Palm Springs City Council
September 26, 2023

PALM SPRINGS POLICE DEPARTMENT
200 S CIVIC DR
Sales Rep
Email
Telephone
: CATHY .CHAPMA [email protected]
PALM SPRINGS CA 92262-7201
We deliver according to the following terms :

Payment Terms
Ship Via
Terms of Delivery:

Currency
Net 30 days
Insight Ass igned Carrier/Ground

FOB DESTINATION
USD
**MUST BE INCLUDED ON CLIENT PO**
Customer understands , accepts and agrees that this purchase is subject to Flock Safety's End User License Agreement , available at: https://www.flocksafety .com/terrns-and-conditions-eula .

THIS IS A 2 YEAR ANNUAL PAYMENT COMMITMENT
Year 1 - Lines 20-40 - $50,750.00 - Invoiced 100% upon issuance of PO Year 2 - Line 50 - $45,000.00 - Invoiced at first anniversary Total Contract Commit - $95,750.00
Material Material Description

PARTNER-MOS-PO MANUAL PO - SALES NOTES TO PURCHASING
Quantity

OMNIA PARTNERS (COBB COUNTY) IT PRODUCTS AND
SERVICES (# 23-6692-03)
Solution includes the following:

PS-IMP-STD-CHEC ONE-TIME PROFESSIONAL SERVICES
ENGAGEMENT.

INCLUDES SITE AND SAFETY ASSESSMENT,
CAMERA

SETUP AND TESTING , ANO SHIPPING AND

HANDLING

IN ACCORDANCE WITH THE FLOCK SAFETY

STANDARD
IMPLEMENT.A TION SERVICE BRIEF .

OMNIA PARTNERS (COBB COUNTY) IT PRODUCTS AND
SERVICES(# 23-6692-03)
List Price : 848.99
Discount: 23.438%

PS-IMP-EXST EXISTING INFRASTRU CTURE MOUNTING

SERVICE

OMNIA PARTNERS (COBB COUNTY) IT PRODUCTS AND
SERVICES(# 23-6692-03)
List Price: 195.99
Discount: 23.465%
Unit Price Extended Price
7 650.00 4,550.00
8 150.00 1,200.00

8.9.2023

Item 1N - Page 18
+.:.
~JJ.fil g ht::-•·
Material
FLCK-FALCON-2-LE
FLCK-FALCON-2-LE
Material Description
FLOCK GROUP FALCON INFRASTROClURE­
FREE (SOlAR
POWER + L TE), LICENSE PLATE RECOGNITION

CAMERA WITH VEHICLE FINGERPRINT TM

TECHNOLOGY
+ MACHINE LEARNING SOFTWARE AND REAL­
TIME

ALERTS FOR UNLIMITED USERS
Coverage Dates: 23-AUG-2023 - 23-AUG-2024

OMNIA PARTNERS (COBB COUNTY) IT PRODUCTS AND
SERVICES(# 23-6692-03)
List Price: 3319.99
Discount: 9.638 %
FLOCK GROUP FALCON INFRASTRUCTURE­
FREE (SOlAR
POWER + L TE), LICENSE PLATE RECOGNITION
CAMERA WITH VEHICLE FINGERPRINT ™

TECHNOLOGY
+ MACHINE LEARNING SOFTWARE AND REAL­
TIME

ALERTS FOR UNLIMITED USERS
Coverage Dates: 23-AUG-2024 - 23-AUG-2025

OMNIA PARTNERS (COBB COUNTY) IT PRODUCTS AND
SERVICES(# 23-6692-03)
List Price: 3319.99
Discount: 9.638 %
Quotation Number 226598753
Document Date 23-AUG-2023

Quantity
15 Unit Price Extended Price
3,000.00 45,000.00
15 3,000.00
Product Subtotal
Services Subtotal
TAX
Total
45,000.00
90,000.00
5,750.00

0.00 95,750.00
Thank you for choosing Insight. Please contact us with any questions or for additional information about Insight's complete IT solution offering.

Sincerely ,
Cathy Chapman
CATHY .CHAPMAN @INSIGHT.COM
To purchase under this contract , your agency must be registered with OMNIA Partners Public Sector.

Insight Global Finance has a wide variety of flexible financing options and technology refresh solutions. Contact your Insight representative for an innovative approach to maximizing your technology and developing a strategy to manage your financial options.

This purchas e is subject to Insight 's online Terms of Sale unless you have a separate purchas e agreement signed by you and Insight , in which case , that separate agreement will govern. Insight's online Terms of Sale can be found at the "terms-and-policies " link below.

SOFTWARE AND CLOUD SERVICES PURCHASES : If your purchase contains any software or cloud computing offerings ("Software and Cloud Offerings "), each offering will be subject to the applicable supplier's end user license and use terms

8.9.2023

Item 1N - Page 19
+=·
t!J.~jght~•·
Quotation Number 226598753
Document Date 23-AUG-2023

("Supp lier Terms") made avai lable by the supp lier or which can be found at the "terms-and-policies " link below . By ordering , paying for, receiving or using Softwar e and Cloud Offerings , you agree to be bound by and accept the Supplier Terms unless you and the applicable supplier have a separate agreement which governs. bttps'//www insight com/terms-and-policies

8.9.2023
EXHIBIT “C”

INSURANCE REQUIREMENTS

1. Procurement and Maintenance of Insurance. Contractor shall procure and maintain public liability and property damage insurance against all claims for injuries against persons or damages to property resulting from Contractor’s performance under this Agreement.

Contractor shall procure and maintain all insurance at its sole cost and expense, in a form and content satisfactory to the City, and submit concurrently with its execution of this Agreement.

Contractor shall also carry workers’ compensation insurance in accordance with California workers’ compensation laws. Such insurance shall be kept in full force and effect during the term of this Agreement, including any extensions. Such insurance shall not be cancelable without thirty (30) days advance written notice to City of any proposed cancellation. Certificates of insurance evidencing the foregoing and designating the City, its elected officials, officers, employees, agents, and volunteers as additional named insureds by original endorsement shall be delivered to and approved by City prior to commencement of services. The procuring of such insurance and the delivery of policies, certificates, and endorsements evidencing the same shall not be construed as a limitation of Contractor’s obligation to indemnify City, its elected officials, officers, agents, employees, and volunteers.

2. Minimum Scope of Insurance. The minimum amount of insurance required under this Agreement shall be as follows:

1. Comprehensive general liability and personal injury with limits of at least one million dollars ($1,000,000.00) combined single limit coverage per occurrence and two million dollars ($2,000,000) general aggregate.

2. Automobile liability insurance with limits of at least one million dollars ($1,000,000.00) per occurrence.

3. Professional liability (errors and omissions) insurance with limits of at least one million dollars ($1,000,000.00) per occurrence and two million dollars ($2,000,000) annual aggregate is:
☐ is required.
☒ is not required.

4. Workers’ Compensation insurance in the statutory amount as required by the State of California and Employer’s Liability Insurance with limits of at least one million dollars $1 million per occurrence. If Contractor has no employees, Contractor shall complete the City’s Request for Waiver of Workers’ Compensation Insurance Requirement form.

3. Primary Insurance. For any claims related to this Agreement, Contractor’s insurance coverage shall be primary with respect to the City and its respective elected officials, officers, employees, agents, and volunteers. Any insurance or self-insurance maintained by City and its respective elected officials, officers, employees, agents, and volunteers shall be in excess of Contractor’s insurance and shall not contribute with it. For Workers’ Compensation and Employer’s Liability Insurance only, the insurer shall waive all rights of subrogation and contribution it may have against City, its elected officials, officers, employees, agents, and volunteers.

Item 1N - Page 20

8.9.2023

4. Errors and Omissions Coverage. If Errors & Omissions Insurance is required, and if Contractor provides claims made professional liability insurance, Contractor shall also agree in writing either (1) to purchase tail insurance in the amount required by this Agreement to cover claims made within three years of the completion of Contractor’s services under this Agreement, or (2) to maintain professional liability insurance coverage with the same carrier in the amount required by this Agreement for at least three years after completion of Contractor’s services under this Agreement. Contractor shall also be required to provide evidence to City of the purchase of the required tail insurance or continuation of the professional liability policy.

5. Sufficiency of Insurers. Insurance required in this Agreement shall be provided by authorized insurers in good standing with the State of California. Coverage shall be provided by insurers admitted in the State of California with an A.M. Best’s Key Rating of B++, Class VII, or better, unless otherwise acceptable to the City.

6. Verification of Coverage. Contractor shall furnish City with both certificates of insurance and endorsements, including additional insured endorsements, affecting all of the coverages required by this Agreement. The certificates and endorsements are to be signed by a person authorized by that insurer to bind coverage on its behalf. All proof of insurance is to be received and approved by the City before work commences. City reserves the right to require Contractor’s insurers to provide complete, certified copies of all required insurance policies at any time. Additional insured endorsements are not required for Errors and Omissions and Workers’ Compensation policies.

Verification of Insurance coverage may be provided by: (1) an approved General and/or Auto Liability Endorsement Form for the City of Palm Springs or (2) an acceptable Certificate of Liability Insurance Coverage with an approved Additional Insured Endorsement with the following endorsements stated on the certificate:

A. "The City of Palm Springs, its officials, employees, and agents are named as an additional insured…” ("as respects City of Palm Springs Contract No.___" or "for any and all work performed with the City" may be included in this statement).

B. "This insurance is primary and non-contributory over any insurance or self-insurance the City may have..." ("as respects City of Palm Springs Contract No.___" or "for any and all work performed with the City" may be included in this statement).

C. "Should any of the above-described policies be canceled before the expiration date thereof, the issuing company will mail 30 days written notice to the Certificate Holder named." Language such as, “endeavor to” mail and "but failure to mail such notice shall impose no obligation or liability of any kind upon the company, its agents or representative" is not acceptable and must be crossed out.

D. Both the Workers’ Compensation and Employers' Liability policies shall contain the insurer's waiver of subrogation in favor of City, its elected officials, officers, employees, agents, and volunteers.

In addition to the endorsements listed above, the City of Palm Springs shall be named the certificate holder on the policies.

All certificates of insurance and endorsements are to be received and approved by the City before work commences. All certificates of insurance must be authorized by a person with authority to bind coverage, whether that is the authorized agent/broker or insurance underwriter.

Item 1N - Page 21

8.9.2023
Failure to obtain the required documents prior to the commencement of work shall not waive the Contractor’s obligation to provide them.

7. Deductibles and Self-Insured Retentions. Any deductibles or self-insured retentions must be declared to and approved by the City prior to commencing any work or services under this Agreement. At the option of the City, either (1) the insurer shall reduce or eliminate such deductibles or self-insured retentions with respect to the City, its elected officials, officers, employees, agents, and volunteers; or (2) Contractor shall procure a bond guaranteeing payment of losses and related investigations, claim administration, and defense expenses.

Certificates of Insurance must include evidence of the amount of any deductible or self-insured retention under the policy. Contractor guarantees payment of all deductibles and self-insured retentions.

8. Severability of Interests (Separation of Insureds). This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the limits of the insurer’s liability.

Item 1N - Page 22

8.9.2023
EXHIBIT “D”
EXECUTIVE ORDER N-6-22 CERTIFICATION

Executive Order N -6-22 issued by Governor Gavin Newsom on March 4, 2022, directs all agencies and departments that are subject to the Governor’s authority to (a) terminate any contracts with any individuals or entities that are determined to be a target of economic sanctions against Russia and Russian entities and individuals; and (b) refrain from ente ring into any new contracts with such individuals or entities while the aforementioned sanctions are in effect.

Executive Order N-6-22 also requires that any contractor that: (1) currently has a contract with the City of Palm Springs funded through grant funds provided by the State of California; and/or (2) submits a bid or proposal or otherwise proposes to or enter into or renew a contract with the City of Palm Springs with State of California grant funds, certify that the person is not the target of any economic sanctions against Russia and Russian entities and individuals.

The contractor hereby certifies, SUBJECT TO PENALTY FOR PERJURY, that a) the contractor is not a target of any economic sanctions against Russian and Russian entities and individuals as discussed in Executive Order N -6-22 and b) the person signing below is duly authorized to legally bind the Contractor. This certification is made under the laws of the State of California.

Signature:

Printed Name:

Title:

Firm Name:

Date:

Item 1N - Page 23

ATTACHMENT B

Item 1N - Page 24

ATTACHMENT C

Item 1N - Page 25
Policy
430
Palm Springs Police Department
Policies
Copyright Lexipol, LLC 2023/09/13, All Rights Reserved.

Published with permission by Palm Springs Police Department Automated License Plate Readers (ALPRs) - 1 Automated License Plate Readers (ALPRs)
430.1 PURPOSE AND SCOPE
ALPR technology is a computer- based system that utilizes special cameras to capture license plate information. The ALPR system captures an infrared image of a license plate and converts it to a text file using Optical Character Recognition ("OCR") technology. The text is compared to various hot lists generated by local, state, and federal law enforcement agencies, including the National Crime Information Center ("NCIC"), and generates an alert when there is a hit. The ALPR system identifies license plates and will not identify the person operating the motor vehicle. The Department may, as a separate step and for legitimate law enforcement purposes per the Federal Driver's Privacy Protection Act, and as set forth in this Policy, undertake to identify the owner of a vehicle in the event the ALPR system generates an alert, such as by running the license plate number through the State of California Department of Motor Vehicle (DMV) database.

The ALPR system shall be restricted to legitimate law enforcement uses for the purpose of furthering legitimate law enforcement goals and enhancing public safety. Such uses and goals include, but are not limited to, providing information to officers that will assist in on-going criminal investigations, crime prevention, crime detection, the apprehension of wanted persons, ensuring the safety of vulnerable individuals through the recovery of missing and endangered persons, and improving the quality of life in our community through the identification and removal of stolen or unregistered motor vehicles.

The Department shall utilize hot lists which further the above specified goals of the ALPR system, where there is a legitimate and specific law enforcement reason for identifying a vehicle associated with an outstanding arrest warrant, vehicles related to missing persons investigations, vehicles associated with AMBER Alerts, stolen vehicles, vehicles that are reasonably believed to be involved in the commission of a crime, vehicles which are registered to or are reasonably believed to be operated by persons who do not have a valid operator's license or who are on the revoked or suspended list, vehicles with expired registrations, vehicles registered to persons who are subject to a restraining order issued by a court or by the Parole Board, or who are subject to any other duly issued order restricting their movements, vehicles registered to persons wanted by a law enforcement agency who are of interest in a specific investigation, or vehicles registered to persons who are on any watch list issued by a State or Federal agency responsible for homeland security when information has been received concerning a specific individual. 430.2 POLICY
The policy of the Palm Springs Police Department is to utilize ALPR technology to capture and store digital license plate data and images while recognizing the established privacy rights of the public.

All data and images gathered by the ALPR are for the official use of this department. Because such data may contain confidential information, it is not open to public review.

Item 1N - Page 26
Palm Springs Police Department
Policies
Automated License Plate Readers (ALPRs)
Copyright Lexipol, LLC 2023/09/13, All Rights Reserved.

Published with permission by Palm Springs Police Department Automated License Plate Readers (ALPRs) - 2 It shall be the policy of the Palm Springs Police Department that all Department members abide by the policy and its procedures set forth when using the ALPR system, thereby increasing the efficiency and effectiveness of its public safety efforts in a manner that safeguards the privacy concerns of law abiding citizens.
430.3 DEFINITIONS
(a) Automated License Plate Reader (ALPR): A device that uses cameras and computer technology to compare digital images of license plates to lists of known plates of interest.
(b) Automated License Plate Reader (ALPR) System: The computerized storage system of data collected from Automated License Plate Readers including the LEARN software system.
(c) Hit Alert:

An audible and/or visual signal from the ALPR System activated upon the read of a license plate by the ALPR Sytem that has NOT BEEN VISUALLY VERIFIED by the ALPR operator against the photo in the ALPR System. A Hit Alert from the ALPR system may indicate that a scanned license plate number may be in the NCIC or other law enforcement database for a specific reason, including, but not limited to, being related to a stolen car, wanted person, wanted vehicle, missing person, domestic violence protective order or terrorist-related activity. (d) Hot List:

A list of license plates associated with vehicles of interest from databases including, but not limited to National Crime Information Center (NCIC), Department of Motor Vehicles (DMV), and vehicles sought by local law enforcement agencies. (e) Detection:

Data obtained by an ALPR of license plates within public view that were read by an ALPR device, including potential images of the license plate and vehicle on which it was displayed, and information regarding the location of the ALPR equipment at the time of the detection.
430.4 ALPR ADMINISTRATOR
The Police Captain overseeing the Operations Division shall be responsible for developing guidelines and procedures to comply with the requirements of Civil Code § 1798.90.5 et seq. This includes, but is not limited to (Civil Code § 1798.90.51; Civil Code § 1798.90.53):
(a) A description of the job title or other designation of the members and independent contractors who are authorized to use or access the ALPR system or to collect ALPR information.
(b) Training requirements for authorized users.
(c) A description of how the ALPR system will be monitored to ensure the security of the information and compliance with applicable privacy laws. (d) Procedures for system operators to maintain records of access in compliance with Civil Code § 1798.90.52.
(e) The title and name of the current designee in overseeing the ALPR operation. (f) Working with the Custodian of Records on the retention and destruction of ALPR data.

Item 1N - Page 27
Palm Springs Police Department
Policies
Automated License Plate Readers (ALPRs)
Copyright Lexipol, LLC 2023/09/13, All Rights Reserved.

Published with permission by Palm Springs Police Department Automated License Plate Readers (ALPRs) - 3 (g) Ensuring this policy and related procedures are conspicuously posted on the Police Department website.
(h) Shall submit a quarterly ALPR System Audit Report and Total Detection Report to the Chief of Police.
(i) All installation and maintenance of ALPR equipment, as well as ALPR data retention and access shall be managed by the ALPR Administrator who will assign members under his/her command to administer the day-to-day operation of the ALPR equipment and data.
430.4 AUTHORIZED USERS
The ALPR System shall only be accessed by the following Police Department positions after the completion of Department approved training and upon the approval of the ALPR Administrator:
(a) Police Officers
(b) Police Sergeants
(c) Police Lieutenants
(d) Police Captains
(e) Police Chief
(f) Police Dispatchers
(g) Crime Analyst
(h) Community Service Officers
(i) City approved contractor for ALPR system maintenance. 430.6 ALPR OPERATIONS
Use of an ALPR isrestricted to the purposes outlined below. Department members shall not use, or allow others to use the equipment or database records for any unauthorized purpose (Civil Code § 1798.90.51; Civil Code § 1798.90.53).
(a) An ALPR shall only be used for official law enforcement business. (b) An ALPR may be used in conjunction with any routine patrol operation or criminal investigation. Reasonable suspicion or probable cause is not required before using an ALPR.
(c) While an ALPR may be used to canvass license plates around any crime scene, particular consideration should be given to using ALPR-equipped cars to canvass areas around homicides, shootings and other major incidents. Partial license plates reported during major crimes should be entered into the ALPR system in an attempt to identify suspect vehicles.
(d) No member of this department shall operate ALPR equipment or access ALPR data without first completing department-approved training and receiving ALPR Administrator approval.

Item 1N - Page 28
Palm Springs Police Department
Policies
Automated License Plate Readers (ALPRs)
Copyright Lexipol, LLC 2023/09/13, All Rights Reserved.

Published with permission by Palm Springs Police Department Automated License Plate Readers (ALPRs) - 4 (e) No ALPR operator may access department, state or federal data unless otherwise authorized to do so.
(f) ALPR operators shall ensure ALPR cameras are properly affixed to the assigned police vehicle prior to starting their shift and shall inspect the equipment for damage or excessive wear.
(g) ALPR operators shall ensure the ALPR system is functioning properly at the start of their shift.
(h) ALPR operators shall report any damage, excessive wear, and/or function issues to the ALPR Administrator via Department email immediately. (i) Login/Log-Out Procedure- To ensure proper operation and to security oversight of the ALPR system, all operators will be required to have individual credentials for access and use of the systems and/or data.
(j) Any potential data breaches of the ALPR system shall be reported to the ALPR Administrator immediately.
(k) When an ALPR Detection alarm is received alerting an ALPR Operator of a positive Hit from the ALPR database, operators shall compare the digital image of the license plate to the Hotlist information to verify the Hit for both the state and characters on the license plate. Absent exigent circumstances, ALPR Operators shall confirm the ALPR information via radio or mobile data computer to immediately confirm the Hit prior to taking enforcement or any other type of police action
(l) If an alert is received on an incorrect letter or number on a license plate, the user should correct the number received on the hit for accurate information if the correct information is available.
430.7 ALPR SYSTEM OPERATIONS
Use of the ALPR System is restricted to the purposes outlined below. Department members shall not use the system for any unauthorized purpose (Civil Code § 1798.90.51; Civil Code § 1798.90.53).
(a) The ALPR system shall only be used for official law enforcement purposes. (b) No member of this department shall be permitted to access the ALPR System without first completing department-approved training and receiving ALPR Administrator approval.
(c) Database information shall be considered confidential and for law enforcement personnel only.
(d) Login/Log-Out Procedure- To ensure proper operation and to security oversight of the ALPR system, all operators will be required to have individual credentials for access and use of the systems and/or data.
(e) ALPR System Users shall not allow non-authorized users to view system data. (f) Access to the ALPR system shall be from Department issued or Department owned computer equipment and shall not be accessed from personally owned devices without written permission from the ALPR Administrator.

Item 1N - Page 29
Palm Springs Police Department
Policies
Automated License Plate Readers (ALPRs)
Copyright Lexipol, LLC 2023/09/13, All Rights Reserved.

Published with permission by Palm Springs Police Department Automated License Plate Readers (ALPRs) - 5 (g) All queries of system data shall include the reason for query and any applicable event number associated with query.
(h) Any potential data breaches of the ALPR System shall be reported to the ALPR Administrator immediately.
(i) The Palm Springs Police Department shall maintain robust security procedures and practices, including operational, administrative, technical, and physical safeguards, to protect ALPR information from unauthorized access, destruction, use, modification, or disclosure.
430.8 DATA COLLECTION AND RETENTION
The Operations Division Captain is responsible for ensuring that systems and processes are in place for the proper collection and retention of ALPR data. Data will be transferred from vehicles or fixed locations to the designated storage in accordance with department procedure.

All ALPR data downloaded to the server should be stored for no more than 30 days (Government Code § 34090.6) and in accordance with the established records retention schedule. Thereafter, ALPR data should be purged unless it has become, or it is reasonable to believe it will become, evidence in a criminal or civil action or is subject to a discovery request or other lawful action to produce records. In those circumstances the applicable data should be downloaded from the server onto portable media and booked into evidence until the pending litigation is resolved (Government Code § 34090.6).

ALPR technology uses cameras to capture and store images from public spaces, where persons do not have a reasonable expectation of privacy. All videos gathered by these systems are for the official use of this department. The ALPR cameras will be positioned to optimize collection of images from public places to minimize collection of images from places where an expectation of privacy exists or places exposed to view (e.g., parking lot of a shop or business). 430.9 ACCOUNTABILITY AND PRIVACY
All personnel authorized to use or access ALPR System data will be accountable for knowledge of this policy. All personnel shall report errors and suspected or confirmed violations of this policy to their supervisor.

All access to the system will be logged and the Department will maintain an audit trail of requested and accessed information, including the purpose of the query.

All data will be closely safeguarded and protected by both procedural and technological means.

The Palm Springs Police Department will observe the following safeguards regarding access to and use of stored data (Civil Code § 1798.90.51; Civil Code § 1798.90.53):
(a) All ALPR data downloaded to the mobile workstation and in storage shall be accessible only through a login/password-protected system capable of documenting all access of information by name, date and time (Civil Code § 1798.90.52). (b) Persons approved to access ALPR data under these guidelines are permitted to access the data for legitimate law enforcement purposes only, such as when the data Item 1N - Page 30
Palm Springs Police Department
Policies
Automated License Plate Readers (ALPRs)
Copyright Lexipol, LLC 2023/09/13, All Rights Reserved.

Published with permission by Palm Springs Police Department Automated License Plate Readers (ALPRs) - 6 relate to a specific criminal investigation or department-related civil or administrative action.
(c) The ALPR System database and software resides in a data center featuring full redundancy and access controls.
(d) All investigative queries into collected ALPR data are logged by user and available for auditing and review by the Department as outlined in this policy. (e) ALPR system audits should be conducted on a regular basis. To ensure proper oversight into the use of the system and adherence to this policy, all activities (plate detections, queries, reports, etc.) are automatically recorded by the system for auditing purposes. System audits shall be conducted by the Operations Captain quarterly. The audit report shall include an explanation regarding any data retained longer than than two years (e.g. data retained as evidence in a criminal case). (f) Permitted/Impermissible Uses. The ALPR system, and all data collected, is the property of the Department. Department personnel may only access and use the ALPR system for official and legitimate law enforcement purposes consistent with this Policy.

The following uses of the ALPR system are specifically prohibited:
(a) Invasion of Privacy: Except when done pursuant to a court order such as a search warrant, it is a violation of this Policy to utilize the ALPR to record license plates except those of vehicles that are exposed to public view (e.g., vehicles on a public road or street, or that are on private property but whose license plate(s) are visible from a public road, street, or a place to which members of the public have access, such as the parking lot of a shop or other business establishment). (b) Harassment or Intimidation: It is a violation of this Policy to use the ALPR system to harass and/or intimidate any individual or group.
(c) Personal Use: It is a violation of this Policy to use the ALPR system or associated scan files or hot lists for any personal purpose.
(d) Anyone who engages in an impermissible use of the ALPR system or associated scan files or hot lists may be subject to:
· criminal prosecution,
· civil liability, and/or
· administrative sanctions, up to and including termination, pursuant to and consistent with the relevant collective bargaining agreements and Department policies.

For security or data breaches, see the Records Release and Maintenance Policy. 430.10 RELEASING ALPR DATA
The ALPR data may be shared only with other law enforcement or prosecutorial agencies for official law enforcement purposes or as otherwise permitted by law, using the following procedures:
(a) The agency makes a written request for the ALPR data that includes:
(a) The name of the agency.

Item 1N - Page 31
Palm Springs Police Department
Policies
Automated License Plate Readers (ALPRs)
Copyright Lexipol, LLC 2023/09/13, All Rights Reserved.

Published with permission by Palm Springs Police Department Automated License Plate Readers (ALPRs) - 7 (b) The name of the person requesting.
(c) The intended purpose of obtaining the information.
(b) The request is reviewed by the Chief of Police or the authorized designee and approved before the request is fulfilled.
(c) The approved request is retained on file.
(d) Detection data will only be shared with law enforcement agencies who utilize the Law Enforcement Archival Reporting Network unless approved by the ALPR Administrator. (e) Detection data shall not be sold or transferred to non-law enforcement entities or persons.
(f) Detection data will not be shared with any federal agencies or with law enforcement agencies outside of the State of California, absent a court order or special request submitted to PSPD explaining the intended purpose of obtaining the information, and only with approval from the Chief of Police, or their designee.

Memorandum of Understanding
(a) Access to searchable data by other local law enforcement agencies shall only be granted pursuant to an MOU with that specific agency
(b) Such MOU will provide that access will only be used for legitimate law enforcement or public safety purposes
The Chief of Police or the authorized designee will consider the California Values Act (Government Code § 7282.5; Government Code § 7284.2 et seq), before approving the access to ALPR data.

The Palm Springs Police Department does not permit the sharing of ALPR data gathered by the City or its contractors/subcontractors for purpose of federal immigration enforcement.

Requests for ALPR data by non-law enforcement or non-prosecutorial agencies will be processed as provided in the Records Maintenance and Release Policy (Civil Code § 1798.90.55). 430.11 TRAINING
The Training Sergeant should ensure that members receive department-approved training for those authorized to use or access the ALPR system (Civil Code § 1798.90.51; Civil Code § 1798.90.53).

Each approved user shall have received CLETS Security Training and Approval, department approved ALPR training, and any required POST approved training prior to access or use of the ALPR System.

The training shall include user acknowledgement of this Policy.

Item 1N - Page 32

ATTACHMENT D

Item 1N - Page 33
Potential Use of
Automated License
Plate Recognition
(ALPR) Technology
https://www.palmspringsca.gov/September 27, 2023
Item 1N - Page 34
ALPR – What is it?
Automated License Plate Recognition (ALPR) technology uses a combination of cameras and computer software to scan the license plates of passing vehicles.

These computer-readable images allow law enforcement to compare plate numbers against plates of wanted vehicles and vehicles associated with wanted persons, missing persons, etc.

Item 1N - Page 35
•
•
ALPR – Types
Two Types of ALPR:

Item 1N - Page 36
M Bl E
( o ed on a pol i e eh· le
F XE .
( ou ed o · po e or othe
piece o i fras rue. ure)
ALPR – How It Works
Item 1N - Page 37
t" -, I
~L ~•
Police use data f oir
specific and directed
·-- .

I c.nminal -~
~nvestigati:ons
Police attempt tia locate
and apprehend wanted
person •or vcl1r.-cle
ALPR – What Problem Does it Addres?
Regional increases in property crimes, including catalytic converter thefts, auto burglaries, vehicle thefts and organized retail thefts
Recent, albeit rare, brazen robberies and assaults
Offenders commonly:
use a vehicle;
use a stolen vehicle or vehicle with a stolen plate;
engage in crimes in multiple jurisdictions;
Cost-effective force multiplier
Item 1N - Page 38
•
•
•
0 0
0 •
ALPR – What Information is Captured?
A fixed ALPR system is designed to capture:
the date, time, and location;
license plate (state, partial, paper, and no plate);
vehicle characteristics (make, model, type, and color)
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•
0 0
0 ALPR – What Information is Not Captured?
A fixed ALPR system is not intended to capture
A fixed ALPR system does not use facial recognition
images of vehicle occupants
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•
•
ALPR – Fixed ALPR vs. Red Light Cameras
A red light camera is designed to capture
A fixed ALPR system is designed to capture
driver images for driver identification
rear license plate images for vehicle identification
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•
•
ALPR – Legal Considerations
Only allows trained authorized users
Official Use Only
No automatic sharing of data with out of state
agencies
Routine system audits
Prohibits invasion of privacy, harassment or
intimidation, personal use
Palm Springs - ALPR Policy
Requires training
Requires limitations/controls on access
Requires limitations on sharing
State Law
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• •
•
•
•
•
• •
ALPR – Policy
Limited to need to know and right to know;
Criminal penalties for unauthorized access;
Training provided to employees;
Queries are logged and auditable;
Agency controls with whom data is shared;
No outside sharing by vendor;
No outside state sharing, unless a court
order or reason is provided, and approved
by the Chief of Police
Internal and External Access
CJIS-compliant transmission and storage by
vendor
Automatically purged after 30 days*
Data Integrity
Data Integrity
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• •
•
• •
•
•
•
•
ALPR – Uses & Benefits
Proactive Real-time alerts
Reactive (Investigative)
Searchable database
USES
Real Time Alerts
Deterrence
Solve Crimes Already
Committed
Regional Coordination

BENEFITS
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• •
•
• •
0 •
ALPR – Local Implementation & Collaboration
ALPR technology is an existing tool for local law enforcement including Numerous success stories and examples of where it could have been used A growing majority of agencies in the Coachella Valley currently use it Many private businesses, HOAs, and individuals have ALPR and elect to neighboring communities
in Palm Springs
share that data with law enforcement
Item 1N - Page 45
ALPR – Next Steps
Council feedback and discussion on potential implementation of ALPR Technology
Public Comments
Approve Contract with Insight Public Sector through a cooperative purchase program
Install 15 Flock ALPR cameras throughout the City of Palm Springs Item 1N - Page 46
Automated License Plate Recognition (ALPR)
Questions
Item 1N - Page 47

ATTACHMENT E

Item 1N - Page 48
PSPD

TOWN HALL
Come talk with us about the following
policies as they relate to use,
transparency, and accountability.

Drones
Automated license plate readers
(ALPR)

POLICY TOPICS
Military
Equipment
www.palmspringsca.gov
760-323-8119

CONTACT US
Monday,
September 18, 2023
@ 5:30 PM
PSPD Training Center
200 S. Civic Drive, Palm Springs
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• • e
0 ATTACHMENT F

Item 1N - Page 50
Item 1N - Page 51
ALIPR Tec:hnology
The Palm Springs Police Department uses automated license plate recogn· ion (ALPR) teclrno logy to deter criminal activity and assist in criminal invest igations in Palm Springs_ The t,echnology uses a combinat ion of cameras: and compute r software to scan the license plates of passing vehicles, and provides several benefits , including crime deterrence, real-time aler s to police when stolen or wanted vehicles enter an area, and enhanced investigative capabilities when a crime has already occurred.

Explore th is web page to learn more about our use of ALPR techno logy and the privacy safeguar,ds we have put in place (following the recommendat ions of he American Civil liberties Union; see tl1eir report below), and to ask questio ns about ALPR techrrnlogy via the web form at the bottom of this page.

If you would like more informatio n about ALPR technology, please see the below links. • ACLU Reper : Making Smart Decisio ns About Surveillance • ALPR infor mation from t l,e Internationa l Assoc iation of Chiefs of Police What is ALPR and how does it work?
What are the uses and benefits of AlPR technology?
What information is captured by ALPR technology?
What information is NOT captured by ALPR technology?
How long is this information retained?
What sort of privacy safeguards exist?
frequently Asked Questions
Still have Questions on ALPR Technology? Submit your Questions Here. +
+
+
+
-1-
+

ATTACHMENT G

Item 1N - Page 52
Making
SMart

DeciSionS
about

Surveillance
A Guide for Community
trAnspArenCy,

ACCountAbility

& oversi Ght
the ACLU
of CALiforni A
APriL 2016
Item 1N - Page 53
• •

urveillance is on the rise in our communities, but basic transparency, oversight, and accountability remain the exception, not the rule. Police are spending billions of dollars on very sophisticated and invasive surveillance technology from license plate readers and cell phone trackers to facial recognition and drones. Too many of these programs are moving forward without public conversation, careful consideration of the costs and benefits, or adequate policies in place to prevent misuse and protect rights. As a result, surveillance may enable high-tech profiling, perpetuate systems of abusive policing, and undermine trust in law enforcement, particularly in communities of color where police misconduct has been rampant and community relationships have been strained. It’s time for change.

Communities must be equal partners in any decision about the use of surveillance technology. They need to know when and why surveillance is being considered, what it is intended to do, and what it will really cost — both in dollars and in individual rights. They need to be certain that any proposal includes strong mechanisms for transparency, accountability, and oversight. Otherwise, public trust can be easily damaged, and communities can end up saddled with systems that are too invasive, very expensive, and much less effective at accomplishing community safety goals than initially imagined.

This guide provides a step-by-step framework to approach surveillance proposals, properly evaluate their true costs, and develop policies that provide transparency, oversight, and accountability. Its checklist walks community members, policymakers, and law enforcement officials through essential questions to ask and answer about surveillance proposals, and includes dozens of case studies highlighting smart approaches and missteps to avoid. The guide concludes with model language for policymakers to adopt to make sure the right process is used every time a surveillance proposal is considered.

We hope you will find this document and its supporting materials (available online at aclunc.org/smartaboutsurveillance) useful in ensuring your community is making informed decisions about surveillance.

N i c o l e A . O z e r P e t e r B i b r i n g Technology and Civil Liberties Policy Director Police Practices Director ACLU of California ACLU of California
S
Item 1N - Page 54
1 ONLINE AT ACLUNC.ORG/SMARTABOUTSURVEILLANCE

Authors: Chris Conley, Matt Cagle, Peter Bibring, Jessica Farris, Linda Lye, Mitra Ebadolahi, and Nicole Ozer, ACLU of California Contributing Writers: Addison Litton and Thomas Mann Miller Design & Layout: Gigi Pandian & Daniela Bernstein

This publication was underwritten with support from the ACLU Foundation and the ACLU’s generous members and donors.

PUBLISHED BY THE ACLU OF CALIFORNIA
SECOND EDITION — APRIL 2016

CONTENTS
Technology Overview ............................................................................................................................................. 2 Key Questions to Answer Before Moving Forward with Any Surveillance Proposal .......................... 3 Why It Matters: The Costs and Consequences of Surveillance ................................................................. 4 Surveillance Impacts Civil Rights and Community Trust ................................................................................ 4 Surveillance Carries Both Immediate and Ongoing Financial Costs ............................................................. 7 Surveillance Must Take Evolving Privacy Law into Account ......................................................................... 8 Necessary Steps when Considering a Surveillance Proposal ................................................................... 11 Collectively Evaluate the Effectiveness, Costs and Alternatives Before Making Decisions about Surveillance ................................................................................................................................................. 11 Establish a Surveillance Use Policy to Mitigate Harms and Protect Rights ................................................ 17 Ensure Accountability by Enforcing Policies and Encouraging Ongoing Public Engagement .............. 21 Conclusion................................................................................................................................................................ 24 Appendix: Model Surveillance & Community Safety Ordinance ............................................................ 25 Endnotes ................................................................................................................................................................... 29 Item 1N - Page 55
2 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES Item 1N - Page 56

TECHNOLOGY OVERVIEW
AUTOMATIC LICENSE PLATE READERS ("ALPRS") : Soph isricared camera sysrems mounred ro police cars or lighr posrs rhar scan license plares rhar come into view. They are ofren used ro look for vehicles of imeresr, such as stolen cars, bur in rhe pwcess may record rhe time and place of every single vehicle rhar drives by.

BODY CAM ERAS: Small cameras worn by police rhar record aud io and video. These cameras can record anyth ing from rypical public inrcracr ions with pol ice ro sou nds and images ar rallies or eve11 lewd banrer in a squad car. Some body cameras are always on, ochers are controlle d by rhe wearer.

DRONES : Unmanned aerial vehicles rhac may carry cameras, microph ones, or ocher sensors or devices. Drones range from small "quadcopccrs" rhar can maneuver near ground level ro high-altirndc planes wirh exrrcmely powerful cameras. Drones arc often quicrcr than rradjtional aircrafr, makj ng ir possible rouse them for surreptirious surveillance.

VIDEO SURVEILLANCE: Camera sysrcms chat allow remote observation or recording of acciviry in public spaces. Video feeds may be actively monicored in hopes of sporting crime as it happens or recorded for potential use for invesrigarion and prosecution. Studies have repeatedly show n cameras are costly and of limited use in preventing or solving serious crime .

FACIAL RECOGNITION: Software chat idenrifies a person in phoros or videos based on various characteristics of the person's face. The accuracy of facial recognirion can vary widely.

LOCATION TRACKING: A range of techniques used co remotely crack a person's locacion. GPS (Global Positioning System) devices, ranging from modern cell phones to "darts" that can be fired at a moving car, determine their own location based on satellite signals. Electronic com mun icarions devices including phones can also be cracked by identifying che cell rowers or wireless networks the device uses. Location information can be obtained every few seconds and may be accurate co within a few feet.

AUTOMATED SOCIAL MEDIA MONITORING: Software cools chat collects posts and ocher information on sites such as Twiner and Faccbook . lhesc rools may also analyze the collected data in order ro derive information such as social connecrions or political views.

INTERNATIONAL MOBILE SUBSCRIBER IDENTITY ("IMSI") CATCHERS: A device chat emulates a cell phone tower in order to interact with nearby cell phones, [MSI catchers, commonly known as Stingrays (the brand name of one such device), identify nearby devices a11d can also be configured co inrercepc and capture che contents of communicat ions including calls, text messages, or Imernec acriviry. Many IMSI catchers operate in dragnet fashion, scooping up information about every phone in range.

DAT A MIN ING: Techniques co discover statistical patterns, nends and ocher information in a collection of data. For example, analysis of connec tions on social networks can reveal hidden, sensirive information such as seXLtal orientation . 3 ONLINE AT ACLUNC.ORG/SMARTABOUTSURVEILLANCE
Item 1N - Page 57

KEY QUESTIONS TO ANSWER

BEFORE MOVING FORWARD WITH

ANY SURVEILLANCE PROPOSAL
WHY ARE YOU CONSIDERING SURVEILLANCE?
D What specific prob lem is your community trying to address? D How effective will surveillance be in addressing this concern? D Are there alternatives that would be more effective, less expensive, or have less impact on civil liberties? WHAT ARE THE COSTS AND RISKS?
D What are the financial costs of surve illance, including long-term training, operation and maintenance? D What impact would surveillance have on privacy, free speech, and civil rights? D How could surveillance affect crust in law enforcement? D Have you completed a Surveillance Impact Report?

IS THE ENTIRE COMMUNITY ENGAGED IN EVALUATING THE PROPOSAL FROM THE OUTSET?
D Have you sought input on prior ities, costs and risks from all segments of your community? D Is there a Surveillance lmpact Report and Surveillance Use Policy for the community ro review? D Will there be public hearings and debate before seeking any funds or purchasi ng any techno logy? IS SURVEILLANCE THE RIGHT CHOICE?
D Have elected policymakers reviewed the Surveillance Impact Report and Surveillance Use Policy? Have chey had an opportunity ro hear public concerns?
D W ill local policymakers specifically vote ro app rove rhe project moving forward? Will chis happen before seeking any funds or purchasing any technology?
D Will your community re-evaluate any surveillance program annually and determine whether the program shou ld be continued, modified, or abandoned?
WILL THESE QUESTIONS BE ANSWERED EVERY TIME?
D Has your communiry passed a Surveillance & Communiry Sa.fery Ordinance ro make sure chese questions are consistently asked and answered every time surveiUance is considered and to ensure proper transparency, oversight and accountabi lity?
4 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES Why It Matters: The Costs and Consequences of Surveillance Surveillance technology is often proposed as an efficient public safety tool. But too often, proposals ignore not only the true financial costs of surveillance technology but also their potential to infringe on civil rights and undermine public trust and effective policing. Communities should identify and assess all of the harms and costs of surveillance as early in the consideration process as possible in order to determine whether moving forward with a surveillance technology is really the right choice.

A. SURVEILLANCE IMPACTS CIVIL RIGHTS AND COMMUNITY TRUST The community at large can pay a heavy price if
surveillance technology is acquired and deployed
without evaluating its impact on civil rights and its
potential for misuse. Surveillance can easily intrude
upon the individual rights of residents and visitors,
perpetuate discriminatory policing, or chill freedom of expression, association, and religion — freedoms that
public officials are sworn to protect.
1 As a result,
surveillance can erode trust in law enforcement, making it harder for officers and community members to work
together to keep the community safe.2

1. SURVEILLANCE CAN INTRUDE UPON COMMUNITY
MEMBERS’ RIGHTS
The greatest cost of surveillance technology may not be financial but personal: the invasion and infringement of civil rights. Various types of surveillance technology are capable of capturing and storing vast amounts of information about community members and visitors: the political rallies and religious services they attend, the health services they use, the romantic partners they have, and more. Just the perceived threat of surveillance has the potential to harm community members by discouraging individuals from participating in political advocacy, opposing police misconduct, evaluating reproductive choices, exploring their sexuality, and engaging in other activities that are clearly protected by the federal and California constitutions. And, too often, this perception is grounded in reality, as demonstrated by Fresno’s use of social media monitoring software that flagged “#blacklivesmatter” as an indicator of criminal activity. 34 There are many examples of the misuse of surveillance to target individuals based on their race, ethnicity, associations, or religious or political activities. Police in Santa Clara used a GPS device to track a student due to his father’s association with the local Muslim Community Association.5 Police in Michigan sought “information on all the cell phones that were congregating in an area where a labor-union protest was expected.”6 The NSA specifically monitored the email of several prominent Muslim-Americans with no evidence whatsoever of wrongdoing.7 In Britain, where video surveillance is pervasive, a European Parliament “[S]urveillance  programs  follow  a  long
history of law enforcement targeting African
American  and  other  minority  groups….  We
need … a future in the city where our police
department  and  other  public  institutions
have  true  community  oversight  and
accountability.”
The  Rev.  B.T.  Lewis  and  Taymah  Jahsi,
Organizers, Faith in Community in Fresno
2 Civil Rights Principles in an Era of Big Data, signed by fourteen of the nation’s leading civil and human rights groups, sounds the alarm on how surveillance technology often disproportionately affects communities of color and religious and ethnic minorities. It calls for technology to be “designed and used in ways that respect the values of equal opportunity and equal justice” and urges users to “stop high‐tech profiling” and “preserve constitutional principles.” The document further calls for search warrants and other independent oversight of law enforcement and “clear limitations and robust audit mechanisms to make sure that if these tools are used it is in a res ponsible and equitable way.”4
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5 ONLINE AT ACLUNC.ORG/SMARTABOUTSURVEILLANCE
study showed that “the young, the male and the black were systematically and disproportionately targeted not because of their involvement in crime or disorder, but for ‘no obvious reason.’”8 Surveillance programs that do not focus on individual targets can be particularly problematic. Tracking entire groups or communities extends “guilt by association” to those who have done nothing wrong, discourages participation in local activities, and alienates community members. And once members of the group are tainted with such suspicion, it becomes easy to justify prying into their private lives, or even threatening them with further consequences if they do not cooperate with additional surveillance efforts.9 101112

SURVEILLANCE OF POLITICAL AND SOCIAL ACTIVISTS
The government has a long and troubled history of abusing surveillance powers to target political and social activists. From the  “Red Squads” of the early 20th cent ury to the FBI’s efforts to infiltrate and discredit antiwar and civil rights activists in the 1960s, to recent surveillance of the Black Lives Matter movement:
 The  Department  of  Homeland  Security  monitored  the  social  media a c c o u n t s  o f  B l a c k  L i v e s Matter members and collected details about the locations of members and plans for peaceful protests in Ferguson, Baltimore, and New York City. This led many to question why the DHS — formed to combat terrorism — was surveilling members of a peace ful domestic social justice movement.10
 Police  in  Fresno,  California,  secretly  acquired  and  tested  multiple  social  media  surveillance tools  that  encouraged  surveillance  of  hashtags  like  #BlackLives Matter,  #dontshoot,  and #wewantjustice and assigned individuals a “threat level.” This led to nationwide negative press attention and calls for reform from community members, all of w hich forced the police chief to issue a public apology.11
 Authorities in the Oregon Department of Justice came under fire  when it was revealed that a senior  investigator  had  used  software  to  conduct  surveillance  o f  hashtags  including #BlackLivesMatter, which returned results for civil rights advocates, including the president of the  Urban  League  of  Portland.  The  story  triggered  a  public  apology  by  Oregon’s  Attorney General and led to an internal investigation.12
Intelligence reforms born from lawsuits and congressional inqui ries have led many law enforcement agencies  to  bar  the  collection  of  information  about  political  activism  and  other  First  Amendment‐ protected activities without a j ustifiable suspicion of crimina l activity. But surveillance of Black Lives Matter  demonstrates  a  need  for  similar  restrictions  on  the  use of  surveillance  technology  today  to ensure that it is not used to chill or undermine political and social activism.

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6 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES “Dragnet” surveillance often targets communities of color:
for example, in Oakland, the police have
disproportionately used license plate readers in African- American and Latino neighborhoods.13 In Compton,
police flew a plane rigged with high-powered surveillance cameras overhead for weeks without the public’s
knowledge or consent.14 Because it involves collecting vast amounts of information, dragnet surveillance also creates the potential for all sorts of abuse, from NSA analysts tracking romantic partners
15 to a Washington, D.C. police
lieutenant blackmailing patrons of a gay bar.1617 18
Surveillance carries privacy and free speech threats even if it is conducted solely in public places. This is particularly true when surveillance information is aggregated to build a robust data profile that can “reveal much more in combination than any isolated record.”19
As Supreme Court Justice Sonia Sotomayor has noted,
“a precise, comprehensive record of a person’s public
movements … reflects a wealth of detail about her
familial, political, professional, religious, and sexual associations.” In addition, “[a]wareness that the
Government may be watching chills associational and
expressive freedoms.”
20 2. SURVEILLANCE CAN ERODE TRUST IN LAW ENFORCEMENT
When law enforcement fails to fully engage with community members about the impact of surveillance — or, worse, entirely skirts the democratic process by acquiring and deploying surveillance technology without public discussion at all — it erodes trust even further, making it even harder for law enforcement officers to work with the community to solve crimes and protect public safety.

In the years after the September 11th attacks, the New York Police Department created a secretive intelligence wing that infiltrated Muslim neighborhoods with undercover officers, where they monitored the daily lives of and compiled dossiers about Muslim-Americans engaging in constitutionally protected activities in cafes, bookstores, and private residences with no
evidence of illegal activity.21 22These activities gravely harmed the community’s trust in law enforcement and led to a multi-year lawsuit and settlement that barred the
NYPD from conducting investigations on the basis of race, religion, or ethnicity, and mandated implementation of a series of reforms designed to deter warrantless surveillance.

In Compton, news broke about an aerial surveillance
program that watched the whole community and was
intentionally kept “hush-hush” by the Sheriff’s Department to deter civil rights complaints. Both citizens and lawmakers were up in arms that they had been kept in the dark about such intrusive surveillance. Angry community members rightly questioned, "Why are we the target? As citizens we deserve [to know]. We are not all criminals.... It's an invasion of privacy.” The Mayor called for a “citizen private protection policy,” ensuring that the community would be notified before any new surveillance equipment was deployed or used.
23 “One  of  the  most  alarming  parts  of  that
history has been the ways that surveillance
h a s  b e e n  m i s u s e d  a g a i n s t  B l a c k  p e o p l e who  have  been  advocating  for  their
justice. It’s been used to discredit, abuse,
and incarcerate.”
O p a l  T o m e t i ,  B l a c k  L i v e s  M a t t e r  c o ‐ founder17
"Those of us from marginalized communities
grew up in environments very much shaped
by  surveillance,  which  has  been  utilized  to
r a m p  u p  t h e  c r i m i n a l  j u s t i c e  s y s t e m  a n d increase deportations….”
Steven Renderos, Center for Media Justice
18 “The effects of surveillance on New York
Muslim communities have been
devastating.… Community members’ ties
to local police precincts have
deteriorated due to distrust and fear.”
H i n a  S h a m s i ,  A C L U  N a t i o n a l  S e c u r i t y Project Director
22 Item 1N - Page 60
7 ONLINE AT ACLUNC.ORG/SMARTABOUTSURVEILLANCE
B. SURVEILLANCE CARRIES BOTH IMMEDIATE AND ONGOING FINANCIAL COSTS In addition to the costs to civil rights and civil liberties, the fiscal impact of surveillance can be extensive.

Modifying current infrastructure, operating and maintaining systems, and training staff can consume limited time and money, even if federal or state grants fund initial costs. Surveillance technologies may also fail or be misused, resulting in costly lawsuits. To calculate the full financial cost of surveillance technology, communities must look beyond the initial sticker price. 24 1. SURVEILLANCE REQUIRES INFRASTRUCTURE, STAFFING, TRAINING, AND MAINTENANCE The hidden costs of infrastructure, training and staffing, operations and maintenance, and the potential for budget overruns, can dwarf the cost of acquiring surveillance technology in the first place. Communities that have failed to accurately estimate the full financial cost of a surveillance system have dealt with massive cost overruns and programs that failed to accomplish their stated purpose. For example, Philadelphia planned to spend $651,672 for a video surveillance program featuring 216 cameras. Instead, it spent $13.9 million on the project and wound up with only 102 functional cameras after a year, a result the city controller described as “exceedingly alarming, and outright excessive — especially when $13.9 million is equivalent to the cost of putting 200 new police recruits on our streets.”25 To avoid a similar incident in your community, it is essential to identify all of the costs required to install, use, and maintain surveillance technology before making a decision about whether to do so.

2. SURVEILLANCE CAN CREATE FINANCIAL RISKS INCLUDING LITIGATION AND DATA BREACH Surveillance programs that fail to include proper safeguards to prevent errors or misuse and protect freedom of expression, association, and religion, or that inadequately enforce such safeguards, can lead to expensive litigation that diverts resources from other public services. For example, Muslim residents in Orange County filed a discrimination lawsuit when it was revealed that state agents were sending informants into mosques to collect information on the identities and activities of worshippers.
26 The NYPD paid $2 million in attorney fees for
spying on New York’s Muslim communities.27 Even technical glitches can create the potential for costly lawsuits and other expenses: the City of San Francisco was embroiled in a multi- year civil rights lawsuit after wrongly pulling over, handcuffing, and holding at gunpoint an innocent woman due to an error by its ALPR system.28 29
The collection of surveillance data also creates the risk of data breaches that can incur significant public costs as well as endanger residents’ privacy and economic security.

Even following best practices (which itself can entail significant expense) is not enough to prevent every breach. California law requires that a local agency notify residents about a security breach.30 And the fiscal costs of a breach of sensitive surveillance data could be very high: a 2015 report found that companies spent an average of $3.7 million to resolve a data security breach.31 The more information your community collects and retains, the greater the risk and potential cost of a breach. “When  you’re  considering  a  new
technology, it’s important to evaluate
not only the upfront costs but also the
c o s t s  o f  m a i n t e n a n c e  a n d  u p g r a d e s that will occur down the road.”
Captain  Michael  Grinstead,  Newport
News (VA) Police Department24
“After  public  backlash  about  Oakland’s
proposed  Domain  Awareness  Center,
we really had to regroup and think about
how we needed to proceed.”
Renee  Domingo,  former  Oakland
Emergency Services Coordinator
29 Item 1N - Page 61
,
8 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES

3. LACK OF PROPER PROCESS CAN WASTE TIME AND MONEY
Failing to thoroughly discuss surveillance proposals and listen to community concerns early in the process can result in massive backlash and wasted time and funds when plans are suspended or ultimately cancelled. Oakland was forced to scrap most of the planning for its ill-fated Domain Awareness Center and scale the project back considerably after community members protested the misleading mission statement and lack of transparency for the project.32 In Santa Clara County, a secretive process to purchase a Stingray cell surveillance device was derailed by the County Executive after it sidestepped necessary community debate and county oversight.33 34
Community members grounded San Jose’s secret drone
purchase and the police were forced to apologize for the lack of transparency and community input. 35 Engaging with the community before taking steps to go forward with a surveillance proposal is essential to avoiding similar mistakes that spark widepsread community outrage and waste time and resources.

C. SURVEILLANCE MUST TAKE EVOLVING PRIVACY LAW INTO ACCOUNT The use of surveillance technology is facing increased scrutiny and limits. Courts and lawmakers at the state and federal level, driven by increased public concern about privacy, are acting to protect individual rights and civil liberties. As a result, your community needs to consider both the existing laws and the potential for legal change, including the policy and individual rights concerns that are driving that change, when evaluating a surveillance proposal. 36
In recent years, federal courts have repeatedly reinforced legal protections for individual rights in the context of today’s technology. In 2015, the U.S. Supreme Court unanimously told law enforcement to “get a warrant” to search an arrestee’s cell phone. In another unanimous decision, the Court also ruled a warrant is required to use a GPS beeper to track a suspect’s vehicle, with a majority of the Court suggesting that using technology to track an individual’s location — even in public — over an extended period of time triggers constitutional scrutiny. 37 Finally, multiple federal courts declared the NSA’s
warrantless collection of telephone metadata unlawful, with one criticizing its “almost Orwellian” scope.
38 Surveillance
programs that fail to account for this trend may well be held unconstitutional, and criminal investigations based on evidence from those programs could be jeopardized.

The California Constitution is even more protective of community members’ privacy, including in public spaces. The state right to privacy expressly gives Californians a legal and enforceable “right to be left alone” that protects interests in privacy beyond the home.
39 The California Supreme Court has held that covertly
“infiltrating” and monitoring the activities of students and professors at classes and public meetings without any indication of criminal activity violated the California Constitution, 40 as did warrantless aerial surveillance
of a resident’s backyard.41 Californians’ right to free expression also extends outside of the home, even to privately owned areas like shopping centers.42
Numerous laws and regulations also place limits or requirements on the use of surveillance technology. The federal Wiretap Act and its California counterpart limit the use of surveillance technology capable of “The fact that technology now allows an
individual  to  carry  such  information  in
his hand does not make the information
any  less  worthy  of  the  protection  for
which the Founders fought.”
Riley v. California, U.S. Supreme Court36
“SJPD should have done a better job
of  communicating  the  purpose  and
acquisition  of  the  UAS  (Unmanned
A e r i a l  S y s t e m )  d e v i c e  t o  o u r
community….The community should
have  the  opportunity  to  provide
feedback, ask questions, and express
their  concerns  before  we  move
forward with this project.”
San Jose Police Department34
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intercepting the contents of live communications. And in 2015, California lawmakers enacted three separate laws that specifically address issues related to surveillance technology:
 Collection of Electronic Information: The California Electronic Communications Privacy Act requires a search warrant when collecting electronic information with surveillance technology like cell phone tracking technology. It also requires a warrant for searching electronic devices or compelling email, location information, or other metadata from service providers. The law creates additional procedural safeguards, including notice to the suspect, and allows for suppression or court-mandated deletion of information obtained or retained in violation of the law.43  Automated License Plate Readers: Newly enacted California law requires an opportunity for public comment, a written, publicly available use policy that is “consistent with respect for an individual’s privacy and civil liberties,” and reasonable security safeguards for any use of automated license plate readers. Individuals can sue for harms due to a security breach or other unauthorized disclosures.44
 Cell Phone Tracking Technology: Newly enacted California law requires public process, local legislative approval for all agencies other than sheriffs, a public use and privacy policy that is “consistent with respect for an individual’s privacy and civil liberties,” and the disclosure of agreements with other agencies concerning the use of IMSI catchers and other cell phone tracking technology. The law also allows an individual to sue an agency for violating these provisions. 45 There have also been bipartisan legal changes at both the federal and state level to rein in surveillance. In 2016, federal lawmakers adopted reforms related to NSA spying.46 Eighteen other states have enacted laws restricting law enforcement access to location information,47 and a majority of states have introduced legislation aimed at curbing the use of drones for surveillance purposes.4849 These state and federal changes are driven by a clear shift in public attitudes towards surveillance. Community members want and expect reform at both the state and local level to increase transparency, accountability, and oversight for surveillance technology. Two thirds of California voters want to see local elected officials like City Councilmembers or County Supervisors approve new surveillance technologies before they can be used. Similarly, a strong majority of voters want to see both local (65 percent) and state (64 percent) policies SURVEY OF LIKELY 2016 CALIFORNIA VOTERS FINDS STRONG SUPPORT FOR REFORMS TO SURVEILLANCE TECHNOLOGY USE BY LAW ENFORCEMENT
Likely 2016 voters polled in a Califor nia statewide survey strongly favor local and state level reforms of law enforcement surveillance technology practices.49 A summary of key findings from the survey:

Reform Proposal Support
Require the local City Council or Board of Supervisors to vote to approve new surveillance technology before it is used by local police. 67% Develop and enforce local policies to set limits on surveillance technology used by police. 65%
Develop and enforce statewide policies to set limits on surveillance technology used by police. 64%
Require law enforcement agencies to publicly report how often they are using surveillance. 62%
Provide public notification prior to local police buying new technology for surveillance. 58%
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10 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES developed and enforced that set limits on police use of surveillance technology. Voters also want to see steps taken to require public reporting from law enforcement agencies regarding the frequency of use of surveillance technologies (62 percent) as well as public notification before the purchase of any new surveillance technologies (58 percent).50 51
All of these factors have led many communities to move
forward with local ordinances that ensure transparency, accountability, and oversight for all surveillance
technologies.
52 Your community should follow their lead
and thoroughly evaluate any surveillance proposal in
order to protect the rights of your community members,
identify hidden costs and financial risks, and ensure that you comply with existing laws and are consistent with
increasing public concerns about privacy.

“With a surveillance equipment ordinance,
any of the existing equipment that Oakland
might already have or any that is soon to
come out will have to go through the
vetting process.”
Brian Hofer, Chair, Oakland Domain
Awareness Center Privacy Committee51
ENACT A SURVEILLANCE & COMMUNITY SAFETY ORDINANCE
TO MAKE SURE THE RIGHT PROCESS IS FOLLOWED EVERY TIME
Passing the Surveillance & Communi ty Safety Ordinance included  in the Appendix to this guide will h e l p  y o u r  c o m m u n i t y  a v o i d  p r o b l e m s  d o w n  t h e  l i n e  b y  f o l l o w i n g  the  right  process  every  time.  It ensures that there is community analysis of surveillance techno logy whenever it is considered, that local lawmakers approve each step, and that any surveillance program that is approved includes both a  Surveillance  Use  Policy  that  safeguards  individual  rights  and  transparency  and  accountability mechanisms to ensure that the Policy is followed.

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Necessary Steps when Considering a Surveillance Proposal Surveillance can be misused in ways that harm community members, undermine public safety goals, and saddle taxpayers with unnecessary costs. That’s why it is essential to publicly and thoroughly evaluate surveillance proposals. The following section will help your community — including diverse residents, public officials, and law enforcement — work together to determine whether surveillance really makes sense and put in place robust rules to ensure proper use, oversight, and accountability if your community decides to move forward with a surveillance proposal. 53
A. COLLECTIVELY EVALUATE THE EFFECTIVENESS, COSTS AND ALTERNATIVES BEFORE MAKING DECISIONS ABOUT SURVEILLANCE
Surveillance should only be a means to an end, never an end in itself. That means that your community should have an actual purpose in mind or problem that needs to be addressed before even considering surveillance technology. Once you have that, you can collectively evaluate whether surveillance is likely to effectively accomplish your goals, as well as estimate the costs to both your community’s budget and to individual rights.

1. DECIDE AS A COMMUNITY: INVOLVE THE ENTIRE COMMUNITY
FROM THE START
The best way to consider whether surveillance is the right choice and to avoid costly mistakes is to engage the entire community — including law enforcement, local lawmakers, and members of the public — in a thorough discussion about any surveillance proposal.

Different segments of your community are likely to bring valuable perspectives to the process of evaluating whether to acquire and use surveillance technology. And the time to engage with your community is at the very beginning of the process, before any funding is sought, technology is acquired, or system is used. 54 Several cities considering proposals to introduce or expand surveillance have found it useful to actively
engage community members through working
groups and ad-hoc committees to shape policy and
provide oversight. The Redlands Police
Department convened a Citizens’ Privacy Council,
open to any city resident of the city, to provide
advice on surveillance-camera policies and oversee
police use of the cameras.
55 Richmond formed an56
ad-hoc committee to evaluate policies for its video
“The public debate that the surveillance ordinance
will require on new technologies and their uses will
be beneficial for everyone, including city officials,
to  help  them  learn  more  about  how  these
programs work and what they mean to the public.”
Joe  DeVries,  Oakland  Assistant  to  the  City
Administrator56
Fewer  than  15  percent  of
California  communities  publicly
debated  surveillance  programs
before  moving  forward.  (ACLU
2014)
54 The Department of Homeland Security (DHS) Privacy Office and Office for Civil Rights and Civil Liberties issued CCTV: Developing Privacy Best Practices, a report that encourages government agencies to build privacy,  civil  rights,  and  civil  liberties  considerations  into the  design,  acquisition,  and  operations  of video surveillance systems. An a ppendix highlights the need to  follow the Fair Information Practice Principles  of  Transparency,  Individual  Participation,  Purpose  Specification,  Data  Minimization,  Use Limitation, Data Quality and Integrity, Security, Accountability, and Auditing.53 Item 1N - Page 65
12 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES surveillance program.57 And in 2014, following community backlash and the vote not to expand Oakland’s Domain
Awareness Center, the City Council created a Privacy and Data Retention Ad Hoc Advisory Committee comprised of diverse community members to create safeguards to protect privacy58 rights and prevent the misuse of data for a scaled-back system to be used at the Port of Oakland.59 Oakland now has a formal Privacy Commission, which will provide advice to the City of Oakland on best practices to protect privacy rights in connection with the City's purchase and use of surveillance equipment and other technology that collects or stores data.60
 Is the community engaged in an informed debate about any surveillance proposal? It is never too early for a public debate about a surveillance proposal. Community members should know what kind of surveillance is being considered, what it is intended to do and how it will affect them at the earliest stages of the process, when their input can bring out important information, highlight community concerns, and help avoid unforeseen problems and community backlash. 61 The public should be given effective notice that surveillance is being considered. Effective notice means more than a line item in a public meeting agenda. Law enforcement should proactively contact community groups, including those representing ethnic and religious communities, and local media to increase public awareness early in the process and engage the entire community with the issue. 62

“Technology  can  only  serve
democracy  to  the  degree  that  it  is
democratized.”
Malkia  Cyril,  Director,  Center  for
Media Justice58
CASE STUDY: SANTA CLARA COUNTY CANCELS STINGRAY BUY DUE TO TRANSPARENCY CONCERNS
In 2015, the Santa Clara County  Executive rejected the Sheriff’ s proposal to purchase a Stingray after  the  Board  of  Supervisors  questioned  the  expense  and  secrec y  o f  t h e  p r o j e c t .  T h e  B o a r d questioned how they could be asked to spend more than $500,000 of taxpayer money to approve a  purchase  that  was  shrouded  in  secrecy  even  from  the  Board  its elf.  The  County  Executive ultimately rejected the purchase because the company providing the Stingray refused to “agree to even the most basic criteria we have in terms of being responsive to public records requests… We had to do what we thought was right.”61
CASE STUDY: OAKLAND’S “DOMAIN AWARENESS CENTER” FORCED TO SCALE BACK AFTER KEEPING COMMUNITY IN THE DARK
In 2013, the City of Oakland tried to expand its “Domain Awareness Center,” originally focused on the Port of Oakland, into a citywide surveillance network linking together video cameras from local streets and schools, traffic came ras, and gunshot microphones.  Instead of soliciting early public input  about  the  expanded  system,  Oakland  tried  to  move  forward  without  any  meaningful engagement  with  the  community.  Residents  were  outraged,  and  the  City  Council  voted  against expanding the system.62
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An informed debate also requires that your63
community have access to a wide range of
information in order to assess how surveillance
would work in practice and whether it would advance
local goals. Community meetings with various
speakers representing different perspectives (not just
law enforcement and the technology vendor) can
help the community understand how the surveillance
technology actually works and its potential
implications. The entity seeking to acquire new
surveillance technology should also prepare and
release a Surveillance Impact Report and a
Surveillance Use Policy to help everyone understand how a technology will work, its potential costs, and the safeguards that will prevent its misuse if the proposal were approved. Your community may also consider convening an ad-hoc committee of local
residents, experts and advocates who can work
together to make recommendations or help complete these documents.64 “It  is  critical  to  our  judicial  system  and  our
democracy that the  public and  our elected
representatives be informed about the use
of  these  devices  so  that  we  can  have  a
d i s c u s s i o n  a b o u t  t h e i r  p r i v a c y  i m p l i c a t i o n s and make informed decisions about policies
for their use.”
Joe  Simitian,  Santa  Clara  County
Supervisor63
USE A SURVEILLANCE IMPACT REPORT TO MAKE AN INFORMED DECISION The scope and potential costs of a surveillance technology shou ld be assessed and made available to the community through a Surveillance Impact Report. This report should include:
o Information  describing  the  technology,  how  it  works,  and  what  i t  collects,  including technology specification sheets from manufacturers;
o The proposed purposes(s) for the surveillance technology; o The location(s) it will be deployed and crime statistics for any location(s); o An assessment identifying any potential impact on civil liberties and civil rights and discussing any plans to safeguard the rights of the public; and
o The fiscal costs for the surveillance technology, including initial purchase, personnel and other ongoing costs, and any current or potential sources of funding.

A  worksheet  to  help  your  communi ty  prepare  a  Surveillance  Impac t  Report  is  available  at aclunc.org/smartaboutsurveillance.

CASE STUDY: SANTA CRUZ COUNCILMEMBERS LACK INFORMATION FOR ALPR

DECISION
After the Santa Cruz City Council approved the use of federal funds to purchase ALPRs for the police department,  councilmembers  noted  that  they  did  not  have  a  lot  o f  information  about  the technology or its impact on the community at the time of its decision.  When one councilmember was asked what effect the scanners might have on community members, he replied, “I don’t know enough about the technology.” Another was unaware of privacy is sues, admitting, “The council didn’t get much correspondence about the potential for the erosion of civil rights that these kinds of devices can cause....”64
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14 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES  How will the community decide whether to proceed with a surveillance proposal? Community members deserve more than just information about surveillance proposals: they need the opportunity to help determine whether the proposal actually benefits the community and how or whether it should move forward, either by giving input to local policymakers at public hearings or by casting their own ballot on the issue.

In either case, initial community approval should be obtained before any steps towards acquiring surveillance technology are taken, including applying for funding from outside entities. This ensures that external grants do not circumvent the proper democratic process and cut community members out of the loop. Local policymakers or the community as a whole should be given additional opportunities to weigh in if the proposal changes or as more details become available. 65 2. DEFINE THE PURPOSE: ASK HOW AND WHETHER THIS TECHNOLOGY WILL AID YOUR COMMUNITY Your community cannot determine whether surveillance is an appropriate solution if you have not first identified the problem. Defining the specific purpose or issues that surveillance is intended to address is essential to evaluate the likely effectiveness of surveillance and to identify alternatives that might provide a better fit for your community’s needs and budget. It can help highlight the individuals or communities who are likely to be most impacted by surveillance and ensure that their thoughts and concerns are fully understood. It also provides a starting point for crafting a Surveillance Use Policy by defining specific objectives for which surveillance is appropriate and barring its use outside of those purposes.  What specific community purposes will be aided by adopting this technology?

A well-defined community purpose should include a specific problem and a measurable outcome that the community desires. Vague purposes such as “protecting our city from criminals” make it difficult for the community to understand how surveillance might be used or how its effectiveness might be measured. In contrast, a purpose such as “increase recovery of stolen vehicles” succinctly identifies an outcome desired by community members and helps frame public discussion. That discussion may in turn lead you to narrow or alter the purposes for which surveillance should be used, if you decide to use it at all. 66 CASE STUDY: OAKLAND SPENDS $2M ON “HARDLY USED” POLICE TECHNOLOGY The  cash‐strapped  city  of  Oakland  learned  the  hard  way  that  acquiring  new  police  technology without a clearly defined purpose can be a waste of time and money. A city audit revealed that the city had squandered almost $2 million on hardly used police tec hnology between 2006 and 2011.

The  auditor  recommended  steps  to  ensure  that  technology  purchases  were  intended  to  fulfill specific strategic objectives and regular evaluation of their effectiveness.66 CASE STUDY: SAN JOSE’S DRONE GROUNDED UNTIL COMMUNITY APPROVES San Jose residents were outraged when they learned that their p olice department had purchased a drone without any public debate. Amid critical media coverage  and protests from community groups, civil‐rights advocates, an d local residents, police apo logized and said they would ground the drone until they could conduct adequate public outreach.65 Item 1N - Page 68
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 Will this surveillance technology help your community achieve that purpose? After your community identifies the purposes that surveillance technology might be able to address, you should evaluate whether the proposed technology would actually achieve them. Manufacturer’s claims should not be taken at face value, and certainly not in isolation. Instead, your community should look at all of the evidence or arguments suggesting that surveillance will or will not effectively help you achieve your defined purpose.67
 Are there better alternatives to achieve your purpose? Even if the proposed surveillance technology does seem likely to help your community achieve its purpose, there still may be alternatives that are just as (or more) effective, less expensive, and/or less likely to be misused or otherwise negatively impact your community members.

In particular, you should compare the effectiveness and costs of technology-based solutions with non- technology-oriented approaches to address the problem. For example, multiple studies have shown that traditional approaches such as increased lighting and foot patrols significantly reduce crime. 68 You should not automatically assume that surveillance technology will be more effective.69

3. IDENTIFY THE COSTS AND RISKS: EXAMINE FINANCIAL, LEGAL, AND PRACTICAL CONSEQUENCES Even if a specific technology is appropriate for your community’s purposes, there still may be financial, legal and practical concerns that may make adopting it undesirable. This section will help you measure the likely costs of surveillance so that you can determine whether they are truly outweighed by the expected benefits.

CASE STUDY: CITIES REPLACE RED LIGHT CAMERAS WITH LONGER YELLOW LIGHTS California  cities  are  increasingly  shutting  down  red  light  cameras  as  evidence  mounts  that  the cameras  increase,  rather  than  decrease,  traffic  accidents.  For example,  in  Walnut,  CA,  a  study found that red light cameras resulted in dramatic increases in “red light running collisions” (400%), “rear end collisions” (71%) and “broadside collisions” (100%)” and that “no argument can be made that photo enforcement has improved safety . . . within the cit y of Walnut. In fact, the use of red light cameras appears to have decreased safety and put roadway  users at increased risk.” In light of this evidence, more than half of the California cities that once used red light cameras have ended their  programs,  turning  instead  to  alternatives  that  have  proven  more  effective  at  preventing accidents such as longer yellow lights at dangerous intersections.69 CASE STUDY: SAN FRANCISCO RECONSIDERS PLANS TO EXPAND
SAFETY CAMERA PROGRAM THAT FAILS TO IMPROVE COMMUNITY SAFETY In 2005, San Francisco set out to  deter violent crime and provide police with an investigative tool by installing video cameras in the City’s high‐crime, high‐traf fic areas. However, p ost‐installation crime statistics published by ma ndate under a city ordinance re vealed that the cameras neither reduced crime nor assisted in solving them in any meaningful way. In fact, the cameras only led to six suspects being charged by the SFPD between 2005 and 2008. As a result, the Police Commission reconsidered its plans to expand the program.67
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16 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES  How much will the technology cost your community to acquire and operate? Deciding how to allocate funds is one of your
community’s most important tasks. Every dollar
your community spends on surveillance
technology is a dollar it cannot spend on some
other community need. Costs related to
surveillance technology will include personnel
time, training costs, maintenance and upkeep, as
well as any network and storage costs for the
data your community may collect. Potential costs
associated with risks of data breach or lawsuits
based on abuse of surveillance also need to be
recognized.
70 Questions about costs cannot be dismissed solely
because your community is seeking grant funding to pay for the technology. These grants are attractive for obvious reasons: they appear to allow your community to buy a technology without having to spend local taxpayer dollars. But outside grants may not cover the costs that follow a technology’s adoption, particularly the long-term costs of operation, repairs, and personnel. Estimating these costs as accurately as possible — and making sure those estimates are shared with the community and made part of the debate about adopting surveillance — is key.
 What are the legal risks and associated potential costs of the surveillance proposal? Surveillance technology can carry a number of significant legal risks and requirements, in part because of rapid changes to privacy and surveillance law. Even under current law, misuse of surveillance systems or data, or technical glitches outside of your control could subject your community to potential legal liability.

And as courts and lawmakers continue to reassess how privacy and free speech rights should apply in the digital age, there is a risk that your community’s investment in surveillance technology could leave it saddled with equipment that can no longer be legally used as intended. These factors need to be accounted for when performing a cost-benefit analysis of any surveillance proposal. 71 “One more question to ask ourselves is whether
w e  a r e  c a r e f u l l y  c o n s i d e r i n g  t h e  i n f r a s t r u c t u r e that  is  needed  to  support  technology  —  the
costs of monitoring it and of staffing technology
units at a time when departments are laying off
civilians. We really need to think about all of the
aspects of technology when initial investments
are being made.”
P o l i c e  E x e c u t i v e  R e s e a r c h  F o r u m ,  “ H o w  A r e Innovations in Technology Affecting Policing?”70
CASE STUDY: FBI REMOVES GPS TRACKERS AFTER SUPREME COURT RULES THAT WARRANTLESS TRACKING IMPLICATES FOURTH AMENDMENT
The  FBI  had  installed  approximately  3,000  GPS  trackers  on  cars throughout  the  United  States, without a warrant, when the U.S. Supreme Court ruled in 2012 that their use implicated the Fourth Amendment.  As  a  result,  the  FBI  deactivated  the  warrantless  trackers,  and  its  agents  had  to physically retrieve them. Obtaining warrants before using those GPS trackers would have ensured the constitutionality of obtained evidence and saved the FBI considerable time and effort.71 Item 1N - Page 70
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 How could the surveillance proposal negatively impact public safety or individual rights? A surveillance proposal designed to benefit your community may carry side effects that undermine that objective. Insecure systems can present a tempting target for hackers, potentially making your community less safe in the process. Surveillance programs that target or disproportionately impact communities of color or other marginalized groups can make it harder for law enforcement to work cooperatively with those groups to investigate crimes. And surveillance can chill political and social engagement such as attendance at political rallies, gun shows, or religious ceremonies if community members fear that their lives are constantly being monitored. Identifying the harms as well as benefits of surveillance is an important part of evaluating any proposal.72
B. ESTABLISH A SURVEILLANCE USE POLICY TO MITIGATE HARMS AND PROTECT RIGHTS
If after careful consideration and public debate your community decides that a particular surveillance technology is worth adopting, you need to ensure that policies are in place so that it is used properly. A clear, legally enforceable Surveillance Use Policy that provides guidance about when and how to use surveillance can safeguard individual rights while protecting local law enforcement and your entire community from costly lawsuits, bad press, loss of community trust, and more. Recognizing the necessity of use policies, Seattle and Spokane, Washington, recently passed ordinances requiring police to develop use guidelines for new surveillance equipment before using it.
73 74

CASE STUDY: REDLANDS DEPLOYS INSECURE CAMERA NETWORK
The surveillance camera network in the city of Redlands made the news for the wrong reasons when computer security experts demonstrated how easily they could take control of the cameras.

Although the police department expressed concern about “people  with criminal intent using the public  camera  feed  to  case  homes  or  businesses  or  track  the  police  force,”  the  network  was deployed  with  no  security  at  all.  Even  after  the  story  broke,  the  network  was  secured  with  an outdated encryption protocol that a researcher described as “pu tting a diary lock on your front door.”
72 CASE STUDY: ALAMEDA COUNTY SOLICITS PUBLIC INPUT FOR STINGRAY POLICY Before  upgrading  its  cell  phone  surveillance  technology,  the  Alameda  County  District  Attorney publicly released its draft use policy and solicited feedback f rom the community. In response to feedback, the District Attorney made changes that resulted in a  policy requiring a warrant for the use of the device and strict limits on how data could be used.  This transparent and democratic process helped build community trust and ensured a stronger set of safeguards would be in place from the start.74
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18 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES Here are some of the key elements of a robust, legally enforceable Surveillance Use policy:

1. USE APPROPRIATELY: PLACE CLEAR LIMITS ON SURVEILLANCE If your community has been following this guide, you’ve already defined community purposes that justify a particular technology. Now it’s time to use those purposes to decide and codify both the acceptable uses that will benefit the community and those that are simply prohibited. Doing so safeguards against use of the technology in a manner the community never intended.
 When is surveillance permitted or prohibited?
The first step is straightforward but essential: defining how and when the technology may be used. Every entity in your community that conducts surveillance should have a policy that clearly specifies appropriate uses of each technology and bars all other uses.

In order to benefit from and reflect community input and oversight, technology should only be used for the particular purposes for which it was acquired. Any proposed new uses should be subject to the same public discussion as the acquisition of new technology, allowing the community to weigh in on the appropriateness of any expanded purpose.

Your policy needs to be consistent with constitutional
guarantees of privacy, equal protection, freedom of
speech, and freedom of religion. In fact, your use
policy should not only address clearly unlawful but
also potentially unlawful uses of surveillance
technology. If there are questions about the legality of a specific practice, your use policy should prohibit that practice until there is a definite answer.
75  What legal or internal process is required to use surveillance? It is also important to ensure that all legally required and internal processes are followed each time surveillance is used. These processes help to prevent unauthorized or outright illegal uses and also make sure that even appropriate uses of the surveillance technology minimize the impact on individual rights. 76 In many cases, the best way to ensure that legal requirements are satisfied is to require a search warrant prior to conducting surveillance, allowing the court system to play a role in overseeing the program. With the streamlined modern warrant process, officers can seek a judge’s approval quickly and easily by simply placing a phone call or using a mobile device.77
Internal recordkeeping, including recording the reason for each use of surveillance, can also help ensure compliance with the appropriate use policy and create an audit trail for ongoing feedback and oversight.  How are officers trained before they conduct surveillance? Having clear policies is not helpful if the people using the technology or the data it collects lack the underlying knowledge to comply with those policies. Training programs for anyone involved with surveillance must be comprehensive, encompassing not just the technology and Surveillance Use Policy but the purposes and legal rules that inform the Policy. Training should spell out both the obligations of anyone using the technology and the consequences for policy violations.

The police need to “have more of a dialog
with the council, because we are the ones
that . . . approve funding decisions and we
want to make sure . . . that you are
hearing everything that we hear as well.”
Seattle Councilmember Bruce Harrell 76
Publicly available use policies
were found for less than 1 in
5 local California surveillance
programs  (ACLU  2014
research).
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 Are you only collecting necessary data?
Ensuring that surveillance technology is used in a way that accomplishes its stated purpose without collecting additional data is a straightforward way to reduce the risk of privacy invasions. That’s why the federal statute authorizing wiretaps has from its inception required “minimization” — an effort to make sure that even after a warrant has been issued and collection is underway, police only intercept communications relevant to the investigation, not every communication made by the target.78 The same principle should be applied to other forms of surveillance, requiring a reasonable effort to avoid collecting superfluous information. For example, a police department that deploys drones to an accident scene to quickly identify any need for police or emergency intervention does not need to record and retain video footage.79

2. PREVENT MISUSE OF DATA: LIMIT WHEN DATA CAN BE USED AND WHO CAN ACCESS IT Even data collected for a legitimate purpose can be put to illegitimate uses. It is essential that your community establish clear rules so that surveillance data is used only for approved purposes. Doing so not only prevents outright abuses of the data that can erode public trust but also keeps “mission creep” from altering the balance that you have already worked out between government actions and individual liberties.  How will surveillance data be secured?
The first step in preventing misuse of data is ensuring that it is stored securely. Technical safeguards are necessary to help protect community members’ data from accidental disclosure and misuse. You should consult with experts and implement safeguards at multiple levels that protect data at all points in its lifespan.

Your community may already possess secure storage space separated from other databases and computer systems. This provides you with an obvious level of control. If you choose to store data elsewhere, you must ensure that it is secure and subject to your safeguards. Your community should also designate someone as an authority or custodian with responsibility over community members’ data and your storage systems.
80 CASE STUDY: OHIO STATE HIGHWAY PATROL RETAINS ONLY ALPR HITS The Ohio State Highway Patrol policy for automated license plate readers (ALPRs) states, “all ‘non‐ hit’  captures  shall  be  deleted  immediately.”  The  ALPR  program  i s  intended  to  detect  stolen vehicles, Amber Alerts, and persons with outstanding warrants.  As a result, retaining data about “non‐hit” vehicles does not further that purpose, and a policy  of deleting that data immediately protects the community from unnecessary risks.79
CASE STUDY: MONTEREY COUNTY SUFFERS DATA BREACH
DUE TO “TOTALLY OBSOLETE” DATA PRACTICES
Monterey County’s computer systems were breached in 2013 and the personal information of over 140,000  local  residents  was  stolen.  A  subsequent  grand  jury  investigation  concluded  that  the breach stemmed from “totally obsolete” data practices and a fai lure to follow privacy laws. The grand jury warned of “serious financial consequences” if the county failed to change its practices.80 Item 1N - Page 73
20 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES  Under what circumstances can collected data be accessed or used? In addition to technical safeguards to protect data, you should also limit the circumstances under which it can be legitimately accessed or used. These limits should be based on the specific purposes your community agreed to when it adopted the technology. For example, if the purpose of the technology is to address specific violent crimes, your policy might allow database searches only as part of an official investigation of a violent crime, and only for data that is related to that investigation. Data access and use policies that are consistent with the articulated purposes for the system will provide guidance to operators and engender community trust by deterring abuses that can follow unfettered access to surveillance data.

Your community’s goal of balancing privacy and security will be easier to achieve if particular data access and use limits are accompanied by steps to ensure the rules are followed. Database access should be limited — for example, by only allowing junior staff to access data with the permission and guidance of a more senior officer, or by limiting data access solely to senior officers. As explained earlier, training is a must. Restricting data access to a limited set of trained employees decreases the potential that community members’ data can be misused. To ensure targeted use of data, it may be appropriate to require a search warrant or similar external process before the data can be accessed at all. 81  What limits exist on sharing data with outside entities? Placing limits on how data use is a great step, but third parties that receive the collected data may not have the same limits in place. To protect residents’ privacy and prevent uses of information contrary to community desires, it is important to articulate when — if ever — the technology’s purposes justify sharing any collected information. During the public debate over your Surveillance Use Policy, the community should decide when sharing is permissible and when it is prohibited.

If data can be shared, your community must also determine how to ensure that the entity receiving the data lives up to your community’s standards. This may require contractual language binding the third party to your data policies and safeguards. For example, the city of Menlo Park, California, specifically requires by ordinance that any agreement with Northern California’s fusion center demand compliance with the City’s own retention policy.
82 If a potential recipient of your data cannot agree with your policies or conditions, the best choice is to not share your data.

3. LIMIT DATA RETENTION: KEEP INFORMATION ONLY AS LONG AS NECESSARY The longer you retain information, the greater the potential privacy and security risks. The easiest way to minimize these risks is to retain only necessary information and to delete it after the purpose for its collection is achieved.

CASE STUDY: LAX POLICIES LEAD TO “LOVEINT” ABUSE
Without strong policies limiting access to data, the temptation  to misuse government databases for  personal  interests  can  be  hard  to  resist.  The  NSA  even  has a  specific  term,  LOVEINT,  for employees  who  monitor  their  significant  others.  Two  Fairfield, C A ,  o f f i c e r s  c o u l d  f a c e  c r i m i n a l charges after using a statewide police database to screen women from online dating sites.81 Item 1N - Page 74
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 Does retaining data help accomplish the purpose for which the technology was acquired? To maximize the usefulness of your technology and minimize civil liberties concerns, a retention period should not be longer than necessary to directly advance community purposes. For instance, deploying automated license plate readers to83
locate stolen or Amber Alert vehicles
is not aided by the collection of
historical data. Retaining data “just in
case it becomes useful” increases the
risk that data will be used contrary to
the purpose agreed upon by the
community or wind up in the hands of
a bad actor. Retaining data can also increase the costs of surveillance by requiring expensive storage solutions and making it harder to effectively use the system. Focusing on the specific objective that surveillance is intended to accomplish can help you determine a retention period that balances that objective with the costs and risks associated with data retention.  Are there other legal or policy reasons that inform your data retention policy? There may be other legal and policy issues that affect your data retention policy, informed by legal concerns unrelated to your community’s purposes. For example, your community should choose a retention period that balances a desire to be responsive to public records requests with residents’ civil liberties, including privacy. Responsiveness to records requests should not be a primary justification for an extended retention period, however, since community concerns about surveillance are better addressed by retaining less information in the first place.  What happens when the data retention period expires?
To prevent misuse of data after your community’s desired retention period has lapsed, ensure that data is regularly deleted after that time. This can be accomplished via automated technical measures or periodic audits.

Before data is collected, your community should also decide whether there are any specific circumstances that justify the retention of data beyond your community’s chosen retention period. For instance, it might be appropriate to preserve data relevant to a specific ongoing investigation, data necessary to complete an investigation of internal data misuse, and data relevant to a criminal defendant’s case. Any such conditions should be informed by your community’s purposes and clearly articulated in your Surveillance Use Policy.

C. ENSURE ACCOUNTABILITY BY ENFORCING POLICIES AND ENCOURAGING ONGOING PUBLIC ENGAGEMENT
Even if your community has already deployed surveillance technology, the community as a whole has a crucial role in ensuring that the public interest is promoted through its use. One key question is whether your Surveillance Use Policy is effectively safeguarding individual rights and preventing abuses. A second is whether the assumptions you made when you approved surveillance in the first place still hold true after actual experience with the technology and its impact. Revamping or even cancelling an ineffective or imbalanced program is better than wasting time, money, and community trust on a tool that does more harm than good.
“If there’s anything of a criminal nature recorded on video, it’s  grabbed  and  inventoried  within  hours.  Most
everything  else  is  never  looked  at  again,  so  it’s  purged automatically.”
Commander Steven Caluris, Chicago Police Department83
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22 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES

1. IDENTIFY AND ADDRESS ABUSES: AUDIT USE OF TECHNOLOGIES AND DATA AND ADDRESS ANY MISUSE The safeguards in your Surveillance Use Policy are only worthwhile if the policy is actually followed. But given the secretive nature of many forms of surveillance, ensuring compliance takes conscious effort. Strong internal and external oversight and auditing can help identify isolated or systemic abuses of surveillance technology, and legally enforceable sanctions can deter both.  How are operators supervised?
Personnel management and technical measures both
facilitate internal oversight of your technology and data.

Designating a chain of command for a given surveillance technology helps specific personnel understand what
responsibilities they have over the equipment or data and makes it easy to trace where misuse occurred. All of this helps your community deter abuses and guarantee that
resources are used wisely.
84  How will misuses of the technology be identified?
The best way to identify misuse of surveillance is to “watch the watchers” by keeping thorough records of each time surveillance is deployed or surveillance data is called up. The person or persons with oversight responsibility should be independent, given full access to the technology and database, and empowered to receive complaints about misuse and draw conclusions that can lead to legally enforceable consequences. To catch what human oversight misses, your community should ensure that technical measures including access controls and audit logs are in place. Placing the oversight authority with a third party such as the City Council or a citizen panel may also increase the likelihood that the misuses are accurately identified. 85
 What legally enforceable sanctions exist to deter misuse and abuse of this technology? By establishing consequences for violations of the guidelines, your community encourages proper use of the technology and sends a message that community values apply to everyone. Depending on the circumstances, sanctions ranging from retraining to fines, suspensions, or termination may be appropriate for violations of your Surveillance Use Policy. In addition, your community should provide an appropriate remedy for anyone harmed by an abuse. Legally enforceable sanctions discourage misuse and guarantee that aggrieved community members will be made whole. “As  stewards  of  the  public’s
interests, we know the government
doesn’t  get  to  simply  say  ‘trust  us’
and  carry  on:  we  have  to  earn  that
trust on a daily basis. We have to be
accountable and transparent….”
Former Oakland Mayor Jean Quan84
CASE STUDY: FRESNO ADOPTS ANNUAL AUDIT OF VIDEO SURVEILLANCE When the Fresno Police Department proposed a citywide video‐pol icing program using live‐feed cameras, the city council required an annual independent audit  to ensure that all of the privacy and security guidelines for the  system’s use were being followe d. Fresno Police Chief Jerry Dyer said he supported the audit: “I have no doubt the audit will be  very helpful to our ongoing video policing operations.” The city appointed a retired federal district court judge as auditor, who then examined current use of the system and made specific policy recommendations.85 Item 1N - Page 76
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2. KEEP THE DIALOG OPEN: ENCOURAGE PUBLIC OVERSIGHT AND ONGOING DISCUSSION Community oversight and feedback plays two essential roles in ensuring that any current surveillance program actually benefits your community. First, transparency about abuses of surveillance allows the community to determine whether the Surveillance Use Policy or any associated sanctions need to be revised to address the issue. Second, as your community learns first-hand whether surveillance is effective and how it impacts different individuals and groups, you may wish to reassess the purposes for which surveillance should be used or even whether it should still be used at all. Surveillance should be under the control of the community at all times, not just when it is initially being considered.
 How will the community continue to be informed about the surveillance program? It is important that your community’s oversight mechanisms not only are in place before surveillance is used but also remain available as long as the surveillance program continues or any collected data remains. This allows the community to continue to learn about and provide feedback on the effectiveness and impact of surveillance, and provides the information you will need to evaluate any changes going forward.

One of the most effective ways to keep your community informed is to produce an annual report about each surveillance technology that has been used in the past year. This report should include:
o A description of how and how often the technology was used; o Information, including crime statistics, that indicate whether the technology was effective at accomplishing its stated purpose;
o A summary of community complaints or concerns about the technology; o Information about any violations of the Surveillance Use Policy, data breaches, or similar incidents, including the actions taken in response, or results of any internal audits; o Whether and how data acquired through the use of the technology was shared with any outside entities;
o Statistics and information about Public Records Act requests, including responses; and o The total annual costs for the technology, including personnel and other ongoing costs, and any external funding available to fund any or all of those costs in the coming year.

In addition, there may be other ways to provide your community with information about the operation and effectiveness of the surveillance program. Responding to Public Records Act requests with as much information as possible, taking into account factors such as the privacy rights of individuals whose information may be included in the requested data, is one way to allow interested community members access to concrete information about the program. Creating standing committees of community members, regularly holding public events and forums, and establishing open inspection periods for the technology can also help keep the community informed.
 How will local officials and the public re‐evaluate the decision to engage in surveillance or the existing policies and safeguards?
The community’s decision to approve surveillance should be reconsidered on an annual basis. If there is evidence that calls into question the conclusion that the benefits of surveillance outweigh costs and concerns, or that there are better ways to achieve the same purpose with fewer costs or risks, policymakers should seek community input and take whatever action is appropriate to address these concerns. That may involve narrowing the purpose or scope of surveillance, requiring modifications to the Surveillance Use Policy, or exploring alternatives that better address community needs.

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24 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES Conclusion
Communities increasingly understand the need to make smart choices about surveillance technology and ensure that time, energy, and resources are not spent on systems that cost more, do less, and threaten the rights of community members. Community members demand — and deserve — a voice in any decisions about surveillance technology. Proper transparency, accountability, and oversight must be the rule in considering any surveillance technology proposal. We hope the recommendations in this guide help you work to enact local and state policies to ensure consistent public process each time surveillance technology is considered.

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Appendix: Model Surveillance & Community Safety Ordinance A. KEY PRINCIPLES OF THE MODEL ORDINANCE
o Informed Public Debate at Earliest Stage of Process: Public notice, distribution of information about the proposal, and public debate prior to seeking funding or otherwise moving forward with surveillance technology proposals.
o Determination that Benefits Outweigh Costs and Concerns: Local leaders, after facilitating an informed public debate, expressly consider costs (fiscal and civil liberties) and determine that surveillance technology is appropriate or not before moving forward. o Thorough Surveillance Use Policy: Legally enforceable Surveillance Use Policy with robust civil liberties, civil rights, and security safeguards approved by policymakers. o Ongoing Oversight & Accountability: Proper oversight of surveillance technology use and accountability through annual reporting, review by policymakers, and enforcement mechanisms.

B. MODEL ORDINANCE TEXT
The [Council/Board of Supervisors] finds that any decision to use surveillance technology must be judiciously balanced with the need to protect civil rights and civil liberties, including privacy and free expression, and the costs to [City/County]. The [Council/Board] finds that proper transparency, oversight, and accountability are fundamental to minimizing the risks posed by surveillance technologies. The [Council/Board] finds it essential to have an informed public debate as early as possible about whether to adopt surveillance technology. The [Council/Board] finds it necessary that legally enforceable safeguards be in place to protect civil liberties and civil rights before any surveillance technology is deployed. The [Council/Board] finds that if surveillance technology is approved, there must be continued oversight and annual evaluation to ensure that safeguards are being followed and that the surveillance technology’s benefits outweigh its costs.

NOW, THEREFORE, BE IT RESOLVED that the [Council/Board] of [City/County] adopts the following:

Section 1. Title
This ordinance shall be known as the Surveillance & Community Safety Ordinance.

Section 2. [Council/Board] Approval Requirement
1) A [City/County] entity must obtain [Council/Board] approval at a properly-noticed public hearing prior to any of the following:
a) Seeking funds for surveillance technology, including but not limited to applying for a grant or soliciting or accepting state or federal funds or in-kind or other donations; b) Acquiring new surveillance technology, including but not limited to procuring such technology without the exchange of monies or consideration; c) Using new surveillance technology, or using existing surveillance technology for a purpose, in a manner or in a location not previously approved by the [Council/Board]; or d) Entering into an agreement with a non-[City/County] entity to acquire, share or otherwise use surveillance technology or the information it provides. 2) A [City/County] entity must obtain [Council/Board] approval of a Surveillance Use Policy prior to engaging in any of the activities described in subsection (1)(b)-(d).

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26 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES Section 3. Information Required
1) The [City/County] entity seeking approval under Section 2 shall submit to the [Council/Board] a Surveillance Impact Report and a proposed Surveillance Use Policy at least forty-five (45) days prior to the public hearing.
2) The [Council/Board] shall publicly release in print and online the Surveillance Impact Report and proposed Surveillance Use Policy at least thirty (30) days prior to the public hearing.

Section 4. Determination by [Council/Board] that Benefits Outweigh Costs and Concerns The [Council/Board] shall only approve any action described in Section 2, subsection (1) of this ordinance after making a determination that the benefits to the community of the surveillance technology outweigh the costs and that the proposal will safeguard civil liberties and civil rights.

Section 5. Compliance for Existing Surveillance Technology Each [City/County] entity possessing or using surveillance technology prior to the effective date of this ordinance shall submit a proposed Surveillance Use Policy no later than ninety (90) days following the effective date of this ordinance for review and approval by [Council/Board]. If such review and approval has not occurred within sixty (60) days of the submission date, the [City/County] entity shall cease its use of the surveillance technology until such review and approval occurs.

Section 6. Oversight Following [Council/Board] Approval 1) A [City/County] entity which obtained approval for the use of surveillance technology must submit a Surveillance Report for each such surveillance technology to the [Council/Board] within twelve (12) months of [Council/Board] approval and annually thereafter on or before November 1. 2) Based upon information provided in the Surveillance Report, the [Council/Board] shall determine whether the benefits to the community of the surveillance technology outweigh the costs and whether civil liberties and civil rights are safeguarded. If the benefits do not outweigh the costs or civil rights and civil liberties are not safeguarded, the [Council/Board] shall direct that use of the surveillance technology cease and/or require modifications to the Surveillance Use Policy that will resolve the above concerns.
3) No later than January 15 of each year, the [Council/Board] shall hold a public meeting and publicly release in print and online a report that includes, for the prior year:
a. A summary of all requests for [Council/Board] approval pursuant to Section 2 or Section 5, including whether the [Council/Board] approved or rejected the proposal and/or required changes to a proposed Surveillance Use Policy before approval; and b. All Surveillance Reports submitted.

Section 7. Definitions
The following definitions apply to this Ordinance:
1) “Surveillance Report” means a written report concerning a specific surveillance technology that includes all of the following:
a. A description of how the surveillance technology was used; b. Whether and how often data acquired through the use of the surveillance technology was shared with outside entities, the name of any recipient entity, the type(s) of data disclosed, under what legal standard(s) the information was disclosed, and the justification for the disclosure(s);
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d. The results of any internal audits, any information about violations of the Surveillance Use Policy, and any actions taken in response;
e. Information, including crime statistics, that help the community assess whether the surveillance technology has been effective at achieving its identified purposes; f. Statistics and information about public records act requests, including response rates; and g. Total annual costs for the surveillance technology, including personnel and other ongoing costs, and what source of funding will fund the technology in the coming year. 2) “[City/County] entity” means any department, bureau, division, or unit of the [City/County]. 3) “Surveillance technology” means any electronic device, system utilizing an electronic device, or similar used, designed, or primarily intended to collect, retain, process, or share audio, electronic, visual, location, thermal, olfactory or similar information specifically associated with, or capable of being associated with, any individual or group.
4) “Surveillance Impact Report” means a publicly released written report including at a minimum the following: (a) Information describing the surveillance technology and how it works, including product descriptions from manufacturers; (b) information on the proposed purposes(s) for the surveillance technology; (c) the location(s) it may be deployed and crime statistics for any location(s); (d) an assessment identifying any potential impact on civil liberties and civil rights and discussing any plans to safeguard the rights of the public; and (e) the fiscal costs for the surveillance technology, including initial purchase, personnel and other ongoing costs, and any current or potential sources of funding.
5) "Surveillance Use Policy" means a publicly released and legally enforceable policy for use of the surveillance technology that at a minimum specifies the following:
a. Purpose: The specific purpose(s) that the surveillance technology is intended to advance. b. Authorized Use: The uses that are authorized, the rules and processes required prior to such use, and the uses that are prohibited.
c. Data Collection: The information that can be collected by the surveillance technology. d. Data Access: The individuals who can access or use the collected information, and the rules and processes required prior to access or use of the information. e. Data Protection: The safeguards that protect information from unauthorized access, including encryption and access control mechanisms.
f. Data Retention: The time period, if any, for which information collected by the surveillance technology will be routinely retained, the reason such retention period is appropriate to further the purpose(s), the process by which the information is regularly deleted after that period lapses, and the specific conditions that must be met to retain information beyond that period.
g. Public Access: How collected information can be accessed or used by members of the public, including criminal defendants.
h. Third Party Data
Sharing: If and how other [City/County] or non-[City/County] entities can access or use the information, including any required justification or legal standard necessary to do so and any obligations imposed on the recipient of the information. i. Training: The training required for any individual authorized to use the surveillance technology or to access information collected by the surveillance technology, including any training materials.
j. Auditing and Oversight: The mechanisms to ensure that the Surveillance Use Policy is followed, including internal personnel assigned to ensure compliance with the policy, internal recordkeeping of the use of the technology or access to information collected by the technology, technical measures to monitor for misuse, any independent person or entity with oversight authority, and the legally enforceable sanctions for violations of the policy.

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28 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES Section 8. Enforcement
1) Any violation of this Ordinance constitutes an injury, and any person may institute proceedings for injunctive relief, declaratory relief, or writ of mandate in any court of competent jurisdiction to enforce this Ordinance.
2) A court shall award costs and reasonable attorneys' fees to the plaintiff who is the prevailing party in an action brought to enforce this Ordinance.
3) In addition, for a willful, intentional, or reckless violation of this Ordinance, an individual shall be deemed guilty of a misdemeanor and may be punished by a fine not exceeding $1,000 per violation, imprisonment in the county jail for not more than six months, or both such a fine and imprisonment.

Section 9. Severability
The provisions in this Ordinance are severable. If any part or provision of this Ordinance, or the application of this Ordinance to any person or circumstance, is held invalid, the remainder of this Ordinance, including the application of such part or provisions to other persons or circumstances, shall not be affected by such holding and shall continue to have force and effect.

Section 10. Effective Date
This Ordinance shall take effect on [DATE].

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1 For example, the San Francisco Police Department’s Mission Statement states that “policing strategies must preserve and advance democratic values” and that “police must respect and protect the rights of all citizens as guaranteed by the state’s Constitution.” Police Department, Mission Statement, http://sf-police.org/index.aspx?page=1616. 2 B.T. Lewis & Taymeh Jahsi, Stop using social media to monitor south Fresno’s protesters, The Fresno Bee, Feb. 10, 2016, available at http://www.fresnobee.com/opinion/readers-opinion/article59388976.html. 3 Matt Cagle. This Surveillance Software is Probably Spying on #BlackLivesMatter, ACLU of Northern California (Dec. 15, 2015), https://www.aclunc.org/blog/surveillance-software-probably-spying-blacklivesmatter. 4 See Press Release, Leadership Conference, Civil Rights Principles for the Era of Big Data, http://www.civilrights.org/press/2014/civil-rights-principles-big-data.html. 5 Terrence O’Brien, Caught Spying on Student, FBI Demands GPS Tracker Back, Wired.com, Oct. 7, 2010, http://www.wired.com/2010/10/fbi-tracking-device/.
6 Michael Isikoff, FBI Tracks Suspects’ Cell Phones Without a Warrant, Newsweek, Feb, 18, 2010 (updated Mar. 13, 2010), available at http://www.newsweek.com/fbi-tracks-suspects-cell-phones-without-warrant-75099. 7 David Kravets, Rights Groups Decry New NSA Leak: Snooping on Muslim-Americans’ E-mail, Ars Technica (July 9, 2014), http://arstechnica.com/tech-policy/2014/07/rights-groups-decry-new-nsa-leak-snooping-on-muslim-americans-e- mail/.
8 Matt Apuzzo and Al Baker, New York to Appoint Civilian to Monitor Police’s Counterterrorism Activity, N.Y. Times, Jan. 7, 2016, available at http://www.nytimes.com/2016/01/08/nyregion/new-york-to-appoint-monitor-to-review-polices- counterterrorism-activity.html; Case page, Raza v. City of New York – Legal Challenge to NYPD Muslim Surveillance Program, Jan. 7, 2016, https://www.aclu.org/cases/raza-v-city-new-york-legal-challenge-nypd-muslim-surveillance- program.
9 See Tanvir v. Holder, Case No. 13-CV-6951 (S.D. N.Y. Apr. 22, 2014) (First Amended Complaint), available at http://apps.washingtonpost.com/g/documents/world/lawsuit-accusing-us-of-putting-people-on-no-fly-list-after-they- say-they-wont-spy/941/.
10 George Joseph, Exclusive: Feds Regularly Monitored Black Lives Matter Since Ferguson, The Intercept, July 24, 2015, https://theintercept.com/2015/07/24/documents-show-department-homeland-security-monitoring-black-lives-matter- since-ferguson/.
11 Matt Cagle. This Surveillance Software is Probably Spying on #BlackLivesMatter, ACLU of Northern California (Dec. 15, 2015), https://www.aclunc.org/blog/surveillance-software-probably-spying-blacklivesmatter; see also Shaun King, Fresno police join group of officials monitoring #BlackLivesMatter hashtag, labeling a peaceful movement a threat, N.Y. Daily News, Dec. 17, 2015, available at http://www.nydailynews.com/news/national/king-monitoring-blacklivesmatter-labels-movement- threat-article-1.2468808.
12 David Rogers, Black Lives Matter Supporters in Oregon Targeted by State Surveillance, ACLU Speak Freely blog, Nov. 11, 2015, https://www.aclu.org/blog/speak-freely/black-lives-matter-supporters-oregon-targeted-state-surveillance; Courtney Sherwood, Oregon attorney general ‘appalled’ by probe of Black Lives Matter, Reuters, Nov. 11, 2015, http://www.reuters.com/article/us-oregon-race-idUSKCN0T104N20151112. 13 Jeremy Gillula and Dave Maass, What You Can Learn from Oakland’s Raw ALPR Data, Electronic Frontier Foundation, Jan. 21, 2015, https://www.eff.org/deeplinks/2015/01/what-we-learned-oakland-raw-alpr-data. 14 Angel Jennings, Richard Winston & James Rainey, Sherriff’s Secret Air Surveillance of Compton Sparks Outrage, L.A. Times, Apr. 23, 2014, available at http://www.latimes.com/local/lanow/la-me-ln-sheriffs-surveillance-compton-outrage- 20140423-story.html.
15 Andrea Peterson, LOVEINT: When NSA Officers Use Their Spying Power on Love Interests, Wash. Post, Aug. 24, 2013, available at http://www.washingtonpost.com/blogs/the-switch/wp/2013/08/24/loveint-when-nsa-officers-use-their- spying-power-on-love-interests/.
16 See Julia Angwin & Jennifer Valentino-DeVries, New Tracking Frontier: Your License Plates, Wall St. J., Sep. 29, 2012, available at http://online.wsj.com/news/articles/SB10000872396390443995604578004723603576296. 17 Jenna McLaughlin, The FBI v. Apple Debate Just Got Less White, The Intercept, Mar. 8, 2016, https://theintercept.com/2016/03/08/the-fbi-vs-apple-debate-just-got-less-white/. 18 Rania Khalek, Activists of Color Lead Charge Against Surveillance, NSA, Truthout, Oct. 30, 2013, http://www.truth- out.org/news/item/19695-activists-of-color-at-forefront-of-anti-nsa-movement. 19 Riley v. California, 134 S. Ct. 2473, 2489 (2014).
20 United States v. Jones, 132 S.Ct. 945, 955, 56 (2012).

Endnotes
Item 1N - Page 83
30 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES

21 Adam Goldman & Matt Apuzzo, NYPD Defends Tactics over Mosque Spying; Records Reveal New Details on Muslim Surveillance, Huffington Post (Feb 25, 2012), http://www.huffingtonpost.com/2012/02/24/nypd-defends-tactics- over_n_1298997.html; Adam Goldman & Matt Apuzzo, New York Drops Unit That Spied on Muslims, N.Y. Times, April 15, 2014, available at http://www.nytimes.com/2014/04/16/nyregion/police-unit-that-spied-on-muslims-is- disbanded.html.
22 Hina Shamsi and Ramzi Kassem, The NYPD spied on Muslim Americans. Will a court settlement change anything?, The Guardian, Jan. 8, 2016, http://www.theguardian.com/commentisfree/2016/jan/08/nypd-spied-muslim-americans-will- court-settlement-bring-change.
23 Angel Jennings, Richard Winston & James Rainey, Sherriff’s Secret Air Surveillance of Compton Sparks Outrage, L.A. Times, Apr. 23, 2014, available at http://www.latimes.com/local/lanow/la-me-ln-sheriffs-surveillance-compton-outrage- 20140423-story.html.
24 Police Executive Research Forum, How Are Innovations in Technology Transforming Policing? 26 (Jan. 2012) [hereinafter PERF Report], available at http://www.policeforum.org/assets/docs/Critical_Issues_Series/ how%20are%20innovations%20in%20technology%20transforming%20policing%202012.pdf. 25 Press Release, Office of the Controller, Butkovitz Alarmed by Police Camera Program, June 20, 2012, http://www.philadelphiacontroller.org/page.asp?id=792.
26 See Fazaga v. FBI, 844 F.Supp.2d 1022 (C.D. Cal. 2012). 27 Adam Goldman, NYPD settles lawsuits over Muslim monitoring, Wash. Post, Jan. 7, 2016, available at https://www.washingtonpost.com/world/national-security/nypd-settles-lawsuits-over-muslim- monitoring/2016/01/07/bdc8eb98-b3dc-11e5-9388-466021d971de_story.html. 28 See Tim Cushing, Another Bogus Hit from a License Plate Reader Results in Another Citizen Surrounded by Cops with Guns Out, TechDirt (May 23, 2014), https://www.techdirt.com/articles/20140513/07404127218/another-bogus-hit-license-plate- reader-results-another-citizen-surrounded-cops-with-guns-out.shtml. 29 Symposium, The Value of Privacy, U. Cal.-Hastings School of L. Const. L. Q., Apr. 7, 2014 (oral remarks), available at http://livestre.am/4P7Lk.
30 Cal. Civil Code § 1798.29 (2014).
31 Larry Ponemon, Cost of Data Breaches Rising Globally, Says ‘2015 Cost of a Data Breach Study: Global Analysis,’ May 27, 2015, https://securityintelligence.com/cost-of-a-data-breach-2015/. 32 Will Kane, Oakland to Limit Surveillance Center to Port, Airport, S.F. Gate, Mar. 6, 2014, available at http://www.sfgate.com/bayarea/article/Oakland-to-limit-surveillance-center-to-port-5290273.php. 33 Cyrus Farivar, In rare move, Silicon Valley county gov’t kills stingray acquisition, Ars Technica, May 7, 2015, http://arstechnica.com/tech-policy/2015/05/in-rare-move-silicon-valley-county-govt-kills-stingray-acquisition/. 34 Press Release, San Jose Police Provide Statement Regarding Purchase of Unmanned Aerial System (UAS), San Jose Police Dept., Aug. 5, 2014, available at http://www.sjpd.org/iNews/viewPressRelease.asp?ID=1874. 35 Robert Salonga, San Jose: Police apologize for drone secrecy, promise transparency, San Jose Mercury News, Aug. 5, 2014, available at http://www.mercurynews.com/crime-courts/ci_26279254/san-jose-police-apologize-secret-drone-purchase- promise.
36 Riley v. California, 573 U.S. (2014), Slip Op. at *28. 37 U.S. v. Jones, 132 S. Ct. 945, 954 (2012) (Sotomayor, J., concurring); id. at 957 (Alito, Ginsberg, Breyer, and Kagan, J., concurring in the judgment).
38 Charlie Savage and Jonathan Wiseman, N.S.A. Collection of Bulk Call Data Is Ruled Illegal, N.Y. Times, May 7, 2015, available at http://www.nytimes.com/2015/05/08/us/nsa-phone-records-collection-ruled-illegal-by-appeals-court.html; Klayman v. Obama, Civ. No. 13-0851 (D.D.C. Dec. 16, 2013). 39 Ballot Pamplet., Proposed Amendments to Cal. Const. with Arguments to Voters, Gen. Elec. (Nov. 7, 1972). 40 White v. Davis, 533 P.2d (Cal. 1975).
41 People v. Cook 41 Cal. 3d 373 (1985).
42 Robins v. Pruneyard Shopping Center, 592 P.2d 899 (Cal. 1979) (holding that, under the California Constitution, members of the public have a legal right to pass out pamphlets and seek signatures in a privately owned shopping center), aff’d, .447 U.S. 74 (1980).
43 Cal. Penal Code §§ 1546-1546.4. See generally Tracy Seipel and Eric Kurhi, California digital privacy laws boosted, protecting consumers from Big Brother, big business, San Jose Mercury News, Oct. 9, 2015, available at http://www.mercurynews.com/health/ci_28948653/california-digital-privacy-laws-boosted-protecting-consumers- from.
44 Cal. Gov’t Code § 53166.
45 Cal. Civil Code §§ 1798.29, 1798.82, and 1798.90.5.

Item 1N - Page 84
31 ONLINE AT ACLUNC.ORG/SMARTABOUTSURVEILLANCE

46 Jennifer Steinhauer and Jonathan Weisman, U.S. Surveillance in Place Since 9/11 Is Sharply Limited, N.Y. Times, Jun. 2, 2015, available at http://www.nytimes.com/2015/06/03/us/politics/senate-surveillance-bill-passes-hurdle-but- showdown-looms.html?_r=0; see also U.S.A. Freedom Act, H.R. 2048, 114th Cong. (2016). 47 Allie Bohm, Status of Location Privacy Legislation in the States, ACLU Free Future (April 8, 2014), https://www.aclu.org/blog/technology-and-liberty-national-security/status-location-privacy-legislation-states (as of May 6, 2014).
48 Allie Bohm, Status of 2014 Domestic Drone Legislation in the States, ACLU Free Future (April 22, 2014), https://www.aclu.org/blog/technology-and-liberty/status-2014-domestic-drone-legislation-states (as of May 6, 2014). 49Smart About Surveillance, ACLU of California, http://www.aclunc.org/smartaboutsurveillance. 50 Id.
51 Interview with Brian Hofer, Transparency over secrecy: Oakland’s surveillance policy, KALW Local Public Radio, available at http://kalw.org/post/transparency-over-secrecy-oakland-s-surveillance-policy#stream/0. 52 See Bonnie Eslinger, Menlo Park Council Approves Ordinance Regulating Police Use of Surveillance, San Jose Mercury News, May 14, 2014, available at http://www.mercurynews.com/breaking-news/ci_25766277/menlo-park-council-approves- ordinance-regulating-police-use; Seattle City Council Enacts Groundbreaking Legislation Protecting Residents’ Civil Liberties, Local Progress (May 1, 2013), http://localprogress.org/seattle-city-council-enacts-groundbreaking-legislation-protecting- residents-civil-liberties/.
53 U.S. Dep’t of Homeland Security, CCTV: Developing Best Practices (2007), available at http://www.dhs.gov/xlibrary/assets/privacy/privacy_rpt_cctv_2007.pdf. 54 State of Surveillance in California – Findings and Recommendations, ACLU of California, Jan. 2015, available at https://www.aclunc.org/sites/default/files/201501-aclu_ca_surveillancetech_summary_and_recommendations.pdf. 55 Redlands Police Department, Citizen Privacy Council, http://www.cityofredlands.org/police/CPC. 56 Halima Kazen, Watching the Watchers: Oakland Seeks Control of Law Enforcement Surveillance, The Guardian, July 13, 2015, available at http://www.theguardian.com/us-news/2015/jul/13/oakland-law-enforcement-surveillance. 57 Memorandum, Establishing Ad Hoc Committee to Review the Community Warning System and Industrial Safety Ordinance (Sept. 18, 2012), http://64.166.146.155/agenda_publish.cfm?mt=ALL&get_month=9&get_year=2012&dsp=agm& seq=12339&rev=0&ag=241&ln=23604&nseq=0&nrev=0&pseq=12303&prev=0. 58 Keynote address of Malkia Cyril, Targeted Surveillance, Civil Rights, and the Fight for Democracy, Center for Media Justice, Oct. 13, 2015, available at http://centerformediajustice.org/2015/10/13/targeted-surveillance-civil-rights-and-the-fight- for-democracy/.
59 See Memorandum, City Administrator’s Weekly Report (Apr. 25, 2014), http://www2.oaklandnet.com/oakca1/groups/cityadministrator/documents/report/oak046804.pdf. 60 http://www2.oaklandnet.com/Government/o/CityAdministration/d/PrivacyAdvisoryCommission/index.htm 61 Matt Richtel, A Police Gadget Tracks Phones? Shhh! It’s Secret, N.Y. Times, Mar. 15, 2015, available at http://www.nytimes.com/2015/03/16/business/a-police-gadget-tracks-phones-shhh-its-secret.html?_r=0; Cyrus Farivar, In rare move, Silicon Valley county gov’t kills stingray acquisition, Ars Technica, May 7, 2015, http://arstechnica.com/tech-policy/2015/05/in-rare-move-silicon-valley-county-govt-kills-stingray-acquisition/. 62 Ali Winston, Oakland City Council Rolls Back the Domain Awareness Center, East Bay Express (Mar. 5, 2014), http://www.eastbayexpress.com/SevenDays/archives/2014/03/05/oakland-city-council-rolls-back-the-dac. 63 Cyrus Farivar, In rare move, Silicon Valley county gov’t kills stingray acquisition, Ars Technica, May 7, 2015, http://arstechnica.com/tech-policy/2015/05/in-rare-move-silicon-valley-county-govt-kills-stingray-acquisition/. 64 John Malkin, Surveillance City? GoodTimes, Jan 29, 2014, http://www.gtweekly.com/index.php/santacruznews/goodtimescoverstories/5386surveillancecity.html. 65 Robert Salonga, San Jose: Police Apologize for Drone Secrecy, Promise Transparency, San Jose Mercury News, Aug 5, 2014, available at http://www.mercurynews.com/crime-courts/ci_26279254/san-jose-police-apologize-secret-drone-purchase- promise.
66 See Oakland City Auditor, Police Technology Performance Audit: FY 2006–07 through 2010–11 (2012), available at http://www.oaklandauditor.com/images/oakland/auditreports/0pd%20tech.pdf. 67 See Citris, Cistris Study on SF Public Cameras Released (Jan. 9, 2009), http://citris-uc.org/citris-study-on-sf-public- cameras-released/.
68 See David P. Farrington & Brandon C. Welsh, Effects of Improved Street Lighting on Crime: A Systematic Review, Home Office Research Study 251 (Aug. 2002), p. 42; Ronald V. Clarke, U.S. Department of Justice, Office of Community Oriented Policing Services, Improving Street Lighting to Reduce Crime in Residential Areas (Dec. 2008), available at http://cops.usdoj.gov/Publications/e1208-StreetLighting.pdf; Jay Beeber, Collision Analysis of the Photo Enforced Intersection in Walnut, CA, http://www.thenewspaper.com/rlc/docs/2014/ca-walnut.pdf. 69 See Steve Scauzillo, Red Light Cameras Being Stopped, L.A. Daily News (Jan. 21, 2014), http://www.dailynews.com/general-news/20140121/red-light-cameras-being-stopped.

Item 1N - Page 85
32 MAKING SMART DECISIONS ABOUT SURVEILLANCE: A GUIDE FOR COMMUNITIES

70 PERF Report, supra note 24, at 44.
71 United States v. Jones, 132 S. Ct. 945 (2012); Joann Pan, FBI Turns Off 3000 GPS Devices After Ruling, Mashable (Feb. 27, 2012), http://mashable.com/2012/02/27/fbi-turns-off-3000-gps-devices/. 72 Kashmir Hill, Whoops, Anyone Could Watch California City’s Police Surveillance Cameras, Forbes.com (Aug. 21, 2014), http://www.forbes.com/sites/kashmirhill/2014/08/11/surveillance-cameras-for-all/. 73 Seattle City Council Enacts Groundbreaking Legislation Protecting Residents’ Civil Liberties, Local Progress (May 1, 2013), http://localprogress.org/seattle-city-council-enacts-groundbreaking-legislation-protecting-residents-civil-liberties/; Jamela Debelak, ACLU of Washington, Surveillance: Spokane Acts to Protect Privacy and Provide Transparency (Aug. 21, 2013), https://aclu-wa.org/blog/surveillance-spokane-acts-protect-privacy-and-provide-transparency. 74 Matt Cagle, Alameda County Just Got a Privacy Upgrade – Alameda County, It’s Your Move, ACLU of Northern California blog, Nov. 17, 2015, https://www.aclunc.org/blog/california-just-got-privacy-upgrade-alameda-county-its-your-move. 75 State of Surveillance in California – Findings and Recommendations, ACLU of California, Jan. 2015, available at https://www.aclunc.org/sites/default/files/201501-aclu_ca_surveillancetech_summary_and_recommendations.pdf. 76 Seattle City Council, Public Safety, Civil Rights and Technology Committee May 2, 2012, Seattle Channel, at 38:55, http://www.seattlechannel.org/mayor-and-council/city-council/20122013-public-safety-civil-rights-and-technology- committee/?videoid=x23397.
77 Terry McFadden, Technology Helping Police to Receive Warrants Faster, WNDU.com (July 8, 2013), http://www.wndu.com/ news/specialreports/headlines/Technology-helping-police-to-receive-search-warrants-faster--214651051.html. 78 18 U.S.C. § 2518(5) (2014).
79 Ohio State Highway Patrol Policy No. OSP-103.29 (revised Dec. 23, 2008). 80 Julia Reynolds, Monterey County Grand Jury Finds Computer Data Risks, Monterey Herald, Aug. 21, 2014, available at http://www.montereyherald.com/news/ci_26009592/monterey-county-grand-jury-finds-computer-data-risks. 81 Dianne Feinstein, NSA Officers Spy on Love Interests, Wall St. J., Aug. 23, 2013, available at http://blogs.wsj.com/washwire/2013/08/23/nsa-officers-sometimes-spy-on-love-interests/; Anjali Hemphill, Dating on Duty: Officers Accused of Screening Dates Using Police System, CBS 13 Sacramento (Aug. 22, 2014), http://sacramento.cbslocal.com/2014/08/22/dating-on-duty-officers-accused-of-screening-dates-using-police-system/. 82 See Bonnie Eslinger, Menlo Park Council Approves Ordinance Regulating Police Use of Surveillance, San Jose Mercury News, May 14, 2014, available at http://www.mercurynews.com/breaking-news/ci_25766277/menlo-park-council-approves- ordinance-regulating-police-use.
83 PERF Report, supra note 24, at 36.
84 Dan Brekke, Oakland Approves Scaled-Back Version of Disputed Surveillance Center, KQED.com, Mar. 5, 2014, http://ww2.kqed.org/news/2014/03/04/oakland-mayor-jean-quan-suggests-scaling-back-domain-awareness-center. 85 George Hostetter, Former Judge Wanger Writes Far-Ranging Audit on Fresno Video Policing, Fresno Bee, Jan. 7, 2014, available at http://www.fresnobee.com/2014/01/07/3701754/judge-wanger-delivers-impressive.html.

Back Cover Citations

Editorial, ACLU offers a smart safeguard for using surveillance technology, The Los Angeles Times, Nov. 23, 2014, available at http://www. latimes.com/opinion/editorials/la-ed-surveillance-and-privacy-20141123-story.html.

Editorial, Bay Area governments must protect citizen privacy, San Francisco Chronicle, Feb. 25, 2015, available at http://www.sfchronicle. com/opinion/editorials/article/Bay-Area-governments-must-protect-citizen-privacy- 6101993.php.

Steven Greenhut, Surveillance is sneaking its way into cities, The San Diego Union-Tribune, Nov. 17, 2014, available at http://www.sandiegouniontribune.com/news/2014/nov/17/surveillance-sneaking-cities-model-ordinance-aclu/.

Editorial, ACLU push for surveillance policy is timely, San Jose Mercury News, Nov. 13, 2014, available at http://www.mercurynews.com/ opinion/ci_26932183/mercury-news-editorial-aclu-push-surveillance-policy-is.

Item 1N - Page 86
Police are spending billions of
dollars on very sophisticated
and invasive surveillance
technology. Too many of these
programs are moving forward
without public conversation,
careful consideration of the
costs and benefits, or adequate
policies in place to prevent
misuse and protect rights.

This guide provides a step-
by-step framework to
ask and answer the right
questions about surveillance
proposals and build in proper
mechanisms for transparency,
accountability, and oversight.

The guide also includes dozens
of case studies highlighting
smart approaches and missteps
to avoid and model language
for policymakers to adopt to
make sure the right process is
used every time a surveillance
proposal is considered.
“ The ACLU’s approach to vetting new technologies is so pr
agmatic that cities, counties and law enforcement
agencies throughout California would be foolish
not to embrace it. ”
–Editorial, Los Angeles Times
“
We ur
ge more city and county governments to…[study]
an ordinance that would set specific rules about what
can be done with citizens’ private information. ”
–Editorial, San Francisco Chronicle

“
It
’s easy to see the value in [ACLU’s] approach—in all
areas of government... “
– Stev
en Greenhut, San Diego Union-Tribune
“ Elect
ed leaders, not police departments, should set
policy for the use of surveillance equipment. This is the ACLU recommendation. It’s also common sense. “
–Editorial, San Jose Mercury News
Item 1N - Page 87
•
ACLU

AMERICAN CIVIL LIBER TIES UNION
of CALIFORNIA

CITY COUNCIL STAFF REPORT
09/26/2023
SUBJECT:

APPROVE AN EMERGENCY CONTRACT SERVICES AGREEMENT NO. 23E228

WITH UNIVERSAL PROTECTION SERVICE LP DBA ALLIED UNIVERSAL

SECURITY SERVICES FOR AVIATION WORKERS AND INBOUND CARGO

SCREENING FOR PALM SPRINGS INTERNATIONAL AIRPORT
RECOMMENDATION:

Approve an emergency Contract Services Agreement No. 23E228 with Universal Protection Service, LP dba Allied Universal Security Services to provide aviation worker and inbound cargo screening at the Palm Springs International Airport in an amount not to exceed $267,074.08, for the initial one-year term beginning September 25, 2023, through September 24, 2024.

1. Appropriate $267,074.08 from Airport Fund 415 to Account 4157026.40105 budget.

2. Authorize the City Manager or designee to execute all necessary documents.3.

Attachments
Item 1O

CITY COUNCIL STAFF REPORT

DATE: SEPTEMBER 26, 2023 CONSENT CALENDAR

SUBJECT: APPROVE AN EMERGENCY CONTRACT SERVICES AGREEMENT NO. 23E228 WITH UNIVERSAL PROTECTION SERVICE LP DBA

ALLIED UNIVERSAL SECURITY SERVICES FOR AVIATION WORKER

AND INBOUND CARGO SCREENING FOR PALM SPRINGS

INTERNATIONAL AIRPORT

FROM: Scott C. Stiles, City Manager

BY: Department of Aviation

SUMMARY:

This action will approve an emergency Contract Services A greement No. 23E228 with Universal Protection Service, LP dba Allied Universal Security Services in an amount not to exceed $267,074.08, for aviation worker and i nbound cargo screening for the Palm Springs international Airport (Airport).

RECOMMENDATION:

1. Approve an emergency Contract Services Agreement No. 23E228 (Attachment A) with Universal Protection Service, LP dba Allied Universal Security Services to provide aviation worker and i nbound cargo screening at the Palm Springs International Airport in an amount not to exceed $267,074.08, for the initial one - year term beginning September 25, 2023 through September 24, 2024.

2. Appropriate $ 267,074.08 from Airport Fund 415 to Account 4157026.40105 budget.

3. Authorize the City Manager or designee to execute all necessary documents.

BUSINESS PRINCIPAL DISCLOSURE:

According to the Public Integrity Disclosure Form ( Attachment B ) submitted on September 14, 2023, Universal Protection Service, LP dba Allied Universal Security Services is a Limited Partnership registered to do business in California.

Item 1O - Page 1
City Council Staff Report
September 26, 2023-- Page 2
Agreement with Universal Protection Service, LP dba Allied Universal Security Services

BACKGROUND:

The Airport has a single passenger Security Screening Checkpoint (SSCP) that is centrally located in the main terminal. The SSCP consists of six lanes which are staffed and managed by the Transportation Security Administration (TSA) to screen all departing airline passengers prior to boarding an aircraft. In 2022, a total of 1,500,618 passengers were screened by the TSA, a 43% increase from 2021, which marked the highest year that a greater number of passengers were screened compared to previous years.

The Airport has approximately 1,100 aviation workers, staffed by airlines, concessionaires, and City employees who are not subject to the same screening process as airline passengers, but instead undergo background and criminal history checks. Aviation workers who have an operational need to access the Secured or Sterile areas surrounding the commercial passenger terminal from the public areas are issued Security Identification Display Area (SIDA) or Area Operations Area (AOA) badges that are required to access the Airport’s controlled doors that are not staffed by TSA.

The TSA issued a nationwide ai rport requirement to enhance the insider threat deterrence and detection by creating an expectation that every aviation worker with access to the Secured or Sterile Areas of an airport must be screened for insider threats, and airports nationwide are required to implement an Airport Secur ity Program with a phased approach for the new initiative by September 25, 2023.

The following are the three phases that an airport must implement in the following order:

• Phase I – On September 25, 2023, the aviation worker screening begins with using a hand wand to search workers before entering the Sterile or Secured Areas. It also includes a search through any bags , purses, or backpacks at a random continuous manner.

• Phase II – Prior to October 25, 2024, the airport is required to submit an implementation plan for Explosive Detection Screening Equipment (EDSE), including methods, equipment details, purchase date and operational dates.

• Phase III – Prior to April 26, 2026, the EDSE is implemented.

STAFF ANALYSIS:

The imposed TSA initiative entails the screening of a viation workers for unauthorized possession of weapons, explosives, or incendiaries during their respective operating hours. These requirements are critical for enhancing security and mitigating insider threats. To effectively meet these mandates and ensure the safety and security of our passengers and operations, the engagement of a third- party security company is Item 1O - Page 2
City Council Staff Report
September 26, 2023-- Page 3
Agreement with Universal Protection Service, LP dba Allied Universal Security Services

imperative. The third-party security company personnel must have the ability to detect and report all p rohibited items listed on the TSA’s p rohibited items list. Screening operations must occur in a random, continuous manner during the eight (8) hours of employee and cargo screening. Allied Universal Security Services will bring the necessary expertise, technology, and resources to implement the extensive aviation worker screening procedures outlined in the TSA mandate, thereby reinforcing the integrity of the Airport's security measures.

To ensure the implementation of Phase l on September 25, 2023, staff ha d requested and received an emergency declaration from the City of Palm Springs City Manager to implement services from Allied Universal Services to conduct daily screening of aviation workers and the inspection of cargo at the Airport. The Airport intends to issue a request for proposal for future services prior to the expiration of the one- year agreement with Allied Universal Security Services.

Staff is recommending approval of the Contract Services Agreement with Universal Protection Service, LP dba Allied Universal Security Services for an amount not to exceed $267,074.08, for the initial one- year term beginning September 25, 2023 through September 24 , 2024, to ensure the safety and well -being within the aviation community.

ENVIRONMENTAL ASSESSMENT
:

The requested City Council action is not a “Project” as defined by the California Environmental Quality Act (CEQA). Pursuant to Section 15378(a), a “Project” means the whole of an action, which has a potential for resulting in either a direct physical change in the environment, or a reasonably foreseeable indirect physical change in the environment. The requested action is to approve contracts for the above- mentioned services, and is exempt from CEQA pursuant to Section 15378(b), in that a “Project” does not include: (5) Organizational or administrative activities of governments that will not result in direct or indirect physical changes in the environment.

ALIGNMENT WITH STRATEGIC PLANNING:

Approval of this action supports City Council priority 1 – Quality of Life , 1B – Crime Reduction.

FISCAL IMPACT
:

Approval of this action includes an appropriation of $267 ,074.08 from the Airport Fund Balance Account 4157026.40105 in Fiscal Year 2023.

Item 1O - Page 3
City Council Staff Report
September 26, 2023-- Page 4
Agreement with Universal Protection Service, LP dba Allied Universal Security Services

REVIEWED BY:

Department Director: Harry Barrett, Jr.

Finance Director: Kristopher Mooney
Procurement and Contracting Director: Kim Baker
City Attorney: Geremy Holm
City Manager: Scott Stiles

ATTACHMENTS:

A. Contract Services Agreement No. 23E228
B. Public Integrity Disclosure Form
Item 1O - Page 4

ATTACHMENT A
CONTRACT SERVICES AGREEMENT NO. 23E228

WITH UNIVERSAL PROTECTION SERVICE LP

DBA ALLIED UNIVERSAL SECURITY SERVICES
Item 1O - Page 5

Revised 4.13.23 Page 1 of 66

CONTRACT SERVICES AGREEMENT NO. 23E228

UNIVERSAL PROTECTION SERVICE, LP DBA ALLIED

UNIVERSAL SECURITY SERVICES

THIS AGREEMENT FOR CONTRACT SERVICES (“Agreement”) is made and entered into on September 25, 2023, by and between the City of Palm Springs, a California charter city and municipal corporation (“City”), and Universal Protection Service, LP dba Allied Universal Security Services (“Contractor”). City and Contractor are individually referred to as “Party” and are collectively referred to as the “Parties”.

RECITALS

A. City requires the services of a Contractor, for the Transportation Security Administration (TSA) Aviation Worker and Inbound Cargo Screening at the Palm Springs International Airport, (“Project”).

B. Contractor has submitted to City a proposal to provid e Aviation Worker and Inbound Cargo Screening at the Palm Springs International Airport, to City under the terms of this Agreement.

C. Based on its experience, education, training, and reputation, Contractor is qualified and desires to provide the necessary services to City for the Project.

D. City desires to retain the services of Contractor for the Project.

NOW, THEREFORE, in consideration of the promises and mutual obligations, covenants, and conditions contained herein, and other valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties agree as follows:

AGREEMENT

1. CONTRACTOR SERVICES

1.1 Scope of Services. In compliance with all terms and conditions of this Agreement, Contractor shall provide services to City as described in the Scope of Services/Work attached to this Agreement as Exhibit “A” and incorporated herein by reference (the “Services” or “Work”).

Exhibit "A" includes the agreed upon schedule of performance and the schedule of fees.

Contractor warrants that the Services shall be performed in a competent, professional, and satisfactory manner consistent with the level of care and skill ordinarily exercised by high quality, experienced, and well qualified members of the profession currently practicing under similar conditions. In the event of any inconsistency between the terms contained in the Scope of Services/Work and the terms set forth in this Agreement, the terms set forth in this Agreement shall govern.

1.2 Compliance with Law. Contractor shall comply with all applicable federal, state, and local laws, statutes and ordinances and all lawful orders, rules, and regulations when performing the Services. Contractor shall be liable for all violations of such laws and regulations in connection with the Services and this Agreement.

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1.3 Licenses and Permits . Contractor shall obtain at its sole cost and expense such licenses, permits, and approvals as may be required by law for the performance of the Services required by this Agreement.

1.4 Familiarity with Work. By executing this Agreement, Contractor warrants that it has carefully considered how the Work should be performed and fully understands the facilities, difficulties, and restrictions attending performance of the Work under this Agreement.

2. TIME FOR COMPLETION
The time for completion of the Services to be performed by Contractor is an essential condition of this Agreement. Contractor shall prosecute regularly and diligently the work of this Agreement according to the agreed upon schedule of performance set forth in Exhibit “A.” Neither Party shall be accountable for delays in performance caused by any condition beyond the reasonable control and without the fault or negligence of the non-performing Party. Delays shall not entitle Contractor to any additional co mpensation regardless of the Party responsible for the delay.

3. COMPENSATION OF CONTRACTOR

3.1 Compensation of Contractor. Contractor shall be compensated and reimbursed for the services rendered under this Agreement in accordance with the schedule of fees set forth in Exhibit “A”. The total amount of Compensation shall not exceed $267,074.08.

3.2 Method of Payment . In any month in which Contractor wishes to receive payment, Contractor shall submit to City an invoice for Services rendered prior to the date of the invoice, no later than the first working day of such month, in the form approved by City’s finance director. Payments shall be based on the hourly rates set forth in Exhibit “A” for authorized services performed. City shall pay Contractor for all expenses stated in the invoice that are approved by City and consistent with this Agreement, within thirty (30) days of receipt of Contractor’s invoice.

3.3 Changes. In the event any change or changes in the Services is requested by City, Parties shall execute a written amendment to this Agreement, specifying all proposed amendments, including, but not limited to, any additional fees. An amendment may be entered into:

A. To provide for revisions or modifications to documents , work product, or Work, when required by the enactment or revision of any subsequent law; or B. To provide for additional services not included in this Agreement or not customarily furnished in accordance with generally accepted practice in Contractor’s profession.

3.4 Appropriations. This Agreement is subject to, and contingent upon, funds being appropriated by the City Council of City for each fiscal year. If such appropriations are not made, this Agreement shall automatically terminate without penalty to City.

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4. PERFORMANCE SCHEDULE

4.1 Time of Essence. Time is of the essence in the performance of this Agreement.

4.2 Schedule of Performance. All Services rendered under this Agreement shall be performed under the agreed upon schedule of performance set forth in Exhibit “A .” Any time period extension must be approved in writing by the Contract Officer.

4.3 Force Majeure. The time for performance of Services to be rendered under this Agreement may be extended because of any delays due to a Force Majeure Event , if Contractor notifies the Contract Officer within ten (10) days of the commencement of the Force Majeure Event. A Force Majeure Event shall mean an event that materially affects the Contractor’s performance and is one or more of the following: (1) Acts of God or other natural disasters occurring at the project site; (2) terrorism or other acts of a public enemy; (3) orders of governmental authorities (including, without limitation, unreasonable and unforeseeable delay in the issuance of permits or approvals by governmental authorities that are required for the Work); and (4) pandemics, epidemics or quarantine restrictions . For purposes of this section, “orders of governmental authorities,” includes ordinances, emergency proclamations and orders, rules to protect the public health, welfare and safety, and other actions of the City in its capacity as a municipal authority. After Contractor notification, the Contract Officer shall investigate the facts and the extent of any necessary delay and extend the time for performing the Services for the period of the enforced delay when and if , in the Contract Officer’s judgment, such delay is justified. The Contract Officer’s determination shall be final and conclusive upon the Parties to this Agreement. The Contractor will not receive an adjustment to the contract price or any other compensation. Notwithstanding the foregoing, the City may still terminate this Agreement in accordance with the termination provisions of this Agreement.

4.4 Term. Unless earlier terminated in accordance with Section 4.5 of this Agreement, this Agreement s hall continue in full force and effect for a period of one-year, commencing on September 25 , 2023, and ending on September 24 , 20 24, unless extended by mutual written agreement of the Parties.

4.5 Termination Prior to Expiration of Term . City may terminate this Agreement at any time, with or without cause, upon thirty (30) days written notice to Contractor. W here termination is due to the fault of Contractor and constitutes an immediate danger to health, safety, and general welfare, the period of notice shall be such shorter time as may be determined by the City. Upon receipt of the notice of terminati on, Contractor shall immediately cease all Services except such as may be specifically approved by the Contract Officer. Contractor shall be entitled to compensation for all Services rendered prior to receipt of the notice of termination and for any Services authorized by the Contract Officer after such notice. City shall not be liable for any costs other than the charges or portions thereof which are specified herein. Contractor shall not be entitled to payment for unperformed Services and shall not be entitled to damages or compensation for termination of Work. If the termination is for cause, the City shall have the right to take whatever steps it deems necessary to correct Contractor's deficiencies and charge the cost thereof to Contractor, who shall be liable for the full cost of the City's corrective action. Contractor may not terminate this Agreement except for cause, upon thirty (30) days written notice to City.

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5. COORDINATION OF WORK

5.1 Representative of Contractor. The following principal of Contractor is designated as being the prin cipal and representative of Contractor authorized to act and make all decisions in its behalf with respect to the specified Services: Steven Claton, President. It is expressly understood that the experience, knowledge, education, capability, and reputation of the foregoing principal is a substantial inducement for City to enter into this Agreement. Therefore, the foregoing principal shall be responsible during the term of this Agreement for directing all activities of Contractor and devoting sufficient time to personally supervise the Services under this Agreement. The foregoing principal may not be changed by Contractor without prior written approval of the Contract Officer.

5.2 Contract Officer . The Contract Officer shall be the City Manager or his/her designee ("Contract Officer"). Contractor shall be responsible for keeping the Contract Officer fully informed of the progress of the performance of the Services. Contractor shall refer any decisions that must be made by City to the Contract Officer. Unless otherwise specified, any approval of City shall mean the approval of the Contract Officer.

5.3 Prohibition Against Subcontracting or Assignment . The experience, knowledge, education, capability, and reputation of Contractor, its principals and employees, were a substantial inducement for City to enter into this Agreement. Contractor shall not contract with any other individual or entity to perform any Services required under this Agreement without the City's express written approval. In addition, neither this Agreement nor any interest may be assigned or transferred, voluntarily or by operation of law, without the prior written approval of City. Subcontracts, if any, shall contain a provision making them subject to all provisions stipulated in this Agreement including without limitation the insurance and indemnification requirements. If Contractor is permitted to subcontract any part of this Agreement by City, Contractor shall be responsible to City for the acts and omissions of its subcontractor(s) in the same manner as it is for persons direc tly employed. Nothing contained in this Agreement shall create any contractual relationships between any subcontractor and City.

5.4 Independent Contractor. Neither City nor any of its employees shall have any control over the manner, mode , or means by which Contractor, its agents or employees, perform the Services required, except as otherwise specified. Contractor shall perform all required Services as an independent contractor of City and shall not be an employee of City and shall remain at all times as to City a wholly independent contractor with only such obligations as are consistent with that role ; however, City shall have t he right to review Contractor’s work product, result, and advice. Contractor shall not at any time or in any manner represent that it or any of its agents or employees are agents or employees of City. Contractor shall pay all wages, salaries, and other amounts due personnel in connection with their performance under this Agreement and as required by law. Contractor shall be responsible for all reports and obligations respecting such personnel, including, but not limited to: social security taxes, income tax withholding, unemployment insurance, and workers’ compensation insurance. Contractor shall not have any authority to bind City in any manner.

5.5 Personnel. Contractor agrees to assign the following individuals to perform the services in this Agreement. Contractor shall not alter the assignment of the following personnel Item 1O - Page 9

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without the prior written approval of the Contract Officer. Acting through the City Manager, the City shall have the unrestricted right to order the removal of any personnel assigned by Contractor by providing written notice to Contractor.

Name: Title:

Tad Garabedian Government Specialist

5.6 California Labor Code Requirements.

A. Contractor is aware of the requirements of California Labor Code Sections 1720 et seq. and 1770 et seq., which require the payment of prevailing wage rates and the performance of other requirements on certain “public works” and “maintenance” projects (“Prevailing Wage Laws”). If the Services are being performed as part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and if the total compensation is $15,000 or more for maintenance or $25,000 or more for construction, alteration, demolition, installation, or repair, Contractor agrees to fully comply with such Prevailing Wage Laws. Contractor shall defend, indemnify and hold the City, its officials, officers, employees and agents free and harmless from any claims, liabilities, costs, penalties or interest arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. I t shall be mandatory upon the Contractor and all subcontractors to comply with all California Labor Code provisions, which include but are not limited to prevailing wages (Labor Code Sections 17 71, 1774 and 1775), employment of apprentices (Labor Code Section 1777.5), certified payroll records (Labor Code Sections 1771.4 and 1776), hours of labor (Labor Code Sections 1813 and 1815) and debarment of contractors and subcontractors (Labor Code Section 1777.1).

B. If the Services are being performed as part of an applicable “public works” or “maintenance” project and if the total compensation is $15,000 or more for maintenance or $25,000 or more for construction, alteration, demolition, installation, or repair, then pursuan t to Labor Code Sections 1725.5 and 1771.1, the Contractor and all subcon tractors performing such Services must be registered with the Department of Industrial Relations. Contractor shall maintain registration for the duration of the Project and require t he same of any subcon tractors, as applicable. This Agreement may also be subject to compliance monitoring and enforcement by the Department of Industrial Relations. It shall be Contractor’s sole responsibility to comply with all applicable registration and labor compliance requirements.

6. INSURANCE
Contractor shall procure and maintain, at its sole cost and expense, policies of insurance as set forth in the attached Exhibit "B", incorporated herein by reference.

7. INDEMNIFICATION.

7.1 Indemnification. To the fullest extent permitted by law, Contractor shall defend (at Contractor’s sole cost and expense), indemnify, protect, and hold harmless City, its elected officials, officers, employees, agents, and volunteers (collectively the “Indemnified Parties”), from and against any and all liabilities, actions, suits, claims, demands, losses, costs, judgments, arbitration awards, settlements, damages, demands, orders, penalties, and expenses Item 1O - Page 10

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including legal costs and attorney fees (collectively “Claims”), including but not limited to Claims arising from injuries to or death of persons (Contractor’s employees included) , for damage to property, including property owned by City, for any violation of any federal, state, or local law or ordinance or in any manner arising out of, pertaining to, or incident to any acts, errors or omissions, or willful misconduct committed by Contractor, its officers, employees , representatives, and agents, that arise out of or relate to Contractor’s performance of Services or this Agreement. This indemnification clause excludes Claims arising from the sole negligence or willful misconduct of the Indemnified Parties. Under no circumstances shall the insurance requirements and limits set forth in this Agreement be construed to limit Contractor’s indemnification obligation or other liability under this Agreement . Contractor’s indemnification obligation shall survive the expiration or earlier termination of this Agreement until all actions against the Indemnified Parties for such matters indemnified are fully and finally barred by the applicable statute of limitations or, if an action is timely filed, until such action is final.

7.2 Design Professional Services Indemnification and Reimbursement. If Contractor’s obligation to defend, indemnify, and/or hold harmless arises out of Contractor’s performance as a “design professional” (as that term is defined under Civil Code section 2782.8), then, and only to the extent required by Civil Code section 2782.8, which is fully incorporated herein, Contractor’s indemnification obligation shall be limited to the extent which the C laims arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor in the performance of the Services or this Agreement, and, upon Contractor obtaining a final adjudication by a court of competent jurisdiction, Contractor’s liability for such claim, including the cost to defend, shall not exceed the Contractor’s proportionate percentage of fault.

8. RECORDS AND REPORTS

8.1 Reports. Contractor shall periodically prepare and submit to the Contract Officer reports concerning the performance of the Services required by this Agreement, or as the Contract Officer shall require.

8.2 Records. Contractor shall keep complete, accurate, and detailed accounts of all time, costs, expenses, and expenditures pertaining in any way to this Agreement. Contractor shall keep such books and records as shall be necessary to properly perform the Services required by this Agreement and enable the Contract Officer to evaluate the performance of such Services. The Contract Officer shall have full and free access to such books and records at all reasonable times, including the right to inspect, copy, audit, and make records and transcripts from such records.

8.3 Ownership of Documents . All drawings, specifications, reports, records, documents, and other materials prepared by Contractor in the performance of this Agreement shall be the property of City . Contractor shall deliver all above-referenced documents to City upon request of the Contract Officer or upon the termination of this Agreement . Contractor shall have no claim for further employment or additional compensation as a result of the exercise by City of its full rights or ownership of the documents and materials. Contractor may retain copies of such documents for Contractor's own use. Contractor shall have an unrestricted right to use the concepts embodied in such documents.

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8.4 Release of Documents. All drawings, specifications, reports, records, documents, and other materials prepared by Contractor in the performance of Services under this Agreement shall not be released publicly without the prior written approval of the Contract Officer.

8.5 Audit and Inspection of Records . After receipt of reasonable notice and during the regular business hours of City, Contractor shall provide City, or other agents of City, such access to Contractor’s books, records, payroll documents, and facilities as City deems necessary to examine, copy, audit, and insp ect all accounting books, records, work data, documents, and activities directly related to Contractor’s performance under this Agreement. Contractor shall maintain such books, records, data, and documents in accordance with generally accepted accounting principles and shall clearly identify and make such items readily accessible to such parties during the term of this Agreement and for a period of three (3) years from the date of final payment by City hereunder.

9. ENFORCEMENT OF AGREEMENT

9.1 California Law. This Agreement shall be construed and interpreted both as to validity and to performance of the parties in accordance with the laws of the State of California.

Legal actions concerning any dispute, claim , or matter arising out of or in relation to this Agreement shall be instituted in the Superior Court of the County of Riverside, State of California, or any other appropriate court in such county, and Contractor covenants and agrees to submit to the personal jurisdiction of such court in the event of such action.

9.2 Interpretation. This Agreement shall be construed as a whole according to its fair language and common meaning to achieve the objectives and purposes of the Parties. The terms of this Agreement are contractual and the result of negotiation between the Parties. Accordingly, any rule of construction of contracts (including, without limitation, California Civil Code Section 1654) that ambiguities are to be construed against the drafting party, shall not be employed in the interpretation of this Agreement. The caption headings of the various sections and paragraphs of this Agreement are for convenience and identification purposes only and shall not be deemed to limit, expand, or define the contents of the respective sections or paragraphs.

9.3 Waiver. No delay or omission in the exercise of any right or remedy of a non - defaulting Party on any default shall impair such right or remedy or be construed as a waiver. No consent or approval of City shall be deemed to waive or render unnecessary City’s consent to or approval of any subsequent act of Contractor. Any waiver by either Party of any default must be in writing. No such waiver shall be a waiver of any other default concerning the same or any other provision of this Agreement.

9.4 Rights and Remedies are Cumulative. Except with respect to rights and remedies expressly declared to be exclusive in this Agreement, the rights and remedies of the parties are cumulative. T he exercise by either Party of one or more of such rights or remedies shall not preclude the exercise by it, at the same or different times, of any other rights or remedies for the same default or any other default by the other Party.

9.5 Legal Action. In addition to any other rights or remedies, either Party may take legal action, in law or in equity, to cure, correct , or remedy any default, to recover damages for Item 1O - Page 12

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any default, to compel specific performance of this Agreement, to obtain injunctive relief, a declaratory judgment, or any other remedy consistent with the purposes of this Agreement.

9.6 Attorney Fees. In the event any dispute between the Parties with respect to this Agreement results in litigation or any non -judicial proceeding, the prevailing Party shall be entitled, in addition to such other relief as may be granted, to recover from the non-prevailing Party all reasonable costs and expenses. These include but are not limited to reasonable attorney fees, expert contractor fees, court costs and all fees, costs, and expenses incurred in any appeal or in collection of any judgment entered in such proceeding.

10. CITY OFFICERS AND EMPLOYEES: NON-DISCRIMINATION

10.1 Non-Liability of City Officers and Employees . No officer or employee of City shall be personally liable to the Contractor, or any successor-in-interest, in the event of any default or breach by City or for any amount which may become due to the Contractor or its successor, or for breach of any obligation of the terms of this Agreement.

10.2 Conflict of Interest. Contractor acknowledges that no officer or employee of the City has or shall have any direct or indirect financial interest in this Agreement, nor shall Contractor enter into any agreement of any kind with any such officer or employee during the term of this Agreement and for one (1) year thereafter. Contractor warrants that Contractor has not paid or given, and will not pay or give, any third party any money or other consideration in exchange for obtaining this Agreement.

10.3 Covenant Against Discrimination. In connection with its performance under this Agreement, Contractor shall not discriminate against any employee or applicant for employment because of actual or perceived race, religion, color, sex, age, marital status, ancestry, national origin (i.e., place of origin, immigration status, cultural or linguistic characteristics, or ethnicity), sexual orientation, gender identity, gender expression, physical or mental disability, or medical condition (each a “prohibited basis”). Contractor shall ensure that applicants are employed, and that employees are treated during their employment, without regard to any prohibited basis. As a condition precedent to City’s lawful capacity to ent er this Agreement, and in executing this Agreement, Contractor certifies that its actions and omissions hereunder shall not incorporate any discrimination arising from or related to any prohibited basis in any Contractor activity, including but not limited to the following: employment, upgrading, demotion or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship; and further, that Contractor i s in full compliance with the provisions of Palm Springs Municipal Code Section 7.09.040, including without limitation the provision of benefits, relating to non-discrimination in city contracting.

11. MISCELLANEOUS PROVISIONS

11.1 Notice. Any notice, demand, request, consent, approval, or communication that either Party desires, or is required to give to the other Party or any other person shall be in writing and either served personally or sent by pre -paid, first-class mail to the address set forth below.

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as provided in this Section. Either Party may change its address by notifying the other Party of the change of address in writing.

To City: City of Palm Springs
Attention: City Manager/ City Clerk
3200 E. Tahquitz Canyon Way
Palm Springs, California 92262

To Contractor: Universal Protection Service, LP dba Allied Universal Security Services
Attention: Steve Claton
77725 Enfield Lane, Suite 150
Palm Desert, CA 92211

11.2 Integrated Agreement . This Agreement constitutes the entire understanding between the Parties and supersedes and cancels all prior negotiations, arrangements, agreements, representations, and understandings, if any, made by or among the Parties with respect to the subject matter in this Agreement.

11.3 Amendment. No amendments or other modifications of this Agreement shall be binding unless through written agreement signed by all Parties.

11.4 Severability. Whenever possible, each provision of this Agreement shall be interpreted in such a manner as to be effective and valid under applicable law . In the event that any one or more of the phrases, sentences, clauses, paragraphs, or sections contained in this Agreement shall be declared invalid or unenforceable by valid judgment or decree of a court of competent jurisdiction, such invalidity or unenfo rceability shall not affect any of the remaining phrases, sentences, clauses, paragraphs, or sections of this Agreement, which shall be interpreted to carry out the intent of the Parties.

11.5 Successors in Interest . This Agreement shall be binding upon and inure to the benefit of the Parties’ successors and assignees.

11.6 Third Party Beneficiary . Except as may be expressly provided for in this Agreement, nothing contained in this Agreement is intended to confer, nor shall this Agreement be construed as conferring, any rights, including, without limitation, any rights as a third -party beneficiary or otherwise, upon any entity or person not a party to this Agreement.

11.7 Recitals. The above -referenced Recitals are hereby incorporated into the Agreement as though fully set forth in this Agreement and each Party acknowledges and agrees that such Party is bound, for purposes of this Agreement, by the same.

11.8 Authority. The persons executing this Agreement on behalf of the Parties warrant that they are duly authorized to execute this Agreement on behalf of Parties and that by so executing this Agreement the Parties are formally bound to the provisions of this Agreement.

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11.9 Counterparts. This Agreement may be signed in counterparts, each of which shall constitute an original.

12. COMPLIANCE WITH ECONOMIC SANCTIONS IN RESPONSE TO RUSSIA'S ACTIONS IN UKRAINE.

When funding for the services is provided, in whole or in part, by an agency controlled of the State of California, Consultant shall fully and adequately comply with California Executive Order N-6-22 (“Russian Sanctions Program”). As part of this complian ce process, Consultant shall also certify compliance with the Russian Sanctions Program by completing the form located in Exhibit “C” (Russian Sanctions Certification), attached hereto and incorporated herein by reference. Consultant shall also require any subconsultants to comply with the Russian Sanctions Program and certify compliance pursuant to this Section.

13. FEDERAL PROVISIONS
Since funding for the Services is provided, in whole or in part, by the Federal Aviation Administration, Supplier shall also fully and adequately comply with the provisions included in Exhibit “D” attached hereto and incorporated herein by reference (“Federal Provisions”). With respect to any conflict between such Federal Provisions and the terms of this Agreement and/or the provisions of state law, the more stringent requirement shall control.

[SIGNATURES ON NEXT PAGE]
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SIGNATURE PAGE TO AGREEMENT BY AND BETWEEN THE CITY OF PALM

SPRINGS AND UNIVERSAL PROTECTION SERVICE, LP DBA ALLIED UNIVERSAL

SECURITY SERVICES

IN WITNESS WHEREOF, the Parties have executed this Agreement as of the dates stated below.

CONTRACTOR:

By: _____________________________________ By: _________________________________________ Signature Signature
(2nd signature required for Corporations)

Date: Date:

CITY OF PALM SPRINGS:

APPROVED BY CITY COUNCIL:

Date: _______ Item No.

APPROVED AS TO FORM: ATTEST:

By: ___________________________ By: _______________________________ City Attorney City Clerk

APPROVED:

By: _______________________________ Date:

City Manager – over $50,000
Deputy/Assistant City Manager – up to $50,000
Director – up to $25,000
Manager – up to $5,000

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EXHIBIT “A”

CONTRACTOR’S

SCOPE OF SERVICES/WORK

Including,

Schedule of Fees

And

Schedule of Performance

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1. Background: The Transportation Security Administration (TSA) seeks to enhance insider threat deterrence and detection by creating an expectation that every Aviation Worker and inbound Cargo delivery vehicle with access to the Secured or Sterile Areas of all U.S. domestic, federally regulated airport could be screened for prohibited items, unauthorized weapons, as appropriate, each workday.

2. Scope of Work: The City of Palm Springs requires the Aviation Worker and inbound Cargo vehicle screening to be conducted at specific pedestrian access points (doors) and vehicle gates that lead from the public area to the Secured or Sterile Areas at the Palm Springs International Airport (PSP).

All security personnel must have the training, tools, and ability to detect and report all Prohibited Items listed on the TSA’s Prohibited Items list (attached). Screening operations must occur in a random, continuou s manner during the eight (8 ) hours of employee and cargo screening. The screening must, at a minimum, consist of the following searches:

Aviation Worker and Cargo Screening:
a. Search of the Aviation Worker’s person;
b. Search of the aviation worker’s accessible property; c. Search of the Aviation Worker’s outer coats and jackets. d. Visually inspect the Airport or Airline issued ID media of the aviation worker for validity during screening.

Inbound Cargo Screening:
a. Search all inbound Cargo vehicles, merchandise, equipment, or product of any kind being introduced into the Secured or Sterile Areas.
b. Conduct a visual inspection of the vehicle, driver, and any passenger, if applicable. c. Visually inspect merchandise to assure there are no signs of tampering, alteration, and/or suspicious items that are prohibited from entering the Secured or Sterile Area.

Aviation Worker and Cargo Screening Communications
a. Contact Airport Law Enforcement to respond to the discovery of a prohibited items, or weapons;
b. Contact Airport Law Enforcement respond to other alarms generated by screening processes;
c. Contact Airport Law Enforcement respond to an Aviation Worker or Cargo deliveries who refuses to be screened or refuses to complete screening after it has begun.
d. Prior to beginning any work at a site, the security personnel shall co-ordinate all work with Airport Security or Airport Operations personnel. e. Contractor is to provide all necessary equipment and supplies typically used by assigned personnel. Mechanical or other equipment used for work must be of a type that is approved by the industry and shall be operated in such a manner as not to cause danger of any nature to employees or other persons or damage to the building structure, fixtures, furnishings, etc.

3. Minimum Requirements: Each employee must possess a California Private Security Officer (PSO) license or a current unexpired guard card under the Private Security Services Act. The Bidder must provide two (2) certified and licensed personnel, one male and one female daily, for the Aviation Worker and inbound Cargo vehicle screening. The City of Palm Springs, Department of Aviation Security personnel are to provide the training on security procedures, screening requirements, and responsibilities under the Transportation Security Administration (TSA) National Amendment (NA) 23-02.

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4. Experience: Minimum of one (1) year on the job experience at a certified private security company.

5. Knowledge: The Bidder must provide certified and licensed personnel with the knowledge of physical screening of persons, vehicles, and associated property.

6. Business Licenses: Bidders must be licensed in accordance with the Palm Springs Municipal Code, Chapter 3.40 through 3.96 entitled Business Tax; Possess any other applicable license required in the performance of these services. All licenses must be maintained during the en tire term of the agreement.

7. Staffing Hours:
a. Standard straight time staffing will be provided between the hours of 7:00am – 3:00pm daily. Should the need arise to provide the random screening between the hours of 6:00am-7:00am or 3:00pm -4:00pm, overtime rates would apply for those time periods.

Should the airport prefer the full 10 hour staffing each day, 8 hours of straight time and 2 hours of overtime would be billed each day covering the hours of 6:00am – 4:00pm.

Staffing will be provided 7 days per week, 365 days per year.

8. Staffing Positions:
a. Contractor to provide one male, and one female security officer daily. All officers shall also go through the Airport vetting, training, and badging systems prior to being authorized to work at the Airport.

Staffing Rates:

Weekly Annual
Total cost at 8 hours per day: $3,735.20 $194,230.40
Total cost at 9 hours per day (1 hour OT) $4,435.62 $230,652.24 Total cost at 10 hours per day (2 hours OT) $5,136.04 $267,074.08

Note: Should the Airport decide on the 8 hour per day schedule, the actual amount of OT incurred will solely depend on the timing of the random checks.

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EXHIBIT “B”

INSURANCE PROVISIONS

Including

Verification of Coverage,

Sufficiency of Insurers,

Errors and Omissions Coverage,

Minimum Scope of Insurance,

Deductibles and Self-Insured Retentions, and

Severability of Interests (Separation of Insureds)
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INSURANCE

1. Procurement and Maintenance of Insurance. Contractor shall procure and maintain public liability and property damage insurance against all claims for injuries against persons or damages to property resulting from Contractor’s performance under this Agreement.

Contractor shall procure and maintain all insurance at its sole cost and expense, in a form and content satisfactory to the City, and submit concurrently with its execution of this Agreement .

Contractor shall also carry workers’ compensation insurance in accordance with California workers’ compensation laws. Such insurance shall be kept in full force and effect during the term of this Agreement, including any extensions. Such insurance shall not be cancelable without thirty (30) days advance written notice to City of any proposed cancellation. Certificates of insurance evidencing the foregoing and designating the City, its elected officials, officers, employees, agents, and volunteers as additional named insured s by original endorsement shall be delivered to and approved by City prior to commencement of services. The procuring of such insuran ce and the delivery of policies, certificates, and endorsements evidencing the same shall not be construed as a limitation of Contractor’s obligation to indemnify City, its elected officials, officers, agents, employees, and volunteers.

2. Minimum Scope of Insurance. The minimum amount of insurance required under this Agreement shall be as follows:

1. Comprehensive general liability and personal injury with limits of at least one million dollars ($1,000,000.00) combined single limit coverage per occurrence and two million dollars ($2,000,000) general aggregate;

2. Automobile liability insurance with limits of at least one million dollars ($1,000,000.00) per occurrence;

3. Professional liability (errors and omissions) insurance with limits of at least one million dollars ($1,000,000.00) per occurrence and two million dollars ($2,000,000) annual aggregate is:
____X___ required
_________ is not required;

4. Workers’ Compensation insurance in the statutory amount as required by the State of California and Employer’s Liability Insurance with limits of at least one million dollars $1 million per occurrence. If Contractor has no employees, Contractor shall complete the City’s Request for Waiver of Workers’ Compensation Insurance Requirement form.

3. Primary Insurance. For any claims related to this Agreement, Contractor’s insurance coverage shall be primary with respect to the City and its respective elected officials, officers, employees, agents, and volunteers. Any insurance or self -insurance maintained by City and its respective elected officials, officers, employees , agents, and volunteers shall be in excess of Contractor’s insurance and shall not contribute with it. For Workers’ Compensation and Employer’s Liability Insurance only, the insure r shall waive all rights of subrogation and Item 1O - Page 21

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contribution it may have against City, its elected officials, officers, employees, agents, and volunteers.

4. Errors and Omissions Coverage . If Errors & Omissions Insurance is required, and if Contractor provides claims made professional liability insurance, Contractor shall also agree in writing either (1) to purchase tail insurance in the amount required by this Agreement to cover claims made within three years of the completion of Contractor’s services under this Agreement, or (2) to maintain professional liability insurance coverage with the same carrier in the amount required by this Agreement for at least three years after completion of Contractor’s services under this Agreement. Contractor shall also be required to provide evidence to City of the purchase of the required tail insurance or continuation of the professional liability policy.

5. Sufficiency of Insurers. Insurance required in this Agreement shall be provided by authorized insurers in good standing with the State of California. Coverage shall be provided by insurers admitted in the State of California with an A.M. Best’s Key Rating of B++, Class VII, or better, unless otherwise acceptable to the City.

6. Verification of Coverage. Contractor shall furnish City with both certificates of insurance and endorsements, including additional insured endorsements, affecting all of the coverages required by this Agreement. The certificates and endorsements are to be signed by a person authorized by that insurer to bind coverage on its behalf. All proof of insurance is to be received and approved by the City before work comm ences. City reserves the right to require Contractor’s insurers to provide complete, certified copies of all required insurance policies at any time. Additional insured endorsements are not required for Errors and Omissions and Workers’ Compensation policies.

Verification of Insurance coverage may be provided by: (1) an approved General and/or Auto Liability Endorsement Form for the City of Palm Springs or (2) an acceptable Certificate of Liability Insurance Coverage with an approved Additional Insured Endorsem ent with the following endorsements stated on the certificate:

A. "The City of Palm Springs, its officials, employees, and agents are named as an additional insured…” ("as respects City of Palm Springs Contract No.___" or "for any and all work performed with the City" may be included in this statement).

B. "This insurance is primary and non -contributory over any insurance or self - insurance the City may have..." ("as respects City of Palm Springs Contract No.___ " or "for any and all work performed with the City" may be included in this statement).

C. "Should any of the above-described policies be canceled before the expiration date thereof, the issuing company will mail 30 days written notice to the Certificate Holder named. " Language such as, “endeavor to” mail and "but failure to mail such notice shall impose no obligation or liability of any kind upon the company, its agents or representative" is not acceptable and must be crossed out.

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D. Both the Workers’ Compensation and Employers' Liability policies shall contain the insurer's waiver of subrogation in favor of City, its elected officials, officers, employees, agents, and volunteers.

In addition to the endorsements listed above, the City of Palm Springs shall be named the certificate holder on the policies.

All certificates of insurance and endorsements are to be received and approved by the City before work commences. All certificates of insurance must be authorized by a person with authority to bind coverage, whether that is the authorized agent/broker or insurance underwriter. Failure to obtain the required documents prior to the commencement of work shall not waive the Contractor’s obligation to provide them.

7. Deductibles and Self -Insured Retentions . Any deductibles or self -insured retentions must be declared to and approved by the City prior to commencing any work or services under this Agreement. At the option of the City, either (1) the insurer shall reduce or eliminate such deductibles or self -insured retentions with respect to the City, its elected officials, officers, employees, agents, and volunteers; or (2) Contractor shall procure a bond guaranteeing payment of losses and related investigations, cla im administration, and defense expenses. Certificates of Insurance must include evidence of the amount of any deductible or self -insured retention under the policy. Contractor guarantees payment of all deductibles and self-insured retentions.

8. Severability of Interests (Separation of Insureds) . This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the limits of the insurer’s liability.

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Exhibit C

EXECUTIVE ORDER N-6-22 CERTIFICATION

Executive Order N-6-22 issued by Governor Gavin Newsom on March 4, 2022, directs all agencies and departments that are subject to the Governor’s authority to (a) terminate any contracts with any individuals or entities that are determined to be a target of economic sanctions against Russia and Russian entities and individuals; and (b) refrain from entering into any new contracts with such individuals or entities while the aforementioned sanctions are in effect.

Executive Order N-6-22 also requires that any contractor that: (1) currently has a contract with the City of Palm Springs funded through grant funds provided by the State of California; and/or (2) submits a bid or proposal or otherwise proposes to or enter into or renew a contract with the City of Palm Springs with State of California grant funds, certify that the person is not the target of any economic sanctions against Russia and Russian entities and individuals.

The contractor hereby certifies, SUBJECT TO PENALTY FOR PERJURY, that a) the contractor is not a target of any economic sanctions against Russian and Russian entities and individuals as discussed in Executive Order N-6-22 and b) the person signing below is duly authorized to legally bind the Contractor.

This certification is made under the laws of the State of California.

Signature:

Printed Name:

Title:

Firm Name:

Date:

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Exhibit D

FEDERAL AVIATION ADMINISTRATION

FEDERAL PROVISIONS

Provision
Reference Provision Description
Page
No.

FAA - 01 Access to Records and Reports 2
FAA - 02 Affirmative Action Requirement * 3
FAA – 03 Breach of Contract Terms 5
FAA – 04 Buy American Preference * 6
FAA – 05 Civil Rights General 7
FAA – 06 Civil Rights – Title VI Assurances * 8
FAA – 07 Clean Air and Water Pollution Control 11
FAA – 08 Contract Work Hours and Safety Standards Act Requirements 12 FAA – 09 Copeland Anti-Kickback Act 14
FAA – 10 Davis Bacon Requirements 15
FAA – 11 Debarment and Suspension * 22
FAA – 12 Disadvantaged Business Enterprise * 23
FAA – 13 Distracted Driving 25
FAA – 14 Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment
26 FAA – 15 Drug Free Workplace Requirements (not applicable to Contractors)
27 FAA – 16 Equal Employment Opportunity 28
FAA – 17 Federal Fair Labor Standards Act * 36
FAA – 18 Lobbying and Influencing Federal Employees 37
FAA – 19 Prohibition of Segregated Facilities 38
FAA – 20 Occupational Safety and Health Act of 1970 39
FAA – 21 Procurement of Recovered Materials * 40
FAA – 22 Right to Inventions 41
FAA – 23 Seismic Safety 42
FAA – 24 Tax Delinquency and Felony Convictions* 43
FAA – 25 Termination of Contract 44
FAA – 26 Trade Restriction Certification (Foreign) * 45 FAA – 27 Veteran’s Preference 47
FAA – 28 Domestic Preferences for Procurements * 48

*Solicitation Clause also
Updated 2.8.2023
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FAA - 01 Access to Records and Reports
APPLICABILITY – pertains to all contracts.

The Contractor must maintain an acceptable cost accounting system. The Contractor agrees to provide the City, the Federal Aviation Administration and the Comptroller General of the United States or any of their duly authorized representatives access to any books, documents, papers and records of the Contractor which are directly pertinent to the specific contract for the purpose of making audit, examination, excerpts and transcriptions. The Contractor agrees to maintain all books, records and reports required under this contract for a period of not less than three years after final payment is made and all pending matters are closed.

Reference: 2 CFR § 200.334, 2 CFR § 200.337, FAA Order 5100.38 Item 1O - Page 26

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FAA - 02 Affirmative Action Requirement

NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO

ENSURE EQUAL EMPLOYMENT OPPORTUNITY
APPLICABILITY – pertains to all contracts over $10,000 as follows:

Construction – AIP funded construction work contracts and subcontracts that exceed $10,000.

Construction work means construction, rehabilitation, alteration, conversion, extension, demolition or repair of buildings, highways or other changes or improvements to real property, including facilities providing utility services. The term also includes the supervision, inspection and other onsite functions incidental to the actual construction.

Equipment – any equipment project exceeding $10,000 that involves installation of equipment onsite (e.g., electrical vault equipment). This provision does not apply to equipment acquisition projects where the manufacture of the equipment takes place offsite at a ma nufacturer’s plant (e.g., firefighting and snow removal vehicles).

Professional Services – any professional service agreement if the professional services agreement includes tasks that meet the definition of construction work [as defined by the U.S.

Department of Labor (DOL)] and exceeds $10,000. Examples include installation of monitoring systems (e.g., noise, environmental, etc.).

Property/Land – any agreement associated with land acquisition if the agreement includes construction work (defined above) that exceeds $10,000. Examples include demolition of structures or installation of boundary fencing.

REQUIREMENTS -

1. The Contractor’s attention is called to the “Equal Opportunity Clause” and the “Standard Federal Equal Employment Opportunity Construction Contract Specifications” set forth herein.

2. The goals and timetables for minority and female participation, expressed in percentage terms for the Contractor’s aggregate workforce in each trade on all construction work in the covered area, are as follows:

Timetables
Goals for minority participation for each trade: DOES NOT APPLY Goals for female participation in each trade: 6.9%
These goals are applicable to all of the Contractor’s construction work (whether or not it is Federal or federally assisted) performed in the covered area. If the Contractor performs construction work in a geographical area located outside of the covered area, it shall apply the goals established for such geographical area where the work is actually performed. With regard to this second area, the Contractor also is subject to the goals for both its federally involved and nonfederally involved construction.

The Contractor’s compliance with the Executive Order and the regulations in 41 CFR Part 60-4 shall be based on its implementation of the Equal Opportunity Clause, specific affirmative action obligations required by the specifications set forth in 41 CFR 60 -4.3(a) and its efforts to meet the goals. The hours of minority and female employment and training must be substantially Item 1O - Page 27

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uniform throughout the length of the contract, and in each trade, and the Contractor shall make a good faith effort to employ minorities and women evenly on each of its projects. The transfer of minority or female employees or trainees from Contractor to C ontractor or from project to project for the sole purpose of meeting the Contractor’s goals shall be a violation of the contract, the Executive Order and the regulations in 41 CFR Part 60-4. Compliance with the goals will be measured against the total work hours performed.

3. The Contractor shall provide written notification to the Director of the Office of Federal Contract Compliance Programs (OFCCP) within 10 working days of award of any construction subcontract in excess of $10,000 at any tier for construction work under the contract resulting from this solicitation. The notification shall list the name, address, and telephone number of the subcontractor; employer identification number of the subcontractor; estimated dollar amount of the subcontract; estimated starting an d completion dates of the subcontract; and the geographical area in which the subcontract is to be performed.

4. As used in this notice and in the contract resulting from this solicitation, the “covered area” is California, Riverside County, Palm Springs.

Reference: 41 CFR Part 60-4

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FAA – 03 Breach of Contract
APPLICABILITY – required for all contracts that exceed the simplified acquisition threshold as stated in 2 CFR Part 200, Appendix II (A). This threshold is occasionally adjusted for inflation and is $250,000.

REQUIREMENT -
See Section 4.5 of the Agreement.

Reference: 2 CFR § 200 Appendix II(A)
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FAA – 04 Buy American Preferences
APPLICABILITY – required for contracts defined as follows:
• Construction Projects involving the replacement, rehabilitation, reconstruction of airfield surfaces such as on runways, taxiways, taxilanes, aprons, roadways, parking lots, etc. – Insert the Certificate of compliance to FAA Buy American Preference based on Construction Projects.
• Equipment and Buildings Projects involving and including the acquisition of equipment such as snow removal equipment, navigational aids, wind cones, and the construction of buildings such as hangars, terminal development, lighting vaults, aircraft rescue & firefighting buildings, etc. - Insert the Certificate of Compliance with FAA Buy American Preference Based on Equipment/Building Projects.

REQUIREMENT -
The Contractor certifies that all constructions materials, defined to mean an article, material, or supply other than an item of primarily iron or steel; a manufactured product; cement and cementitious materials; aggregates such as stone, sand, or gravel; or aggregate binding agents or additives that are or consist primarily of: non -ferrous metals; plastic and polymer -based products (including polyvinylchloride, composite building materials, and polymers used in fiber optic cables); glass (including optic glass); lumber; or drywall used in the project are manufactured in the U.S.

Reference: Title 49 USC § 50101
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FAA – 05 Civil Rights General
APPLICABILITY – required for all contracts regardless of funding source.

REQUIREMENT -
In all its activities within the scope of its airport program, the Contractor agrees to comply with pertinent statutes, Executive Orders, and such rules as identified in Title VI List of Pertinent Nondiscrimination Acts and Authorities to ensure that no pe rson shall, on the grounds of race, color, national origin (including limited English proficiency), creed, sex (including sexual orientation and gender identity), age, or disability be excluded from participating in any activity conducted with or benefiting from Federal assistance. The above provision binds the Contractor and subcontractors from the bid solicitation period through the completion of the contract.

This provision is in addition to that required by Title VI of the Civil Rights Act of 1964.

Reference: 49 USC § 47123
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FAA – 06 Civil Rights – Title VI Assurances
APPLICABILITY – required for all contracts.

REQUIREMENT -
Title VI List of Pertinent Nondiscrimination Acts and Authorities During the performance of this contract, the Contractor, for itself, its assignees, and successors in interest (hereinafter referred to as the “Contractor”) agrees to comply with the following non - discrimination statutes and authorities; including but not limited to:
• Title VI of the Civil Rights Act of 1964 (42 USC § 2000d et seq., 78 stat. 252) (prohibits discrimination on the basis of race, color, national origin); • 49 CFR part 21 (Non -discrimination in Federally -Assisted programs of the Department of Transportation—Effectuation of Title VI of the Civil Rights Act of 1964); • The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 USC § 4601) (prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal-aid programs and projects); • Section 504 of the Rehabilitation Act of 1973 (29 USC § 794 et seq.), as amended (prohibits discrimination on the basis of disability); and 49 CFR part 27 (Nondiscrimination on the Basis of Disability in Programs or Activities Receiving Federal Financial Assistance); • The Age Discrimination Act of 1975, as amended (42 USC § 6101 et seq.) (prohibits discrimination on the basis of age);
• Airport and Airway Improvement Act of 1982 (49 USC § 47123), as amended (prohibits discrimination based on race, creed, color, national origin, or sex); • The Civil Rights Restoration Act of 1987 (PL 100 -259) (broadened the scope, coverage and applicability of Title VI of the Civil Rights Act of 1964, the Age Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms “programs or activities” to include all of the programs or activities of the Federal-aid recipients, sub-recipients and contractors, whether such programs or activities are Federally funded or not); • Titles II and III of the Americans with Disabilities Act of 1990 (42 USC § 12101, et seq) (prohibit discrimination on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing entities) as implemented by U.S. Department of Transportation regulations at 49 CFR parts 37 and 38; • The Federal Aviation Administration’s Nondiscrimination statute (49 USC § 47123) (prohibits discrimination on the basis of race, color, national origin, and sex); • Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low -Income Populations (ensures nondiscrimination against minority populations by discouraging programs, policies, and activities with disproportionately high and adverse human health or environmental effects on minority and low-income populations); • Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, and resulting agency guidance, national origin discrimination includes discrimination Item 1O - Page 32

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because of limited English proficiency (LEP). To ensure compliance with Title VI, you must take reasonable steps to ensure that LEP persons have meaningful access to your programs [70 Fed.

Reg. 74087 (2005)];
• Title IX of the Education Amendments of 1972, as amended, which prohibits you from discriminating because of sex in education programs or activities (20 USC § 1681, et seq).

Compliance with Nondiscrimination Requirements:

During the performance of this contract, the Contractor, for itself, its assignees, and successors in interest (hereinafter referred to as the “Contractor”), agrees as follows:

1. Compliance with Regulations: The Contractor (hereinafter includes consultants) will comply with the Title VI List of Pertinent Nondiscrimination Acts and Authorities, as they may be amended from time to time, which are herein incorporated by reference and made a part of this contract.

2. Nondiscrimination: The Contractor, with regard to the work performed by it during the contract, will not discriminate on the grounds of race, color, national origin (including limited English proficiency), creed, sex (including sexual orientation and gender identity), age, o r disability in the selection and retention of subcontractors, including procurements of materials and leases of equipment. The Contractor will not participate directly or indirectly in the discrimination prohibited by the Nondiscri mination Acts and Authorities, including employment practices when the contract covers any activity, project, or program set forth in Appendix B of 49 CFR part 21.

3. Solicitations for Subcontracts, including Procurements of Materials and Equipment:

In all solicitations, either by competitive bidding or negotiation made by the Contractor for work to be performed under a subcontract, including procurements of materials, or leases of equipment, each potential subcontractor or supplier will be notified b y the Contractor of the Contractor’s obligations under this contract and the Nondiscrimination Acts and Authorities on the grounds of race, color, or national origin.

4. Information and Reports: The Contractor will provide all information and reports required by the Acts, the Regulations, and directives issued pursuant thereto and will permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the City or the Federal Aviation Administration to be pertinent to ascertain compliance with such Nondiscrimination Acts and Authorities and instructions. Where any information required of a Contractor is in the exclusi ve possession of another who fails or refuses to furnish the information, the Contractor will so certify to the City or the Federal Aviation Administration, as appropriate, and will set forth what efforts it has made to obtain the information.

5. Sanctions for Noncompliance: In the event of a Contractor’s noncompliance with the non- discrimination provisions of this contract, the City will impose such contract sanctions as it or the Federal Aviation Administration may determine to be appropriate, including, but not limited to:
a. Withholding payments to the Contractor under the contract until the Contractor complies; and/or
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b. Cancelling, terminating, or suspending a contract, in whole or in part.

6. Incorporation of Provisions: The Contractor will include the provisions of paragraphs one through six in every subcontract, including procurements of materials and leases of equipment, unless exempt by the Acts, the Regulations, and directives issued pursuant thereto. The Contractor will take action with respect to any subcontract or procurement as the City or the Federal Aviation Administration may direct as a means of enforcing such provisions including sanctions for noncompliance. Provided, that if the Contractor becomes involved in, or is threatened with litigation by a subcontractor, or supplier because of such direction, the Contractor may request the City to enter into any litigation to protect the interests of the City. In addition, the Contractor may request the United State s to enter into the litigation to protect the interests of the United States.

Reference: 49 USC § 47123, FAA Order 1400.11
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FAA – 07 Clean Air/Water Pollution Control
APPLICABILITY – This provision is required for all contracts and lower tier contracts that exceed $150,000.

REQUIREMENT -
If the Agreement exceeds $150,000, Contractor agrees to comply with all applicable standards, orders, and regulations issued pursuant to the Clean Air Act (42 USC § 7401 -7671q) and the Federal Water Pollution Control Act as amended (33 USC § 1251-1387). The Contractor agrees to report any violation to the City immediately upon discovery. The City assumes responsibility for notifying the Environmental Protection Agency (EPA) and the Federal Aviation Administration.

Contractor must include this requirement in all subcontracts that exceeds $150,000.

Reference: 2 CFR § 200, Appendix II(G); 42 USC § 7401; 33 USC § 1251

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FAA – 08 Contract Work Hours and Safety Standards
APPLICABILITY – This provision is required for contracts as follows:

Contract Work Hours and Safety Standards Act Requirements (CWHSSA) (40 USC §§ 3702 & 3704) requires contractors and subcontractors on covered contracts to pay laborers and mechanics employed in the performance of the contracts not less than one and one -half times their basic rate of pay for all hours worked over 40 in a workweek. CWHSSA prohibits unsanitary, hazardous, or dangerous working conditions on federally-assisted projects. The Wage and Hour Division (WHD) within the U.S. Department of Labor (DOL) enforces the compensation requirements of this Act, while DOL’s Occupational Safety and Health Administration (OSHA) enforces the safety and health requirements.

Contract Types –
Construction – This provision applies to all contracts and lower tier contracts that exceed $100,000, and employ laborers, mechanics, watchmen, and guards.

Equipment – This provision applies to any equipment project exceeding $100,000 that involves installation of equipment onsite (e.g., electrical vault equipment). This provision does not apply to equipment acquisition projects where the manufacture of the equipment takes place offsite at the vendor plant (e.g., ARFF and SRE vehicles).

Professional Services – This provision applies to professional service agreements that exceed $100,000 and employs laborers, mechanics, watchmen, and guards. This includes members of survey crews and exploratory drilling operations.

Property – While most land transactions do not involve employment of laborers, mechanics, watchmen, and guards, under certain circumstances, a property acquisition project could require such employment. Examples include the installation of property fencing or testing for environmental contamination

CONTRACT WORKHOURS AND SAFETY STANDARDS ACT REQUIREMENTS

1. Overtime Requirements.

No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic, including watchmen and guards, in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek.

2. Violation; Liability for Unpaid Wages; Liquidated Damages.

In the event of any violation of the clause set forth in paragraph (1) of this clause, the Contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (1) of this clause, in the sum of $29 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty ho urs without payment of the overtime wages required by the clause set forth in paragraph (1) of this clause.

3. Withholding for Unpaid Wages and Liquidated Damages.

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The Federal Aviation Administration (FAA) or the City shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the Contractor or subcontractor under any such contract or any other Federal contract with the same prime Contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime Contractor, such sums as may be determined to be necessary to satisfy any liabilities of such Contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (2) of this clause.

4. Subcontractors.

The Contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraphs (1) through (4) and also a clause requiring the subcontractor to include these clauses in any lower tier subcontracts. The prime contractor shall be respo nsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (1) through (4) of this clause.

Reference: 2 CFR Part 200, Appendix II(E); 2 CFR § 5.5(b); 40 USC § 3702; 40 USC § 3704
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FAA – 09 Copeland Anti-Kickback

APPLICABILITY -
The Copeland (Anti-Kickback) Act (18 USC § 874 and 40 USC § 3145) makes it unlawful to induce by force, intimidation, threat of dismissal from employment, or by any other manner, any person employed in the construction or repair of public buildings or publ ic works, financed in whole or in part by the United States, to give up any part of the compensation to which that person is entitled under a contract of employment. The Copeland Act also requires each contractor and subcontractor to furnish weekly a statement of compliance with respect to the wages paid each employee during the preceding week.

Contract Types –
Construction – This provision applies to all construction contracts and subcontracts financed under the AIP that exceed $2,000.

Equipment – This provision applies to all equipment installation projects (e.g., electrical vault improvements) financed under the AIP that exceed $2,000. This provision does not apply to equipment acquisitions where the equipment is manufactured at the vendor’s plant (e.g., SRE and ARFF vehicles).

Professional Services –The emergence of different project delivery methods has created situations where Professional Service Agreements (PSAs) include tasks that meet the definition of construction, alteration, or repair as defined in 29 CFR Part 5. If such tasks result in work that qualifies as construction, alteration, or repair and it exceeds $2,000, the PSA must incorporate the Copeland Anti-kickback provision.

Property –Ordinarily, land acquisition projects would not involve employment of laborers or mechanics and thus the Copeland Anti-Kickback provision would not apply. However, land projects that involve installation of boundary fencing and demolition of structures would involve laborers and mechanics. The City must include this provision if the land acquisition project involves employment of laborers or mechanics for a contract exceeding $2,000.

REQUIREMENT -
Contractor must comply with the requirements of the Copeland “Anti-Kickback” Act (18 USC 874 and 40 USC 3145), as supplemented by Department of Labor regulation 29 CFR part

3. Contractor and subcontractors are prohibited from inducing, by any means, any p erson employed on the project to give up any part of the compensation to which the employee is entitled. The Contractor and each Subcontractor must submit to the City, a weekly statement on the wages paid to each employee performing on covered work during the prior week. City must report any violations of the Act to the Federal Aviation Administration.

Reference: 2 CFR Part 200, Appendix II(D); 29 CFR Parts 3 and 5 Item 1O - Page 38

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FAA – 10 Davis Bacon Requirements

APPLICABILITY -
The Davis -Bacon Act (40 USC §§ 3141 -3144, 3146, and 3147) ensures that laborers and mechanics employed under the contract receive pay no less than the locally prevailing wages and fringe benefits as determined by the Department of Labor.

Contract Types –
Construction –all construction contracts and subcontracts that exceed $2,000 and include funding from the AIP.

Equipment – This provision applies to all equipment installation projects (e.g., electrical vault improvements) financed under the AIP that exceed $ 2,000. This provision does not apply to equipment acquisitions where the equipment is manufactured at the vendor’s plant (e.g., SRE and ARFF vehicles)
Professional Services – The emergence of different project delivery methods has created situations where Professional Service Agreements (PSAs) includes tasks that meet the definition of construction, alteration, or repair as defined in 29 CFR Part 5. If such tasks result in work that qualifies as construction, alteration, or repair and it exceeds $2,000, the PSA must incorporate this clause.

Property – Ordinarily, land acquisition projects would not involve employment of laborers or mechanics and thus the provision would not apply. However, land projects that involve installation of boundary fencing and demolition of structures would involve laborers and mechanics. The City must include this provision if the land acquisition project involves employment of laborers or mechanics for a contract exceeding $2,000.

Fencing Projects – Fencing projects that exceed $2,000 must include this provision.

DAVIS-BACON REQUIREMENTS

1. Minimum Wages.
(i) All laborers and mechanics employed or working upon the site of the work will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by the Secretary of Labor under the Copeland Act (29 CFR Part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalent thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secret ary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the Contractor and such laborers and mechanics.

Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (1)(iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination Item 1O - Page 39

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for the classification of work actually performed, without regard to skill, except as provided in 29 CFR § 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein:

Provided, that the employer’s payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under (1)(ii) of this section) and the Davis-Bacon poster (WH-1321) shall be posted at all times by the Contractor and its subcontractors at the site of the work in a prominent and accessible place where it can easily be seen by the workers. (ii)(A) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determin ation. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met:
(1) The work to be performed by the classification requested is not performed by a classification in the wage determination;
(2) The classification is utilized in the area by the construction industry; and (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (B) If the Contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, U.S. Department of Labor, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary.
(C) In the event the Contractor, the laborers, or mechanics to be employed in the classification, or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe be nefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30 -day period that additional time is necessary.
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to subparagraphs (1)(ii) (B) or (C) of this paragraph, shall be paid to all workers performing work in the classification under this contract from the first day on which wo rk is performed in the classification.
(iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shal l pay another bona fide fringe benefit or an hourly cash equivalent thereof.

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(iv) If the Contractor does not make payments to a trustee or other third person, the Contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, that the Secretary of Labor has found, upon the written request of the Contractor, that the applicable standards of the Davis -Bacon Act have been met. The Secretary of Labor may require the Contractor to set aside in a separate account assets for the meeting of obligations under the plan or program.

2. Withholding. The Federal Aviation Administration or the CIty shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the Contractor under this contract or any oth er Federal contract with the same prime contractor, or any other federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the Contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, the Federal Aviation Administration may, after written notice to the Contractor, City, Applicant, or Owner, take such action as m ay be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased.

3. Payrolls and Basic Records.
(i) Payrolls and basic records relating thereto shall be maintained by the Contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall cont ain the name, address, and social security number of each such worker; his or her correct classification; hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in 1(b)(2)(B) of the Davis-Bacon Act); daily and weekly number of hours worked; deductions made; and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the Contractor shall maintain records that show that the commitment to provide such benefits is enforceable, th at the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual costs incurred in providing such benefits. Co ntractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. (ii)(A) The Contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the Federal Aviation Administration if the agency is a party to the contract, but if the agency is not such a party, the Contractor w ill submit the payrolls to the applicant, the City, or Owner, as the case may be, for transmission to the Federal Aviation Administration. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR § 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to Item 1O - Page 41

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include an individually identifying number for each employee (e.g., the last four digits of the employee’s social security number). The required weekly payroll information may be submitted in any form desired. Optional Form WH–347 is available for this purpose from the Wage and Hour Division Web site at http://www.dol.gov/esa/whd/forms/wh347instr.htm or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors.

Contractors and subcontractors shall maintain the full social security number and current address of each covered worker and shall provide them upon request to the Federal Aviation Administration if the agency is a party to the contract, but if the agency is not such a party, the Contractor will submit them to the applicant, the City, or Owner, as the case may be, for transmission to the Federal Aviation Administration, the Contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compli ance with prevailing wage requirements. It is not a violation of this section for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to the sponsoring government agency (or the applicant, City, or Owner).
(B) Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the Contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following:
(1) That the payroll for the payroll period contains the information required to be provided under 29 CFR § 5.5(a)(3)(ii), the appropriate information is being maintained under 29 CFR § 5.5 (a)(3)(i), and that such information is correct and complete; (2) That each laborer and mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have be en made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR Part 3;
(3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. (C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH -347 shall satisfy the requirement for submission of the “Statement of Compliance” required by paragraph (3)(ii)(B) of this section. (D) The falsification of any of the above certifications may subject the Contractor or subcontractor to civil or criminal prosecution under Section 1001 of Title 18 and Section 231 of Title 31 of the United States Code.
(iii) The Contractor or subcontractor shall make the records required under paragraph (3)(i) of this section available for inspection, copying, or transcription by authorized representatives of the City, the Federal Aviation Administration, or the Departme nt of Labor and shall permit such representatives to interview employees during working hours on the job. If the Contractor or subcontractor fails to submit the required records or to make them available, the Federal agency may, after written notice to the Contractor, the City, applicant, or Owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds.

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Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR § 5.12.

4. Apprentices and Trainees.
(i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employm ent as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actua lly performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman’s hourly rate) specified in the Contractor’s or subcontractor’s registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice’s level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on t he wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office o f Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the Contractor will no longer be permitted to utilize apprentices at less than the applicabl e predetermined rate for the work performed until an acceptable program is approved.
(ii) Trainees. Except as provided in 29 CFR § 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior app roval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee’s level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination.

Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrat or of the Wage and Hour Item 1O - Page 43

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Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination that provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate that is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment a nd Training Administration withdraws approval of a training program, the Contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved.
(iii) Equal Employment Opportunity. The utilization of apprentices, trainees, and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30.

5. Compliance with Copeland Act Requirements.

The Contractor shall comply with the requirements of 29 CFR Part 3, which are incorporated by reference in this contract.

6. Subcontracts.

The Contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR §§ 5.5(a)(1) through (10) and such other clauses as the Federal Aviation Administration may by appropriate instructions require, and also a clause requiring th e subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR § 5.5.

7. Contract Termination: Debarment.

A breach of the contract clauses in paragraph 1 through 10 of this section may be grounds for termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR § 5.12.

8. Compliance with Davis-Bacon and Related Act Requirements.

All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR Parts 1, 3, and 5 are herein incorporated by reference in this contract.

9. Disputes Concerning Labor Standards.

Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR Parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the Contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives.

10. Certification of Eligibility.

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(i) By entering into this contract, the Contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the Contractor’s firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR §

5.12(a)(1).
(ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR § 5.12(a)(1). (iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 USC § 1001.

Reference: 2 CFR Part 200, Appendix II(D); 29 CFR Part 5; 49 USC § 47112(b); 40 USC §§ 3141- 3144, 3146, and 3147
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FAA – 11 Debarment and Suspension
APPLICABILITY - This requirement applies to covered transactions, which are defined in 2 CFR part 180 (Subpart B). AIP funded contracts are non -procurement transactions, as defined by 2 CFR § 180.970. Covered transactions include any AIP-funded contract, regardless of tier, that is awarded by a contractor, subcontractor, supplier, consultant, or its agent or representative in any transaction, if the amount of the contract is expected to equal or exceed $25,000. This includes contracts associated with land acquisition projects.

REQUIREMENT -
A11.3.1 Bidder or Offeror Certification
By submitting a bid/proposal under the solicitation for this contract, the Contractor must have certified that neither it nor its principals are presently debarred or suspended by any Federal department or agency from participation in this transaction.

A11.3.2 Lower Tier Contract Certification

CERTIFICATION OF LOWER TIER CONTRACTORS REGARDING DEBARMENT The Contractor, by administering each lower tier subcontract that exceeds $25,000 as a “covered transaction”, must verify each lower tier participant of a “covered transaction” under the project is not presently debarred or otherwise disqualified from participation in this federally assisted project. The Contractor will accomplish this by:

1. Checking the System for Award Management at website: http://www.sam.gov.

2. Collecting a certification statement similar to the Certification of Offerer /Bidder Regarding Debarment, above.

3. Inserting a clause or condition in the covered transaction with the lower tier contract.

If the Federal Aviation Administration later determines that a lower tier participant failed to disclose to a higher tier participant that it was excluded or disqualified at the time it entered the covered transaction, the FAA may pursue any available reme dies, including suspension and debarment of the non-compliant participant.

Reference: 2 CFR part 180 (Subpart B), 2 CFR part 200 Appendix II(H), 2 CFR Part 1200, DOT Order 4200.5; Executive Orders 12549 and 12689
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FAA – 12 Disadvantaged Business Enterprise
APPLICABILITY – all contracts with Airports that have a DBE program on file with the FAA.

Contract Assurance (§ 26.13) –
The Contractor or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The Contractor shall carry out applicable requirements of 49 CFR part 26 in the award and administration of Dep artment of Transportation -assisted contracts. Failure by the Contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the City deems appropriate, which may include, but is not limited to:
1) Withholding monthly progress payments;
2) Assessing sanctions;
3) Liquidated damages; and/or
4) Disqualifying the Contractor from future bidding as non-responsible.

Prompt Payment (§26.29) – The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory performance of its contract no later than [10 days] days from the receipt of each payment the prime contractor receives from [the City]. The prime contractor agrees further to return retainage payments to each subcontractor within [30 days] days after the subcontractor’s work is satisfactorily completed. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of the [City]. This clause applies to both DBE and non-DBE subcontractors.

Termination of DBE Subcontracts (49 CFR § 26.53(f)) –
The prime Contractor must not terminate a DBE subcontractor listed in response to the solicitation (or an approved substitute DBE firm) without prior written consent of the City. This includes, but is not limited to, instances in which the prime contractor seeks to perform work originally designated for a DBE subcontractor with its own forces or those of an affiliate, a non -DBE firm, or with another DBE firm.

The prime Contractor shall utilize the specific DBEs listed to perform the work and supply the materials for which each is listed unless the Contractor obtains written consent of the City. Unless City consent is provided, the prime Contractor shall not be entitled to any payment for work or material unless it is performed or supplied by the listed DBE.

The City may provide such written consent only if the City agrees, for reasons stated in the concurrence document, that the prime Contractor has good cause to terminate the DBE firm. For purposes of this paragraph, good cause includes the circumstances listed in 49 CFR §26.53.

Before transmitting to the City its request to terminate and/or substitute a DBE subcontractor, the prime Contractor must give notice in writing to the DBE subcontractor, with a copy to the City, of its intent to request to terminate and/or substitute, and the reason for the request.

The prime contractor must give the DBE five days to respond to the prime contractor's notice and advise the City and the Contractor of the reasons, if any, why it objects to the proposed termination of its subcontract and why the City should not approve th e prime Contractor's action. If required Item 1O - Page 47

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in a particular case as a matter of public necessity (e.g., safety), the City may provide a response period shorter than five days.

In addition to post-award terminations, the provisions of this section apply to preaward deletions of or substitutions for DBE firms put forward by offerors in negotiated procurements.

Reference: 49 CFR part 26
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FAA – 13 Distracted Driving
APPLICABILITY - contracts that exceed the micro-purchase threshold of 2 CFR § 200.320 (currently set at $10,000).

REQUIREMENT -

TEXTING WHEN DRIVING
In accordance with Executive Order 13513, “Federal Leadership on Reducing Text Messaging While Driving”, (10/1/2009) and DOT Order 3902.10, “Text Messaging While Driving”, (12/30/2009), the Federal Aviation Administration encourages recipients of Federal g rant funds to adopt and enforce safety policies that decrease crashes by distracted drivers, including policies to ban text messaging while driving when performing work related to a grant or subgrant.

In support of this initiative, the City encourages the Contractor to promote policies and initiatives for its employees and other work personnel that decrease crashes by distracted drivers, including policies that ban text messaging while driving motor veh icles while performing work activities associated with the project. The Contractor must include the substance of this clause in all sub- tier contracts exceeding $10,000 that involve driving a motor vehicle in performance of work activities associated with the project.

Reference: Executive Order 13513, DOT Order 3902.10
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FAA – 14 Prohibition on Certain Telecommunications and Video Surveillance Services and Equipment
APPLICABILITY - all AIP funded contracts and lower-tier contracts.

REQUIREMENT -
Contractor and Subcontractor agree to comply with mandatory standards and policies relating to use and procurement of certain telecommunications and video surveillance services or equipment in compliance with the National Defense Authorization Act [Public Law 115-232 § 889(f)(1)].

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FAA – 15 Drug Free Workplace Requirements
APPLICABILITY - This provision applies to all AIP funded projects, but not to the contracts between the City and a contractor, subcontractors, suppliers, or subgrantees.

The Drug -Free Workplace Act of 1988 requires some Federal contractors and all Federal grantees to agree that they will provide drug-free workplaces as a condition of receiving a contract or grant from a Federal agency. The Act does not apply to contractors, subcontractors, or subgrantees, although the Federal grantees workplace may be where the contractors, subcontractors, or subgrantees are working.

Reference: 49 CFR part 32, Drug-Free Workplace Act of 1988 (41 U.S.C. 701 et seq., as amended)

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FAA – 16 Equal Employment Opportunity
APPLICABILITY – The purpose of this provision is to provide equal opportunity for all persons, without regard to race, color, religion, sex, or national origin who are employed or seeking employment with contractors performing under a federally-assisted construction contract. There are two provisions ― a construction clause and a specification clause.

The equal opportunity contract clause applies to any contract or subcontract when the amount exceeds $10,000. Once the equal opportunity clause is determined to be applicable, the contract or subcontract must include the clause for the remainder of the year, regardless of the amount or the contract.

Contract Types –
Construction – all construction contracts and subcontracts as required above.

Equipment – all equipment contracts as required above that involves installation of equipment onsite (e.g., electrical vault equipment). This provision does not apply to equipment acquisition projects where the manufacture of the equipment takes place offsite at t he vendor plant (e.g., ARFF and SRE vehicles).

Professional Services – all professional service agreements as required above.

Property – all land acquisition projects that include work that qualifies as construction work as defined by 41 CFR part 60 as required above. An example is installation of boundary fencing.

REQUIREMENT -
A16.3.1 EEO Contract Clause
During the performance of this contract, the Contractor agrees as follows:
(1) The Contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The Contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, color, religion, sex, sexual orientation, gender identify, or national origin. Such action shall include, but not be limited to, the following: employment, upgrad ing, demotion, or transfer; recruitment or recruitment advertising; layoff, or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. (2) The Contractor will, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orien tation, gender identity, or national origin.
(3) The contractor will not discharge or in any other manner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access Item 1O - Page 52

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to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or is consistent with the contractor's legal duty to furnish information. (4) The Contractor will send to each labor union or representative of workers with which it has a collective bargaining agreement or other contract or understanding, a notice to be provided by the agency contracting officer, advising the labor union or wor kers’ representative of the Contractor’s commitments under this section 202 of Executive Order 11246 of September 24, 1965, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.
(5) The Contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. (6) The Contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by the rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the contracting agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders.
(7) In the event of the Contractor’s noncompliance with the nondiscrimination clauses of this contract or with any such rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. (8) The Contractor will include the provisions of paragraphs (1) through (8) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The Contractor will take such action with respect to any subcontract or purchase order as may be directed by the Secretary of Labor as a means of enforcing such provis ions, including sanctions for noncompliance:

Provided, however, that in the event the contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction, the Contractor may request the United Stat es to enter into such litigation to protect the interests of the United States.

A16.3.2 EEO Specification

STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY

CONSTRUCTION CONTRACT SPECIFICATIONS
a. “Covered area” means the geographical area described in the solicitation from which this contract resulted;
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b. “Director” means Director, Office of Federal Contract Compliance Programs (OFCCP), U.S.

Department of Labor, or any person to whom the Director delegates authority; c. “Employer identification number” means the Federal social security number used on the Employer’s Quarterly Federal Tax Return, U.S. Treasury Department Form 941; d. “Minority” includes:
(1) Black (all persons having origins in any of the Black African racial groups not of Hispanic origin);
(2) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish culture or origin, regardless of race);
(3) Asian and Pacific Islander (all persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands); and (4) American Indian or Alaskan native (all persons having origins in any of the original peoples of North America and maintaining identifiable tribal affiliations through membership and participation or community identification).

2. Whenever the Contractor, or any subcontractor at any tier, subcontracts a portion of the work involving any construction trade, it shall physically include in each subcontract in excess of $10,000 the provisions of these specifications and the Notice w hich contains the applicable goals for minority and female participation and which is set forth in the solicitations from which this contract resulted.

3. If the Contractor is participating (pursuant to 41 CFR part 60 -4.5) in a Hometown Plan approved by the U.S. Department of Labor in the covered area either individually or through an association, its affirmative action obligations on all work in the Plan area (including goals and timetables) shall be in accordance with that Plan for those trades which have unions participating in the Plan. Contractors must be able to demonstrate their participation in and compliance with the provisions of any such Hometo wn Plan. Each contractor or subcontractor participating in an approved plan is individually required to comply with its obligations under the EEO clause and to make a good faith effort to achieve each goal under the Plan in each trade in which it has empl oyees. The overall good faith performance by other contractors or subcontractors toward a goal in an approved Plan does not excuse any covered contractor’s or subcontractor’s failure to take good faith efforts to achieve the Plan goals and timetables.

4. The Contractor shall implement the specific affirmative action standards provided in paragraphs 7a through 7p of these specifications. The goals set forth in the solicitation from which this contract resulted are expressed as percentages of the total hours of employment and training of minority and female utilization the Contractor should reasonably be able to achieve in each construction trade in which it has employees in the covered area. Covered construction contractors performing construction work in a geographical areas where they do not have a Federal or federally assisted construction contract shall apply the minority and female goals established for the geographical area where the work is being performed. Goals are published periodically in the Federal Register in notice form, and such notices may be obtained from any Office of Federal Contract Compliance Programs office or from Federal Item 1O - Page 54

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procurement contracting officers. The Contractor is expected to make substantially uniform progress in meeting its goals in each craft during the period specified.

5. Neither the provisions of any collective bargaining agreement, nor the failure by a union with whom the Contractor has a collective bargaining agreement, to refer either minorities or women shall excuse the Contractor’s obligations under these specifications, Executive Order 11246, or the regulations promulgated pursuant thereto.

6. In order for the nonworking training hours of apprentices and trainees to be counted in meeting the goals, such apprentices and trainees must be employed by the Contractor during the training period, and the Contractor must have made a commitment to em ploy the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the U.S. Department of Labor.

7. The Contractor shall take specific affirmative actions to ensure equal employment opportunity. The evaluation of the Contractor’s compliance with these specifications shall be based upon its effort to achieve maximum results from its actions. The Con tractor shall document these efforts fully, and shall implement affirmative action steps at least as extensive as the following:
a. Ensure and maintain a working environment free of harassment, intimidation, and coercion at all sites, and in all facilities at which the Contractor’s employees are assigned to work. The Contractor, where possible, will assign two or more women to eac h construction project. The Contractor shall specifically ensure that all foremen, superintendents, and other onsite supervisory personnel are aware of and carry out the Contractor’s obligation to maintain such a working environment, with specific attentio n to minority or female individuals working at such sites or in such facilities. b. Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the Contractor or its unions have employment opportunities available, and maintain a record of the organizations’ responses. c. Maintain a current file of the names, addresses, and telephone numbers of each minority and female off -the-street applicant and minority or female referral from a union, a recruitment source, or community organization and of what action was taken with respect to each such individual. If such individual was sent to the union hiring hall for referral and was not referred back to the Contractor by the union or, if referred, not employed by the Contractor, this shall be documented in the file with the reason therefor, along with whatever additional actions the Contractor may have taken. d. Provide immediate written notification to the Director when the union or unions with which the Contractor has a collective bargaining agreement has not referred to the Contractor a minority person or woman sent by the Contractor, or when the Contractor has other information that the union referral process has impeded the Contractor’s efforts to meet its obligations.
e. Develop on-the-job training opportunities and/or participate in training programs for the area which expressly include minorities and women, including upgrading programs and Item 1O - Page 55

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apprenticeship and trainee programs relevant to the Contractor’s employment needs, especially those programs funded or approved by the Department of Labor. The Contractor shall provide notice of these programs to the sources compiled under 7b above.
f. Disseminate the Contractor’s EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the Contractor in meeting its EEO obligations; by including it in any policy manual and collective barga ining agreement; by publicizing it in the company newspaper, annual report, etc.; by specific review of the policy with all management personnel and with all minority and female employees at least once a year; and by posting the company EEO policy on bulle tin boards accessible to all employees at each location where construction work is performed.
g. Review, at least annually, the company’s EEO policy and affirmative action obligations under these specifications with all employees having any responsibility for hiring, assignment, layoff, termination, or other employment decisions including specific review of these items with onsite supervisory personnel such superintendents, general foremen, etc., prior to the initiation of construction work at any job site. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed, and disposition of the subject matter. h. Disseminate the Contractor’s EEO policy externally by including it in any advertising in the news media, specifically including minority and female news media, and providing written notification to and discussing the Contractor’s EEO policy with other contractors and subcontractors with whom the Contractor does or anticipates doing business. i. Direct its recruitment efforts, both oral and written, to minority, female, and community organizations, to schools with minority and female students and to minority and female recruitment and training organizations serving the Contractor’s recruitment area and employment needs. Not later than one month prior to the date for the acceptance of applications for apprenticeship or other training by any recruitment source, the Contractor shall send written notification to organizations such as the above, describing the openings, screening procedures, and tests to be used in the selection process. j. Encourage present minority and female employees to recruit other minority persons and women and, where reasonable, provide after school, summer, and vacation employment to minority and female youth both on the site and in other areas of a contractor’s work force.
k. Validate all tests and other selection requirements where there is an obligation to do so under 41 CFR part 60-3.
l. Conduct, at least annually, an inventory and evaluation at least of all minority and female personnel, for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc., such opportunities. m. Ensure that seniority practices, job classifications, work assignments, and other personnel practices do not have a discriminatory effect by continually monitoring all Item 1O - Page 56

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personnel and employment related activities to ensure that the EEO policy and the Contractor’s obligations under these specifications are being carried out. n. Ensure that all facilities and company activities are nonsegregated except that separate or single-user toilet and necessary changing facilities shall be provided to assure privacy between the sexes.
o. Document and maintain a record of all solicitations of offers for subcontracts from minority and female construction contractors and suppliers, including circulation of solicitations to minority and female contractor associations and other business associations.
p. Conduct a review, at least annually, of all supervisor’s adherence to and performance under the Contractor’s EEO policies and affirmative action obligations.

8. Contractors are encouraged to participate in voluntary associations, which assist in fulfilling one or more of their affirmative action obligations (7a through 7p). The efforts of a contractor association, joint contractor-union, contractor-community, or other similar group of which the Contractor is a member and participant may be asserted as fulfilling any one or more of its obligations under 7a through 7p of these specifications provided that the Contractor actively participates in the group, makes every effort to assure that the group has a positive impact on the employment of minorities and women in the industry, ensures that the concrete benefits of the program are reflected in the Contractor’s minority and female workforce participation, makes a good faith effort to meet its individual goals and timetables, and can provide access to documentation which demonstrates the effectiveness of actions taken on behalf of the Contractor. The obligation to comply, however, is the Contractor’s and failure of such a group to fulfill an obligation shall not be a defense for the Contractor’s noncompliance.

9. A single goal for minorities and a separate single goal for women have been established. The Contractor, however, is required to provide equal employment opportunity and to take affirmative action for all minority groups, both male and female, and all women, both minority and non-minority. Consequently, the Contractor may be in violation of the Executive Order if a particular group is employed in a substantially disparate manner (for example, even though the Contractor has achieved its goals for women generally, the Contractor may be in violation of the Executive Order if a specific minority group of women is underutilized).

10. The Contractor shall not use the goals and timetables or affirmative action standards to discriminate against any person because of race, color, religion, sex, sexual orientation, gender identity, or national origin.

11. The Contractor shall not enter into any subcontract with any person or firm debarred from Government contracts pursuant to Executive Order 11246.

12. The Contractor shall carry out such sanctions and penalties for violation of these specifications and of the Equal Opportunity Clause, including suspension, termination, and cancellation of existing subcontracts as may be imposed or ordered pursuant to Executive Order 11246, as amended, and its implementing regulations, by the Office of Federal Contract Compliance Programs. Any contractor who fails to carry out such sanctions and penalties shall be in violation of these specifications and Executive Order 11246, as amended.

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13. The Contractor, in fulfilling its obligations under these specifications, shall implement specific affirmative action steps, at least as extensive as those standards prescribed in paragraph 7 of these specifications, so as to achieve maximum results f rom its efforts to ensure equal employment opportunity. If the Contractor fails to comply with the requirements of the Executive Order, the implementing regulations, or these specifications, the Director shall proceed in accordance with 41 CFR part 60-4.8.

14. The Contractor shall designate a responsible official to monitor all employment related activity to ensure that the company EEO policy is being carried out, to submit reports relating to the provisions hereof as may be required by the Government, and t o keep records. Records shall at least include for each employee, the name, address, telephone numbers, construction trade, union affiliation if any, employee identification number when assigned, social security number, race, sex, status (e.g., mechanic, apprentice, trainee, helper, or laborer), dates of changes in status, hours worked per week in the indicated trade, rate of pay, and locations at which the work was performed. Records shall be maintained in an easily understandable and retrievable form; h owever, to the degree that existing records satisfy this requirement, contractors shall not be required to maintain separate records.

15. Nothing herein provided shall be construed as a limitation upon the application of other laws which establish different standards of compliance or upon the application of requirements for the hiring of local or other area residents (e.g. those under the Public Works Employment Act of 1977 and the Community Development Block Grant Program).

Reference: 2 CFR 200, Appendix II(C), 41 CFR § 60-1.4, 41 CFR § 60-4.3, Executive Order 11246

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FAA – 17 Federal Fair Labor Standards Act
APPLICABILITY – Contract Types – Per the Department of Labor, all employees of certain enterprises having workers engaged in interstate commerce; producing goods for interstate commerce; or handling, selling, or otherwise working on goods or materials that have been moved in or produced for such commerce by any person are covered by the FLSA.

All consultants, sub-consultants, contractors, and subcontractors employed under this federally assisted project must comply with the FLSA.

Professional Services – 29 CFR § 213 exempts employees in a bona fide executive, administrative or professional capacity. Because professional firms employ individuals that are not covered by this exemption, the agreement with a professional services firm must include the FLSA provision.

REQUIREMENT -
The provisions of 29 CFR part 201, the Federal Fair Labor Standards Act (FLSA), are incorporated by reference with the same force and effect as if given in full text. The FLSA sets minimum wage, overtime pay, recordkeeping, and child labor standards for full and part-time workers.

The Contractor has full responsibility to monitor compliance to the referenced statute or regulation. The Contractor must address any claims or disputes that arise from this requirement directly with the U.S. Department of Labor – Wage and Hour Division.

Reference: 29 USC § 201, et seq; 2 CFR § 200.430
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FAA – 18 Lobbying and Influencing Federal Employees
APPLICABILITY- all contracts exceeding $100,000.

REQUIREMENT -
Consultants and contractors that apply or bid for an award of $100,000 or more must have certified that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or emplo yee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant, or another award covered by 31 USC §1352. Each tier must also disclose any lobbying w ith non -Federal funds that takes place in connection with obtaining any Federal award.

For an award over $100,00, the bidder or offeror certifies by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that:
• No Federal appropriated funds have been paid or will be paid, by or on behalf of the bidder or offeror, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amend ment, or modification of any Federal contract, grant, loan, or cooperative agreement. • If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a M ember of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.
• The undersigned shall require that the language of this certification be included in the award documents for all sub -awards at all tiers (including subcontracts, sub -grants, and contracts under grants, loans, and cooperative agreements) and that all sub-recipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

Reference: 31 USC § 1352 – Byrd Anti-Lobbying Amendment, 2 CFR part 200, Appendix II(I), 49 CFR part 20, Appendix A
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FAA – 19 Prohibition of Segregated Facilities
APPLICABILITY - The Contractor must comply with the requirements of the EEO clause by ensuring that facilities they provide for employees are free of segregation on the basis of race, color, religion, sex, sexual orientation, gender identity, or national origin. This cla use must be included in all contracts that include the equal opportunity clause, regardless of the amount of the contract.

Contract Types – any contract containing the Equal Employment Opportunity clause of 41 CFR § 60-1.4. This obligation flows down to subcontract and sub -tier purchase orders containing the Equal Employment Opportunity clause.

Construction – Construction work means construction, rehabilitation, alteration, conversion, extension, demolition or repair of buildings, highways, or other changes or improvements to real property, including facilities providing utility services. The term also inclu des the supervision, inspection, and other onsite functions incidental to the actual construction.

Equipment – On site installation of equipment such as airfield lighting control equipment meets the definition of construction and thus this provision would apply. This provision does not apply to equipment projects involving manufacture of the item at a vendor’s manufacturing plant. An example would be the manufacture of a SRE or ARFF vehicle.

Professional Services – Professional services that include tasks that qualify as construction work as defined by 41 CFR part 60 -1. Examples include the installation of noise monitoring equipment.

Property/Land – Land acquisition contracts that include tasks that qualify as construction work as defined by 41 CFR part 60 -1. Examples include demolition of structures or installation of boundary fencing.

REQUIREMENT -
(a) The Contractor agrees that it does not and will not maintain or provide for its employees any segregated facilities at any of its establishments, and that it does not and will not permit its employees to perform their services at any location under its con trol where segregated facilities are maintained. The Contractor agrees that a breach of this clause is a violation of the Equal Employment Opportunity clause in this contract. (b) “Segregated facilities,” as used in this clause, means any waiting rooms, work areas, rest rooms and wash rooms, restaurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreatio n or entertainment areas, transportation, and housing facilities provided for employees that are segregated by explicit directive or are in fact segregated on the basis of race, color, religion, sex, sexual orientation, gender identity, or national origin because of written or oral policies or employee custom. The term does not include separate or single-user rest rooms or necessary dressing or sleeping areas provided to assure privacy between the sexes. (c) The Contractor shall include this clause in every subcontract and purchase order that is subject to the Equal Employment Opportunity clause of this contract.

Reference: 2 CFR Part 200, Appendix II (C); 41 CFR Part 60-1 Item 1O - Page 61

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FAA – 20 Occupational Safety and Health Act
APPLICABILITY – Contract Types – All contracts and subcontracts must comply with the Occupational Safety and Health Act of 1970 (OSH). The U.S. Department of Labor Occupational Safety and Health Administration (OSHA) oversees the workplace health and safety standards wage provisions from OSH.

REQUIREMENT -
All contracts and subcontracts that result from this solicitation incorporate by reference the requirements of 29 CFR Part 1910 with the same force and effect as if given in full text. The employer must provide a work environment that is free from recognized hazards that may cause death or serious physical harm to the employee. The employer retains full responsibility to monitor its compliance and their subcontractor’s compliance with the applicable requirements of the Occupational Safety and Health Act of 1970 (29 CFR Part 1910). The employer must address any claims or disputes that pertain to a referenced requirement directly with the U.S. Department of Labor – Occupational Safety and Health Administration.

Reference: 29 CFR part 1910
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FAA – 21 Procurement of Recovered Materials
APPLICABILITY – Contract Types – This provision applies to any contracts that include procurement of products designated in subpart B of 40 CFR part 247 where the purchase price of the item exceeds $10,000 or the value of the quantity acquired by the preceding fiscal year exceeded $10,000.

Construction and Equipment – all construction and equipment projects.

Professional Services and Property – if the agreement includes procurement of a product that exceeds $10,000.

REQUIREMENT -
Contractor and subcontractor agree to comply with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act, and the regulatory provisions of 40 CFR Part 247. In the performance of this contract and to the extent practicable, the Contractor and subcontractors are to use products containing the highest percentage of recovered materials for items designated by the Environmental Protection Agency (EPA) under 40 CFR Part 247 whenever:
1) The contract requires procurement of $10,000 or more of a designated item during the fiscal year; or
2) The contractor has procured $10,000 or more of a designated item using Federal funding during the previous fiscal year.

The list of EPA-designated items is available at www.epa.gov/smm/comprehensive-procurement- guidelines-construction-products.

Section 6002(c) establishes exceptions to the preference for recovery of EPA -designated products if the contractor can demonstrate the item is:
a) Not reasonably available within a timeframe providing for compliance with the contract performance schedule;
b) Fails to meet reasonable contract performance requirements; or c) Is only available at an unreasonable price.

Reference: 2 CFR § 200.323, 2 CFR Part 200, Appendix II (J); 40 CFR part 247, 42 USC § 6901, et seq (Resource Conservation and Recovery Act)
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FAA – 22 Rights to Inventions
APPLICABILITY – Contract Types – This provision applies to all contracts and subcontracts with small business firms or nonprofit organizations that include performance of experimental, developmental, or research work. This clause is not applicable to construction, equipment, or professional service contracts unless the contract includes experimental, developmental, or research work.

REQUIREMENT -
Contracts or agreements that include the performance of experimental, developmental, or research work must provide for the rights of the Federal Government and the City in any resulting invention as established by 37 CFR part 401, Rights to Inventions Made by Non -profit Organizations and Small Business Firms under Government Grants, Contracts, and Cooperative Agreements. This contract incorporates by reference the patent and inventions rights as specified within 37 CFR §401.14. Contractor must include this requirement in all sub-tier contracts involving experimental, developmental, or research work.

Reference: 2 CFR § 200, Appendix II(F), 37 CFR 401

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FAA - 23 Seismic Safety
APPLICABILITY – Contract Types – This provision applies to construction of new buildings and additions to existing buildings financed in whole or in part through the Airport Improvement Program.

Professional Services– any contract involved in the construction of new buildings or structural addition to existing buildings.

Construction – any contract involved in the construction of new buildings or structural addition to existing buildings.

Equipment – if the project involves construction or structural addition to a building such as an electrical vault project to accommodate or install equipment.

Land – This provision will not typically apply to a property/land project.

REQUIREMENT -
A23.3.1 Professional Service Agreements for Design

SEISMIC SAFETY
In the performance of design services, the Consultant agrees to furnish a building design and associated construction specification that conform to a building code standard that provides a level of seismic safety substantially equivalent to standards as es tablished by the National Earthquake Hazards Reduction Program (NEHRP). Local building codes that model their building code after the current version of the International Building Code (IBC) meet the NEHRP equivalency level for seismic safety. At the con clusion of the design services, the Consultant agrees to furnish the Owner a “certification of compliance” that attests conformance of the building design and the construction specifications with the seismic standards of NEHRP or an equivalent building code.

A23.3.2 Construction Contracts

SEISMIC SAFETY
The Contractor agrees to ensure that all work performed under this contract, including work performed by subcontractors, conforms to a building code standard that provides a level of seismic safety substantially equivalent to standards established by the National Earthquake Hazards Reduction Program ( NEHRP). Local building codes that model their code after the current version of the International Building Code (IBC) meet the NEHRP equivalency level for seismic safety.

Reference: 49 CFR Part 41
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FAA – 24 Tax Delinquency and Felony Conviction
APPLICABILITY – This provision applies to all contracts funded in whole or part with AIP.

REQUIREMENT -
The Contractor must have certified under the procurement process that resulted in the award of this contract that:
• Contractor has not been convicted of a Federal felony within the last 24 months; or • Contractor does not have any outstanding tax liability for which all judicial and administrative remedies have lapsed or been exhausted.

Reference: Sections 8113 of the Consolidated Appropriations Act, 2022 (Public Law 117-103), and similar provisions in subsequent appropriations acts.

DOT Order 4200.6 – Appropriations Act Requirements for Procurement and Non-Procurement Regarding Tax Delinquency and Felony Convictions

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FAA – 25 Termination of Contract
APPLICABILITY – All contracts and subcontracts in excess of $10,000.

REQUIREMENT -
See Section 4.5 of the Agreement.

Reference: 2 CFR § 200 Appendix II(B), FAA Advisory Circular 150/5370-10, Section 80-09 Item 1O - Page 67

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FAA – 26 Foreign Trade Restriction
APPLICABILITY – all AIP funded projects.

REQUIREMENT -

TRADE RESTRICTION CERTIFICATION
By accepting this contract the Contractor certifies the following statements are true – 1) is not owned or controlled by one or more citizens of a foreign country included in the list of countries that discriminate against U.S. firms as published by the Office of the United States Trade Representative (USTR);
2) has not knowingly entered into any contract or subcontract for this project with a person that is a citizen or national of a foreign country included on the list of countries that discriminate against U.S. firms as published by the USTR; and
3) has not entered into any subcontract for any product to be used on the Federal project that is produced in a foreign country included on the list of countries that discriminate against U.S. firms published by the USTR.

This certification concerns a matter within the jurisdiction of an agency of the United States of America and the making of a false, fictitious, or fraudulent certification may render the maker subject to prosecution under Title 18 USC Section 1001.

The Contractor must provide immediate written notice to the City if the Contractor learns that its certification or that of a subcontractor was erroneous when submitted or has become erroneous by reason of changed circumstances. The Contractor must requir e subcontractors provide immediate written notice to the Contractor if at any time it learns that its certification was erroneous by reason of changed circumstances.

Unless the restrictions of this clause are waived by the Secretary of Transportation in accordance with 49 CFR 30.17, no contract shall be awarded to an Offeror or subcontractor:
1) who is owned or controlled by one or more citizens or nationals of a foreign country included on the list of countries that discriminate against U.S. firms published by the USTR or 2) whose subcontractors are owned or controlled by one or more citizens or nationals of a foreign country on such USTR list or
3) who incorporates in the public works project any product of a foreign country on such USTR list.

Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render, in good faith, the certification required by this provision. The knowledge and information of a contractor is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

The Contractor agrees it will incorporate this provision for certification without modification in all lower tier subcontracts. The Contractor may rely on the certification of a prospective subcontractor that it is not a firm from a foreign country included on the list of countries that discriminate against Item 1O - Page 68

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U.S. firms as published by USTR, unless the Contractor has knowledge that the certification is erroneous.

This certification is a material representation of fact upon which reliance was placed when making an award. If it is later determined that the Contractor or subcontractor knowingly rendered an erroneous certification, the Federal Aviation Administration (FAA) may direct through the City cancellation of the contract or subcontract for default at no cost to the City or the FAA.

Reference: 49 USC § 50104, 49 CFR part 30

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FAA – 27 Veteran’s Preference
APPLICABILITY – This provision applies to all AIP funded projects that involve labor to carry out the project. This preference, which excludes executive, administrative, and supervisory positions, applies to covered veterans [as defined under § 47112(c)] only when they ar e readily available and qualified to accomplish the work required by the project.

REQUIREMENT -
In the employment of labor (excluding executive, administrative, and supervisory positions), the Contractor and all sub-tier contractors must give preference to covered veterans as defined within Title 49 United States Code Section 47112. Covered veterans include Vietnam-era veterans, Persian Gulf veterans, Afghanistan -Iraq war veterans, disabled veterans, and small business concerns (as defined by 15 USC 632) owned and controlled by disabled veterans. This preference only applies when there are covered v eterans readily available and qualified to perform the work to which the employment relates.

Reference: 49 USC § 47112(c)
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FAA – 28 Domestic Preferences for Procurements
APPLICABILITY – all contracts and Purchase orders for work or products under the grant.

REQUIREMENT -
The Contractor certifies by signing and submitting its bid or proposal that, to the greatest extent practicable, the Contractor has provided a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States ( including, but not limited to, iron, aluminum, steel, cement, and other manufactured products) in compliance with 2 CFR § 200.322.

Reference: 2 CFR § 200.322; 2 CFR Part 200, Appendix II(L)

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ATTACHMENT B

PUBLIC INTEGRITY BUSINESS DISCLOSURE
Item 1O - Page 72

PUBLIC INTEGRITY DISCLOSURE

APPLICANT DISCLOSURE FORM

1. Name of Entity

Universal Protection Service, LP d/b/a Allied Universal Security Services

2. Address of Entity (Principal Place of Business)

450 Exchange, Irvine, CA 92602

3. Local or California Address (if different than #2)

3. State where Entity is Registered with Secretary of State California

If other than California, is the Entity also registered in California?  Yes  No

5. Type of Entity
 Corporation  Limited Liability Company ☒ Partnership  Trust  Other (please specify)

6. Officers, Directors, Members, Managers, Trustees, Other Fiduciaries (please specify) Note: If any response is not a natural person, please identify all officers, directors, members, managers and other fiduciaries for the member, manager, trust, or other entity

SEE QUESTION #6 ATTACHMENT
 Officer  Director  Member  Manager
[name]  General Partner  Limited Partner
Other

 Officer  Director  Member  Manager
[name]  General Partner  Limited Partner
 Other

 Officer  Director  Member  Manager
[name]  General Partner  Limited Partner
 Other
Item 1O - Page 73

7. Owners/Investors with a 5% beneficial interest in the Applicant Entity or a related entity

EXAMPLE
SEE SECTION #7 ATTACHMENT

JANE DOE

[name of owner/investor]

50%, ABC COMPANY, Inc.

[percentage of beneficial interest in entity and
name of entity]
A.

[name of owner/investor]

[percentage of beneficial interest in entity and
name of entity]
B.

[name of owner/investor]

[percentage of beneficial interest in entity and
name of entity]
C.

[name of owner/investor]

[percentage of beneficial interest in entity and
name of entity]
D.

[name of owner/investor]

[percentage of beneficial interest in entity and
name of entity]
E.

[name of owner/investor]

[percentage of beneficial interest in entity
and name of entity]

I DECLARE UNDER PENALTY OF PERJURY UNDER THE LAWS OF THE STATE OF CALIFORNIA THAT THE FOREGOING IS TRUE AND CORRECT.

Signature of Disclosing Party, Printed Name, Title Date September 14, 2023
Steve Claton
President Southwest Region
Item 1O - Page 74
City of Palm Springs, CA.

Business Disclosure Supplementary Instructions
In an effort to ensure we capture the required business entity information in accordance with the attached instructions, we provide you these supplementary instructions to clearly identify the required information, and the format the information should be provided.

If you, as the applicant, are a business entity (i.e. a corporation or limited liability company), and it is also comprised of other business entities as its members or having a financial interest, all other such business entities must also be disclosed, including those entities other business entities, if any.

Ultimately, the City’s disclosure document (attached) requires a listing identifying all natural persons having any financial interest over 5% of the business entities (and any other business entities comprising your business entity).

As an example, Applicant is: Acme Brothers, Inc., a California corporation, whose officers are:

John Doe, Jill Doe, and Jay Doe, which is owned 50% by Acme Brothers, LLC, a California limited liability company, and John Doe (25% interest) and Jill Doe (25% interest). Acme Brothers, LLC, is managed by Acme Brothers 2, Inc., a California corporation, whose officers are: George Doe, Bill Doe, and Jane Doe, which is owned 100% by Acme Brothers 2, L LC, a California limited liability company, which is managed by George Doe, with George Doe and Jane Doe having 50% interest each.

The full business entity disclosure in this example would resemble the following:

1. Acme Brothers, Inc., a California corporation
a. Officers: John Doe, Jill Doe, and Jay Doe
b. Ownership:
i. 50% Acme Brothers, LLC, a California limited liability company ii. 25% John Doe
iii. 25% Jill Doe

2. Acme Brothers, LLC, a California limited liability company a. Managers: Acme Brothers 2, Inc., a California corporation b. Ownership: 100% Acme Brothers 2, Inc., a California corporation

3. Acme Brothers 2, Inc., a California corporation
a. Officers: George Doe, Bill Doe, and Jane Doe
b. Ownership: 100% Acme Brothers 2, LLC, a California limited liability company

4. Acme Brothers 2, LLC, a California limited liability company a. Managers: George Doe
b. Ownership:
i. 50%
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SECTION #6 ATTACHMENT

The following persons serve as officers and/or directors of the Applicant, Universal Protection Service, LP d/b/a Allied Universal Security Services, and its affiliated entities in the Allied Universal group, as disclosed in the Section #7 Attachment.

Universal Protection Service, LP
• Officers: Steven S. Jones; Timothy E. Brandt; David I. Buckman; Mike Smidt; Drew Levine; Bob Wood; Brian Webber; Caress Kennedy; DelMar Laury; Eric McGarty; Gene Kuyrkendall; Jose Ubieta; Steve Claton; Tracy Fuller; Nancy R. Peterson
Universal Protection GP, Inc.
• Officers: Steven S. Jones; Timothy E. Brandt; David I. Buckman; Mike Smidt; Drew Levine; Bob Wood; Brian Webber; Caress Kennedy; DelMar Laury; Eric McGarty; Gene Kuyrkendall; Jose Ubieta; Steve Claton; Tracy Fuller; Nancy R. Peterson
• Directors: Steven S. Jones; Timothy E. Brandt; David I. Buckman American Security Programs, Inc.; Allied Universal Sideco, Inc. • Officers: Steven S. Jones; Timothy E. Brandt; David I. Buckman; Nancy R. Peterson • Directors: Steven S. Jones; Timothy E. Brandt; David I. Buckman AUSS, Inc.; MSAS Parent, Inc.; U.S. Security Associates Holding Corp.; USA Intermediate, Inc.; UPSH, Inc.
• Officers: Steven S. Jones; Timothy E. Brandt; David I. Buckman • Directors: Steven S. Jones; Timothy E. Brandt; David I. Buckman G4S Secure Solutions (USA) Inc.

• Officers: Steven S. Jones; Timothy E. Brandt; David I. Buckman; Nancy R. Peterson; Daniel W.

Grizzard
• Directors: Steven S. Jones; Timothy E. Brandt; David I. Buckman

Allied Universal Holdco, LLC; Allied Universal Topco, LLC; AUS Investor Aggregator, LLC; CBDC Universal Equity II, LLC; AU Santa Ana, LLC; Atlas Ontario LP

• Officers: Steven S. Jones; Timothy E. Brandt; David I. Buckman

USAGM Acquisition, LLC; G4S Holding One, LLC; Universal Services of America, LP; USA GP Sub, LLC; Universal Group Holdings LLC

• Officers: Steven S. Jones; Timothy E. Brandt; David I. Buckman; Nancy R. Peterson Item 1O - Page 76
SECTION #7 ATTACHMENT

OVERVIEW
The Applicant, Universal Protection Service, LP d/b/a Allied Universal Security Services, is part of the Allied Universal group of companies. The Applicant, its partners and numerous other lower tier companies consolidate into Allied Universal Holdco, LLC. Allied Universal Holdco, LLC and several other upper tier companies consolidate into Atlas Ontario LP, the top level Allied Universal company. Atlas Ontario LP is owned by a group comprised of institutional investors, private investment funds and members of Allied Universal management.

OWNERSHIP OF APPLICANT
The Applicant, Universal Protection Service, LP d/b/a Allied Universal Security Services, is owned by one (1) general partner and five (5) limited partners as follows:

Company Type of Partner Interest
Universal Protection GP, Inc. General 0.14%
Universal Services of America,
LP
Limited 56.07%
G4S Secure Solutions (USA) Inc. Limited 16.86%
U.S. Security Associates Holding
Corp.

Limited 19.33%
American Security Programs,
Inc.

Limited 5.8%
Allied Universal Sideco, Inc. Limited 1.8%

OWNERSHIP OF LOWER TIER COMPANIES
Each partner of the Applicant, Universal Protection Service, LP d/b/a Allied Universal Security Services, is ultimately owned by the Allied Universal Holdco, LLC. The ownership chains commencing with each partner up through Allied Universal Holdco, LLC are outlined below.

Universal Protection GP, Inc.
• Universal Protection GP, Inc. is 100% owned by Universal Services of America, LP, one of the limited partners of the Applicant

Universal Services of America, LP
• Universal Services of America, LP is 99% owned by USA Intermediate, Inc. and 1% by USA GP Sub LLC.
• USA GP Sub LLC is 100% owned by USA Intermediate, Inc. • USA Intermediate, Inc. is 99% owned by Universal Group Holdings, LLC and 1% owned by Allied Universal Holdco, LLC
• Universal Group Holdings, LLC is 100% owned by UPSH, Inc. • UPSH, Inc. is 52.41% owned by Allied Universal Holdco, LLC and 47.59% owned by Allied Universal Sideco, Inc.
• Allied Universal Sideco, Inc. is 100% owned by Allied Universal Holdco, LLC.

Item 1O - Page 77
G4S Secure Solutions (USA) Inc.
• G4S Secure Solutions (USA) Inc. id 200% owned by G4S Holding One, LLC • G4S Holding One, LLC is 100% owned by Allied Universal Sideco, Inc. • Allied Universal Sideco, Inc. is 100% owned by Allied Universal Holdco, LLC

U.S. Security Associates Holding Corp.
• U.S. Security Associates Holding Corp. is 100% owned by USAGM Acquisition, LLC • USAGM Acquisition, LLC is 100% owned by Allied Universal Holdco, LLC

American Security Programs, Inc.
• American Security Programs, Inc. is 100% owned by MSAS Parent, Inc. • MSAS Parent, Inc. is 100% owned by USAGM Acquisition, LLC • USAGM Acquisition, LLC is 100% owned by Allied Universal Holdco, LLC

Allied Universal Sideco, Inc.
• Allied Universal Sideco, Inc. is 100% owned by Allied Universal Holdco, LLC

OWNERSHIP OF UPPER TIER COMPANIES
Ownership of Allied Universal Holdco, LLC and several other upper tier companies consolidates into Atlas Ontario, LP, which is the top level Allied Universal company, as follows:
• Allied Universal Holdco, LLC is 10% owned by Allied Universal Topco, LLC • Allied Universal Topco, LLC is 100% owned by AUSS, Inc. • AUSS, Inc. is 96.12% owned by AU Investor Aggregator LLC, 3.81% owned by AU Santa Ana, LLC and 0.07% owned by CBDC Universal Equity II, LLC
• CBDC Universal Equity II, LLC is 100% owned by AU Investor Aggregator LLC • AU Santa Ana, LLC is 100% owned by Atlas Ontario LP
• AU Investor Aggregator LLC is 100% by Atlas Ontario LP

OWNERSHIP OF ATLAS ONTARIO LP
Atlas Ontario, LP is largely owned by the following private investment funds and institutional investors which are not involved in the day-to-day management of the Allied Universal group: (a) 27.96% Caisse De Dépôt Et Placement Du Québec (“CDPQ”); (b) 44.95% Warburg Pincus; (c) 8.31% Partners Group; (d) 8.41% the J. Safra Group; (e) 1.29% Crescent; (f) 1.46% Carlyle; and (g) 2.92% A&M Capital. The balance of 4.69% is held by members of Allied Universal management.

Item 1O - Page 78

CITY COUNCIL STAFF REPORT
09/26/2023
SUBJECT:

APPROVAL OF AMENDMENT NO. 3 TO CONTRACT SERVICES AGREEMENT

WITH WISE EDUCATION TECHNOLOGY DBA OAKSTERDAM UNIVERSITY, A

CALIFORNIA CORPORATION, TO PROVIDE WORKFORCE AND BUSINESS

DEVELOPMENT FOR THE CANNABIS EQUITY PROGRAM
RECOMMENDATION:

Approve Amendment No. 3 to Contract Services Agreement No. A9029 with Oaksterdam University to provide workforce and business development for the Cannabis Social Equity program to a maximum contract amount of $86,227.50.

1. Authorize the City Manager to execute all necessary documents.2.

Attachments
Item 1P
Item 1P - Page 1

CITY COUNCIL STAFF REPORT
DATE: SEPTEMBER 26, 2023 CONSENT CALENDAR
SUBJECT: APPROVAL OF AMENDMENT NO. 3 TO CONTRACT SERVICES

AGREEMENT WITH WISE EDUCATION TECHNOLOGY OBA

OAKSTERDAM UNIVERSITY, A CALIFORNIA CORPORATION, TO

PROVIDE WORKFORCE AND BUSINESS DEVELOPMENT FOR THE

CANNABIS EQUITY PROGRAM
FROM: Scott C. Stiles, City Manager
BY: Department of Special Program Compliance
SUMMARY:

The City and Oaksterdam University entered into a contractual services agreement on December 20, 2021 to provide workforce and business development for the Cannabis Social Equity program. There have been two amendments to the original agreement. This third amendment will increase the contract amount by $26,237.50 to a maximum contract amount of $86,227.50 for services and costs for the remaining grant period ending October 30, 2023.

RECOMMENDATION:

1. Approve Amendment No. 3 to Contract Services Agreement No. A9029 with Oaksterdam University to provide workforce and business development for the Cannabis Social Equity program to a maximum contract amount of $86,227.50.

2. Authorize the City Manager to execute all necessary documents.

BUSINESS PRINCIPAL DISCLOSURE:

According to the California Secretary of State, Wise Education Technology dba Oaksterdam University is a California Corporation registered in the State of California whose corporate officers are Dale Sky Jones CEO; Susan Carolyn Trout, Secretary; and David Courts Abernathy, CFO. A copy of the public integrity disclosure is included as Attachment B.

Item 1P - Page 2
City Council Staff Report
September 26, 2023 -- Page 2
Oaksterdam University
BACKGROUND:

The City of Palm Springs has participated in two cannabis equity grants for local jurisdictions, which assist local equity applicants and/or local equity licensees in the local jurisdiction to gain entry to and successfully operate in the state's regulated cannabis marketplace. The current grant (CEG-2022-397) was awarded March 24, 2022 in the amount of $1 ,303,588.

The City and Oaksterdam University entered into a contractual services agreement on December 20, 2021 to provide workforce and business development for the Cannabis Social Equity program. There have been two amendments to the original agreement. • December 20, 2021 - staff approved the original contract not to exceed $24,995 to provide workforce and business development to cannabis equity participants . • February 2, 2022 - staff approved amendment 1 not to exceed $34,995. A $10,000 increase to provide services for equity program development. • July 5, 2022 - Amendment 2 not to exceed $59,990. A $24,995 increase to continue services to June 30, 2023.

STAFF ANALYSIS:

Staff has identified that costs for the services exceeded the dollar amount from the second amendment after services were preformed and billed for. There is sufficient funding from cannabis equity grant CEG-2022-397 to support the charges for services and was budgeted for under the social equity grant.

Pursuant to procurement policies, services with awards exceeding $75,000 must follow a formal procurement process and be awarded by City Council. This Amendment No. 3 will increase the contract by an additional $26,237 .50 for a revised maximum contract amount of $86,227. Approval of the amendment will support services provided from the contractor to social equity applicants and licensees. There is sufficient funding from the local equity grant. Any unused grant funds will be returned to the State.

ENVIRONMENTAL ASSESSMENT:

None.

FISCAL IMPACT:

Services are funded through the Cannabis Equity Grant CEG-2022-397.

Item 1P - Page 3
City Council Staff Report
September 26, 2023 -- Page 3
Oaksterdam University
REVIEWED BY:

Department Director:

Procurement and Contracting Director
Assistant City Manaqer:

City Manaqer:

ATTACHMENTS:

Veronica Goedhart
Kim Baker
Teresa Gallavan
Scott Stiles
A. Amendment #3 with Wise Education Technology dba Oaksterdam University B. Public Integrity Disclosure
Item 1P - Page 4

ATTACHMENT A
Item 1P - Page 5
AMENDMENT NO. 3 TO THE WORKFORCE AND BUSINESS DEVELOPMENT FOR

THE CANNABIS EQUITY PROGRAM

BETWEEN THE CITY PALM SPRINGS AND WISE EDUCATION TECHNOLOGY DBA

OAKSTERDAM UNIVERSITY, A CALIFORNIA CORPORATION

1. Parties and Date.

This Amendment No. 3 to the Workforce and Business Development for the Cannabis Social Equity Program agreement is made and entered into as of this 28th day of September 2023, by and between the City of Palm Springs ("City") and Wise Education Technology dba Oaksterdam University, a California Corporation with its principal place of business at 3630 High Street #19271 Oakland, California 94619 (Contractor). City and Contractor are sometimes individually referred to as "Party" and collectively as "Parties."

2. Recitals.

2.1 Agreement. The City and Contractor have entered into an agreement entitled "Workforce and Business Development for the Cannabis Social Equity Program" dated December 20, 2021 (" Agreement" or "Contract") for the purpose of retaining the services of Contractor to provide workforce and business development services for the Cannabis Equity Program.

Compensation for the Agreement shall not exceed $24,995.00

2.2 Amendment 1. The City and Contractor entered into an agreement amending the agreement dated February 3, 2022, to include additional services where the Contractor defined training objectives and provided essential training subjects for professional development and program development topics, program management and social equity. Compensation for the Agreement shall not exceed $34, 995.00

2.3 Amendment 2. The City and Contractor desire to amend the Agreement to extend services through June 30, 2023, and increase the maximum contract amount to $59,990.00

2.4 Amendment 3. The City and Contractor desire to amend the Agreement to utilize remaining budgeted grant funds for services from Cannabis Equity Grant CEG-2022-397 and increase the maximum contract amount to $86,227.50 for the remaining grant term,

2.5 Amendment Authority. This Amendment No. 3 is authorized pursuant to Section 3.3 of the Agreement.

3. Terms.

3.1 Section 3 COMPENSATION OF CONTRACTOR. Section 3.1 Compensation of Contractor is hereby amended in its entirety to read as follows:
"3 .1" Compensation of Contractor. Contractor shall be compensated and reimbursed for the services rendered under this Agreement in accordance with the schedule of fees set forth in Exhibit "A". The total amount of Compensation shall not exceed $86,227.50
Item 1P - Page 6

3.2 Section 4 Performance Schedule. Section 4.4 Term of the Agreement 1s hereby amended in its entirety to read as follows:
"4.4" Term. Unless earlier terminated in accordance with Section 4.5 of this Agreement, this Agreement shall continue in full force and effect for a period of 6 months, commencing on December 27, 2021, and ending on October 30, 2023, unless extended by mutual written agreement of the Parties.

3.3 Continuing Effect of Agreement. Except as amended by this Amendment No. 2, all other provisions of the Agreement remain in full force and effect and shall govern the actions of the parties under this Amendment No. 2. From and after the date of this Amendment No. 2 whenever the term "Agreement" or "Contract" appears in the Agreement, it shall mean the Agreement as amended by this Amendment No. 2.

3.4 Adeguate Consideration . The Parties hereto irrevocably stipulate and agree thatthey have each received adequate and independent consideration for the performance of the obligations they have undertaken pursuant to this Amendment No. 2

3.5 Severability . If any portion of this Amendment No. 2 is declared invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the remaining provisions shall continue in full force and effect.

3.6 Counterparts. This Amendment No. 2 may be executed in duplicate originals, each of which is deemed to be an original , but when taken together shall constitute but one and the same instrument.
[SIGNATURES ON FOLLOWING PAGE]
Item 1P - Page 7
SIGNATURE PAGE FOR AMENDMENT NO. 3 TO WORKFORCE AND BUSINESS

DEVELOPMENT FOR THE CANNABIS EQUITY PROGRAM AGREEMENT BETWEEN THE

CITY OF PALM SPRINGS

AND WISE EDUCATION TECHNOLOGY DBA OAKSTERDAM UNIVERSITY , A

CALIFORNIA CORPORATION
IN WITNESS WHEREOF, the Parties have entered into this Amendment No. 3 to the Workforce and Business Development for the Cannabis Equity Program Agreement as of the day and year first above written.

CITY OF PALM SPRINGS
Approved By City Council:

Date:

Scott Stiles,
City Manager
Date:

Attested By:

Brenda Pree, MMC, CERA
City Clerk
Approved as to form:

Jeffrey S. Ballinger
City Attorney
Date __ Agreement No. A902S
Item Number:

Wise Education Technology dba
Oaksterdam University, a California
Corporation
Signature
Name
Title
Signature
Name
Title
Corporations require two signatures.

One signature must be from Chairman of
Board, President, or any Vice President.

The second signature must be from the
Secretary, Assistant Secretary,
Treasurer , Assistant Treasurer, or Chief
Financial Officer.

Item 1P - Page 8

ATTACHMENT B
Item 1P - Page 9
Who Must File?

CITY OF PALM SPRINGS

PUBLIC INTEGRITY DISCLOSURE
(INSTRUCTIONS FOR APPLICANTS}
Applicants that are NOT a natural person or group of natural people that will be identified on the application, and seek a City approval determined by a vote of City officials. Examples include corporations, limited liability companies , trusts, etc. that seek a City Council approval, or an approval by one of the City's board or commissions.

Why Must I File?
The City of Palm Springs Public Integrity Ordinance advances transparency in municipal government and assists public officials in avoiding conflicts of interest. The City's Public Integrity Ordinance, codified in Chapter 2.60 of the municipal code, reflects the City's interest in ensuring that companies (and other legal entities that are not natural people) doing business in the community are transparent and make disclosure as to their ownership and management, and further that those companies disclose the identity of any person, with an ownership interest worth two thousand dollars ($2,000) or more, who has a material financial relationship with any elected or appointed voting City official, or with the City Manager or City Attorney.

Note: A material financial relationship is a relationship between someone who is an owner/investor in the applicant entity and a voting official (or the City Manager or City Attorney), which relationship includes any of the following:
(1) the owner/investor and the official have done business together during the year prior to the application;
(2) the official has earned income from the owner/investor during the year prior to the filing of the application;
(3) the owner/investor has given the official gifts worth fifty dollars ($50) or more during the year prior to the filing of the application; or
(4) the official might reasonably be anticipated to gain or lose money or a thing of value, based upon the owner/investor 's interest in the applicant entity, in relation to the application 's outcome.

When Must I File?
You must file this form with the Office of the City Clerk at the same time when you file your application for a City approval determined by a vote of City officials, whether elected or appointed.
(Revised 09 13 18)

CITY OF PALM SPRINGS- PUBLIC INTEGRITY DISCLOSURE
(INSTRUCTION FOR APPLICANTS)