Health Guide for the National (CLAS) Standards in Health and Health Care, development/revision of credentialing, licensure, or accreditation requirements).3 Capitalizable infrastructure, such as computer systems/software, new buildings, or structural changes to existing facilities (e.g., to the foundation, roof, floor, or exterior or loadbearing walls of a facility, or extension of existing facility) are recoverable as depreciation through an approved negotiated indirect cost rate or 10% de minimis rate in accordance with your organization’s existing capitalization/amortization policies.
5. USING EVIDENCE-BASED PRACTICES
SAMHSA’s awards for the provision of services are intended to fund services or practices that have a demonstrated evidence base and that are appropriate for the population(s) of focus. An evidence-based practice (EBP) refers to approaches to prevention, treatment, or recovery that are validated by documented research evidence.
Applicants are encouraged to visit the SAMHSA Evidence-Based Practice Resource
3 For purposes of this NOFO efforts do not include activities designed to influence the enactment of legislation, appropriations, regulations, administrative actions, or Executive Orders (“legislation and other orders”) proposed or pending before the Congress or any State government, State legislature or local legislature or legislative body, and recipients may not use federal funds for such activities. This restriction extends to both grassroots lobbying efforts and direct lobbying. However, for state, local, and other governmental recipients, certain activities falling within the normal and recognized executive-legislative relationships or participation by an agency or officer of a state, local, or tribal government in policymaking and administrative processes within the executive branch of that government are not considered impermissible lobbying activities and may be supported by federal funds.
12 Center (www.samhsa.gov/ebp-resource-center) and SAMHSA’s National Network to Eliminate Disparities in behavioral health (NNED) (https://nned.net/) to identify evidence-informed and culturally appropriate mental illness and substance use prevention and treatment practices that can be implemented in your project.
Both researchers and practitioners recognize that EBPs are essential to improving the effectiveness of treatment and prevention services. While SAMHSA realizes that EBPs have not been developed for all populations and/or service settings, application reviewers will closely examine proposed interventions for evidence base and appropriateness for the population of focus. If an EBP(s) exists for the population(s) of focus and types of problems or disorders being addressed, the expectation is that EBP(s) will be utilized. If one does not exist but there are evidence-informed and/or culturally promising practices that are appropriate or can be adapted, these interventions may be implemented in the delivery of services.
In your Project Narrative, in response to Section C of Section V of this NOFO, you will need to identify the evidence-based practice(s) and/or interventions that are evidence- informed and/or culturally promising that are appropriate or can be adapted to meet the needs of your specific population(s) of focus. You must discuss the population(s) for which the practice(s) has (have) been shown to be effective and document that it is (they are) appropriate for your population(s) of focus. You must also address how these interventions will improve outcomes and address how you will monitor and ensure fidelity of EBPs and other appropriate interventions. In situations where an EBP is appropriate but requires additional culturally-informed engagement practices, this should be discussed in the application.
6. DATA COLLECTION/PERFORMANCE MEASUREMENT AND PROJECT
PERFORMANCE ASSESSMENT
Data Collection/Performance Measurement
All SAMHSA recipients are required to collect and report certain data so that SAMHSA can meet its obligations under the Government Performance and Results (GPRA) Modernization Act of 2010. You must document your plan for data collection and reporting in your Project Narrative in response to Section E: Data Collection and Performance Measurement in Section V of this NOFO.
Recipients are required to report performance on the following measures abstinence, stability in housing, crime or criminal justice involvement, employment/education, social connectedness, and health/behavioral/social consequences.
This information will be gathered using a uniform data collection tool provided by SAMHSA. Recipients are required to submit data via SAMHSA’s Performance Accountability and Reporting System (SPARS); and access will be provided upon award. An example of the required data collection tool (i.e., National Outcome
13 Measures (NOMs) or NOMS client level services tool) can be found here. Data will be collected at three data collection points: intake, six months post-intake and discharge.
Data are to be submitted through the specific online data collection tool within seven days of data collection or as specified after award. Award recipients will be provided with training on the system and its requirements post-award.
The collection of these data enables SAMHSA to report on key outcome measures relating to the program. In addition to these outcomes, performance measures collected by recipients will be used to demonstrate how SAMHSA’s programs are reducing disparities in behavioral health access, retention, service use, and outcomes nationwide. As a result, SAMHSA may add additional reporting measures throughout the reporting period to meet these needs.
Performance data will be reported to the public as part of SAMHSA’s Congressional Budget Justification.
An evaluation is required to build the evidence base for this program. Recipients are required to participate fully in all aspects of the evaluation. This may include collection of additional client-level data and participation of sub-recipients. Details on the evaluation, including type of evaluation and research questions, will be provided upon award.
Project Performance Assessment
In addition, recipients are required to report on their progress addressing the goals and objectives identified in your Project Narrative. Recipients must periodically review the performance data they report to SAMHSA (as required above), assess their progress, and use this information to improve the management of their project. The project performance assessment should be designed to help you determine whether you are achieving the goals, objectives, and outcomes you intend to achieve and whether adjustments need to be made to your project.
Performance assessments should be used to determine whether your project is having/will have the intended impact on behavioral health disparities. Recipients should also review the behavioral health Disparities Impact Statement (DIS) submitted within the first two months of the award. See Section VI.3 for information on required progress reports.
Note: See Appendix E and Appendix F of this NOFO for more information on responding to this section.
7. OTHER EXPECTATIONS
SAMHSA Values That Promote Positive Behavioral Health
14 SAMHSA expects recipients to use funds to implement high quality programs, practices, and policies that are recovery-oriented, trauma-informed, and equity-based as a means of improving behavioral health.4
Recovery is a process of change through which individuals improve their health and wellness, live a self-directed life, and strive to reach their full potential. Recovery oriented recipients promote partnerships with people in recovery from mental and substance use disorders and their family members to guide the behavioral health system and promote individual, program, and system-level approaches that foster:
Health—managing one’s illnesses or symptoms and making informed healthy choices that support physical and emotional wellbeing; Home—a stable and safe place to live; Purpose—meaningful daily activities such as a job or school; and Community— supportive relationships with families, friends and peers. Recovery oriented systems of care embrace recovery as: emerging from hope; person-driven; occurring via many pathways; holistic; supported by peers and allies; culturally-based and informed; supported through relationship and social networks; involving individual, family, and community strengths and responsibility; supported by addressing trauma; and based on respect.
Trauma-informed Approaches recognize and intentionally respond to the lasting adverse effects of experiencing traumatic events. SAMHSA defines a trauma-informed approach through six key principles:
• Safety: participants and staff feel physically and psychologically safe; • Peer support: peer support and mutual self-help are key as vehicles for establishing safety and hope, building trust, enhancing collaboration, and utilizing their lived experience to promote recovery and healing; • Trustworthiness and Transparency: Organizational decisions are conducted with the goal of building and maintaining trust with participants and staff; • Collaboration and Mutuality: importance is placed on partnering and leveling power differences between staff and service participants; • Cultural, Historical, & Gender Issues: culture and gender-responsive services are offered while moving beyond stereotypes/biases;
• Empowerment, Voice and Choice: organizations foster a belief in the primacy of the people who are served to heal and promote recovery from trauma.5
4 “Behavioral health” means the promotion of mental health, resilience and wellbeing; the treatment of mental and substance use disorders; and the support of those who experience and/or are in recovery from these conditions, along with their families and communities. 5 https://www.samhsa.gov/trauma-violence
15 It is critical recipients promote the linkage to recovery and resilience for those individuals and families impacted by trauma.
Behavioral health equity is the right to access high quality and affordable health care services and supports for all populations regardless of the individual’s race, age, ethnicity, gender (including gender identity), disability, socioeconomic status, sexual orientation, or geographical location. By improving access to behavioral health care, promoting quality behavioral health programs and practice, and reducing persistent disparities in mental health and substance use services for underserved populations and communities, recipients can ensure that everyone has a fair and just opportunity to be as healthy as possible. In conjunction with promoting access to high quality services, behavioral health disparities can be further reduced by addressing social determinants of health, such as social exclusion, unemployment, adverse childhood experiences, and food and housing insecurity.
Language Access Provision. Per Title VI of the Civil Rights Act of 1964, recipients of Federal financial assistance must take reasonable steps to make their programs, services, and activities accessible by eligible persons with limited English Proficiency.
Recipients must administer their programs in compliance with federal civil rights laws that prohibit discrimination on the basis of race, color, national origin, disability, age and, in some circumstances, religion, conscience, and sex (including gender identity, sexual orientation, and pregnancy). (See Appendix K)
Behavioral Health Disparities
If your application is funded, you will be expected to develop a behavioral health Disparity Impact Statement (DIS) no later than 60 days after your award. (See Appendix H –Addressing Behavioral Health Disparities). Progress and evaluation of DIS activities will be reported in annual progress reports (see Section VI.3 Reporting Requirements).
The DIS is a data-driven, quality improvement approach to advance equity for all, and to identify racial, ethnic, sexual and gender minority populations at highest risk for experiencing behavioral health disparities as part of their projects. The purpose of the DIS is for recipients to identify and address health disparities6 and to develop and implement an action plan with a disparity reduction, quality improvement process to
6 Healthy People 2030 defines a health disparity as a “particular type of health difference that is closely linked with social, economic, and/or environmental disadvantage. Health disparities adversely affect groups of people who have systematically experienced greater obstacles to health based on their racial or ethnic group; religion; socioeconomic status; gender; age; disability; mental health; cognitive, sensory, or physical disability; sexual orientation or gender identity; geographic location; or other characteristics historically linked to discrimination or exclusion.”
16 close the identified gap(s). The aim is to achieve targeted behavioral health equity7 for disparate populations and improve systems.
The behavioral health disparity impact statement is in alignment with the expectations related to Executive Order 13985 “Advancing Racial Equity and Support for Underserved Communities Through the Federal Government.” Tribal Behavioral Health Agenda
SAMHSA, working with tribes, the Indian Health Service, and National Indian Health Board developed the first collaborative National Tribal Behavioral Health Agenda (TBHA). Tribal applicants are encouraged to briefly cite the applicable TBHA foundational element(s), priority(ies), and strategies that are addressed by their application. The TBHA can be accessed at
http://nihb.org/docs/12052016/FINAL%20TBHA%2012-4-16.pdf.
Tobacco and Nicotine Free Policy
SAMHSA strongly encourages all recipients to adopt a tobacco/nicotine inhalation (vaping) product-free facility/grounds policy and to promote abstinence from all tobacco products (except in regard to accepted tribal traditions and practices).
Reimbursements for the Provision of Services
Recipients must utilize third party reimbursements and other revenue realized from the provision of services to the extent possible and use SAMHSA funds only for services to individuals who are not covered by public or commercial health insurance programs, individuals for whom coverage has been formally determined to be unaffordable, or for services that are not sufficiently covered by an individual’s health insurance plan.
Recipients are responsible for making the determination of affordability and insurance coverage and must have policies and procedures in place to address these areas.
Recipients are also expected to facilitate the health insurance application and enrollment process for eligible uninsured clients. Recipients should also consider other systems from which a potential service recipient may be eligible for services (for example, the Veterans Health Administration or senior services), if appropriate for and desired by that individual to meet his/her needs. In addition, recipients are required to
7 Behavioral health equity the right to access high quality and affordable health care services and supports for all populations regardless of the individual’s race, age, ethnicity, gender (including gender identity), disability, socioeconomic status, sexual orientation, or geographical location. Advancing behavioral health equity involves ensuring that everyone has a fair and just opportunity to be as healthy as possible. In conjunction with quality services, this involves addressing social determinants of health, such as employment and housing stability, insurance status, proximity to services, and culturally responsive care – all of which have an impact on behavioral health outcomes.
17 implement policies and procedures that ensure other sources of funding are utilized first when available for that individual.
Behavioral Health for Military Service Members and Veterans SAMHSA encourages all recipients to address the behavioral health needs of active- duty military service members, returning veterans, and military families in designing and developing their programs and to consider prioritizing this population for services, where appropriate.
Behavioral Health for Lesbian, Gay, Bisexual, Transgender, Queer/Questioning, and Intersex (LGBTQI+) Individuals
In line with the Executive Order on Advancing Equality for Lesbian, Gay, Bisexual, Transgender, Queer, and Intersex Individuals (E. O. 14075) and the behavioral health disparities that the LGBTQI+ population face, SAMHSA encourages all recipients to address the behavioral health needs of the LGBTQI+ population in designing and developing their programs and to consider prioritizing this population for services, where appropriate. See https://www.samhsa.gov/behavioral-health-equity/lgbtqi
8. RECIPIENT MEETINGS
Recipient meetings will be held virtually and recipients are expected to fully participate in these meetings. At these meetings, recipients will present the results of their projects and federal staff will provide technical assistance. If SAMHSA elects to hold meeting, budget revisions may be permitted.
II. FEDERAL AWARD INFORMATION
1. GENERAL INFORMATION
Funding Mechanism: Grant Award
Estimated Total Available Funding: Up to $15,700,000
Estimated Number of Awards: 32
Estimated Award Amount: Up to $500,000 per year per award
Length of Project Period: Up to 5 years
Anticipated Start Date 9/30/2023
Proposed budgets cannot exceed $500,000 in total costs (direct and indirect) in any year of the proposed project. Annual continuation awards will depend on the availability of funds, recipient progress in meeting project goals and objectives, timely
18 submission of required data and reports, and compliance with all terms and conditions of award.
III. ELIGIBILITY INFORMATION
1. ELIGIBLE APPLICANTS
Eligible applicants are community-based public and private non-profit entities.
The statutory authority for this program specifies that these awards must be made to community-based public and private non-profit entities. Therefore, states are not eligible to apply.
Recipients of the follow awards are not eligible:
• TI-17-009 (GBHI) – Awards funded in FY 2019
• TI-20-001(GBHI) – Awards funded FY 2020 and FY 2022
• SM-18-014 (Treatment for Individuals Experiencing Homelessness) – Awards funded in FY 2019 and FY 2020
Applicants may apply for SM-23-006 (Treatment for Individuals Experiencing Homelessness) but will be eligible to receive only one award if both applications are in the fundable range.
All non-profit entities must submit documentation of their non-profit status in Attachment 8 of your application.
It is recommended that you review information on eligibility in Appendix C of this NOFO.
2. COST SHARING AND MATCHING REQUIREMENTS
Cost sharing/match is not required in this program.
3. OTHER REQUIREMENTS
• The Project Narrative must not exceed 10 pages. If the Project Narrative is over 10 pages, the application will not be considered for review.
• Evidence of Experience and Credentials
SAMHSA believes that only existing, experienced, and appropriately credentialed organizations with demonstrated infrastructure and expertise will be able to provide the required services quickly and effectively. Applicants are encouraged to include appropriately credentialed organizations that provide services to underserved, diverse populations. All Required Activities must be provided by
19 applicants directly, by subrecipients, or through referrals to applicant partner agencies. Applicants must submit evidence under Attachment 1 of their application meeting three additional requirements related to the provision of services.
The three requirements are:
o A provider organization for direct client (e.g., substance use disorder treatment) services appropriate to the award must be involved in the proposed project. The provider may be the applicant or another organization committed to the project. More than one provider organization may be involved.
o Each mental health/substance use disorder treatment provider organization must have at least two years of experience (as of the due date of the application) providing relevant services (official documents must establish that the organization has provided relevant services for the last two years). o Each mental health/substance use disorder treatment provider organization must comply with all applicable local (city, county) and state licensing, accreditation, and certification requirements, as of the due date of the application.
The above requirements apply to all service provider organizations. A license from an individual clinician will not be accepted in lieu of a provider organization’s license. Eligible tribes and tribal organization mental health/substance use disorder treatment providers must comply with all applicable tribal licensing, accreditation, and certification requirements, as of the due date of the application. In Attachment 1, you must include a statement certifying that the service provider organizations meet these requirements.
Following application review, if your application’s score is within the fundable range, the GPO may contact you to request that additional documentation be sent by email or uploaded through eRA Commons, or to verify that the documentation you submitted is complete. If the GPO does not receive this documentation within the time specified, your application will not be considered for an award.
20 IV. APPLICATION AND SUBMISSION INFORMATION
1. ADDRESS TO REQUEST APPLICATION PACKAGE
The application forms package specific to this funding opportunity can be accessed through Grants.gov Workspace or eRA ASSIST. Due to difficulties with internet access, SAMHSA understands that applicants may have a need to request paper copies of materials, including forms and required documents. See Appendix A for more information obtaining an application package.
2. CONTENT AND FORM OF APPLICATION SUBMISSION
REQUIRED APPLICATION COMPONENTS:
The standard and supporting documents that must be submitted with the application are outlined below and in Appendix A - 2.2 Required Application Components of this NOFO.
All files uploaded as part of the application must be in Adobe PDF file format. See Appendix B of this NOFO for formatting and validation requirements.
SAMHSA will not accept paper applications except under very special circumstances. If you need special consideration, SAMHSA must approve the waiver of this requirement in advance. See Appendix A - 3.2 Waiver of Electronic Submission of this NOFO. • SF-424 – Fill out all Sections of the SF-424.
o In Line #4 (i.e., Applicant Identifier), input the Commons Username of the PD/PI.
o In Line #17 input the following information: (Proposed Project Date: a. Start Date: 9/30/2023; b. End Date: 9/29/2028).
New applicants should review the sample of a completed SF-424.
• SF-424A BUDGET INFORMATION FORM – Fill out all Sections of the SF-424A using instructions below. The totals in Sections A, B, and D must match.
o Section A – Budget Summary: If cost sharing/match is not required, use the first row only (Line 1) to report the total federal funds (e) and non-federal funds (f) requested for the first year of your project only. If cost sharing/match is required, use the second row (Line 2) to report the total non-federal funds (f) for the first year of your project only.
o Section B – Budget Categories: If cost sharing/match is not required, use the first column only (Column 1) to report the budget category breakouts (Lines 6a through 6h) and indirect charges (Line 6j) for the total funding requested for the first year of your project only. If cost sharing/match is
21 required, you must use the second column (Column 2) to report the budget category breakouts for the first year of your project only.
o Section C –If cost sharing/match is not required leave this section blank. If cost sharing/match is required use the second row (line 9) to report non- federal match for the first year only.
o Section D – Forecasted Cash Needs: Input the total funds requested, broken down by quarter, only for Year 1 of the project period. Use the first row for federal funds and the second row (Line 14) for non-federal funds.
o Section E – Budget Estimates of Federal Funds Needed for the Balance of the Project: Enter the total funds requested for the out years (e.g., Year 2, Year 3, Year 4, and Year 5). For example, if you are requesting funds for five years in total, enter the requested budget amount for each budget period in columns b, c, d, and e (i.e., 4 out years). - (b) First column is the budget for the second budget period; (c) Second column is the budget for the third budget period; (d) Third column is the budget for the fourth budget period; (e) Fourth column is the budget for the fifth budget period. Use Line 16 for federal funds and Line 17 for non-federal funds.
See Appendix B of this NOFO to review common errors in completing the SF-424 and the SF-424A. These errors will prevent your application from being successfully submitted.
The following pdfs are samples of completed SF-424A forms:
• Sample SF-424A (No Match Required)
A link to a sample budget form and justification is provided in Appendix L of this NOFO. It is highly recommended that you use this sample budget format. This will expedite review of your application.
• PROJECT NARRATIVE – (Maximum 10 pages total)
The Project Narrative describes your project. It consists of Sections A through E. (Remember that if your Project Narrative starts on page 5 and ends on page 15, it is 11 pages long, not 10 pages.) More detailed instructions for completing each section of the Project Narrative are provided in Section V.1 – Application Review Information.
• BUDGET JUSTIFICATION AND NARRATIVE
The budget justification and narrative must be submitted as a file entitled “BNF” (Budget Narrative Form) when you submit your application into Grants.gov. (See Appendix A – 2.2 Required Application Components.)
22 • ATTACHMENTS 1 THROUGH 9
Use only the attachments listed below. If your application includes any attachments not required in this document, they will be disregarded.
Do not use attachments to extend or replace any of the sections of the Project Narrative. Reviewers will not consider them if you do.
Label the attachments as: Attachment 1, Attachment 2, etc. (Use the Other Attachments Form if applying with Grants.gov Workspace or Other Narrative Attachments if applying with eRA ASSIST.)
o Attachment 1: Letters of Commitment/Service Providers/Evidence of Experience and Credentials
1. Identification of at least one experienced, licensed mental health/substance use treatment provider organization.
2. A list of all direct service provider organizations that have agreed to partner in the proposed project, including the applicant agency, if it is a service provider organization.
3. Letters of Commitment from these direct service provider organizations; (Do not include any letters of support. Reviewers will not consider them if you do.)
4. Statement of Certification - You must provide a written statement certifying that all participating service provider organizations listed in this application meet the two-year experience requirement and applicable licensing, accreditation, and certification requirements.
o Attachment 2: Data Collection Instruments/Interview Protocols If you are using standardized data collection instruments/interview protocols, you do not need to include these in your application. Instead, provide a web link to the appropriate instrument/protocol. If the data collection instrument(s) or interview protocol(s) is/are not standardized, you must include a copy in Attachment 2.
o Attachment 3: Sample Consent Forms
Forms to be submitted include, as appropriate, sample consent forms that provide for: (1) informed consent for participation in service intervention; (2) informed consent for participation in the data collection component of the project; and (3) informed consent for the exchange (releasing or requesting) of confidential information.
o Attachment 4: Project Timeline
This attachment is scored by reviewers. Maximum of 2 pages. See instructions in Section V, B.3 of this NOFO.
o Attachment 5: Biographical Sketches and Position Descriptions
23 See Appendix G of this NOFO for information on completing biographical sketches and job descriptions. Position descriptions should be no longer than one page each and biographical sketches should be two pages or less.
o Attachment 6: Letter to the Single State Agency (SSA) See Appendix J of this NOFO for Intergovernmental Review (E.O. 12372) Requirements, if applicable.
o Attachment 7: Confidentiality and SAMHSA Participant Protection/ Human Subjects Guidelines
This attachment is in response to Appendix D of this NOFO and is a required attachment.
o Attachment 8: Documentation of Non-profit Status
All non-profit entities must submit documentation of their non-profit status.
Any of the following is acceptable documentation:
▪ A reference to the applicant organization’s listing in the Internal Revenue Service’s (IRS) most recent list of tax-exempt organizations described in section 501(c)(3) of the IRS Code;
▪ A copy of a currently valid Internal Revenue Service tax exemption certificate;
▪ A statement from a State taxing body, State Attorney General, or other appropriate state official certifying the applicant organization has a non-profit status;
▪ A certified copy of the organization’s certificate of incorporation or similar document that clearly establishes non-profit status; or ▪ Any of the above proof for a state or national parent organization and a statement signed by the parent organization that the applicant organization is a local non-profit affiliate.
o Attachment 9: Form SMA 170 – Assurance of Compliance with SAMHSA Charitable Choice Statutes and Regulations.
You are required to complete Form SMA 170 if your project is offering substance use prevention or treatment services. This form is posted on SAMHSA’s website at http://www.samhsa.gov/grants/applying/forms- resources.
3. UNIQUE ENTITY IDENTIFIER AND SYSTEM FOR AWARD MANAGEMENT See Appendix A for information about the three registration processes that must be completed including obtaining a Unique Entity Identifier and registering with the System for Award Management (SAM). You must continue to maintain an active SAM registration with current information during the period of time your organization has an active federal award or an application under consideration by an agency
24 (unless you are an individual or federal agency that is exempted from those requirements under 2 CFR § 25.110(b) or (c), has an exception approved by the agency under 2 CFR § 25.110(d)).
4. APPLICATION SUBMISSION REQUIREMENTS
Applications are due by 11:59 PM (Eastern Time) on March 21, 2023. If an organization is submitting more than one application, the project title should be different for each application.
If you have been granted permission to submit a paper copy, the application must be received by the above date and time. See Appendix A of this NOFO for information on how to submit the application.
All applicants MUST register with NIH’s eRA Commons in order to submit an application. This process takes up to six weeks. If you believe you are interested in applying for this opportunity, you MUST start the registration process immediately. Do not wait to start this process.
WARNING: BY THE DEADLINE FOR THIS NOFO YOU MUST HAVE
SUCCESSFULLY COMPLETED THE FOLLOWING TO SUBMIT AN
APPLICATION:
• The applicant organization MUST be registered in NIH’s eRA Commons; AND
• The Project Director MUST have an active eRA Commons account (with the PI role) affiliated with the organization in eRA Commons.
No exceptions will be made.
Applicants must also register with SAM and Grants.gov (see Appendix A for all registration requirements).
DO NOT WAIT UNTIL THE LAST MINUTE TO SUBMIT THE APPLICATION. If you wait until the last minute, there is a strong possibility that the application will not be received without errors by the deadline.
5. FUNDING LIMITATIONS/RESTRICTIONS
The funding restrictions for this project are below. Be sure to identify these expenses in your proposed budget.
• No more than 10 percent of the total award for each budget period may be used for developing the infrastructure necessary for expansion of services.
25 • No more than 15 percent of the total award for each budget period may be used for data collection, performance measurement, and performance assessment, including incentives for participating in the required data collection follow-up. • Funds may not be used to pay for housing other than recovery housing which includes application fees and security deposits.
SAMHSA recipients must also comply with SAMHSA’s standard funding restrictions, which are included in Appendix I – Standard Funding Restrictions.
6. INTERGOVERNMENTAL REVIEW (E.O. 12372) REQUIREMENTS All SAMHSA programs are covered under Executive Order (EO) 12372, as implemented through Department of Health and Human Services (HHS) regulation at 45 CFR Part 100. Under this Order, states may design their own processes for reviewing and commenting on proposed federal assistance under covered programs. See Appendix J for additional information on these requirements as well as requirements for the Public Health System Impact Statement (PHSIS).
7. OTHER SUBMISSION REQUIREMENTS
See Appendix A for specific information about submitting your application.
V. APPLICATION REVIEW INFORMATION
1. EVALUATION CRITERIA
The Project Narrative describes what you intend to do with your project and includes the Evaluation Criteria in Sections A-E below. Your application will be reviewed and scored according to your response to the requirements in Sections A-E.
In developing the Project Narrative section of your application, use these instructions, which have been tailored to this program.
• The Project Narrative (Sections A-E) together may be no longer than 10 pages. • You must use the five sections/headings listed below in developing your Project Narrative. You must indicate the Section letter and number in your response, i.e., type “A-1”, “A-2”, etc., before your response to each question. You do not need to type the full criterion in each section. You only need to include the letter and number of the criterion. You may not combine two or more questions or refer to another section of the Project Narrative in your response, such as indicating that the response for B.2 is in C.1. Only information included in the appropriate numbered question will be
26 considered by reviewers. Your application will be scored according to how well you address the requirements for each section of the Project Narrative. • The number of points after each heading is the maximum number of points a review committee may assign to that section of your Project Narrative. Although scoring weights are not assigned to individual questions, each question is assessed in deriving the overall Section score.
• Any cost sharing proposed in your application will not be a factor in the evaluation of your response to the Evaluation Criteria.
SECTION A: Population of Focus and Statement of Need (25 points – approximately 1 page)
1. Identify and describe your population(s) of focus and the geographic catchment area where services will be delivered that aligns with the intended population of focus of this program, individuals, including youth, and/or families with SUDs or CODs, who are experiencing homelessness. Provide a demographic profile of the proposed population of focus in terms of race, ethnicity, federally recognized tribe (if applicable), language, sex, gender identity, sexual orientation, age, and socioeconomic status. Indicate which HUD CoC(s) provide services in the proposed catchment area.
2. Describe the extent of the problem in the catchment area, including service gaps, disparities, and document the extent of the need (i.e., current prevalence rates or incidence data) for the population(s) of focus identified in your response to A.1 as it relates to the program. Identify the source of the data.
SECTION B: Proposed Implementation Approach (30 points – approximately 5 pages not including Attachment 4 – Project Timeline)
1. Describe the goals and measurable objectives (see Appendix E) of the proposed project and align them with the Statement of Need described in A.2. Provide the following table:
Number of Unduplicated Individuals to be Served with Award Funds Year 1 Year 2 Year 3 Year 4 Year 5 Total
2. Describe how you will implement all of the Required Activities in Section I. If you plan to use funds for infrastructure development, describe how those funds will be used.
27 3. If you are proposing to use funds for recovery housing, you must describe the mechanism in your jurisdiction that assures the recovery housing program is guided by regulation, credentialing, or certification requirements. In addition, you must discuss how the recovery housing program abides by these requirements.
If you are not proposing use funds for recovery housing indicate so in your response.
4. In Attachment 4, provide a chart or graph depicting a realistic timeline for the entire 5 years of the project period showing dates, key activities, and responsible staff. These key activities must include the requirements outlined in Section I [NOTE: Be sure to show that the project can be implemented, and service delivery can begin as soon as possible and no later than four months after the award. The timeline cannot be more than two pages and should be submitted in Attachment 4.] The recommendation of pages for this section does not include the timeline.
SECTION C: Proposed Evidence-Based Service/Practice (15 points - approximately 1 page)
1. Identify the Evidence-Based Practice(s) (EBPs), evidence-informed, and/or culturally promising practices that will be used. Discuss how each intervention chosen is appropriate for your population(s) of focus and the outcomes you want to achieve. Describe any modifications (e.g., cultural) that will be made to the EBP(s) and the reason the modifications are necessary. If you are not proposing any modifications, indicate so in your response.
2. Describe how you will monitor and ensure fidelity of EBPs, evidence-informed and/or promising practices that will be implemented.
SECTION D: Staff and Organizational Experience (10 points – approximately 1 page)
1. Describe the experience of your organization with similar projects and/or providing services to the population(s) of focus for this NOFO. Identify other organization(s) that you will partner with in the proposed project. Describe their experience providing services to the population(s) of focus, and their specific roles and responsibilities for this project. If applicable, Letters of Commitment from each partner must be included Attachment 1 of your application. If you are not partnering with any other organization(s), indicate so in your response.
2. Provide a complete list of staff positions for the project, including the Key Personnel (Project Director and Evaluator) and other significant personnel. For each staff member describe their:
• Role,
• Level of Effort, and
28 • Qualifications, to include their experience providing services to the population(s) of focus and familiarity with their culture(s) and language(s).
SECTION E: Data Collection and Performance Measurement (20 points – approximately 2 pages)
1. Provide specific information about how you will collect the required data for this program and how such data will be utilized to manage, monitor, evaluate, and enhance the program (See Appendix F). Describe your quality improvement efforts and explain how you will use the data to address your identified behavioral health disparity(ies) and close the gap(s).
2. BUDGET JUSTIFICATION, EXISTING RESOURCES, OTHER SUPPORT (Other federal and non-federal sources)
You must provide a narrative justification of the items included in your proposed budget.
You must also provide a narrative description of existing resources and other support you expect to receive for the proposed project as a result of cost matching. Other support is defined as funds or resources, non-federal, or institutional, in direct support of activities through fellowships, gifts, prizes, in-kind contributions, or non-federal means. (This should correspond to Item #18 on your SF-424, Estimated Funding.) Other sources of funds may be used for unallowable costs, e.g., meals, sporting events, entertainment.
Although non-federal share may not be required, if an applicant proposes non-federal resources in their budget, they will be held to submission of the non-federal resources.
These must be reported on the financial reports. If recipients fail to meet their proposed amount or percentage, that could be grounds for a cost disallowance.
An illustration of a budget and narrative justification is included in Appendix L – Sample Budget and Justification. It is highly recommended that you use this sample budget format. Your proposed budget must reflect the funding limitations/restrictions specified in Section IV-5. Specifically identify the items associated with these costs in your budget.
3. REVIEW AND SELECTION PROCESS
The Project Narratives of SAMHSA applications are peer-reviewed according to the evaluation criteria listed above.
Decisions to fund an award are based on:
The strengths and weaknesses of the application as identified by peer reviewers. The results of the peer review are advisory in nature.
The program office and approving official make the final determination for funding
29 based on the following;
• When the individual award is over $250,000, approval by the Center for Substance Abuse Treatment National Advisory Council
• Availability of funds;
• SAMHSA seeks to further expand the impact and geographical distribution of its targeted homeless programs. Therefore, recipients funded under the following announcement numbers are not eligible to apply for this funding opportunity:
o TI-17-009 (GBHI) – Awards funded in FY 2019
o TI-20-001(GBHI) – Awards funded FY 2020 and FY 2022
o SM-18-014 (Treatment for Individuals Experiencing Homelessness) – Awards funded in FY 2019
• Applicants may apply for SM-23-006 (Treatment for Individuals Experiencing Homelessness) but will be eligible to receive only one award if both applications are in the fundable range.
• Equitable distribution of awards in terms of geography (including urban, rural, and remote settings) and balance among populations of focus and program size.
• Submission of any required documentation that must be submitted prior to making an award;
• SAMHSA is required to review and consider any information about your organization that is in the Federal Award Performance and Integrity Information System (FAPIIS). In accordance with 45 CFR 75.212, SAMHSA reserves the right not to make an award to an entity if that entity does not meet the minimum qualification standards as described in section
75.205(a)(2). If SAMHSA chooses not to award a fundable application in accordance with 45 CFR 75.205(a)(2), SAMHSA must report that determination to the designated integrity and performance system accessible through the System for Award Management (SAM) [currently, FAPIIS]. You may review and comment on any information about your organization that a federal awarding agency previously entered. SAMHSA will consider your comments, in addition to other information in FAPIIS in making a judgment about your organization’s integrity, business ethics, and record of performance under federal awards when completing the review of risk posed as described in 45 CFR 75.205 HHS Awarding Agency Review of Risk Posed by Applicants.
30 VI. FEDERAL AWARD ADMINISTRATION INFORMATION
1. FEDERAL AWARD NOTICES
You will receive an email from SAMHSA, via NIH’s eRA Commons, that will describe the process for how you can view the general results of the review of your application, including the score that your application received.
If your application is approved for funding, a Notice of Award (NoA) will be emailed to the following: 1) the BO’s email address identified in the Authorized Representative section email field on page 3 of the SF-424; and 2) the email associated with the Commons account for the Project Director (section 8 Item f on page 1 of the SF-424).
Hard copies of the NoA will no longer be mailed via postal service. The NoA is the sole obligating document that allows you to receive federal funding for work on the project. Information about what is included in the NoA can be found at: https://www.samhsa.gov/grants/grants-management/notice-award-noa.
If your application is not funded, you will receive a notification from SAMHSA, via NIH’s eRA Commons.
2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS
If your application is funded, you must comply with all terms and conditions of the NoA.
SAMHSA’s standard terms and conditions are available on the SAMHSA website - . https://www.samhsa.gov/grants/grants-management/notice-award-noa/standard-terms- conditions. See Appendix K for specific information about administrative and national policy requirements.
3. REPORTING REQUIREMENTS
You will be required to submit an annual progress report on project performance within 90 days of the end of each budget period. The report must discuss:
• Progress achieved in the project which should include qualitative and quantitative data (GPRA) to demonstrate programmatic progress to include updates on required activities, goals and objectives, successes, challenges, and changes or adjustments that have been made to the project;
• Progress addressing quality care of underserved populations related to the Disparity Impact Statement (DIS);
• Barriers encountered, including challenges serving populations of focus; • Efforts to overcome these barriers;
• Evaluation activities for tracking DIS efforts; and
• A revised quality improvement plan if the DIS does not meet quality of care requirements as stated in the DIS.
31 Recipients are required to report performance on the following measures abstinence, stability in Housing, crime or criminal justice involvement, employment/education, social connectedness, and health/behavioral/social consequences.
A final performance report must be submitted within 120 days after the end of the project period. The final performance report must be cumulative and report on all activities during the entire project period.
Management of Award:
Successful applicants must also comply with the following standard grants management reporting requirements at https://www.samhsa.gov/grants/grants- management/reporting-requirements, unless otherwise noted in the NOFO or NoA.
VII. AGENCY CONTACTS
For program related and eligibility questions contact:
Martha Kent, LCPC
Quality Improvement and Workforce Development Branch
Center for Substance Abuse Treatment
Substance Abuse and Mental Health Services Administration (240) 276-1208
[email protected]
For fiscal/budget related questions contact:
Office of Financial Resources, Division of Grants Management Substance Abuse and Mental Health Services Administration (240) 276-1400
[email protected]
For review process and application status questions contact:
Jillian Harp
Office of Financial Resources, Division of Grant Review Substance Abuse and Mental Health Services Administration (240) 276-1911
[email protected]
32 Appendix A – Application and Submission Requirements
1. GET REGISTERED
You are required to complete three (3) registration processes:
1.1) System for Award Management (SAM);
1.2) Grants.gov; and
1.3) eRA Commons.
If you have already completed registrations for SAM and Grants.gov, you need to ensure that your accounts are still active, and then register in eRA Commons (see 1.3).
You must register in eRA Commons and receive a Commons Username in order to have access to electronic submission, receive notifications on the status of your application, and retrieve award information.
WARNING: If your organization is not registered and does not have an active eRA Commons PI/PD account by the deadline, the application will not be accepted.
No exceptions will be made.
1.1 System for Award Management Registration
You must register your organization with the System for Award Management (SAM). A Unique Entity Identifier (UEI) will be assigned as part of the registration process. (The UEI replaced the Dun and Bradstreet Number (DUNS Number). If your organization is currently registered in SAM.gov, the UEI has already been assigned and is viewable in SAM.gov. This includes inactive registrations. The Unique Entity Identifier is currently located below the DUNS Number on your entity registration record. You must be signed in to your SAM.gov account to view entity records.
You must continue to maintain active SAM registration with current information during the period of time your organization has an active federal award or an application under consideration by an agency (unless you are an individual or federal agency that is exempted from those requirements under 2 CFR § 25.110(b) or (c), has an exception approved by the agency under 2 CFR § 25.110(d)). To create a SAM user account, Register/Update your account, and/or Search Records, go to https://www.sam.gov. It takes 7-10 business days for a new SAM entity registration to become active.
It is important to initiate this process well before the application deadline. You will receive an email alerting you when your registration is active.
It is also highly recommended that you renew your account prior to the expiration date.
SAM information must be active and up-to-date and should be updated at least
33 every 12 months to remain active (for both recipients and sub-recipients). Once you update your record in SAM, it will take 48 to 72 hours to complete the validation processes. Grants.gov rejects electronic submissions from applicants with expired registrations.
If your SAM account expires, the renewal process requires the same validation with IRS and DoD (Cage Code) as required for a new account.
1.2 Grants.gov Registration
Grants.gov is an online portal for submitting federal award applications. It requires a one-time registration to submit applications. eRA Commons registration is separate but can be done concurrently. You can register to obtain a Grants.gov username and password at http://www.grants.gov/web/grants/register.html.
If you have already completed Grants.gov registration and ensured your Grants.gov and SAM accounts are up-to-date and/or renewed, go to the eRA Commons registration steps noted below. If this is your first time submitting an application through Grants.gov, registration information can be found at the Grants.gov “Applicants” tab.
The person submitting your application must be properly registered with Grants.gov as the Authorized Organization Representative (AOR) for the specific UEI number cited on the SF-424 (first page). See the Organization Registration User Guide for details at the following Grants.gov link: http://www.grants.gov/web/grants/applicants/organization- registration.html.
1.3 eRA Commons Registration
eRA Commons is an online data platform managed by NIH that allows applicants, award recipients, and federal staff to securely share, manage, and process award- related information. It is strongly recommended that you start the eRA Commons registration process at least six (6) weeks prior to the application due date.
Organizations applying for SAMHSA funding must register in eRA Commons. This is a one-time registration separate from Grants.gov registration. Note: Grants.gov and eRA Commons Registration may occur concurrently. In addition to the organization registration, the Business Official (BO) named in the Authorized Representative section field on page 3 of the SF-424 and the Project Director details entered in the Applicant Information item f on page 1 of the SF-424 (Name and contact information of the person to be contacted on matters involving this application) must have accounts in eRA Commons and receive a Commons ID in order to have access to electronic submission and retrieval of application/award information. If your organization is not registered and does not have an active eRA Commons PI account by the deadline, the application will not be accepted.
For organizations registering with eRA Commons for the first time, the BO named in the Authorized Representative section of the SF-424 must complete the online Institution
34 Registration Form. Instructions on how to complete the online Institution Registration Form is provided on the eRA Commons Online Registration Page. [Note: You must have a valid and verifiable UEI number to complete the eRA Commons registration.]
After the BO named as the Authorized Representative completes the online Institution Registration Form and clicks Submit, the eRA Commons will send an e-mail notification from [email protected] with the link to confirm the email address. Once the e- mail address is verified, the registration request will be reviewed and confirmed via email. If your request is denied, the representative will receive an email detailing the reason for the denial. If the request is approved, the BO will receive an email with an eRA Commons User ID for the Signing Official account (SO) role. The representative will receive a separate email pertaining to this SO account containing a temporary password to be used for the first-time log in. The representative will need to log into eRA Commons with the temporary password, at which time the system will provide prompts to change the temporary password to one of their choosing. Once the BO/SO signs the registration request, the organization will be active in eRA Commons. The BO/SO can then create additional accounts for the organization as needed.
Organizations can have multiple user accounts with the SO role, and any user with the SO role will be able to create and maintain additional accounts for the organization’s staff, including accounts for those designated as Project Director/Principal Investigator (PD/PI) and other Signing Officials.
Important: The eRA Commons requires organizations to identify at least one BO/SO, who is the BO entered in the Authorized Representative section on the SF-424, and a PD/PI in order to submit an application. The primary BO/SO must create the account for the PD/PI listed as the person to contact regarding the application on page 1 of the SF-424 assigning that person the ‘PI’ role in eRA Commons. Note that you must also enter the PD/PI’s Commons Username into the ‘Applicant Identifier’ field of the SF-424 document (Line 4). The individual designated as the BO cannot also be a PD.
You can find additional information about the eRA Commons registration process at https://era.nih.gov/reg_accounts/register_commons.cfm.
2. WRITE AND COMPLETE APPLICATION
SAMHSA strongly encourages you to sign up for Grants.gov email notifications regarding this NOFO. If the NOFO is cancelled or modified, individuals who sign up with Grants.gov for updates will be automatically notified.
2.1 Obtaining Paper Copies of Application Materials
If your organization has difficulty accessing high-speed internet and cannot download the required documents, you may request a paper copy of the application materials.
35 Contact the Division of Grant Review at [email protected] for additional information on obtaining paper copies.
2.2 Required Application Components
After downloading and retrieving the required application components and completing the registration processes, it is time to write and complete your application. All files uploaded with the Grants.gov application MUST be in Adobe PDF file format.
Directions for creating PDF files can be found on the Grants.gov website. See Appendix B for all application formatting and validation requirements.
Standard Application Components
Applications must include the following required application components listed in the table below. This table consists of a full list of standard application components, a description of each required component, and where you can find each document. # Standard Application
Components Description Where to Find
Document
1 SF-424 (Application for
Federal Assistance)
Form
This form must be completed by applicants for all
SAMHSA awards.
The names and contact information for Project
Director (PD) and Business Official (BO) are required
for SAMHSA applications and are to be entered on
the SF-424 form.
• The PD must have an eRA Commons
account: the PD’s Commons Username
must be entered in field 4. Applicant
Identifier; and the PD’s name, phone
number and email address must be entered
in Section 8. APPLICANT INFORMATION:
item f. Name and contact information of
person to be contacted on matters
involving this application. The PD listed in
the SF-424 must match the PD in the
Personnel Costs section in the budget.
• The BO name, title, email address and
phone number must be entered in the
Authorized Representative section fields
on page three of the SF 424. The
organization mailing address is required in
section 8. APPLICANT INFORMATION
item d. Address.
All SAMHSA Notices of Award (NoAs) will be
emailed by SAMHSA via NIH’s eRA Commons to the
Project Director/Principal Investigator (PD/PI), and
the Signing Official/Business Official (SO/BO).
Grants.gov/forms
36 # Standard Application
Components Description Where to Find
Document
2 SF-424 A (Budget
Information – Non-
Construction Programs)
Form
Use SF-424A. Fill out Sections A, B, D and E of the
SF-424A. Section C should only be completed if
applicable. It is highly recommended that you
use the budget template. (See Section IV.2)
Grants.gov/forms
3 Project/Performance
Site Location(s) Form
The purpose of this form is to collect physical
location information on the site(s) where work funded
under this announcement will be performed. The
address cannot be a P.O. Box.
Grants.gov/forms
4 Project Abstract
Summary
It is recommended the abstract is no more than one
page. It should include the project name,
population(s) to be served (demographics and
clinical characteristics), strategies/interventions,
project goals and measurable objectives, including
the number of people to be served annually and
throughout the lifetime of the project, etc. In the first five lines or less of your abstract, write a summary of your project that can be used, if your project is
funded, in publications, reports to Congress, or press
releases.
5 Project Narrative
Attachment
The Project Narrative is your response to the
Evaluation Criteria found at Section V.1 of this
NOFO. It cannot be longer than 10 pages. You
must attach the Project Narrative file (Adobe PDF
format only) inside the Project Narrative Attachment
Form.
6 Budget Justification and
Narrative Attachment
You must include a detailed Budget Narrative in
addition to Budget Form SF-424A. In preparing the
budget, adhere to any existing federal award or
agency guidelines which prescribe how and whether
budgeted amounts should be separately shown for
different functions or activities within the program.
The budget justification and narrative must be
submitted as file name “BNF” when you submit your
application into Grants.gov.
SAMHSA
Website
7 SF-424 B (Assurances
for Non-Construction)
Form
You must read the list of assurances provided on the
SAMHSA website and check the box marked ‘I
Agree’ before signing the first page (SF-424) of the
application.
SAMHSA
Website
8 Disclosure of Lobbying
Activities (SF-LLL) Form
Federal law prohibits the use of appropriated funds
for publicity or propaganda purposes or for the
preparation, distribution, or use of the information
designed to support or defeat legislation pending
before Congress or state legislatures. For SAMHSA
to determine whether or not your organization
participates in lobbying activities, a signed copy
of the SF-LLL form must be submitted." If your
Grants.gov/forms
37 # Standard Application
Components Description Where to Find
Document
organization does not participate in lobbying
activities, indicate “Not Applicable” on the form.
9 Other Attachments Form Refer to the Supporting Documents below. Use the Other Attachments Form to attach all required
additional/supporting documents listed in the table
below.
Supporting Documents
In addition to the Standard Application Components listed above, the following supporting documents are necessary for the review of your application. Supporting documents must be attached to your application. For each of the following application components, attach each document (Adobe PDF format only) using the Other Attachments Form in ASSIST, Workspace, or other S2S provider. # Supporting
Documents Description
Where to
Find
Document
1 HHS 690 Form Every applicant must have a completed HHS 690 form (PDF | 291 KB) on file with the Department of Health
and Human Services.
SAMHSA
Website
2 Charitable Choice Form
SMA 170 (Attachment
9)
See Section IV-1 of the NOFO to determine if you are
required to submit Charitable Choice Form SMA 170.
SAMHSA
Website
3 Biographical Sketches
and Job Descriptions
(Attachment 5)
See Appendix G of this document for additional
instructions for completing these sections. Formatting requirements outlined in Appendix B are not applicable
for these documents.
Appendix G of
this document.
4 Confidentiality and
SAMHSA Participant
Protection/Human
Subjects (Attachment
7)
See the NOFO for requirements related to
confidentiality, participant protection, and the protection of human subject’s regulations.
Appendix D of
this document.
5 Additional Documents
in the NOFO
The NOFO will indicate the attachments you need to
include in your application.
NOFO:
Section IV.
2.3 Additional Documents for Submission (SAMHSA Website)
38 You will find additional materials you will need to complete your application on the SAMHSA website at http://www.samhsa.gov/grants/applying/forms-resources.
3. SUBMIT APPLICATION
3.1 Electronic Submission (eRA ASSIST, Grants.gov Workspace, or other S2S provider)
After completing all required registration and application requirements, SAMHSA requires applicants to electronically submit using eRA ASSIST, Grants.gov Workspace, or another system to system (S2S) provider. Information on each of these options is below:
1) ASSIST – The Application Submission System and Interface for Submission Tracking (ASSIST) is an NIH sponsored online interface used to prepare applications using the SF-424 form set, submit electronically through Grants.gov to SAMHSA and other participating agencies, and track applications. [Note:
ASSIST requires an eRA Commons ID to access the system] 2) Grants.gov Workspace – You can use the shared, online environment of the Grants.gov Workspace to collaboratively work on different forms within the application.
The specific actions you need to take to submit your application will vary by submission method as listed above. The steps to submit your application are as follows:
To submit to Grants.gov using ASSIST: eRA Modules, User Guides, and Documentation | Electronic Research Administration (eRA) To submit to Grants.gov using the Grants.gov Workspace:
http://www.grants.gov/web/grants/applicants/workspace-overview.html Regardless of the option you use, your application will be subject to the same registration requirements, completed with the same data items, routed through Grants.gov, validated against the same agency business rules, assembled in a consistent format for review consideration, and tracked in eRA Commons. All applications that are successfully submitted must be validated by Grants.gov before proceeding to the NIH eRA Commons system and validations.
3.2 Waiver from Electronic Submission
SAMHSA will not accept paper applications except under very special circumstances. If you need special consideration, SAMHSA must approve the waiver of this requirement in advance.
39 If you do not have the technology to apply online, or your physical location has no Internet connection, you may request a waiver of electronic submission. You must send a written request to the Division of Grant Review at least 15 calendar days before the application due date.
Direct any questions regarding the submission waiver process to the Division of Grant Review at [email protected].
3.3 Deadline
On-time submission requires that electronic applications be error-free and made available to SAMHSA for processing from the NIH eRA system on or before the application due date and time. Applications must be submitted to and validated successfully by Grants.gov and eRA Commons no later than 11:59 PM Eastern Time on the application due date. Applications submitted in Grants.gov after the application due date will not be considered for review.
You are strongly encouraged to allocate additional time prior to the submission deadline to submit your application and to correct errors identified in the validation process. You are also encouraged to check the status of your application submission to determine if the application is complete and error-free.
3.4 Resources for Assistance
If you encounter problems when submitting your application in Grants.gov, you must attempt to resolve them by contacting the Grants.gov Service Desk at the following:
• By e-mail: [email protected]
• By phone: (toll-free) 1-800-518-4726 (1-800-518-GRANTS). The Grants.gov Contact Center is available 24 hours a day, 7 days a week, excluding federal holidays.
Make sure you receive a case/ticket/reference number that documents the issues/problems with Grants.gov.
Additional support is also available from the NIH eRA Service desk at:
• To submit a service request ticket: http://grants.nih.gov/support/index.html • By phone: 301-402-7469 or (toll-free) 1-866-504-9552. (Press menu option 6 for SAMHSA). The NIH eRA Service desk is available Monday – Friday, 7 a.m. to 8 p.m. Eastern Time, excluding federal holidays.
If you experience problems accessing or using ASSIST (see below), you can:
• Access the ASSIST Online Help Site at: https://era.nih.gov/erahelp/assist/ • Or contact the NIH eRA Service Desk
40 SAMHSA highly recommends that you submit your application 24-72 hours before the submission deadline. Many submission issues can be fixed within that time and you can attempt to re-submit.
4. AFTER SUBMISSION
4.1 System Validations and Tracking
After you complete and comply with all registration and application requirements and submit your application, the application will be validated by Grants.gov. You will receive a notification that your application is being processed. You will receive two additional e- mails from Grants.gov within the next 24-48 hours (one notification email will confirm receipt of the application in Grants.gov, and the other notification email will indicate that the application was either successfully validated by the Grants.gov system or rejected due to errors). It is important that you retain this Grants.gov tracking number. Receipt of the Grants.gov tracking number is the only indication that Grants.gov has successfully received and validated your application. If you do not receive a Grants.gov tracking number, you may want to contact the Grants.gov help desk for assistance (see Resources for Assistance in Section 3.4).
If Grants.gov identifies any errors and rejects your application with a “Rejected with Errors” status, you must address all errors and resubmit. If no problem is found, Grants.gov will allow the eRA system to retrieve the application and check it against its own agency business rules (eRA Commons validations). If you use ASSIST to complete your application, you can validate your application and fix errors before submission.
After you successfully submit your application through Grants.gov, your application will go through eRA Commons validations. If no errors are found, the application will be assembled in eRA Commons. At this point, you can view your application in eRA Commons. It will then be forwarded to SAMHSA as the receiving institution for further review.
If errors are found during eRA Commons validation, you will receive a System Error and/or Warning notification regarding the problems found in the application (see 4.2 below). You must take action to make the required corrections and resubmit the application through Grants.gov before the application due date and time (See 4.4 below). Do not assume that if your application passes the Grants.gov validations that it will successfully pass eRA validations and will be received by SAMHSA. You must check your application status in eRA Commons to ensure that no errors were identified.
It is critical that you allow for sufficient time to resubmit the application if errors are detected.
You are responsible for viewing and tracking your applications in the eRA Commons after submission through Grants.gov to ensure accurate and
41 successful submission. Once you can access your application in the eRA Commons, be sure to review it carefully as this is what reviewers will see.
4.2 eRA Commons: Warning vs. Error Notifications
You may receive a System Warning and/or Error notification after submitting an application. Take note that there is a distinction between System Errors and System Warnings.
Warnings – If you receive a Warning notification after the application is submitted, you are not required to resubmit the application. The reason for the Warning will be identified in the notification. It is at your discretion to choose to resubmit, but if the application was successfully received, it does not require any additional action.
Errors – If you receive an Error notification after the applications is submitted, you must correct and resubmit the application. The word Error is used to characterize any condition which causes the application to be deemed unacceptable for further consideration.
4.3 System or Technical Issues
If you encounter a system error that prevents you from completing the application submission process on time, the BO from your organization will receive an email notification from eRA Commons. SAMHSA highly recommends contacting the eRA Service Desk and submitting a web ticket to document your good faith attempt to submit your application and determining next steps. See Section 3.4 for more information on contacting the eRA Service Desk.
4.4 Resubmitting a Changed/Corrected Application
If SAMHSA does not receive your application by the application due date as a result of a failure in the SAM, Grants.gov, or NIH’s eRA Commons systems, you must contact the Division of Grant Review within one business day after the official due date at:
[email protected] and provide the following:
• A case number or email from SAM, Grants.gov, and/or NIH’s eRA system that allows SAMHSA to obtain documentation from the respective entity for the cause of the error.
SAMHSA will consider the documentation to determine if you followed Grants.gov and NIH’s eRA requirements and instructions, met the deadlines for processing paperwork within the recommended time limits, met NOFO requirements for submission of electronic applications, and made no errors that caused submission through Grants.gov or NIH’s eRA to fail. No exceptions for submission are allowed when user error is involved. Note that system errors are extremely rare.
42 [Note: When resubmitting an application after revisions have been made, ensure that the Project Title is identical to the Project Title in the originally submitted application (i.e., no extra spacing) as the Project Title is a free-text form field.] In addition, check the Changed/Corrected Application box in #1.
43 Appendix B - Formatting Requirements and System
Validation
1. SAMHSA FORMATTING REQUIREMENTS
SAMHSA’s goal is to review all applications submitted for funding. However, this goal must be balanced against SAMHSA’s obligation to ensure equitable treatment of applications. For this reason, SAMHSA has established certain formatting requirements for its applications. See below for a list of formatting requirements required by SAMHSA:
• Text must be legible. Pages must be typed in black, single-spaced, using a font of Times New Roman 12, with all margins (left, right, top, bottom) at least one inch each. You may use Times New Roman 10 only for charts or tables. • You must submit your application and all attached documents in Adobe PDF format, or your application will not be forwarded to eRA Commons and will not be reviewed. See Section 3 below for more details on PDF requirements.
• To ensure equity among applications, the 10-page limit for the Project Narrative cannot be exceeded. If an application exceeds the 10-page limit, the application will not be reviewed.
• Citations can be put in an Attachment. They do not have to be placed in the Project Narrative.
• Black print should be used throughout your application, including charts and graphs (no color).
• If you are submitting more than one application under the same announcement number, you must ensure that the Project Title in Field 15 of the SF-424 is unique for each submission.
2. GRANTS.GOV FORMATTING AND VALIDATION REQUIREMENTS
• Grants.gov allows the following list of UTF-8 characters when naming your attachments: A-Z, a-z, 0-9, underscore, hyphen, space, and period. Other UTF-8 characters should not be used as they will not be accepted by NIH’s eRA Commons, as indicated in item #9 in the table below.
• Scanned images must be scanned at 150-200 dpi/ppi resolution and saved as a PDF file. Using a higher resolution setting or different file type will result in a larger file size, which could result in rejection of your application.
44 • Any files uploaded or attached to the Grants.gov application must be PDF file format and must contain a valid file format extension in the filename. In addition, the use of compressed file formats such as ZIP, RAR or Adobe Portfolio will not be accepted.
3. eRA COMMONS FORMATTING AND VALIDATION REQUIREMENTS
The following are formatting requirements and system validations required by eRA Commons and will result in errors if not met. The application must be ‘error free’ to be processed through the eRA Commons. There may be additional validations which will result in Warnings but these will not prevent the application from processing through the submission process. (See Appendix A, Section 4.2)
ASSIST File Formatting Requirements
The eRA system contains file formatting requirements for uploading documents in ASSIST. The only accepted file type for submission is PDF and each file may be no larger than 6 MB. Fillable forms must be ‘flattened’ and saved as a PDF prior to upload.
Adobe Portfolio file types will not be accepted.
Files for Upload to ASSIST must be:
PDF Format
Under 6MB in File Size
8.5 x 11 Page Size
Flat (No Fillable/Editable Fields)
Files must NOT contain:
Password-Protection
Live hyperlinks (only plain text URLs)
Bookmarks or Signature Boxes
A filename exceeding 50 Characters (including spaces) Flatten Fillable Forms Prior to Upload in ASSIST
A completed fillable form (an electronic document that can be filled out and edited digitally—also called fillable, dynamic, or interactive forms) should not only be saved as a PDF; it must also be flattened to remove the interactive fields so that the final answers are saved. Flattening a form is not the same as “locking” it; locking a form restricts access to editing, printing, and copying the document.
45 Flattening a PDF document:
• Keeps form values permanent. When an interactive PDF is uploaded or emailed, every field remains open to accidental or deliberate revision. Flattening the form ensures that only the completed version of the form is visible. • Removes values on drop down lists. A flattened document will show only the selected text or value, no other values and options are shown and there is no indication that options were present.
• Simplifies the PDF. Interactive forms are larger than normal files, which may prevent upload for submission. Flattening reduces the file size which makes it easier to render and view.
To flatten a file, follow the steps below.
1. Ensure that the form is completed and the information is correct. Go to the print settings by selecting File > Print.
2. On the pull-down menu of printer options, choose Adobe PDF or Microsoft Print to PDF, then click OK.
3. After clicking OK, a pop-up will open with options to save the PDF. Be sure to select a specific location to save the document where it can easily be found and give it a unique file name. Use a file name that clearly differentiates the completed form from the original fillable form. File names cannot exceed 50 characters.
4. The flattened form should appear in the new location with the new file name.
Open it to check once more for any changes and to confirm that the conversion worked.
If you do not adhere to these requirements, you will receive an email notification from [email protected] to take action and adhere to the requirements so that your application can be processed successfully. It is highly recommended that you submit your application 24-72 hours before the submission deadline to allow for sufficient time to correct errors and resubmit the application. If you experience any system validation or technical issues after hours on the application due date, contact the eRA Service Desk and submit a Web ticket to document your good faith attempt to submit your application.
eRA Commons Validation Table
The following table shows formatting requirements and system validations required by eRA Commons and will result in errors if not met.
46 eRA Validations eRA Error Messages
#1: Applicant Identifier (Item 4 on the SF-424):
The PD/PI Credentials must be provided
The Commons Username must be provided in the
Applicant Identifier field for the PD/PI.
Username provided must be a valid Commons
account
The Commons Username provided in the Applicant
Identifier is not a recognized Commons account.
Username must be affiliated with the
organization submitting the application and/or
have the PI role
The Commons account provided in the Applicant
Identifier field for the PD/PI is either not affiliated with the applicant organization or does not hold the
PI role. Check with your Commons Account
Administrator to make sure your account affiliation
and roles are set-up correctly.
#2. The UEI number provided must include
valid characters (12 numbers)
The UEI number provided has invalid characters
(other than 12 numbers)
#3. The documentation (forms) required for the
NOFO must be submitted
The format of the application does not match the
format of the NOFO. Contact the eRA Service
Desk for assistance.
(#4 If a change or correction is made to
address an error, “Changed/Corrected” must be
selected. Item #1 on the SF-424). Refer to
Appendix A II-4.4 for more information on
resubmission criteria.
This application has been identified as a duplicate
of a previous submission. The ‘Type of
Submission’ should be set to Changed/Corrected if
you are addressing errors/warnings.
#5. The application cannot exceed 1.2GB. The application did not follow the agency-specific size limit of 1.2 GB. Resize the application to be
no larger than 1.2 GB before submitting.
#6. The correct Notice of Funding Opportunity
(NOFO) number must be provided
The Funding Opportunity Announcement number
does not exist.
#7 All documents and attachments must be
submitted in PDF format.
“The <attachment> attachment is not in PDF
format. All attachments must be provided to the
agency in PDF format with a .pdf extension. Help
with PDF attachments can be found at
http://grants.nih.gov/grants/ElectronicReceipt/pdf_g
uidelines.htm.”
#8. All attachments must comply with the
following formatting requirements:
PDF attachments cannot be empty (0 bytes).
The {attachment} attachment was empty. PDF
attachments cannot be empty, password protected
or encrypted.
All PDF attachments cannot have Meta data
missing, cannot be encrypted, password
protected or secured documents.
The <attachment> attachment contained formatting
or features not currently supported by NIH:
<condition returned>.
47 eRA Validations eRA Error Messages
The size of PDF attachments cannot be larger
than 8.5 x 11 inches (horizontally or vertically).
[Note: It is recommended that you limit the size
of attachments to 35 MB.]
Filename <file> cannot be larger than U.S.
standard letter paper size of 8.5 x 11 inches. See
the PDF guidelines at
http://grants.nih.gov/grants/ElectronicReceipt/pdf_
guidelines.htm
PDF attachments must have a valid file name.
Valid file names must include the following
UTF-8 characters: A-Z, a-z, 0-9, underscore (_),
hyphen (-), space, period.
The <attachment> attachment filename is invalid.
Valid filenames may only include the following
characters: A-Z, a-z, 0-9, underscore ( _ ), hyphen
(-), space, or period. No special characters
(including brackets) can be part of the filename.
#9. The email addresses for the Contact
Person (SF-424 Section F) and the Authorized
Representative (SF-424 below Section 21) must
contain a ‘@’, with at least 1 and at most 64
chars preceding and following the ‘@’. Control
characters (ASCII 0 through 31 and 127),
spaces and special chars < > ( ) [ ] \ , ; : are not
valid.
The submitted e-mail address for the person to be
contacted {email address}, is invalid. Must contain
a ‘@’, with at least 1 and at most 64 chars
preceding and following the ‘@’. Control
characters (ASCII 0 through 31 and 127), spaces
and special chars < > ( ) [ ] \ , ; : are not valid.
#10. Congressional district code of applicant
(after truncating) must be valid. (SF-424, item
16 a and b)
Congressional district <Congressional District> is
invalid. To locate your district, visit
http://www.house.gov/
48 Budget Errors
eRA Validations eRA Error Messages
SF424-A: Section A – Budget Summary
The total fields at the end of rows or at the
bottom of columns must equal the sum of the
elements for that row or column
Ensure that the sum of Grant Program Function or
Activity (a) elements entered equals the total
amounts in the Total field
SF424-A: Section B – Budget Categories
The Total in Section B (Column 5 - Row k) must
equal the Total in Section A – Budget
Summary: (Row 5, Column g).
Ensure that the TOTALS Total (row k, column 5)
equals the Budget Summary Totals in section A,
row 5 column g.
SF424-A: Section D – Forecasted Cash Needs
The Federal Total for the 1st Year (Line 13)
must equal the Total in Section A (Row 5,
Column g)
Ensure that the Federal Total for 1st year, in
Section D- Forecasted Needs equals the Section
A, New or Revised Budget Federal Totals (e-5)
amount.
The Non-Federal Total for 1st Year sum must
equal Estimated Unobligated Funds Non-
Federal Totals in Section A (d-5) + New or
Revised Budget Non-Federal Totals (f-5)
Ensure that the Non-Federal Total for 1st year
equals the sum of Estimated Unobligated Funds
Non-Federal Totals (d-5) and New or Revised
Budget Non-Federal Totals (f-5) on Section A.
The Total for 1st Year TOTAL in Section D must
equal the Total (Row 5, Column G) in Section A
Ensure that the Forecasted Cash Needs: 15
TOTAL equals to SECTION A – Budget Summary:
Line 5. Totals, Column (g).
SF424-A: Section E – Budget Estimates of
Federal Funds Needed for Balance of The
Project
The number of budget years/periods must
match the span of the project. The number of
years in the project period in Block 17 on the
SF-424 must align with the future funding
periods.
Ensure that the project period years on the SF 424
block 17 matches the provided budget periods in
the SF-424A. Enter data for the first budget period
in Section D and enter future budget periods in
Section E.
49 Appendix C – General Eligibility Information
Determining whether you are eligible to apply for and receive a SAMHSA award is very important. If you are not legally eligible for a specific funding opportunity, you would spend considerable time and money completing the application process when you cannot receive the award.
There are many types of organizations generally eligible to apply for SAMHSA funding opportunities. However, eligibility is strictly tied to the statutory authority governing this award. Please be sure to double check the NOFO for eligibility. Eligibility for this NOFO may include the following:
Government Organizations
State governments and territories
County governments
City or township governments
Special district governments
Native American tribal governments (federally recognized) Native American tribal governments (other than federally recognized) State-Recognized Tribes
Other Tribal Entities
Tribal organizations
Consortia of tribes or tribal organizations
Urban Indian Organizations
Education Organizations
Independent school districts
Public and state-controlled institutions of higher education Private institutions of higher education
Education agencies/authorities serving children and youth residing in federally recognized American Indian/Alaska Native (AI/AN) tribes Non-profit Organizations
Non-profits having a 501(c)(3) status with the Internal Revenue Service (IRS), other than institutions of higher education
Non-profits that do not have a 501(c)(3) status with the IRS, other than institutions of higher education, including entities with 501(c)(4) status (civic leagues, social welfare organizations, and local associations of employees) and 501(c)(5) status (labor organizations).
Please note: For-profit organizations and foreign entities are not eligible to apply for SAMHSA awards.
50 Appendix D – Confidentiality and SAMHSA Participant
Protection/Human Subjects Guidelines
CONFIDENTIALITY AND PARTICIPANT PROTECTION:
It is important to have safeguards protecting individuals from risks associated with their participation in SAMHSA projects. As part of Attachment 7 of the application, all applicants (including those who plan to obtain Institutional Review Board (IRB) approval) must address all of the elements below. If some elements are not applicable to the proposed project, explain why the element(s) is not applicable.
In addition to addressing these elements, you will need to determine if the section below titled “Protection of Human Subjects Regulations” applies to your project. If so, you must submit the required documentation as described below. There are no page limits for your response to the elements in this appendix.
1. Protect Participants and Staff from Potential Risks
• Identify and describe the foreseeable physical, medical, psychological, social, and legal risks or potential adverse effects participants may be exposed to because of the project.
• Identify and describe the foreseeable physical, medical, psychological, social, and legal risks or potential adverse effects staff may be exposed to as a result, of the project.
• Describe the procedures you will follow to minimize or protect participants and staff against potential risks, including risks to confidentiality. • Identify your plan to provide guidance and assistance in the event there are adverse effects to participants and/or staff.
Responses that will be considered unacceptable or incomplete:
• Indicating that there are no risks to participants. If services are being delivered as part of the project, it is very unlikely that there will be no foreseeable physical, medical, psychological, social, or legal risks or potential adverse effects as a result of their involvement in the project.
• Addressing potential risks to participants but not addressing risks to staff
• Neglecting to describe how the organization will provide guidance and assistance in the event there are adverse effects to participants and whether alternative treatments will be available to participants.
51 2. Fair Selection of Participants
• Explain how you will recruit and select participants ensuring all populations have equitable opportunities to participate in the program.
• Identify any individuals in the geographic catchment area where services will be delivered who will be excluded from participating in the project and explain the reasons for this exclusion.
Responses that will be considered unacceptable or incomplete:
• Not explaining reasons for including or excluding participants
• Not identifying how participants will be selected
3. Absence of Coercion
• If you plan to compensate participants, state how participants will be awarded incentives (e.g., gift cards, bus passes, gifts, etc.) If you plan to implement a contingency management program, specify the evidence-based model you will use and briefly justify its use with your population(s) of focus. If you have included funding for incentives in your budget, you must address this item. (For specific information about incentives, see https://www.samhsa.gov/grants/grants- management/policies-regulations/additional-directives)
• Provide justification that the use of incentives is appropriate, judicious, and conservative and that incentives do not provide an “undue inducement” that removes the voluntary nature of participation.
• Describe how you will inform participants in a culturally competent manner that they may receive services even if they choose to not participate in or complete the data collection component of the project.
Responses that will be considered unacceptable or incomplete:
• Indicating that you do not plan to compensate participants, such as through incentives, but including funding for incentives in the budget or describing the use of incentives in the Project Narrative. • Not specifying how participants will be told that they may receive services even if they choose not to participate in the data collection component of the project.
4. Data Collection
52 • Identify from whom you will collect data (e.g., participants, clients, family members, teachers, others).
• Describe the data collection procedures and specify the sources for obtaining data (e.g., school records, interviews, psychological assessments, questionnaires, observation, or other sources). Identify what type of specimens (e.g., urine, blood) will be used, if any. State if the specimens will be used for purposes other than evaluation.
• In Attachment 2, “Data Collection Instruments/Interview Protocols,” you must provide copies of all available data collection instruments and interview protocols that you plan to use (unless you are providing the web link to the standardized instrument(s)/protocol(s). Include any culturally adapted data collection instruments and interview protocols.
Responses that will be considered unacceptable or incomplete:
• Not clearly identifying all the entities from which data will be collected. • Describing the use of drug testing in the Project Narrative but not providing the requested information about specimen collection. • Not including data collection instruments/interview protocols (or links to websites for the instruments) in Attachment 2.
• Not including how the data collection will occur (i.e., paper surveys versus electronic survey links; at a school setting or at the organization’s clinic, etc.).
5. Privacy and Confidentiality
• Explain how you will ensure privacy and confidentiality. Describe:
o Where data will be stored,
o Who will have access to the data collected, and
o How the identity of participants will be kept private, for example, using a coding system on data records, limiting access to records, or storing identifiers separately from data.
• NOTE: Recipients must maintain the confidentiality of substance use disorder client records according to the provisions of Title 42 of the Code of Federal Regulations, Part II, Subpart B.
53 Responses that will be considered unacceptable or incomplete:
• Not providing detailed information about where data is stored and how the identity of participants will be kept confidential.
• Not clearly identifying the individuals who will have access to the data.
• Not specifying that you agree to maintain the confidentiality of substance use disorder client records according to the provisions of Title 42 of the Code of Federal Regulations, Part II.
6. Adequate Consent Procedures
• Include, as appropriate, sample consent forms* that provide for:
1. informed consent for participation in service intervention;
2. informed consent for participation in the data collection component of the project, including information that participants are informed that they may receive services even if they choose not to participate in or complete this component of the project; and
3. informed consent for the exchange (releasing or requesting) of confidential information.
4. Informed consent for youth participants.
*Consent forms should be written at no higher than 8th grade reading level.
• The sample forms must be included in Attachment 3, “Sample Consent Forms”, of your application. If needed, provide translated forms. • Explain how you will obtain consent for youth, the elderly, people with limited reading skills, and people who do not use English as their first language.
Describe how the consent will be documented. For example: Will you read the consent forms? Will you ask prospective participants questions to be sure they understand the forms? Will you give them copies of what they sign? NOTE: The consent forms should never imply that the participant waives or appears to waive any legal rights. The forms should also not imply that individuals cannot end involvement with the project or that your project or its agents will be released from liability for negligence.
Responses that will be considered unacceptable or incomplete:
• Not providing copies of sample consent forms in Attachment 3.
54 • Not providing details on how consent/assent will be obtained for youth participants.
• Not providing details on how consent will be obtained for non-English speaking priority populations identified in the application.
7. Risk/Benefit Discussion
• Discuss why the risks you have identified in Element 1. Protect Participants and Staff from Potential Risks are reasonable compared to the anticipated benefits to participants involved in the project.
Responses that will be considered unacceptable or incomplete:
• Indicating there are no risks to participants in the first element and noting that this element is therefore not applicable.
• Not mentioning any anticipated benefits to participants involved in the project.
PROTECTION OF HUMAN SUBJECTS REGULATIONS
SAMHSA expects that most recipients funded under this announcement will not have to comply with the Protection of Human Subjects Regulations (45 CFR 46), which requires Institutional Review Board (IRB) approval. However, in some instances, the applicant’s proposed project may meet the regulation’s criteria for research involving human subjects. Although IRB approval is not required at the time of award, you are required to provide the documentation below prior to enrolling participants into your project.
In addition to the elements above, applicants whose projects must comply with the Human Subjects Regulations must:
• Describe the process for obtaining IRB approval for your project. • Provide documentation that an Assurance of Compliance is on file with the Office for Human Research Protections (OHRP).
• Provide documentation that IRB approval has been obtained for your project prior to enrolling participants.
General information about Human Subjects Regulations can be obtained through OHRP at http://www.hhs.gov/ohrp or (240) 453-6900. SAMHSA–specific questions should be directed to the program contact listed in Section VII of this announcement.
55 Appendix E – Developing Goals and Measurable Objectives To be able to effectively evaluate your project, it is critical that you develop realistic goals and measurable objectives. This appendix provides information on developing goals and objectives for use in your Project Narrative. It also provides examples of well- written goals and measurable objectives.
GOALS
Definition − a goal is a broad statement about the long-term expectation of what should happen because of your program (the desired result). It serves as the foundation for developing your program objectives. Goals should align with the statement of need that is described. Goals should only be one sentence.
The characteristics of effective goals include:
• Goals address outcomes, not how outcomes will be achieved. • Goals describe the behavior or condition in the community expected to change. • Goals describe who will be affected by the project.
• Goals lead clearly to one or more measurable results. • Goals are concise.
Examples
Unclear Goal Critique Improved Goal
Increase the substance use and
HIV/AIDS prevention capacity of the
local school district
This goal could be
improved by
specifying an
expected program
effect in reducing a
health problem
Increase the capacity of the local
school district to reduce high-risk
behaviors of students that may
contribute to substance use and/or
HIV/AIDS
Decrease the prevalence of marijuana,
alcohol, and prescription drug use
among youth in the community by
increasing the number of schools that
implement effective policies,
environmental change, intensive
training of teachers, and educational
approaches to address high-risk
behaviors, peer pressure, and tobacco
use.
This goal is not
concise
Decrease youth substance use in
the community by implementing
evidence-based programs within the
school district that address
behaviors that may lead to the
initiation of use.
OBJECTIVES
Definition – Objectives describe the results to be achieved and the manner in which they will be achieved. Multiple objectives are generally needed to address a single
56 goal. Well-written objectives help set program priorities and targets for progress and accountability. It is recommended that you avoid verbs that may have vague meanings to describe the intended outcomes, like “understand” or “know” because it may prove difficult to measure them. Instead, use verbs that document action, such as: “By the end of 2020, 75% of program participants will be placed in permanent housing. To be effective, objectives should be clear and leave no room for interpretation.
SMART is a helpful acronym for developing objectives that are specific, measurable, achievable, realistic, and time-bound:
Specific –
Includes the “who” and “what” of program activities. Use only one action verb to avoid issues with measuring success. For example, “Outreach workers will administer the HIV risk assessment tool to at least 100 injection drug users in the population of focus” is a more specific objective than “Outreach workers will use their skills to reach out to drug users on the street.”
Measurable –
How much change is expected. It must be possible to count or otherwise quantify an activity or its results. It also means that the source of and mechanism for collecting measurement data can be identified and that collection of the data is feasible for your program. A baseline measurement is required to document change (e.g., to measure the percentage of increase or decrease). If you plan to use a specific measurement instrument, it is recommended that you incorporate its use into the objective. Example:
By 9/20 increase by 10% the number of 8th, 9th, and 10th grade students who disapprove of marijuana use as measured by the annual school youth survey.
Achievable –
Objectives should be attainable within a given time frame and with available program resources. For example, “The new part-time nutritionist will meet with seven teenage mothers each week to design a complete dietary plan” is a more achievable objective than “Teenage mothers will learn about proper nutrition.”
Realistic –
Objectives should be within the scope of the project and propose reasonable programmatic steps that can be implemented within a specific time frame. For example, “Two ex-gang members will make one school presentation each week for two months to raise community awareness about the presence of gangs” is a more realistic objective than “Gang-related violence in the community will be eliminated.”
Time-bound –
Provide a time frame indicating when the objective will be measured or a time by when the objective will be met. For example, “Five new peer educators will be recruited by the second quarter of the first funding year” is a better objective than “New peer educators will be hired.”
57 Examples:
Non-SMART Objective Critique SMART Objective
Teachers will be trained on
the selected evidence-
based substance use
disorder prevention
curriculum.
The objective is not SMART
because it is not specific,
measurable, or time-bound. It
can be made SMART by
specifically indicating who is
responsible for training the
teachers, how many will be
trained, who they are, and by
when the trainings will be
conducted.
By June 1, 2022, LEA supervisory
staff will have trained 75% of
health education teachers in the
local school district on the
selected, evidence-based
substance use disorder prevention
curriculum.
90% of youth will participate
in classes on assertive
communication skills.
This objective is not SMART
because it is not specific or time-
bound. It can be made SMART
by indicating who will conduct
the activity, by when, and who
will participate in the lessons on
assertive communication skills.
By the end of the 2022 school
year, district health educators will
have conducted classes on
assertive communication skills for
90% of youth in the middle school
receiving the substance use
disorder and HIV prevention
curriculum.
Train individuals in the
community on the
prevention of prescription
drug/opioid overdose-
related deaths.
This objective is not SMART as it
is not specific, measurable or
time-bound. It can be made
SMART by specifically indicating
who is responsible for the
training, how many people will be
trained, who they are, and by
when the training will be
conducted.
By the end of year two of the
project, the Health Department
will have trained 75% of EMS staff
in the County Government on the
selected curriculum addressing the
prevention of prescription
drug/opioid overdose-related
deaths.
58 Appendix F – Developing the Plan for Data Collection and Performance Measurement
Information in this Appendix should be taken into consideration when developing a response for criteria in Section E of the Project Narrative.
Data Collection:
In describing your plan for data collection, consider addressing the following points:
• Electronic data collection software that will be used • Frequency of data collection?
• Organizational processes that will be implemented to ensure the accurate and timely collection and input of data.
• Staff that will be responsible for collecting and recording the data. • Data source and data collection instruments that will be used to collect the data. • How well the data collection methods will take into consideration the language, norms, and values of the population(s) of focus.
• Processes and policies to keep data secure.
• If applicable, the data collection procedures to ensure that confidentiality is protected and that informed consent is obtained.
• If applicable, data collection procedures from partners and/or sub-recipients.
It is not necessary to provide information related to data collection and performance measurement in a table, but the following samples may give you some ideas about how to display the information.
Table 1 [provides an example of how information for the required performance measures could be displayed]
Performance Measures Data
Source
Data Collection
Frequency
Responsible
Staff for Data
Collection
Method of Data
Analysis
Table 2 [provides an example of how information could be displayed for the data that will be collected to measure the objectives that are included in B.1] Objective Data Source Data Collection
Frequency
Responsible Staff for
Data Collection
Method of Data
Analysis
Objective 1.a
Objective 1.b
59 Data Management and Performance Monitoring
Points to consider:
• Data protection policies and procedures, including information about storage, retention, and access.
• Frequency of reviews and monitoring of performance data • Staff conducting data analysis, including evaluation. • Data analysis methods and how you will use data to monitor and evaluate activities and processes.
• Staff responsible for completing reports.
• How data will be reported to staff, stakeholders, SAMHSA, an Advisory Board, and other relevant project partners.
How Data Will Be Used to Enhance the Project/Quality Improvement (QI):
Points to consider:
• If applicable, the QI model that will be used.
• How will the QI process be used to track progress?
• Staff responsible for overseeing QI processes.
• Details of how to implement any needed changes to project implementation and/or project management.
o What decision-making processes will be used??
o When and by whom will decisions be made concerning project improvement?
o What are the thresholds for determining that changes need to be made? o Will the Advisory Board have a role in the QI process? o How will the changes be communicated to staff and/or partners/sub- recipients?
60 Appendix G – Biographical Sketches and Position
Descriptions
Include position descriptions and biographical sketches for all project staff as supporting documentation to the application. The formatting requirements outlined in Appendix B are not applicable for these documents.
Biographical Sketch
Existing curricula vitae of project staff members may be used if they are updated and contain all items of information requested below. You may add any information items listed below to complete existing documents. For development of new curricula vitae include items below in the most suitable format:
1. Name of staff member
2. Educational background: school(s), location, dates attended, degrees earned (specify year), major field of study
3. Professional experience
4. Recent relevant publications
Position Description
1. Title of position
2. Description of duties and responsibilities
3. Qualifications for position
4. Supervisory relationships
5. Skills and knowledge required
6. Amount of travel and any other special conditions or requirements
7. Salary range
8. Hours per day or week
61 Appendix H – Addressing Behavioral Health Disparities SAMHSA expects recipients to submit a Behavioral Disparity Impact Statement (DIS) within 60 days of receiving the award.
SAMHSA’s Behavioral Health Disparity Impact Statement (DIS) is a data-driven, quality improvement approach to advance equity for all, and to identify racial, ethnic, sexual and gender minority populations at highest risk for experiencing behavioral health disparities as part of their projects. The purpose of the DIS is for recipients to identify and address health disparities8 and to develop and implement an action plan with a disparity reduction quality improvement process to close the identified gap(s). The aim is to achieve targeted behavioral health equity9 for disparate populations and improve systems.
SAMHSA provides a DIS Worksheet that award recipients are expected to use to respond to this special condition of award.
The main components of the DIS are:
• Identify and describe the scope of the problem (i.e., behavioral health disparity) related to the program and the population(s) of focus that experience disparate access, use, and outcomes. Identify data sources that will be used to inform the DIS (this should be in alignment with the information provided in your application). Complete a table that includes this information at the individual/client, organizational or systemic level as it relates to the data collection requirements: NOMS, IPP, or both, in relation to access, use, and outcomes.
8 Healthy People 2030 defines a health disparity as a “particular type of health difference that is closely linked with social, economic, and/or environmental disadvantage. Health disparities adversely affect groups of people who have systematically experienced greater obstacles to health based on their racial or ethnic group; religion; socioeconomic status; gender; age; disability; mental health; cognitive, sensory, or physical disability; sexual orientation or gender identity; geographic location; or other characteristics historically linked to discrimination or exclusion.”
9 Behavioral health equity is the right to access high quality and affordable health care services and supports for all populations regardless of the individual’s race, age, ethnicity, gender (including gender identity), disability, socioeconomic status, sexual orientation, or geographical location. Advancing behavioral health equity involves ensuring that everyone has a fair and just opportunity to be as healthy as possible. In conjunction with quality services, this involves addressing social determinants of health, such as employment and housing stability, insurance status, proximity to services, and culturally responsive care – all of which have an impact on behavioral health outcomes.
62 • Identify Social Determinant of Health (SDOH) domain(s) that your organization will work to address and improve for the identified population(s) of focus using the NOFO. Visit Healthy People 2030 for more information on the five (5) domains. Using the Behavioral Health Implementation Guide, identify Culturally and Linguistically Appropriate Services (CLAS) standards that your organization plans to meet, expand, or improve through this funding opportunity. Review the Behavioral Health Implementation Guide for full explanations of the overarching themes and 15 CLAS Standards with behavioral health related samples, strategies, and examples.
Develop and implement a disparity reducing quality improvement action plan to address the behavioral health disparity(ies) experienced by underserved population differences based on the GPRA data on access, use, and outcomes of activities. The plan should include realistic goals and SMART objectives (see Appendix E), the activities that will be implemented to address disparities, the intended impact, timeline, measurement, and evaluation. Ensure documentation of the processes, progress, and outcomes on how the identified behavioral health disparity(ies) have improved.
Recipients are expected to provide, at a minimum, an annual update on the DIS (e.g., what worked, what did not work, what modifications were made) as part of the programmatic progress reports per the NOFO.
Examples of a DIS are available on the SAMHSA website at http://www.samhsa.gov/grants/grants-management/disparity-impact-statement DIS Related Terminology and Resources
Definition of Health Disparities
Healthy People 2030 defines a health disparity as a “particular type of health difference that is closely linked with social, economic, and/or environmental disadvantage. Health disparities adversely affect groups of people who have systematically experienced greater obstacles to health based on their racial or ethnic group; religion; socioeconomic status; gender; age; disability; mental health; cognitive, sensory, or physical disability; sexual orientation or gender identity; geographic location; or other characteristics historically linked to discrimination or exclusion.”
Social Determinants of Health (SDOH)
SDOH are the conditions in the environment where people are born, live, work, play, worship, and age that affect a wide range of health, functioning, and quality-of-life outcomes and risks. SDOH can be grouped into 5 domains:
• Economic Stability
• Education Access and Quality
• Health Care Access and Quality
63 • Neighborhood and Built Environment
• Social and Community Context
For more information about SDOH Z codes and how SDOH are being used to narrow the health disparities gaps, see https://www.cms.gov/files/document/zcodes- infographic.pdf; https://www.cms.gov/files/document/cms-omh-january2020-zcode-data- highlightpdf.pdf; and https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6207437/pdf/18- 095.pdf
Definition of Equity
Equity is 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 American persons, 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. Addressing issues of equity should include an understanding of intersectionality and how multiple forms of discrimination impact individuals’ lived experiences. Individuals and communities often belong to more than one group that has been historically underserved, marginalized, or adversely affected by persistent poverty and inequality. Individuals at the nexus of multiple identities often experience unique forms of discrimination or systemic disadvantages, including in their access to needed services.
Definition of Health Equity
Health equity is the attainment of the highest level of health for all people. Achieving health equity requires valuing everyone equally with focused and ongoing societal efforts to address avoidable inequalities, historical and contemporary injustices, and the elimination of health and health care disparities. Behavioral health equity is the right to access quality health care for all populations regardless of the individual’s race, ethnicity, gender, socioeconomic status, sexual orientation, or geographical location.
This includes access to prevention, treatment, and recovery services for mental and substance use disorders.
Underserved populations
SAMHSA applicants are routinely asked to define the population they intend to serve given the focus of a particular program (e.g., adults with opioid use disorders at risk of overdose; adults with serious mental illness [SMI]; adolescents engaged in underage drinking; populations at risk for contracting HIV/AIDS, etc.). Within these populations of focus are underserved populations that may have unequal access to, use of, or outcomes from provided services. These disparities may be the result of differences in race, ethnicity, language, culture, and/or socioeconomic factors specific to that underserved population. For instance, Latino adults with opioid use disorder may be at
64 heightened risk for overdoses due to lack of in-language prevention campaigns and treatment; African Americans with an SMI may more likely to terminate treatment prematurely due to lack of providers with whom they can develop a therapeutic relationship; Native American youth may have an increased incidence of underage drinking due to coping patterns related to historical trauma; and African American women may be at greater risk for contracting HIV/AIDS due to lack of access to education on risky sexual behaviors in urban low-income communities, etc. While these factors might not be pervasive among the general population served by a recipient, they may be predominant among underserved populations or groups vulnerable to disparities. It is imperative that recipients understand who is being served, who is underserved, and who is not being served within their community in order to provide outreach and care that will yield positive outcomes, per the focus of the award. For organizations to attend to the potentially disparate impact of their award efforts, recipients are asked to address access, use and outcomes, disaggregated by underserved populations. Underserved populations can be defined by the following factors:
• By race
• By ethnicity
• By gender identity (including transgender populations) • By sexual orientation (including lesbian, gay and bisexual populations)
Access refers to which populations/underserved populations are being served/reached by the program. Use refers to what interventions/services are received by the various populations. Outcomes refers to the outcome measures stipulated by the award and examined across underserved populations.
Culturally and Linguistically Appropriate Services in Health and Health Care (CLAS Standards)
The ability to address the quality of care provided to underserved populations served within SAMHSA’s programs is enhanced by programmatic alignment with the federal National Standards for Culturally and Linguistically Appropriate Services in Health and Health Care (CLAS Standards).
The CLAS Standards are comprised of 15 Standards that provide a blueprint for health and health care organizations to implement culturally and linguistically appropriate, respectful, and responsive services that will advance health equity, improve quality, and help eliminate health care disparities.
The CLAS Standards are grouped into a Principal Standard and three themes focused on
1) Governance and Leadership.
2) Communication and Language Assistance.
3) Engagement, Continuous Improvement and Accountability.
65 Widely embraced by States and health care systems, the National CLAS Standards are more recently being promoted in behavioral health care, which includes a Behavioral Health CLAS Implementation Guide at
https://www.minorityhealth.hhs.gov/Assets/PDF/clas%20standards%20doc_v06.28.21.p df. You can learn more about the CLAS mandates, guidelines, and recommendations at: http://www.ThinkCulturalHealth.hhs.gov.
Guidelines for behavioral health implementation of the CLAS Standards can be found at https://thinkculturalhealth.hhs.gov/clas. This document addresses the importance of improving access to behavioral health care, promoting quality behavioral health programs and practice, and ultimately reducing persistent disparities in mental health and substance use prevention, treatment, and recovery for underserved, minority populations and communities.
66 Appendix I – Standard Funding Restrictions
HHS codified the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for HHS Awards, 45 CFR Part 75. In Subpart E, cost principles are described and allowable/unallowable expenditures for HHS recipients are delineated. 45 CFR Part 75 is available at https://ecfr.federalregister.gov/current/title-45/subtitle- A/subchapter-A/part-75. Unless superseded by program statute or regulation, follow the cost principles in 45 CFR Part 75 and the standard funding restrictions below.
Guidelines for recipients on financial management requirements are available at https://www.samhsa.gov/grants/grants-management/policies-regulations/financial- management-requirements.
SAMHSA funds may not be used to:
• Purchase, prescribe, or provide marijuana or treatment using marijuana. See, e.g., 45 CFR. 75.300(a) (requiring HHS to ensure that Federal funding is expended in full accordance with U.S. statutory and public policy requirements); 21 U.S.C. 812(c)(10) and 841 (prohibiting the possession, manufacture, sale, purchase, or distribution of marijuana).
• Purchase, procure, or distribute pipes or cylindrical objects intended to be used to smoke or inhale illegal scheduled substances.
• Pay for promotional items including, but not limited to, clothing and commemorative items such as pens, mugs/cups, folders/folios, lanyards, and conference bags. (See 45 CFR 75.421(e)(3))
• Pay for the purchase or construction of any building or structure to house any part of the program. Minor alterations and renovations (A&R) may be authorized for up to 25% of a given budget period or $150,000 (whichever is less) for existing facilities, if necessary and appropriate to the project. Minor A&R may not include a structural change (e.g., to the foundation, roof, floor, or exterior or loadbearing walls of a facility, or extension of an existing facility) to achieve the following: Increase the floor area; and/or, change the function and purpose of the facility. All minor A&R must be approved by SAMHSA.
• Provide inpatient treatment or hospital-based detoxification services. Residential services are not considered to be inpatient or hospital-based services. • Pay for housing other than recovery housing which includes application fees and security deposits.
• Make direct payments to individuals to enter treatment or continue to participate in prevention or treatment services (See 42 U.S.C. § 1320a-7b).
67 Note: A recipient or treatment or prevention provider may provide up to $30 non- cash incentive to individuals to participate in required data collection follow-up.
This amount may be paid for participation in each required follow-up interview.
For programs including contingency management as a component of the treatment program, each individual contingency must be $15 or less in value and clients may not receive contingencies totaling more than $75 per budget period.
• Meals are generally unallowable unless they are an integral part of a conference award or specifically stated as an allowable expense in the NOFO (See https://www.hhs.gov/grants/contracts/contract-policies-regulations/spending-on- food/index.html)
• Purchase firearms.
• General Provisions under Departments of Labor, Health and Human Services, and Education, and Related Agencies Appropriations Act Public Law 116-260, Consolidated Appropriations Act, 2021, Division H, Title V, Section 527, notwithstanding any other provision of this Act, no funds appropriated in this Act shall be used to purchase sterile needles or syringes for the hypodermic injection of any illegal drug. Provided, that such limitation does not apply to the use of funds for elements of a program other than making such purchases if the relevant State or local health department, in consultation with the Centers for Disease Control and Prevention, determines that the State or local jurisdiction, as applicable, is experiencing, or is at risk for, a significant increase in hepatitis infections or an HIV outbreak due to injection drug use, and such program is operating in accordance with state and local law.
• Salary Limitation: The Consolidated Appropriations Act, 2021 (Public Law 116- 260), Division H, Title II, Section 202, provides a salary rate limitation. The law limits the salary amount that may be awarded and charged to SAMHSA awards and cooperative agreements. Award funds may not be used to pay the salary of an individual at a rate in excess of Executive Level II, which is $203,700. This amount reflects an individual’s base salary exclusive of fringe and any income that an individual may be permitted to earn outside of the duties to your organization. This salary limitation does not apply to consultants but does apply to subrecipients under a SAMHSA award or cooperative agreement. Note that these or other salary limitations will apply in the following fiscal years, as required by law.
68 Appendix J – Intergovernmental Review (E.O. 12372)
Requirements
States with SPOCs
All SAMHSA programs are covered under Executive Order (EO) 12372, as implemented through Department of Health and Human Services (DHHS) regulation at 45 CFR Part 100. Under this Order, states may design their own processes for reviewing and commenting on proposed federal assistance under covered programs.
Certain jurisdictions have elected to participate in the EO process and have established State Single Points of Contact (SPOCs). Information on the SPOC for participating states can be found at: https://www.whitehouse.gov/wp-
content/uploads/2020/04/SPOC-4-13-20.pdf
This requirement does not apply to American Indian/Alaska Native tribes or tribal organizations. If your state participates, contact your SPOC as early as possible to alert him/her to the prospective application(s) and to receive any necessary instructions on the state’s review process. For proposed projects serving more than one state, you are advised to contact the SPOC of each affiliated state.
The SPOC should send any state review process recommendations to the following address within 60 days of the application deadline:
Director, Division of Grants Management
Office of Financial Resources,
ATTN: SPOC – Funding Announcement No. TI-23-005.
Substance Abuse and Mental Health Services Administration, 5600 Fishers Lane, Room 17E20
Rockville, MD 20857
States without SPOCs
If your state does not have a SPOC and you are a community-based, non-governmental service provider, you must submit a Public Health System Impact Statement (PHSIS)10 to the head(s) of appropriate state and local health agencies in the area(s) to be affected no later than the application deadline. The PHSIS is intended to keep state and local health officials informed of proposed health services applications submitted by community-based, non-governmental organizations within their jurisdictions. If you are
10 Approved by OMB under control no. 0920-0428; Public reporting burden for the Public Health System Reporting Requirement is estimated to average 10 minutes per response, including the time for copying the first page of SF-424 and the abstract and preparing the letter for mailing. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. The OMB control number for this project is 0920-0428. Send comments regarding this burden to CDC Clearance Officer, 1600 Clifton Road, MS D-24, Atlanta, GA 30333, ATTN: PRA (0920-0428).
69 a state or local government or American Indian/Alaska Native tribe or tribal organization, you are not subject to these requirements.
The PHSIS consists of the following information:
• A copy of the first page of the application (SF-424); and • A summary of the project, no longer than one page in length that provides: 1) a description of the population to be served; 2) a summary of the services to be provided; and 3) a description of the coordination planned with appropriate state or local health agencies.
For SAMHSA awards, the appropriate state agencies are the Single State Agencies (SSAs) for substance abuse and mental health. A listing of the SSAs for substance abuse and the SSAs for mental health can be found on SAMHSA’s website at http://www.samhsa.gov/grants/applying/forms-resources. If the proposed project falls within the jurisdiction of more than one state, you should notify all representative SSAs.
Review Section IV of the NOFO carefully to determine if you must include an attachment with a copy of a letter transmitting the PHSIS to the SSA. The letter must notify the state that, if it wishes to comment on the proposal, its comments should be sent no later than 60 days after the application deadline to the following address:
Director of Grants Management
Office of Financial Resources,
ATTN: SSA – Funding Announcement No. TI-23-005.
Substance Abuse and Mental Health Services Administration 5600 Fishers Lane, Room 17E20
Rockville, MD 20857
In addition, applicants may request that the SSA send them a copy of any state comments. The applicant must notify the SSA within 30 days of receipt of an award.
70 Appendix K – Administrative and National Policy
If your application is funded, you must comply with all terms and conditions of the NoA.
SAMHSA’s standard terms and conditions are available on the SAMHSA website.
HHS Grants Policy Statement (GPS)
If your application is funded, you are subject to the requirements of the HHS Grants Policy Statement (GPS) that are applicable based on recipient type and purpose of award. This includes any requirements in Parts I and II of the HHS GPS that apply to the award. The HHS GPS is available at http://www.samhsa.gov/grants/grants- management/policies-regulations/hhs-grants-policy-statement. The general terms and conditions in the HHS GPS will apply as indicated unless there are statutory, regulatory, or award-specific requirements to the contrary (as specified in the NoA).
HHS Award Regulations
If your application is funded, you agree that the award and any activities thereunder are subject to all provisions of 45 CFR part 75, currently in effect or implemented during the period of the award, other Department regulations and policies in effect at the time of the award, and applicable statutory provisions. For more information see the SAMHSA website at http://www.samhsa.gov/grants/grants-management/policies- regulations/requirements-principles.
Additional Terms and Conditions
Depending on the nature of the specific funding opportunity and/or your proposed project as identified during review, SAMHSA may negotiate additional terms and conditions with you prior to award. These may include, for example:
o actions required to be in compliance with confidentiality and participant protection/human subjects requirements.
o requirements relating to additional data collection and reporting. o requirements relating to participation in a cross-site evaluation. o requirements to address problems identified in review of the application or the budget and narrative justification.
Performance Goals and Objectives
If your application is funded, you will be held accountable for the information provided in the application relating to performance targets. SAMHSA program officials will consider your progress in meeting goals and objectives, as well as your failures and strategies for overcoming them, when making an annual recommendation to continue the award and the amount of any continuation award. In addition, you must relate financial data and accomplishments to the performance goals and objectives of the award. Failure to meet stated goals and objectives may result in suspension or termination (see 2 CFR
71 200.202, 2 CFR 200.301 and 2 CFR 200.329) of the award, or in reduction or withholding of continuation awards.
Termination of Federal Award
Note that the OMB revisions to Guidance for Grants and Agreements termination provisions located at 2 CFR § 200.340 - Termination apply to all federal awards effective August 13, 2020.
Accessibility Provisions for All Award Application Packages and Funding Opportunity Announcements
Should you successfully compete for an award, recipients of federal financial assistance (FFA) from HHS will be required to complete an HHS Assurance of Compliance form (HHS 690) in which you agree, as a condition of receiving the grant, to administer your programs in compliance with federal civil rights laws that prohibit discrimination on the basis of race, color, national origin, age, sex, and disability, and agreeing to comply with federal conscience laws, where applicable. This includes ensuring that entities take meaningful steps to provide meaningful access to persons with limited English proficiency; and ensuring effective communication with persons with disabilities. Where applicable, Title XI and Section 1557 prohibit discrimination on the basis of sexual orientation, and gender identity, the HHS Office for Civil Rights provides guidance on complying with civil rights laws enforced by HHS. See https://www.hhs.gov/civil- rights/for-providers/provider-obligations/index.html and https://www.hhs.gov/civil- rights/for-individuals/nondiscrimination/index.html.
You will administer your project in compliance with federal civil rights laws that prohibit discrimination on the basis of race, color, national origin, disability, age, and comply with applicable conscience protections. You will comply with applicable laws that prohibit discrimination on the basis of sex, which includes discrimination on the basis of gender identity, sexual orientation, and pregnancy. Compliance with these laws require taking reasonable steps to provide meaningful access to persons with limited English proficiency and providing programs that are accessible to and usable by persons with disabilities. The HHS Office for Civil Rights provides guidance on complying with civil rights laws enforced by HHS. See https://www.hhs.gov/civil-rights/for- providers/provider-obligations/index.html and https://www.hhs.gov/civil-rights/for- individuals/nondiscrimination/index.html.
• For guidance on meeting your legal obligation to take reasonable steps to ensure meaningful access to your programs or activities by limited English proficient individuals, see https://www.hhs.gov/civil-rights/for- individuals/special-topics/limited-english-proficiency/fact-sheet- guidance/index.html and https://www.lep.gov.
• For information on your specific legal obligations for serving qualified individuals with disabilities, including providing program access, reasonable
72 modifications, and to provide effective communication, see https://www.hhs.gov/ocr/civilrights/understanding/disability/index.html • HHS funded health and education programs must be administered in an environment free of sexual harassment, see https://www.hhs.gov/civil- rights/for-individuals/sex-discrimination/index.html.
For guidance on administering your project in compliance with applicable federal religious nondiscrimination laws and applicable federal conscience protection and associated antidiscrimination laws, see
https://www.hhs.gov/conscience/conscience-protections/index.html and https://www.hhs.gov/conscience/religious-freedom/index.html.
Acknowledgement of Federal Funding
As required by HHS appropriations acts, all HHS recipients must acknowledge Federal funding when issuing statements, press releases, publications, requests for proposal, bid solicitations, and other documents, such as tool-kits, resource guides, websites, and presentations describing the projects or programs funded in whole or in part with HHS federal funds. The recipient must clearly state: 1) the percentage and dollar amount of the total costs of the program or project funded with federal money; and 2) the percentage and dollar amount of the total costs of the project or program funded by non-governmental sources.
Supplement Not Supplant
Funds may be used to supplement existing activities. Award funds may not be used to supplant current funding of existing activities. “Supplant” is defined as replacing funding of a recipient’s existing program with funds from a federal award (2 CFR Part 200, Appendix XI).
Mandatory Disclosures
A term may be added to the NoA which states: Consistent with 45 CFR 75.113, applicants and recipients must disclose in a timely manner, in writing to the HHS awarding agency, all information related to violations of federal criminal law involving fraud, bribery, or gratuity violations potentially affecting the federal award. Sub- recipients must disclose, in a timely manner, in writing to the prime recipient (pass through entity), all information related to violations of federal criminal law involving fraud, bribery, or gratuity violations potentially affecting the federal award. Disclosures must be sent in writing to SAMHSA at the following address:
SAMHSA
Attention: Office of Financial Advisory Services
5600 Fishers Lane
Rockville, MD 20857
73 You may also submit a complaint via the OIG Hotline online form (see https://oig.hhs.gov/fraud/report-fraud/), by phone (1-800-447-8477),or by mail to the following address:
U.S. Dept. of Health and Human Services
Office of the Inspector General
ATTN: OIG Hotline Operations
P.O. Box 23489
Washington, DC 20026
Failure to make required disclosures can result in any of the remedies described in 45 CFR 75.371 Remedies for noncompliance; including suspension or debarment (See 2 CFR parts 180 & 376 and 31 U.S.C. 3321).”
System for Award Management (SAM) Reporting
A term may be added to the NoA that states: “In accordance with the regulatory requirements provided at 45 CFR 75.113, 2 CFR 25, and Appendix XII to 45 CFR Part 75, recipients that have currently active federal awards and procurement contracts with cumulative total value greater than $10,000,000, must report and maintain information in the System for Award Management (SAM) about civil, criminal, and administrative proceedings in connection with the award or performance of a federal award that reached final disposition within the most recent five-year period. The recipient also must make semiannual disclosures regarding such proceedings. Proceedings information will be made publicly available in the designated integrity and performance system (currently the Federal Awardee Performance and Integrity Information System (FAPIIS)). Full reporting requirements and procedures are found in Appendix XII to 45 CFR Part 75.”
Drug-Free Workplace
A term may be added to the NoA that states: “You as the recipient must comply with drug-free workplace requirements in Subpart B of part 382, which adopts the Government-wide implementation (2 CFR part 182) of section 5152-5158 of the Drug- Free Workplace Act of 1988 (Pub. L. 100-690, Title V, Subtitle D; 41 U.S.C. 701-707).” Smoke-Free Workplace
The Public Health Service strongly encourages all award recipients to provide a smoke- free workplace and to promote the non-use of all tobacco products. Further, 20 USC 6081 et seq., the Pro-Children Act of 1994, prohibits smoking in certain facilities (or in some cases, any portion of a facility) in which regular or routine education, library, day care, health care or early childhood development services are provided to children.
Standards for Financial Management
74 Recipients and subrecipients are required to meet the standards and requirements for financial management systems set forth in 45 CFR part 75 Subpart D. The financial systems must enable the recipient and subrecipient to maintain records that adequately identify the sources of funds for federally assisted activities and the purposes for which the award was used, including authorizations, obligations, unobligated balances, assets, liabilities, outlays or expenditures, and any program income. The system must also enable the recipient and subrecipient to compare actual expenditures or outlays with the approved budget for the award. SAMHSA funds must retain their award/subaward- specific identity and may not be commingled with non-federal funds or other federal funds. “Commingling funds” typically means depositing or recording funds in a general account without the ability to identify each specific source of funds with related expenditures. Common mistakes related to comingling are outlined below:
• Commingling of Cost Centers: Every business activity constitutes a cost center. Examples of cost centers include: a federal award, a state award, a private award, matching costs for a specific award, a self-funded project, fundraising activities, membership activities, lines of business, unallowable costs, indirect costs, etc. Recipients and subrecipients must establish a unique account(s) in the accounting system to capture and accumulate expenditures of each cost center, apart from other cost centers.
• Commingling of Cost Categories: Recipients and subrecipients must avoid budget fluctuations that violate programmatic restrictions. They must also avoid applying indirect cost rates to prohibited cost categories, such as equipment, participant support costs and subcontracts/subawards in excess of $25,000. As a result, recipients must establish unique object codes in the accounting system to capture and 59 accumulate costs by budget category (i.e., salaries, fringe benefits, consultants, travel, participant support costs, subcontracts, etc.). • Commingling of Time Worked and Not Worked: Recipients and subrecipients may not directly charge an award for employees’ time not spent working on the award. Therefore, Paid Time Off (PTO), such as vacation, holiday, sick and other paid leave, is not recoverable directly from awards, but rather must be allocated to all awards, projects, and cost centers over an entire cost accounting period through either an indirect cost or fringe benefit rate. • Unsupported Labor Costs: To support charges for direct and indirect salaries and wages, recipients and subrecipients maintaining hourly timesheets must ensure that timesheets encompass all hours worked and not worked on a daily basis. The timesheet should identify the: (a) award, project or cost center being worked on; (b) number of hours worked on each; (c) description of work performed; and (d) Paid Time Off (PTO) hours. The total hours recorded each day should coincide with an individual’s employment status in accordance with established policy (i.e., fulltime employees work 8 hours each day, etc.). • Inconsistent Treatment of Costs: Recipients and subrecipients must treat costs consistently across all federal and non-federal awards, projects, and cost centers. For example, recipients and subrecipients may not direct-charge federal
75 awards for costs typically considered indirect in nature, unless done consistently.
Examples of indirect costs include administrative salaries, office rent, accounting fees, utilities, etc. Additionally, in most cases, the cost to develop an accounting system adequate to justify direct charging of the aforementioned items outweighs the benefits. As a result, use of an indirect cost rate is the most effective mechanism to recover these costs and not violate federal financial requirements of consistency, allocability and allowability. If typical indirect cost categories are included in the budget as direct costs, it is SAMHSA’s understanding that the recipient or subrecipient has developed a cost accounting system that can withstand audit scrutiny and therefore the system must be adequate to justify the direct charges and to avoid an unfair allocation of these costs to the federal government. All costs are subject to subsequent agency review and/or audit scrutiny in accordance with awards’ terms and conditions.
Trafficking in Persons
Awards issued by SAMHSA are subject to the requirements of 2 CFR part 175 and 22 USC 7104(g). For the full text of the award term, go to http://www.samhsa.gov/grants/grants-management/notice-award-noa/standard-terms- conditions.
NOTE: The signature of the AOR on the application serves as the required certification of compliance for your organization regarding the administrative and national policy requirements.
Publications
Recipients are required to notify the Government Project Officer (GPO) of any materials based on the SAMHSA-funded project that are accepted for publication. In addition, SAMHSA requests that recipients:
• Provide the GPO with advance copies of publications.
• Include acknowledgment of the SAMHSA program as the source of funding for the project.
• Include a disclaimer stating that the views and opinions contained in the publication do not necessarily reflect those of SAMHSA or the U.S.
Department of Health and Human Services and should not be construed as such.
SAMHSA reserves the right to issue a press release about any publication deemed by SAMHSA to contain information of program or policy significance to the substance use treatment/substance use prevention/mental health services community.
Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment
76 As described in 2 CFR 200.216, recipients and subrecipients are prohibited to obligate or spend award funds (to include direct and indirect expenditures as well as cost share and program) to:
(1) Procure or obtain,
(2) Extend or renew a contract to procure or obtain; or (3) Enter into contract (or extend or renew contract) to procure or obtain equipment, services, or systems that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. As described in Pub. L. 115-232, section 889, covered telecommunications equipment is telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities).
i. For the purpose of public safety, security of government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities).
ii. Telecommunications or video surveillance services provided by such entities or using such equipment.
iii. Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of the National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise, connected to the government of a covered foreign country.
77 Appendix L – Sample Budget and Justification
All applications must have a detailed budget justification and narrative that explains the federal and the non-federal expenditures broken out by the object class cost categories listed on SF-424A − Section B (Budget Category) for non-construction awards. • The detailed budget must match the costs identified on the SF-424A and the total costs on the SF-424.
• The Budget Narrative and justification must be consistent with and support the Project Narrative.
• The Budget Narrative and justification must be concrete and specific. It must provide a justification for the basis of each proposed cost in the budget and how that cost was calculated. Examples to consider when justifying the basis of your estimates can be ongoing activities, market rates, quotations received from vendors, or historical records. The proposed costs must be reasonable, allowable, allocable, and necessary for the supported activity. • NOFOs invite applications for periods of performance of one to up to five years.
Generally, awards, on a competitive basis, will be for a one-year budget period but the period of performance may be up to five years. Submission and SAMHSA approval of the progress report(s) and any other required submission or reports is the basis for the budget period renewal and release of subsequent year funds. Funding beyond the one-year budget period but within the multi-year period of performance is subject to availability of funds and satisfactory progress of the recipient. Progress will be evaluated by submission of data on required performance measures, satisfactory achievement of identified goals and objectives, providing services to the projected number of individuals specified in the application, and satisfactory resolution of barriers and challenges that arise in the implementation of the project.
• Refer to the program specific Funding Restrictions/Limitations and the Standard Funding Restrictions in the NOFO, as well as to 45 CFR Part 75 (https://www.ecfr.gov/cgi-bin/text-idx?node=pt45.1.75, for applicable administrative requirements and cost principles.
SAMHSA Budget Template
To expedite review of your application, it is highly recommended you use the following PDF budget template to complete the Detailed Budget and Narrative Justification for submission with your application:
• The budget template can be found on the SAMHSA Forms and Resources webpage – scroll down to “SAMHSA Budget Template” section. You must
78 download the budget template PDF to your computer first before opening it directly in Adobe Acrobat or Acrobat Reader (not your internet browser):
1. Right-click the link "SAMHSA Budget Template (PDF)"
2. Select "save link as" and save to a location on your computer
3. Go to the saved location and open the "SAMHSA Budget Template (PDF)" using Adobe Acrobat or Acrobat Reader.
Guidance
The following documents provide guidance on using the budget template:
• Key Features of the Budget Template
• Budget Template Users Guide
• Budget Review Checklist – use this checklist to review your detailed budget and narrative justification before submission to SAMHSA.
Note: For SAMHSA to view all of your budget data, you must convert the PDF to a non- editable format by PRINTING TO PDF before submission.
Sample Budgets
The following PDFs are samples of detailed budgets and narrative justification:
• Sample SF-424 - New Awards (PDF | 1.3 KB)
• Sample Budget – NON-MATCH (PDF | 697 KB)
Completing the SF-424A (see Section IV)
Budget Cost Categories
Personnel Costs: Explain personnel costs by listing each staff member who will be working directly on the award by name (if possible), position title, percentage level of effort or proposed hours and annual salary. Award funds may not be used to pay the salary of an individual at a rate in excess of Executive Level II or $203,700. An individual's base salary, per se, is NOT constrained by the statutory provision for a limitation of salary. The rate limitation simply limits the amount that may be awarded and charged to SAMHSA awards and cooperative agreements. The salary limitation does not apply to consultants but does apply to all subawards and subcontracts.
Note: If an organization is selected for an award and chooses to move forward with hiring an individual for a Key Personnel position before receiving SAMHSA’s formal approval, this will be done at the organization’s own risk. If SAMHSA’s review of the
79 Key Personnel request results in the proposed individual not being approved or deemed not qualified for the position, the expectation is that the organization must submit a qualified candidate to be placed in the Key Personnel position. SAMHSA will not be liable for any costs incurred or pay for salaries of a Key Personnel that is not approved or deemed not qualified for the program.
Fringe Benefits: Fringe benefits typically include items, such as health insurance, taxes, unemployment insurance, life insurance, retirement plans, tuition reimbursement and paid absences. Fringe benefits are recoverable in accordance with an organization’s federally approved indirect cost rate agreement, if applicable, or the organization’s accounting practices, provided those practices are consistent with federal cost principles and result in a fair and equitable allocation of fringe benefits.
Travel: List travel costs according to local and long-distance travel. For local travel, outline the mileage rate, number of miles, reason for travel and staff member/consumers completing the travel. The budget should also reflect the travel expenses (e.g., airfare, lodging, parking, per diem, etc.) for each person and trip associated with participating in meetings and other proposed trainings or workshops.
Name the traveler(s) if possible, describe the purpose of the travel, provide number of trips involved, the destinations, and the number of individuals for whom funds are requested.
Equipment: List equipment costs and provide justification for the need of the equipment to carry out the program’s goals. Extensive justification and a detailed status of current equipment must be provided when requesting funds for the purchase of items that meet the definition of equipment (a unit cost of $5,000 or more and a useful life of one or more years). For example, large items of medical equipment.
Supplies: Include the programmatic items necessary to implement the proposed project (e.g., examination gloves, etc.). Conversely, general office supplies (e.g., paper, pencils, etc.) should be recovered through a federally-approved indirect cost rate or de minimis rate.
Per 45 CFR § 75.321, property will be classified as supplies if the acquisition cost is under $5,000. Note that items such as laptops, tablets, and desktop computers are classified as a supply if the value is under the $5,000 equipment threshold.
Vendor Contracts/Subawards & Subcontracts/Consortiums/Consultants: Provide a clear explanation as to the purpose, the basis for how costs were estimated, and the specific deliverables. You are responsible for ensuring that your organization has adequate procurement and merit review systems with fully developed written procedures for awarding and monitoring vendor contracts and subawards/subcontracts, respectively.
Recipients must notify potential subrecipients to register in SAM and provide the recipient with their UEI number (see 2 CFR part 25). For consultant services, list the total costs for all consultant services. In the budget narrative, identify each consultant,
80 the services he/she will perform, total number of days, travel costs, and total estimated costs.
Note: To assist with classifying costs and relationships, note that vendor contracts are for the purpose of obtaining goods and services (i.e., examination gloves provided by a medical supply company). Conversely, subawards/subcontracts are for the purpose of carrying out a portion of a federal award (i.e., a health care clinic providing substance use treatment services directly to patients). Your organization must ensure proper classification of costs and relationships. For subrecipient relationships, your organization must ensure written subaward/subcontract agreements are in place.
These written agreements must require that subrecipients comply with the same terms and conditions as the prime recipient, as applicable (i.e., financial management requirements, audit requirements, etc.) In other words, the requirements imposed on the prime recipient must “flow down” to subrecipients. Written agreements should also describe the scope of work, deliverables, etc.
Other: Include all costs that do not fit into any other category and provide an explanation of each cost in this category (e.g., provider licenses, dedicated space rental, etc.).
Indirect Costs: Indirect costs are those costs incurred for common or joint objectives which cannot be readily and specifically identified with a particular project or program but are necessary to the operations of the organization, e.g., the cost of operating and maintaining facilities, depreciation, and administrative salaries. For some institutions, the term “facilities and administration” (F&A) is used to denote indirect costs.
Applicants may request full indirect costs, subject to statutory and regulatory limitations.
Applicants may request full indirect costs, subject to statutory and regulatory limitations, and submission of an approved Negotiated Indirect Cost Rate Agreement (NICRA) established by the cognizant Federal agency (typically the agency that provides the most funds). If indirect costs are claimed, a copy of the NICRA must be submitted with the application. If unable to obtain a NICRA from the cognizant agency at the time of application, the applicant may elect to recover indirect costs using a de minimis rate as explained below. Otherwise, the applicant may only be reimbursed for allowable direct costs. Violation of cost accounting principles is not permitted when re-budgeting or charging costs to awards. Rather, costs must be consistently charged as either indirect or direct costs.
Applicants may elect a 10% de minimis indirect cost rate, subject to statutory and regulatory limitations.
Applicants who cannot obtain a NICRA from their cognizant Federal agency at the time of application may elect a 10% de minimis rate, subject to statutory and regulatory limitations.
81 The 10% de minimis rate may be used indefinitely and should be applied to Modified Total Direct Costs (MTDC). MTDC means all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $25,000 of each subaward (regardless of the period of performance of the subawards under the award.) MTDC excludes equipment, capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each subaward in excess of $25,000. Violation of cost accounting principles is not permitted when charging costs to awards. Rather, costs must be consistently charged as either direct or indirect costs. Additionally, once elected, the 10% de minimis rate must be applied to all existing awards. If the cognizant agency issues a NICRA subsequent to the award, the negotiated rate may not be retroactively applied.
Waived Indirect Costs – An applicant may elect not to request recovery of indirect costs.
If so, the applicant should write None Requested in the same space allotted for Item J of the budget sheet.
ITEM # 7
CITY OF MONTEBELLO
CITY COUNCIL AGENDA STAFF REPORT
TO: Honorable Mayor and City Council Members
FROM: René Bobadilla, City Manager
BY: Fernando Pelaez, Fire Chief
SUBJECT: APPROVAL TO SUBMIT APPLICATION FOR THE DEPARTMENT OF
HOMELAND SECURITY (DHS) / FEDERAL EMERGENCY
MANAGEMENT AGENCY (FEMA)/ GRANT PROGRAMS
DIRECTORATE (GPD) FISCAL YEAR 2022 STAFFING FOR
ADEQUATE FIRE AND EMERGENCY RESPONSE (SAFER) GRANT
DATE: March 8, 2023
RECOMMENDATION(S):
It is recommended that the City Council:
1. Approve submission of an application to the Department of Homeland Security (DHS) / Federal Emergency Management Agency (FEMA)/ Grant Programs Directorate (GPD) Fiscal Year 2022 Staffing for Adequate Fire and Emergency Response (SAFER) Grant Program; and
2. Take such additional, related action that may be desirable.
FISCAL IMPACT:
Approval to Submit Grant Application to the Department of Homeland Security (DHS) / Federal Emergency Management Agency (FEMA)/ Grant Programs Directorate (GPD), Staffing for Adequate Fire and Emergency Response (SAFER) Grant. DHS/FEMA/GPD has a funding opportunity to submit a competitive grant application to support engagement, recruitment, and retention for the fire services. The City will be seeking an estimated amount of $3,412,500 for the proposed scope and size of the project, the City will be funded for a period of three (3) years. If a grant is awarded, staff will return to the City Council with a request to appropriate the funds.
BACKGROUND/DISCUSSION:
The Department of Homeland Security (DHS)/ Federal Emergency Management Agency (FEMA), is
CITY COUNCIL AGENDA REPORT - MEETING OF MARCH 8, 2023
accepting applications for the Assistance to Firefighters Grant (AFG)/ Grant Programs Directorate (GPD) due on March 17, 2023. Since 2005, the SAFER Program has awarded approximately $5.2 billion in grant funding to provide critically needed resources to hire new, additional firefighters (or to change the status of part-time to full-time firefighters), to rehire laid-off firefighters, or to retain firefighters. The Fiscal Year 2022 Staffing for Adequate Fire and Emergency Response (SAFER) Grant Program is one of three grant programs that constitute the Department of Homeland Security (DHS)/ Federal Emergency Management Agency’s (FEMA’s)/ Grant Programs Directorate (GPD) that focuses on enhancing the safety of the public and firefighters with respect to fire and fire-related hazards.
The SAFER Program provides funding directly to fire departments to assist in increasing the number of firefighters to help communities meet the National Fire Protection Association (NFPA) 1710 structural response industry minimum standards and attain 24- hour staffing to provide adequate fire protection and to fulfill traditional missions of fire departments. The 2022–2026 FEMA Strategic Plan creates a shared vision for the field of emergency management and sets an ambitious, yet achievable, path forward to unify and further professionalize emergency management across the country. The SAFER Program directly supports Goal 3 to Promote and Sustain a Ready FEMA and Prepared Nation.
If approved, the Fire Department will submit a grant proposal seeking funding to be used towards hiring activities and practices to support new hires, additional firefighters, or to retain firefighters, including developing a diverse, inclusive, and equitable Recruitment and Retention (R&R) Plan that will support the Fire Department’s overall strategic goals in the delivery of fire services to the community.
The proposal will focus on the area of Recruitment and Retention (R&R) with a combination of hiring activities, that will enable volunteers (Auxiliary), to develop a career in fire, and increase staff so the fire department can improve or restore staffing levels to attain a more effective level of response and a safer incident scene.
If the proposal is successfully awarded, the grant will be funded for a three (3) year period, from May 1, 2023-June 1, 2026. Funding disbursement will be as follows:
May 31, 2023 through June
1, 2024
May 31, 2024 through June
1, 2025
May 31, 2025 through June
1, 2026
$1, 950,000 $975,000 $487,500
These funds will support the Department in improving staffing and deployment capabilities, so that it may more effectively and safely respond to emergencies. With enhanced staffing levels, the Department should experience an increase in the number of trained personnel assembled at the incident scene, including planning for the next three (3) to five (5) years to meet the increasing demand.
CITY COUNCIL AGENDA REPORT - MEETING OF MARCH 8, 2023
ENVIRONMENTAL:
This item is not subject to the California Environmental Quality Act (CEQA) pursuant to the State CEQA Guidelines, California Code of Regulations, Title 14, Chapter 3, sections:
15060(c)(2) (the activity will not result in a direct or reasonably foreseeable indirect physical change in the environment); 15060(c)(3) (the activity is not a project as defined in Section 15378); and 15061(b)(3), because the activity is covered by the general rule that CEQA applies only to projects which have the potential for causing a significant effect on the environment. Because there is no possibility that this item may have a significant adverse effect on the environment, the item is exempt from CEQA.
ANALYSIS:
N/A
SUMMARY:
That the City Council approve submission of the grant proposal application for the Department of Homeland Security (DHS) / Federal Emergency Management Agency (FEMA)/ Grant Programs Directorate (GPD) Fiscal Year 2022 Staffing for Adequate Fire and Emergency Response (SAFER) Grant due March 17, 2023.
ATTACHMENT(S)
1. Attachment A - Notice of Funding Opportunity - SAFER Grant Program
NEXT STEPS:
N/A
1 FY 2022 SAFER NOFO Back to the Top
The Department of Homeland Security (DHS)
Notice of Funding Opportunity (NOFO)
Fiscal Year 2022 Staffing for Adequate Fire and Emergency Response (SAFER) Grant Program
Effective April 4, 2022, the Federal Government transitioned from using the Data Universal Numbering System or DUNS number, to a new, non-proprietary identifier known as a Unique Entity Identifier or UEI. For entities that have an active registration in the System for Award Management (SAM) prior to this date, the UEI has automatically been assigned and no action is necessary. For all entities filing a new registration in SAM.gov after April 4, 2022, the UEI will be assigned to that entity as part of the SAM.gov registration process.
UEI registration information is available on GSA.gov at: Unique Entity Identifier Update | GSA.
Grants.gov registration information can be found at:
https://www.grants.gov/web/grants/register.html. Detailed information regarding UEI and SAM is also provided in Section D of this NOFO.
A. Program Description ................................................................................................................ 3
1. Issued By ................................................................................................................................. 3
2. Assistance Listings Number ............................................................................................ 3
3. Assistance Listings Title .................................................................................................. 3
4. Funding Opportunity Title ............................................................................................... 3
5. Funding Opportunity Number.......................................................................................... 3
6. Authorizing Authority for Program ................................................................................. 3
7. Appropriation Authority for Program .............................................................................. 3
8. Announcement Type ........................................................................................................ 3
9. Program Category ............................................................................................................ 3
10. Program Overview, Objectives, and Priorities ................................................................ 3
11. Performance Measures ..................................................................................................... 4 B. Federal Award Information ..................................................................................................... 5
1. Available Funding for the NOFO: $360,000,000 ........................................................... 5
2. Projected Number of Awards: 300 ................................................................................ 5
3. Period of Performance: 12–48 months ........................................................................ 5
4. Projected Period of Performance Start Date(s): 06/02/2023 (will vary based on award date and activity type) ...................................................................................................... 5
5. Projected Period of Performance End Date(s): 05/31/2024, 05/31/2025, 05/31/2026 or 05/31/2027 (will vary based on award date and activity type) ........................................ 5
6. Funding Instrument Type: Grant ................................................................................. 5 C. Eligibility Information ............................................................................................................. 5
1. Eligible Applicants........................................................................................................... 5
2. Applicant Eligibility Criteria ........................................................................................... 6
3. Other Eligibility Criteria .................................................................................................. 7
2 FY 2022 SAFER NOFO Back to the Top
4. Maintenance of Effort (MOE) ......................................................................................... 7
5. Cost Share or Match......................................................................................................... 7
6. Economic Hardship Waivers ........................................................................................... 7 D. Application and Submission Information ................................................................................ 7
1. Key Dates and Times ....................................................................................................... 7
2. Agreeing to Terms and Conditions of the Award ............................................................ 9
3. Address to Request Application Package ........................................................................ 9
4. Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application ........................................................... 9
5. Electronic Delivery ........................................................................................................ 10
6. How to Register to Apply .............................................................................................. 10
7. Submitting the Final Application ................................................................................... 12
8. Timely Receipt Requirements and Proof of Timely Submission .................................. 13
9. Content and Form of Application Submission ............................................................... 13
10. Funding Restrictions and Allowable Costs .................................................................... 14 E. Application Review Information ........................................................................................... 17
1. Application Evaluation Criteria ..................................................................................... 17
2. Review and Selection Process. ...................................................................................... 19
3. Narrative Evaluation Criteria ........................................................................................... 20 F. Federal Award Administration Information .......................................................................... 24
1. Notice of Award ............................................................................................................. 24
2. Administrative and National Policy Requirements ........................................................ 24
3. Reporting........................................................................................................................ 28
4. Monitoring and Oversight .............................................................................................. 32 G. DHS Awarding Agency Contact Information ....................................................................... 33
1. Contact and Resource Information ................................................................................ 33
2. Systems Information ...................................................................................................... 34 H. Additional Information .......................................................................................................... 34
1. FEMA Financial Assistance Programs for Infrastructure .............................................. 34
2. Termination Provisions .................................................................................................. 36
3. Program Evaluation .......................................................................................................... 37
4. Period of Performance Extensions ................................................................................. 37
5. Disability Integration ..................................................................................................... 38
6. Conflicts of Interest in the Administration of Federal Awards or Subawards ............... 39
7. Procurement Integrity .................................................................................................... 40
8. Record Retention ........................................................................................................... 44
9. Actions to Address Noncompliance ............................................................................... 46
10. Audits ............................................................................................................................. 47
11. Payment Information ..................................................................................................... 48
12. Whole Community Preparedness ................................................................................... 48
13. Appendix A – FY 2022 SAFER Program Updates ....................................................... 50
14. Appendix B – Programmatic Information and Priorities ............................................... 51
15. Appendix C – Award Administration Information ........................................................ 74