Agenda packet, regular meeting, second session — Palmdale City Council, August 16, 2023 (part 2 of 4)

DISCUSSION
Advancing Communities Together (ACT) proposes to develop and operate a 14 hour Winter Shelter Program at 38626 9 th Street East, Palmdale. In collaboration with community partners, ACT will develop a plan to address 35 unhoused adult individuals from 5pm to 7am during the winter months of November to April. ACT will provide 2 meals, a snack and a meeting with a transitional advocate (case manager) to discuss developing an Individual Stability & Engagement Plan (ISTEP) which will entail an intake, enrollment, progression of support, and housing navigation and other needed services (mental health, disability, veteran support, etc.) through city, county, interim and permanent housing programs. ACT’s facility has a large, open space, multi-purpose room to host individuals in need of Winter Shelter Services.

ACT proposes to use funding to acquire 1 Pallet Shelter hygiene unit, with a two-stall hygiene unit with separate toilet, sink and individual shower. Provide facility improvements to have site prepped, electrical, water and sewer lines installed to accommodate the hygiene unit, including surveying, engineer utility and sewer plans, permits, licenses and fees. Funding will also go towards a new roof for the ACT facility due to leakage, after numerous repairs, during last winter’s storm.

FISCAL IMPACT
Funds are available in account 15818503-737100-1332 ARPA Affordable Housing.

STRATEGIC PLAN
Goal III: Invest in infrastructure to improve community livability and to plan and maintain safe and attractive neighborhoods, streets and facilities.

C. Plan and maintain safe and attractive neighborhoods, streets, facilities, and public spaces with exciting programming that promotes active fun for everyone.

Prepared by: Heather Nichols, Senior Housing Coordinator Certified as to availability of Funds: Janelle Samson, Director of Finance Approved by: Ronda Perez, City Manager
Approved as to form: William P. Curley, III, Interim City Attorney

ATTACHMENTS

1. Grant Agreement A-8465

2. Project Location Map
Winter Shelter Palmdale/
Palmdale Dream Village:
38626 9th Street East

WINTER SHELTER GRANT AGREEMENT
(A-8465)

This WINTER SHELTER GRANT AGREEMENT (this “Agreement”) is dated for reference purposes as of August 16, 2023, and is entered into by and between the CITY OF PALMDALE, a charter city of the State of California (“City”), and ADVANCING COMMUNITIES TOGETHER, a California nonprofit public benefit corporation (“ACT”), who agree as follows:

RECITALS

A. On July 17, 2023, ACT submitted to City a proposal (the “ Proposal”), attached hereto as Exhibit A and incorporated herein by this reference.

B. Under the Proposal, ACT would develop and operate a Winter Shelter Program (the “WSP”) at ACT’s property at 38626 9th St. E, Palmdale, California 93550 (the “Property”).

C. In connection with the Proposal, ACT concurrently submitted to City a budget (the “Budget”), attached hereto as Exhibit B and incorporated herein by this reference.

D. The Budget sets forth ACT’s proposed use of funds for the development of the WSP at the Property.

E. ACT requests that City provide the amount set forth in the Budget: $390,218.30.

F. City was awarded $35,445,019 in American Rescue Plan Act (“ARPA”) funds (“ARPA Funds”) through the United States Department of the Treasury.

G. Among the eligible uses of ARPA F unds is (i) to make necessary investments in water, sewer, or broadband infrastructure and (ii) to respond to public health and negative economic impacts of the pandemic in disproportionately impacted communities (youth and low- income communities).

H. In order to make necessary investments in water, sewer, o r broadband infrastructure and to respond to public health and negative economic impacts of the pandemic in disproportionately impacted communities (youth and low -income communities), City desires to grant to ACT the sum of $390,218.30 to be used to develo p the WSP at the Property (the “Winter Shelter Grant”).

NOW, THEREFORE, IN CONSIDERATION OF THE FOREGOING RECITALS AND

FOR OTHER GOOD AND VALUABLE CONSIDERATION, THE RECEIPT AND

SUFFICIENCY OF WHICH ARE HEREBY ACKNOWLEDGED, CITY AND ACT HEREBY AGREE AS FOLLOWS:

Winter Shelter Grant Agreement Agreement No. A-8465
Advancing Communities Together Page 2

TERMS

1. The foregoing Recitals are true and correct and are a substantive part of this Agreement.

2. City shall make the Winter Shelter Grant to ACT. All proceeds of the Winter Shelter Grant shall be used solely to reimburse ACT for ACT’s costs of developing the WSP at the Property, and all expenditures shall be supported by customary invoices, lien releases, etc.

From time to time, ACT may request to draw upon the Winter Shelter Grant in accordance with the Budget: the initial draw is estimated to be $194,285.91, and the subsequent draw request is estimated to be for $195,932.39, to be accompanied by documentation of previous expendit ures made prior to such new draw being approved and released. As soon as practicable, the parties hereto shall develop and implement a report, which shall be due on the 5 th day of each calendar month, to track draw requests submitted, funds disbursed, Budget line items funded, and the outstanding balance, with regard to the Winter Shelter Grant.

3. ACT shall develop and operate the WSP consistent with the Proposal and in conformity with all applicable laws, including all applicable federal and state labor standards, including, without limitation, the requirement to pay not less than the wages prevailing in the locality as determined by the United States Secretary of Labor pursuant to the Davis Bacon Act (40 U.S.C. 276a to 276a -5), if applicable, to pay state prevailing wages, if applicable, to comply with the sub-recipient reporting requirements of ARPA which requirements are further set forth in Exhibit C , attached hereto and incorporated herein by this reference , if applicable, and , if applicable, to comply with the beneficiary reporting requirements of ARPA as required by 31 CFR Title 35, which requirements are further se t forth in Exhibit D , attached hereto and incorporated herein by this reference.

4. ACT agrees to carry out development, construction (as defined by applicable law) and operation of the WSP on the Property , including, without limitation, any and all public works (as defined by applicable law), in conformity with all applicable local, state and federal laws, including, without limitation, all applicable federal and state labor laws (including, without limitation, any requirement to pay state prevailing wages). ACT expressly acknowledges and agrees that City has never previously affirmatively represented to ACT or its contractor(s) for the WSP in writing or otherwise, in a call for bids or otherwise, that the work to be covered by the bid or contract is not a “ public work”, as defined in Section 1720 of the California Labor Code.

ACT agrees that ACT shall have the obligation to provide any and all disclosures, representations, statements, rebidding, and/or identifications which may be required by California Lab or Code Sections 1726 and 1781, as the same may be enacted, adopted or amended from time to time, or any other provision of law. ACT agrees that ACT shall have the obligation to provide and maintain any and all bonds to secure the payment of contractors (including the payment of wages to workers performing any public work) which may be required by the California Civil Code, California Labor Code Section 1781, as the same may be enacted, adopted or amended from time to time, or any other provision of law. ACT agrees that ACT shall have the obligation, at ACT ’s sole cost, risk and expense, to obligate any party as may be Winter Shelter Grant Agreement Agreement No. A-8465
Advancing Communities Together Page 3

required by California Labor Code Sections 1726 and 1781, as the same may be enacted, adopted or amended from time to time, or any other pr ovision of law. ACT shall indemnify, protect, defend and hold harmless City and its elected officers, employees, contractors and agents, with counsel reasonably acceptable to City, from and against any and all loss, liability, damage, claim, cost, expense , and/or “increased costs” (including labor costs, penalties, reasonable attorneys’ fees, court and litigation costs, and fees of expert witnesses) which, in connection with the development, construction (as defined by applicable law) and/or operation of t he WSP, including, without limitation, any and all public works (as defined by applicable law), results or arises in any way from any of the following: (1) the noncompliance by ACT of any applicable local, state and/or federal law, including, without limitation, any applicable federal and/or state labor laws (including, without limitation, if applicable, the requirement to pay state prevailing wages); (2) the implementation of Sections 1726 and 1781 of the California Labor Code, as the same may be enacted, adopted or amended from time to time, or any other similar law; (3) failure by ACT to provide any required disclosure, representation, statement, rebidding and/or identification which may be required by California Labor Code Sections 1726 and 1781, as the same may be enacted, adopted or amended from time to time, or any other provision of law; (4) failure by ACT to provide and maintain any and all bonds to secure the payment of contractors (including the payment of wages to workers performing any public work) which may be required by the California Civil Code, California Labor Code Section 1781, as the same may be enacted, adopted or amended from time to time, or any other provision of law; (5) failure by ACT to obligate any party as may be required by Cali fornia Labor Code Sections 1726 and 1781, as the same may be enacted, adopted or amended from time to time, or any other provision of law. It is agreed by the parties hereto that, in connection with the development, construction (as defined by applicable law) and operation of the WSP , including, without limitation, any public work (as defined by applicable law), ACT shall bear all risks of payment or non- payment of state prevailing wages and/or the implementation of California Labor Code Sections 1726 and 1781, as the same may be enacted, adopted or amended from time to time, and/or any other provision of law; and/or (6) noncompliance with ARPA. “Increased costs” as used in this Section shall have the meaning ascribed to it in California Labor Code Section 1781, as the same may be enacted, adopted or amended from time to time. The foregoing indemnity shall survive termination of this Agreement.

5. ACT acknowledges that, but for the execution of this Agreement , City would not make the Winter Shelter Grant.

6. The Winter Shelter Grant need not be repaid to City. Notwithstanding the foregoing, the Winter Shelter Grant shall be immediately repaid by ACT to City in the event that ACT is in default of any provision of this Agreement, and fails to cure such default w ithin 10 days after receiving notice.

7. The funds used by City to make the Winter Shelter Grant shall be ARPA Funds .

Accordingly, ACT agrees for itself, its successors and assigns that the use of the Winter Shelter Grant funds shall be for purposes permitted by ARPA and for no other purpose.

Winter Shelter Grant Agreement Agreement No. A-8465
Advancing Communities Together Page 4

8. Due to the significant size of City’s Winter Shelter Grant, ACT’s extensive work to develop the WSP at the Property, and the value of the WSP to the community, it is anticipated that ACT will operate and maintain the WSP at the Property for as long as possible (i.e., 10 years, assuming that adequate funding for operations f rom L os Angeles Homeless Services Authority (and/or other agencies) is obtained) . If and when ACT ceases to operate the WSP at the Property, then AC T shall promptly surrender to City ownership and possession of the hygiene units for placement and use thereof elsewhere, at City’s discretion.

9. ACT hereby agrees to pay all costs and expenses, including reasonable attorneys’ fees, which may be incurred by City, in the enforcement of this Agreement or any term or provision hereof.

10. Upon the failure of ACT to perform or observe any other term or provision of this Agreement, City may exercise its rights or remedies hereunder.

11. If the rights created by this Ag reement shall be held by a court of competent jurisdiction to be invalid or unenforceable as to any part of the obligations described herein, then the remaining obligations shall be completely performed.

12. This Agreement may not be changed orally, but only by an amendment in writing signed by ACT and City.

[remainder of page intentionally left blank]
Winter Shelter Grant Agreement Agreement No. A-8465
Advancing Communities Together Page 5

13. This Agreement may be executed in counterparts, each of which shall be deemed an original, but all of which shall constitute one and the same instrument.

Executed in Palmdale, California, as of the date first set forth above.

“ACT”

Date: _________________ ADVANCING COMMUNITIES TOGETHER, a California nonprofit public benefit corporation

By:____________________________
Name: _____________________________
Its: ________________________________

By: ________________________________
Name: _____________________________
Its: ________________________________

*In accordance with California Corporations Code
Section 313, this document must be executed by the
Corporation’s Chief Executive Officer, President or
Vice-President, on the one hand, and the
Corporations’ Chief Financial Officer, Treasurer,
Assistant Treasurer or Secretary on the other hand.

[Signatures Continue on Following Page]
Winter Shelter Grant Agreement Agreement No. A-8465
Advancing Communities Together Page 6

“CITY”

CITY OF PALMDALE,
a charter city of the State of California

By: _______________________________ Date: _____________________________ Ronda Perez
City Manager

ATTEST:

By: ___________________________
Roxanne Faber
Acting City Clerk

APPROVED AS TO FORM:

By: ___________________________
William P. Curley III
Interim City Attorney

KANE, BALLMER & BERKMAN
City Special Counsel

By: ___________________________
Todd C. Mooney
Winter Shelter Grant Agreement Agreement No. A-8465
Advancing Communities Together Page 7

Exhibit A

PROPOSAL

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1 Advancing Communi�es Together (ACT) Winter Shelter Program Proposal:

UEI: WHQ2RQGDNSQ3
EIN: 45-1745040
Summary of Proposal
Advancing Communi�es Together (ACT) is pleased to submit this proposal for development and opera�on of a fourteen-hour (14) Winter Shelter Program (WSP) at 38626 9th St. E, Palmdale, California 93550. Over the past several years (excluding las t year – 2022), our facility has hosted Winter Shelter Program’s with opera�on and program services provided by diﬀerent providers, including Hope of the Valley and Volunteers of America. During this �me, our organiza�on has been a willing partner with City of Palmdale and other community-based organiza�ons, to “see a need, and meet a need,” in addressing the concerns of the unhoused, developing quality aﬀordable housing, workforce development, community engagement and public safety. We endeavor to expand our role in this collec�ve partnership with LAHSA, Valley Oasis, and other housing focused community partners, including faith-based groups, to provide quality direct services to the unhoused with standards of dignity and
consistent, authen�c engagement. We base our plan of support in alignment with the recently approved City of Palmdale Homeless plan, providing up to 35 individuals in Winter Shelter Program, with safe and suppor�ve housing condi�ons, community outreach services, wrap around services, housing naviga�on services, case management, family reuniﬁca�on (when appropriate), health and wellness services and various workforce development programs.

Advancing Communi�es Together (ACT) submits this proposal in support of dispropor�onately impacted individuals with goals for having a safe place to shelter with standards of dignity, purpose, and establish a solid founda�on in which to begin their transi�on from unhoused to stable and produc�ve ci�zens.

We have partnered and collaborated with community-based organiza�ons, faith-based groups, local, county, state and federal governments and others throughout Los Angeles County seeking to address the needs of Palmdale residents for over 15 years. We seek to expand our role and provide each unhoused person an opportunity to be in an impac�ul and transforma�onal environment, that supports their goals toward stability, u�lizing their strengths, resiliency, and community support to achieve their individual goals.

Winter Shelter Program Service Plan
In collabora�on with community partners, we have developed a plan to address 35 unhoused adult individuals, from 5 pm to 7 am, during the winter months of November to April, u�lizing promising prac�ces, dignity standards and support from LAHSA and other local and county agencies. ACT’s facility has a large, open space, mul� purpose room to host individuals in need of Winter Shelter services. ACT has already been approved as a LAHSA service provider, the facility has also been inspected and approved by LAHSA and Fire Marshall.

2 ACT proposes to provide and connect eligible, qualiﬁed, and interested individuals to par�cipate in a set of program ac�vi�es/services beyond providing a bed and meal for the night, although those are necessary. Our goal is to communicate and advocate for and for everyone to seek a path toward stability while addressing any challenges and barriers in their lives.

ACT will provide 2 meals daily and a healthy snack for everyone, along with an opportunity to meet formally with a transi�onal advocate (case manager) to discuss developing an ISTEP plan (Individual Stability & Engagement Plan) which will entail an intake, enrollment, progression of support, and housing naviga�on and other needed services (mental health, disability, veteran support, etc.) through city, county, interim and permanent housing programs.

Facility Improvement and site prepara�on plans:

ACT proposes the City of Palmdale to fund the acquisition of one Pallet Shelter hygiene unit for Winter Shelter individuals to use. Pallet Shelter products include a two-stall hygiene unit with separate toilet, sink and individual shower. These are ﬁre and weather resistant units (up to 170 mph wind loads) and are pre-assembled and delivered to our facility for installa�on.

ACT proposes the City of Palmdale provide funding for facility improvement to have site prepped, electrical, water and sewer lines installed to accommodate hygiene unit. This also includes funding for surveying, engineer u�lity and sewer plans, permits, licenses and fees. Pallet Shelter products, are simple to connect to once site infrastructure is in place to provide running water and ligh�ng to hygiene unit. They come with a unique stabilizing base to lock each unit into but must have ground level to create secure stable points of contact.

ACT also proposes for the City of Palmdale to fund a new roof for the ACT facility. A�er ge�ng numerous repairs done and ge�ng professional roof contractors es�mates, it was determined that a new roof is leaking to stop leaking the occurred heavily last winter.

Project Development Funds and Drawdowns for Start Up Cost:

ACT humbly request that the City of Palmdale provide initial develop funds for this project once agreements and requirements from ACT are met. These funds will allow ACT to meet a project completion deadline that is aligned with Winter Shelter needs beginning in November 2023 and fabrication timelines for hygiene units, shipping, and installation. In order to meet this expedited timeline, ACT has set a timeline to begin breaking ground on project by August 21 for sewer and water lines, and order Pallet hygeine units by August 25, 2023 in order for fabrication and delivery to take place by start of November 2023 when Winter Shelter is needed.

According to FINAL RULE for ARPA funding, the following are eligible uses:

Use of Funds (Obligated by Dec 31, 2024, and spent by Dec 31, 2026) and eligibility:
a. To Make necessary investments in water, sewer, or broadband infrastructure.

1. Develop ACT with facility improvements and �e in electrical, sewer and water lines for Winter Shelter Program to provide modular bathroom with two showers, two sinks, two toilets. The Pallet modular units require water and electricity directly to each unit. We request to develop a sewer, u�li�es, and water plan to accommodate this.
3 2. Public health and negative economic Impact or disproportionately impacted communities (youth and low-income communities).

3. Assistance to nonproﬁts to provide a service with direct beneﬁt to government and communi es: We propose and request funds for use to improve ACT facili es to construct a new roof for our 10,500 square foot building which will host the Winter Shelter program. We
were informed by local roof contractors that roof could not be repaired any further and due to Covid it wasn’t maintained properly and our ability to raise
funds were impacted by low program enrollment and the inability to hire a regular maintenance crew.

ACT will develop a maintenance training program and encourage individuals with “lived experience” with various levels of being unhoused and were impacted by Covid. They will also support the program as advisors. We are seeking to provide a compe��ve wage during and a�er their training.

The Objec�ve
Develop a Winter Shelter in Palmdale that creates an impac�ul and transforma�on environment of dignity, consistent engagement, support, and structure for unhoused to transi�on from Winter shelter to interim housing to permanent housing within the City of Palmdale.

Pallet shelter structures are cost eﬃcient and can immediately bridge individuals between being unhoused in the streets, desert encampments or in cars, to a more stable and permanent housing solu�on for adults.

ACT Winter Shelter Program in Palmdale, will house up to 35 individuals, as determined by Fire Marshall, will also include on-site access to showers and bathroom units (including ADA compliant), workshops and ac�vi�es, case management oﬃce, dog run and oﬀered in a safe and secure environment.

We will provide a safe and suppor�ve space for outreach teams, housing specialists and case managers to ﬁnd their clients when needed to con�nue their services as well as connect individuals with new services that require a stable loca�on.

Our partnerships will also work with eligible and interested individuals in planning workforce development support and resources, providing jobs and training for the unhoused and disenfranchised, self-purpose and engage a work force of ambassadors to relieve pressure from many understaﬀed city departments and personnel.
• Reduce the unhoused popula�on overall in the City of Palmdale. • Increase access to mental health, substance abuse treatment and overall health and wellness for those who are unhoused.
• Reduc�on or eliminate desert encampments and solicitors on streets and road islands Palmdale. • Promote long-term permanent housing stability for people experiencing homelessness. • Enhance the safety, health, and wellness of neighborhoods for all residents, businesses, and unhoused.

In conclusion, we are excited and hopeful that this proposal will gain your support and approval.

Advancing Communi�es Together is available to answer any ques�ons related to this proposal and our development or opera�onal plans for the Winter Shelter Program.

Winter Shelter Grant Agreement Agreement No. A-8465
Advancing Communities Together Page 8

Exhibit B

BUDGET

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ACT WSP Development Project Budget Drawdown #1 Winter Shelter ProjectDescriptionUnit Cost Units Amounts Pallet - Hygiene Unit orderInvoice 1 - 50% deposit $44,995.00Due upon contract Signing (Net 30)Building Permits Fees, County Fees$25,000.00 1 $25,000.00 County/CityBuilding Fees $25,000Architect Design$4,000.00 1 $4,000.00 EngineeringElectrical, Topo, Sewer, Utilities$22,500Topography Survey$2,500.00 1 $2,500.00 Architect $4,000Plumbing - Sewer and Water Lines$8,500.00 1 $8,500.00 PlumberSewer/Water Lines 8,500Electrical Engineering (civil)$4,000.00 1 $4,000.00 Roof Improvement $80,000Engineering (sewer and utilities plans) $16,000.00 1 $16,000.00 5% Contingency50% 9,290.91Forklift (8 foot) for& unloading hygeine units $2,500.00 1 $2,500.00 Drawdown #1Total: $194,285.91Ramps for Bathroom$2,500.00 1 $2,500.00Plumbing Installation$5,000.00 1 $5,000.00 Drawdown #2 Winter Shelter Project - Electrical Installation $112,500.0050% 1 $112,500.00 Pallet -Hygiene Unit +Tax/ShippingInvoice 2 - 50%$64,141.48Due upon shipping (Net 30)Roof Improvements$80,000.00 1 $80,000.00 ForkliftUnloading Units $2,500Due upon units arriving Plumbing Install $5,000Contract/Vendor Subtotal $262,500.00 RampsFor Hygiene Unit $2,500Pallet Two Stall Hygiene Unit (Shower, sink, toilet in each)$44,995.00 1 $44,995.00 Electrical Installation $112,500.00Pallet ADA Hygiene Unit$44,995.00 1 $44,995.00 5% Contingency50% 9290.91Shipping Cost for Hygiene$9,000 1 $9,000.00$98,990.00 Drawdown #2Total:$195,932.3910.25% $10,146.48Subtotal $109,136.48$371,636.485% contingency $18,581.82 Grand total $390,218.30
Winter Shelter Grant Agreement Agreement No. A-8465
Advancing Communities Together Page 9

Exhibit C

REPORTING REQUIREMENTS

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Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

1 ted ieethe due

ADD cover page

November xx, 2021
Version: 2.0
June 6, 2023
Version: 5.1

Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

2 Coronavirus State and Local Fiscal Recovery Funds
Guidance on Recipient Compliance and Reporting
Responsibilities

On March 11, 2021, the American Rescue Plan Act was signed into law, and established the Coronavirus State Fiscal Recovery Fund and Coronavirus Local Fiscal Recovery Fund, which together make up the Coronavirus State and Local Fiscal Recovery Funds (“SLFRF”) program. This program is intended to provide support to State, territorial, local, and Tribal governments in responding to the economic and public health impacts of COVID-19 and in their efforts to contain impacts on their communities, residents, and businesses.

In May 2021, Treasury published the interim final rule (“IFR”) describing eligible and ineligible uses of SLFRF, as well as other program requirements. The initial versions of this Compliance and Reporting guidance reflected the IFR and its eligible use categories. On January 6, 2022, the U.S. Department of the Treasury (“ Treasury”) adopted the final rule implementing the SLFRF program . The final rule became effective on April 1, 2022. Prior to the final rule effective date , the IFR remained in effect; funds used consistently with the IFR while it was in effect were in compliance with the SLFRF program.

However, recipients could choose to take advantage of the final rule’s flexibilities and simplifications ahead of the effective date. R ecipients may consult the Statement Regarding Compliance with the Coronavirus State and Local Fiscal Recovery Funds Interim Final Rule and Final Rule for more information on compliance with the IFR and the final rule.

To support recipients in complying with the final rule, this reporting guidance reflects the final rule and provides additional detail and clarification for each recipient’s compliance and reporting responsibilities under the SLFRF program, and should be read in concert with the Award Terms and Conditions, the authorizing statute, the final rule, other program guidance including the Final Rule FAQs, and other regulatory and statutory requirements, including regulatory requirements under the Uniform Administrative Requirements, Cost Principles, and Audit Requirements f or Federal Awards (“Uniform Guidance ” or 2 CRF Part 200) , and 2021 SLFRF Compliance Supplement – Technical Update and 2022 SLFRF Compliance Supplement . Please see the Assistance Listing in SAM.gov under assistance listing number (formerly known as CFDA number) 21.027 for more information.

Please Note: This guidance document applies to the SLFRF program only and does not change or impact reporting and compliance requirements for the Coronavirus Relief Fund (“CRF”) established by the CARES Act.

This guidance includes two parts:

Part 1: General Guidance
This section provides an orientation to recipients’ compliance responsibilities and Treasury’s expectations and recommends best practices where appropriate under the SLFRF program.

A. Key Principles……………………..……………………………………………………. P. 4
B. Statutory Eligible Uses…………………………………………………………………. P. 4 C. Treasury’s Final Rule……………………………………………………….………… P. 5 D. Uniform Guidance (2 CFR Part 200)……………..…………………………………… P. 7 E. Award Terms and Conditions………………………………...………………………...

P. 11

Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

3 Part 2: Reporting Requirements
This section provides information on the reporting requirements for the SLFRF program.

A. Interim Report…...…………………………………………………………………...…. P. 16 B. Project and Expenditure Report…………….…………………………………...……. P. 17 C. Recovery Plan Performance Report..………………..……………………….….…… P. 34

Appendix 1: Expenditure Categories…………………………………………………….…… P. 42 Appendix 2: Evidenced-Based Intervention Additional Information…………………….…. P. 47 Appendix 3: Expenditure Categories under the Interim Final Rule……………………….. P. 48

OMB Control Number: 1505-0271

OMB Expiration Date: 04/30/2025

PAPERWORK REDUCTION ACT NOTICE

The information collected will be used for the U.S. Government to process requests for support. The estimated burden for the collections of information included in this guidance is as follows: 30 minutes for Title VI Assurances, 2 hours per response for t he Interim Report, 6 hours per response for the Project and Expenditure Report and 100 hours per response for the Recovery Plan Performance Report (if applicable). Comments concerning the accuracy of this burden estimate and suggestions for reducing this burden should be directed to the Office of Privacy, Transparency and Records, Department of the Treasury, 1500 Pennsylvania Ave., N.W., Washington, D.C. 20220. DO NOT send the form to this address. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid control number assigned by OMB.

Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

4 Part 1: General Guidance

This section provides an orientation on recipients’ compliance responsibilities and Treasury’s expectations and recommended best practices where appropriate under the SLFRF program.

Recipients under the SLFRF program are the eligible entities identified in sections 602 and 603 of the Social Security Act as added by section 9901 of the American Rescue Plan Act of 2021 (the “SLFRF statute”) that receive an SLFRF award. Subrecipients under the SLFRF program are entities that receive a subaward from a recipient to carry out the purposes (program or project) of the SLFRF award on behalf of the recipient.

Recipients are accountable to Treasury for oversight of their subrecipients in accordance with 2 CFR 200.332, including ensuring their subrecipients comply with the SLFRF statute, SLFRF Award Terms and Conditions, Treasury’s interim final rule and final rule, applicable federal statutes, regulations , and reporting requirements.

A. Key Principles

There are several guiding principles for developing your own effective compliance regimes:
• Recipients and subrecipients are the first line of defense and responsible for ensuring the SLFRF award funds are not used for ineligible purposes, and there is no fraud, waste, or abuse associated with their SLFRF award;
• Many SLFRF-funded projects respond to the COVID-19 public health emergency and meet urgent community needs. Swift and effective implementation is vital, and recipients must balance facilitating simple and rap id program access widely across the community and maintaining a robust documentation and compliance regime;
• Treasury encourages recipients to use SLFRF -funded projects to advance shared interests and promote equitable delivery of government benefits and opportunities to underserved communities, as outlined in Executive Order 13985, On Advancing Racial Equity and Support for Underserved Communities Through the Federal Government; and
• Transparency and public accountability for SLFRF award funds and use of such funds are critical to upholding program integrity and trust in all levels of government, and SLFRF award funds should be managed consistent with Administration guidance per Memorandum M -21-20 and Memorandum M-20-21.

B. Statutory Eligible Uses

As a recipient of an SLFRF award, your organization has substantial discretion to use the award funds in the ways that best suit the needs of your constituents – as long as such use fits into one of the following four statutory categories:

1. To respond to the COVID-19 public health emergency or its negative economic impacts;

2. To respond to workers performing essential work during the COVID -19 public health emergency by providing premium pay to eligible workers of the recipient that are performing such essentia l work, or by providing grants to eligible employers that have eligible workers who perform essential work;

3. For the provision of government services, to the extent of the reduction in revenue of such recipient due to the COVID–19 public health emergency, relative to revenues collected in the most recent full fiscal year of the recipient prior to the emergency; or

4. To make necessary investments in water, sewer, or broadband infrastructure.

Treasury adopted an interim final rule in May 2021 and the final rule on January 6, 2022 to implement these eligible use categories and other restrictions on the use of funds under the SLFRF

Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

5 program. The final rule took effect on April 1, 2022, and the interim final rule remained in effect until that time, although recipients could choose to take advantage of the final rule’s flexibilities and simplifications prior to April 1, 2022. Recipients may consult the Statement Regarding Compliance with the Coronavirus State and Local Fiscal Recovery Funds Interim Final Rule and Final Rule for more information on compliance with the interim final rule and the final rule.

It is t he recipient’s responsibility to ensure all SLFRF award funds are used in compliance with the program’s requirements. In addition, recipients should be mindful of any additional compliance obligations that may apply – for example, additional restrictions imposed upon other sources of funds used in conjunction with SLFRF award funds , or statutes and regulations that may independently apply to water, broadband, and sewer infrastructure projects. Recipients should ensure they maintain proper documentation supporting determinations of costs and applicable compliance requirements, and how they have been satisfied as part of their award management, internal controls, and subrecipient oversight and management.

C. Treasury’s Final Rule

Treasury’s final rule details recipients’ compliance responsibilities and provides additional information on eligible and restricted uses of SLFRF award funds and reporting requirements.

1. Eligible and Restricted Uses of SLFRF Funds. As described in the SLFRF statute and summarized above, there are four enumerated eligible uses of SLFRF award funds. As a recipient of an award under the SLFRF program, your organization is responsible for complying with requirements for the use of funds. In addition to determining a given project’s eligibility, recipients are also responsible for determining subrecipient’s or beneficiaries’ eligibility , and must monitor subrecipients’ use of SLFRF award funds.

To help recipients build a greater understanding of eligible uses, Treasury’s final rule establishes a framework for determining whether a specific project would be elig ible under the SLFRF program, including some helpful definitions. For example, Treasury’s final rule establishes:
• A framework for determining whether a project responds to the COVID-19 public health emergency or its negative economic impacts;
• Definitions of “eligible employers,” “essential work,” “eligible workers,” and “premium pay” for cases where premium pay is an eligible use;
• The option to select between a standard amount of revenue loss or complete a full revenue loss calculation of revenue lost due to the COVID-19 public health emergency; • A framework for necessary water and sewer infrastructure projects that aligns eligible uses with projects that are eligible under the Environmental Protection Agency’s Drinking Water and Clean Water State Revolving Funds along with certain additional projects, including a wider set of lead remediation and stormwater infrastructure projects and aid for residential wells; and
• A framework for necessary broadband projects that allows for projects that are designed to provide service of sufficient speeds to eligible areas, as wel l as an affordability requirement for providers that provide service to households.

Treasury’s final rule also provides more information on important restrictions on use of SLFRF award funds , including that recipients other than Tribal governments may not deposit SLFRF funds into a pension fund; and recipients that are States or territories may not use SLFRF funds to offset a reduction in net tax revenue resulting from the recipient’s change in law, regulation, or administrative interpretation. In addition, recipients may not use SLFRF funds directly to service debt, satisfy a judgment or settlement, or contribute to a “rainy day” fund. Recipients should refer to Treasury’s final rule for more information on these restrictions.

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6 Treasury’s final rule outlines that f unds available under the “revenue loss” eligible use category (sections 602(c)(1)(C) and 603(c)(1)(C) of the Social Security Act) generally may be used to meet the non-federal cost-share or matching requirements of other federal programs. However, the final rule notes that SLFRF funds may not be used as the non -federal share for purposes of a state’s Medicaid and CHIP programs because the Office of Management and Budget (“OMB”) has approved a waiver as requested by the Centers for Medicare & Medicaid Services pursuant to 2 CFR 200.102 of the Uniform Guidance and related regulations. If a recipient seeks to use SLFRF funds to satisfy match or cost -share requirements for a federal grant program, it should first confirm with the relevant awarding agency that no waiver has been granted for that program, that no other circumstances enumerated under 2 CFR 200.306(b) would limit the use of SLFRF funds to meet the match or cost -share requirement, and that there is no other statutory or regulatory impediment to using the SLFRF funds for the match or cost -share requirement. SLFRF funds beyond those that are available under the revenue loss eligible use category may not be used to meet the non-federal match or cost-share requirements of other federal programs, other than as specifically provided for by statute . For example, t he Infrastructure Investment and Jobs Act provides that SLFRF funds may be used to meet the non -federal match requirements of authorized Bureau of Reclamation projects and certain broadband deployment projects.

2. Eligible Costs Timeframe. Your organization, as a recipient of an SLFRF award, may use SLFRF funds to cover eligible costs that your organization incurred during the period that begins on March 3, 2021 and ends on December 31, 2024, as long as the award funds for the obligations incurred by December 31, 2024 are expended by December 3 1, 2026. Costs for projects incurred by the recipient State, territorial, local, or Tribal government prior to March 3, 2021 are not eligible, as provided for in Treasury’s final rule.

Recipients may, in certain circumstances, use SLFRF award funds for the eligible use categories described in Treasury’s final rule for costs incurred prior to March 3, 2021.

Specifically,
a. Public Health/Negative Economic Impacts: Recipients may use SLFRF award funds to provide assistance to households, small businesses, and nonprofits to respond to the public health emergency or negative economic impacts of the pandemic – such as rent, mortgage, or utility assistance – for costs incurred by the beneficiary (e.g., a household) prior to March 3, 2021, provided that the recipient State, territorial, local or Tribal government did not incur the cost of providing such assistance prior to March 3, 2021. b. Premium Pay: Recipients may provide premium pay retrospectively for work performed at any time since the start of the COVID-19 public health emergency. Such premium pay must be “in addition to” wages and remuneration already received and the obligation to provide such premium pay must not have been incurred by the recipient prior to March 3, 2021. c. Revenue Loss: Recipients have broad discretion to use funds for the provision of government services to the extent of reduction in revenue. While calculation of lost revenue is based on the recipient’s revenue in the last full fiscal year prior to the COVID-19 public health emergency, use of funds for government services must be forward looking for costs incurred by the recipient after March 3, 2021.
d. Investments in Water, Sewer, and Broadband: Recipients may use SLFRF award funds to make necessary investments in water, sewer, and broadband infrastructure. Recipients may use SLFRF award funds to cover costs incurred for eligible projects planned or started prior to March 3, 2021, provided that the project costs covered by the SLFRF award funds were incurred by the recipient after March 3, 2021.

Any funds not obligated or expended for eligible uses by the timelines above must be returned to Treasury, including any unobligated or unexpended funds that have been provided to subrecipients and contractors as part of the award closeout process pursuant to 2 C.F.R. 200.344(d). For the purposes of determining expenditure eligibility, Treasury’s final rule provides

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7 that “incurred” means the recipient has incurred an obligation, which has the same meaning given to “financial obligation” in 2 CFR 200.1.

3. Reporting. Generally, recipients must submit one initial Interim Report, quarterly or annual Project and Expenditure reports which include subaward reporting, and in some cases annual Recovery Plan reports. Treasury’s final rule and Part 2 of this guidance provide mo re detail around SLFRF reporting requirements.

4. Expenditure Categories . Treasury’s final rule provides greater flexibility and simplicity for recipients to fight the pandemic and support families and businesses struggling with its impacts , maintain vital ser vices amid revenue shortfalls, and build a strong, resilient, and equit able recovery. As such, recipients report on a broader set of eligible uses and associated Expenditure Categories (“EC”), which began with the April 2022 Project and Expenditure Report. Appendix 1 includes the new ECs, as well as a reference to previous ECs used for reporting under the interim final rule.

D. Uniform Administrative Requirements

The SLFRF awards are generally subject to the requirements set forth in the Uniform Guidance. In all instances, your organization should review the Uniform Guidance requirements applicable to your organization’s use of SLFRF funds, and SLFRF-funded projects. Additional details about applicability of certain provisions of the Uniform Guidance may be found in:

• SLFRF final rule;
• SLFRF Assistance Listing; and
• SLFRF Final Rule FAQs, including FAQ 4.9, 10.1, and Section 13.

The following sections provide a general summary of your organization’s compliance responsibilities under applicable statutes and regulations, including the Uniform Guidance, as described in the most recent compliance supplement issued by OMB . Note that the d escriptions below are only general summaries and all recipients and subrecipients are advised to carefully review the Uniform Guidance requirements and any additional regulatory and statutory requirements applicable to the program.

1. Allowable Activities. Each recipient should review program requirements, including Treasury’s final rule and the recipient’s Award Terms and Conditions, to determine and record eligible uses Assistance Listing
The Assistance Listing for the Coronavirus State and Local Fiscal Recovery Funds (SLFRF) was published May 28, 2021 on SAM.gov under Assistance Listing Number (“ALN”), formerly known as CFDA Number, 21.027.

The assistance listing includes helpful information including program purpose, statutory authority, eligibility requirements, and compliance requirements for recipients. The ALN is the unique 5-digit number assigned to identify a federal assistance listing, and can be used to search for federal assistance program information, including funding opportunities, spending on USASpending.gov, or audit results through the Federal Audit Clearinghouse.

To expedite payments and meet statutory timelines Treasury issued initial payments under an existing ALN, 21.019, assigned to the CRF. If you have already received funds or captured the initial number in your records, please update your systems and reporting to reflect the new ALN 21.027 for the SLFRF program. Recipients must use ALN 21.027 for all financial accounting, subawards, and associated program reporting requirements for the SLFRF awards.

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8 of SLFRF funds. Per 2 CFR Part 200.303, your organization must develop and implement effective internal controls to ensure that funding decisions under the SLFRF award constitute eligible uses of funds, and document determinations.

2. Allowable Costs/Cost Principles. As outlined in the Uniform Guidance at 2 CFR Part 200, Subpart E regarding Cost Principles, allowable costs are based on the premise that a recipient is responsible for the effective administration of Federal awards, application of sound management practices, and administration of Federal funds in a manner consistent with the program objectives and terms and conditions of the award. Recipients must implement robust internal controls and effective monitoring to ensure c ompliance with the Cost Principles, wh ich are important for building trust and accountability. Please note that as outlined in Final Rule FAQ 13.15, only a subset of the Uniform Guidance requirements at 2 CFR P art 200 Subpart E (Cost Principles ) applies to recipients’ use of funds in the revenue loss eligible use category.

SLFRF funds may be, but are not required to be, used along with other funding sources for a given project. Recipients should note that SLFRF funds available under the “revenue loss” eligible use category generally may be used to meet the non-federal cost-share or matching requirements of other federal programs. If a recipient seeks to use SLFRF funds to satisfy match or cost -share requirements for a federal grant program, the recipient should first confirm with the relevant awarding agency that no waiver has been granted for that program, that no other circumstances enumerated under 2 CFR 200.306(b) would limit t he use of SLFRF funds to meet the match or cost-share requirement, and that there is no other statutory or regulatory impediment to using the SLFRF funds for the match or cost -share requirement. For instance, recipients should note that SLFRF funds may not be used as the non-federal share for purposes of a state’s Medicaid and CHIP programs because the OMB has approved a waiver from this provision as requested by the Centers for Medicare & Medicaid Services pursuant to 2 CFR 200.102 of the Uniform Guidance and related regulations.

SLFRF funds beyond those that are available under the revenue loss eligible use category may not be used to meet the non-federal match or cost-share requirements of other federal programs, other than as specifically provided for b y statute. As an example, the Infrastructure Investment and Jobs Act provides that SLFRF funds may be used to meet the non-federal match requirements of authorized Bureau of Reclamation projects and certain broadband deployment projects.

Recipients should consult the final rule for further details if they seek to utilize SLFRF funds as a match for these projects.

Treasury’s final rule, program guidance, and the Uniform Guidance outline the types of costs that are allowable, including certain audit costs. For example, per 2 CFR 200.425, a reasonably proportionate share of the costs of audits required by the Single Audit Act Amendments of 1996 are allowable; however, costs for audits that were not performed in accordance with 2 CFR Part 200, Subpart F and the Compliance Supplement are not allowable. Please see 2 CFR Part 200, Subpart E regarding the Cost Principles for more information.

a. Administrative costs: Recipients may use funds for administering the SLFRF program, including costs of consultants to support effective management and oversight, including consultation for ensuring compliance with legal, regulatory, and other requirements.1 Further, costs must be reasonable and allocable as outlined in 2 CFR 200.404 and 2 CFR 200.405.

Pursuant to the SLFRF Award Terms and Conditions, recipients are permitted to charge both direct and indirect costs to their SLFRF award as administrative costs as long as they are accorded consistent treatment per 2 CFR 200.403. Direct costs are those that are identified specifically as costs of implementing the SLFRF program objectives, such as

1 Recipients also may use SLFRF funds directly for administrative costs to improve the design and execution of programs responding to the COVID-19 pandemic and to administer or improve the efficacy of programs addressing the public health emergency or its negative economic impacts. 31 CFR 35.6(b)(3)(ii)(E)(3).

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9 contract support, materials, and supplies for a project. Indirect costs are general overhead costs of an organization where a portion of such costs are allocable to the SLFRF award such as the cost of facilities or administrative functions like a director’s office.23 Each category of cost should be treated consistently in like circumstances as direct or indirect, and recipients may not charge the same administrative costs to both direct and indirect cost categories, or to other programs. If a recipient has a current Negotiated Indirect Costs Rate Agreement (“NICRA”) established with a Federal cognizant agency responsible for reviewing, negotiating, and approving cost allocation plans or indirect cost proposals, then the recipient may use its current NICRA. Alternatively, if the recipient does not have a NICRA, the recipient may elect to use the de minimis rate of 10 percent of the modified total direct costs pursuant to 2 CFR 200.414(f).

b. Salaries and Expenses: In general, certain employees’ wages, salaries, and covered benefits are an eligible use of SLFRF award funds. Please see Treasury’s final rule for details.

3. Cash Management. SLFRF payments made to recipients are not subject to the requirements of the Cash Management Improvement Act and Treasury’s implementing regulations at 31 CFR Part 205 or 2 CFR 200.305(b)(8)-(9).

As such, recipients can place funds in interest -bearing accounts, do not need to remit interest to Treasury, and are not limited to using that interest for eligible uses under the SLFRF award.

4. Eligibility. Under this program, recipients are responsible for ensuring funds are used for eligible purposes. Generally, recipients must develop and implement policies and procedures, and retain records, to determine and monitor implementation of criteria for determining the eligibility of beneficiaries and/or subrecipients. Your organization, and if applicable, the subrecipient(s) administering a program on behalf of your organization, will need to maintain procedures for obtaining information evidencing a given beneficiary, subrecipient, or contractor’s eligibility , including a valid SAM.gov registration (except with respect to individuals or households for which a SAM.gov registration is not requir ed). Implementing risk -based due diligence for eligibility determinations is a best practice to augment your organization’s existing controls.

5. Property Management. Any purchase of real or personal property with SLFRF funds must be consistent with the Uniform Guidance at 2 CFR Part 200, Subpart D , unless stated otherwise by Treasury. For example, as outlined in Final Rule FAQ 13.15 , only a subset of the Uniform Guidance requirements at 2 CFR Part 200 Subpart D (Post Federal Award Requirements) applies to recipients’ use of funds in the revenue loss eligible use category. Furthermore, as outlined in Final Rule FAQ 13.16, Treasury has clarified the use and disposition requirements for real and personal property, supplies, and equipment purchased with SLFRF funds.

6. Matching, Level of Effort, Earmarking. There are no matching, level of effort, or earmarking compliance res ponsibilities associated with the SLFRF award. See Section C.1 (Eligible and Restricted Uses of SLFRF Funds) for a discussion of restrictions on use of SLFRF funds. Please see 2. Allowable Costs/Cost Principles above for information on the use of SLFRF funds for non- Federal match or cost-sharing requirements in other Federal programs.

7. Period of Performance. Your organization should also develop and implement intern al controls related to activities occurring outside the period of performance. All funds remain subject to statutory and regulatory requirements that they must be used for costs incurred by the recipient during the period that begins on March 3, 2021, and ends on December 31, 2024, and that award funds for the financial obligations incurred by December 31, 2024 must be expended by December

2 2 CFR 200.413 Direct Costs.
3 2 CFR 200.414 Indirect Costs.

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10 31, 2026. Any funds not used must be returned to Treasury as part of the award closeout process pursuant to 2 C.F.R. 200.344(d).

8. Procurement, Suspension & Debarment. Recipients are responsible for ensuring that any procurement using SLFRF funds, or payments under procurement contracts using such funds , are consistent with the procurement standards set forth in the Uniform Guidance at 2 CFR 200.317 through 2 CFR 200.327, unless stated otherwise by Treasury . As outlined in Final Rule FAQ

13.15, only a subset of the Uniform Guidance requirements at 2 CFR Part 200 Subpart D (Post Federal Award Requirements) applies to recipients’ use of funds in the revenue loss eligible use category. The procurement standards set forth in the Uniform Guidance at 2 CRF 200.317 through 2 CRF 200.327 are not in cluded in Final Rule FAQ 13.15’s list of applicable Subpart D requirements that apply to recipients’ use of funds in the revenue loss eligible use category.

The Uniform Guidance establishes in 2 CFR 200.319 that all procurement transactions for property or services must be conducted in a manner providing full and open competition, consistent with standards outline d in 2 CFR 200.320 , which allows for non -competitive procurements only in certain circumstances. Recipients must have and use documented procurement procedures that are consistent with the standards outlined in 2 CFR 200.317 through 2 CFR 200.320. The Uniform Guidance, pursuant to 2 CFR 180, requires an infrastructure for competitive bidding and contractor oversight, including maintaining written standards of conduct and prohibitions on dealing with suspended or debarred parties. Y our organization must ensure adherence to all applicable local, State, and federal procurement laws and regulations.

9. Program Income. Generally, program income includes, but is not limited to, income from fees for services performed, the use or rental of real or personal property acquired under Federal awards, and principal and interest on loans made with Federal award funds. Program income does not include interest earned on advances of Federal funds, rebates, credits, discounts, or interest on rebates, credits, or discounts. Recipients of SLFRF funds should calculate, document, and record the organization’s program income. Additional controls that your organization should implement include written policies that explicitly identify appropriate allocation methods, accounting standards and principles, compliance monitoring checks for program income calculations, and records.

The Uniform Guidance outlines the requirements that pertain to program income at 2 CFR 200.307. Treasury has clarified in its Final Rule FAQs that recipients may add program income to the Fed eral award. Any program income generated from SLFRF funds must be used for the purposes and under the conditions of the Federal award. Further, Final Rule FAQ 4.9 provides additional information about program income requirements applicable to certain eligible uses, and Final Rule FAQ 13.15 clarifies that only a subset of the Uniform Guidance requirements at 2 CFR 200 Subpart D (Post Federal Award Requirements) applies to recipients’ use of funds in the revenue loss eligible use category. The list of applic able Subpart D requirements in Final Rule FAQ 13.15 does not include the program income requirements in 2 CFR 200.307.

10. Reporting. All recipients of federal funds must complete financial, performance, and compliance reporting as required and outlined in Part 2 of this guidance. Expenditures may be reported on a cash or accrual basis, as long as the methodology is disclosed and consistently applied. Reporting must be consistent with the definition of expenditures pursuant to 2 CFR 200.1. Your organization should appropriately maintain accounting records for compiling and reporting accurate, compliant financial data, in accordance with appropriate accounting standards and principles.

In addition, where appropriate, your organization needs to establish controls to ensure completion and timely submission of all mandatory performance and/or compliance reporting. See Part 2 of this guidance for a full overview of recipient reporting responsibilities.

Consolidated jurisdictions or other types of jurisdictions that received multiple SLFRF allocations

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11 (e.g., a county and city with a consolidated government) are only required to file once per reporting period, and such reports will cover the total SLFRF allocations received by the jurisdiction. This includes Non-entitlement units of local government ( “NEUs”) and/or Units of general local government located within counties that are not units of general local governmen t. In addition, the total SLFRF allocations across all sources for a given juri sdiction will be used to identify that jurisdiction’s Reporting Tier.

11. Subrecipient Monitoring. SLFRF recipients that are pass-through entities as described under 2 CFR 200.1 are required to manage and monitor their subrecipients to ensure compliance with requirements of the SLFRF award pursuant to 2 CFR 200.332 regarding requirements for pass - through entities.

First, your organization must clearly identify to the subrecipient: (1) that the award is a subaward of SLFRF funds; (2) any and all compliance requirements for use of SLFRF funds; and (3) any and all reporting requirements for expenditures of SLFRF funds.

Next, your organization will need to evaluate each subrecipient’s risk of noncompliance based on a set of common factors. These r isk assessments may include factors such as prior experience in managing Federal funds, previous audits, personnel, and policies or procedures for award execution and oversight. Ongoing monitoring of any given subrecipient should reflect its assessed risk and include monitoring, identification of deficiencies, and follow -up to ensure appropriate remediation.

Accordingly, your organization should develop written policies and procedures for subrecipient monitoring and risk assessment and maintain records of all award agreements identifying or otherwise documenting subrecipients’ compliance obligations.

Recipients should note that NEUs are not subrecipients under the SLFRF program. They are SLFRF recipients that report directly to Treasury.

Recipients should also note that subrecipients do not include individuals and organizations that received SLFRF funds as end users. Such individuals and organizations are beneficiaries and not subject to audit pursuant to the Single Audit Act and 2 C.F.R. Part 200, Subpart F.

Many recipients may choose to provide a subaward or contract to other entities to provide services to other end users. For example, a recipient may provide a subaward to a nonprofit to provide homeless services to individuals experiencing homelessness. In this case, the subaward to a nonprofit is based on the services that the recipient intends to provide (assistance to households experiencing homelessness), and the nonprofit is serving as the subrecipient, providing services on behalf of the recipient. Subrecipients are subject to an audit pursuant to the Single Audit Act and 2 CFR part 200, subpart F regarding audit requirements, whereas contractors are not subject to an audit pursuant to t he Single Audit Act and 2 CFR part 200, subpart F regarding audit requirements.

Please note that as outlined in Final Rule FAQ 13.14, recipients’ use of funds in the revenue loss eligible use category does not give rise to subrecipient relationships. As a result, s ubaward reporting is not required for projects in the revenue loss eligible use category.

12. Special Tests and Provisions. From time-to-time, Treasury may issue subregulatory guidance as well as frequently asked questions.

Across each of the compliance requirements above, Treasury has described some best practices for development of internal controls in Table 1 below, with an example of each best practice.

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12 Table 1: Internal controls best practices
Best Practice Description Example
Written policies and
procedures
Formal documentation of
recipient policies and
procedures
Documented procedure for
determining worker eligibility
for premium pay
Written standards of
conduct
Formal statement of
mission, values, principles,
and professional standards
Documented code of
conduct / ethics for
subcontractors
Risk-based due diligence Pre-payment validations
conducted according to an
assessed level of risk
Enhanced eligibility review
of subrecipient with
imperfect performance
history
Risk-based compliance
monitoring
Ongoing validations
conducted according to an
assessed level of risk
Higher degree of monitoring
for projects that have a
higher risk of fraud, given
program characteristics
Record maintenance and
retention
Creation and storage of
financial and non-financial
records.

Storage of all subrecipient
payment information.

E. Award Terms and Conditions

The Award Terms and Conditions of the SLFRF financial assistance agreement sets forth the compliance obligations for recipients pursuant to the SLFRF statute, the Uniform Guidance, Treasury’s final rule, and applicable federal laws and regulations. Recipients should ensure they remain in compliance with all Award Terms and Conditions. These obligations include the following items in addition to those described above:

1. SAM.gov Requirements. All eligible recipients are required to have an active registration with the System for Award Management ( “SAM”) (https://www.sam.gov) pursuant to 2 CFR Part 25 .

To ensure timely receipt of funding , Treasury has stated that NEUs who have not previously registered wi th SAM.gov may do so after receipt of the award, but before the submission of mandatory reporting.4

2. Recordkeeping Requirements. Generally, your organization must maintain records and financial documents for five years after all funds have been expended or returned to Treasury, as outlined in paragraph 4.c. of the Award Terms and Conditions. Treasury may request transfer of records of long -term value at the end of such period. Wherever practicable, such records should be collected, transmitted, and stored in open and machine-readable formats.

Your organization must agree to provide or make available such records to Treasury upon request, and to the Government Accountability Office (“GAO”), Treasury’s Office of Inspector General (“OIG”), and their authorized representative in order to conduct audits or other investigations.

3. Single Audit Requirements. Recipients and subrecipients that expend more than $750,000 in Federal awards during their fiscal year will be subject to an audit under the Single Audit Act and its implementing regulation at 2 CFR Part 200, Subpart F regarding audit requirements.5 Note that the Compliance Supplement provides information on the existing, important compliance requirements that the federal government expects to be considered as a part of such audit. For example, t he SLFRF Compliance Supplement describe s an alternative to the Single Audit for

4 See flexibility provided in https://www.whitehouse.gov/wp-content/uploads/2021/03/M_21_20.pdf. 5 For-profit entities that receive SLFRF subawards are not subject to Single Audit requirements. However, they are subject to other audits as deemed necessary by authorized governmental entities, including Treasury and Treasury’s OIG.

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13 eligible recipients. Recipients should consult the Compliance Supplement for more infor mation about the alternative compliance examination engagement. The Compliance Supplement is routinely updated, and is made available in the Federal Register and on OMB’s website:
https://www.whitehouse.gov/omb/office-federal-financial-management/ Recipients and subrecipients should consult the Federal Audit Clearinghouse to see examples of Single Audit submissions.

4. Civil Rights Compliance . Recipients of Federal financial assistance from the Treasury are required to meet legal requirements relating to nondiscrimination and nondiscriminatory use of Federal funds. Those requirements include ensuring that entities receiving Federal financial assistance from the Treasury do not deny benefits or services, or otherwise discriminate on the basis of race, color, national origin (including limited English proficiency), disability, age, or sex (including sexual o rientation and gender identity), in accordance with the following authorities:

Title VI of the Civil Rights Act of 1964 (Title VI) Public Law 88 -352, 42 U.S.C. 2000d -1 et seq., and the Department's implementing regulations, 31 CFR part 22; Section 504 of the Rehabilitation Act of 1973 (Section 504), Public Law 93-112, as amended by Public Law 93-516, 29 U.S.C. 794; Title IX of the Education Amendments of 1972 (Title IX), 20 U.S.C. 1681 et seq., and the Department's implementing regulations, 31 CFR part 28; Age Discrimination Act of 1975, Public Law 94-135, 42 U.S.C. 6101 et seq., and the Department implementing regulations at 31 CFR part 23.

In order to carry out its enforcement responsibilities under Title VI of the Civil Rights Act, Treasury will collect and review information from recipients to ascertain their compliance with the applicable requirements before and after providing financial assistance. Treasury’s implementing regulations, 31 CFR part 22, and the Department of Justice (DOJ) regulations, Coordination of Non-discrimination in Federally Assisted Programs, 28 CFR part 42 , provide for the collection of data and information from recipients (see 28 CFR 42.406). Treasury may request that non-tribal recipients submit data for post -award compliance reviews, including information such as a narrative describing their Title VI complian ce status. As explained in Treasury FAQ 12.1, the award terms and conditions for Treasury’s pandemic recovery programs, including the SLFRF program, do not impose antidiscrimination requirements on Tribal governments beyond what would otherwise apply under federal law.

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14 Part 2: Reporting Guidance

There are three types of reporting requirements for the SLFRF program. The report requirements are approved and documented under OMB PRA number - OMB # 1505-0271. • Interim Report: Provide initial overview of status and uses of funding. This is a one -time report.

See Section A, page 16.
• Project and Expenditure Report: Report on projects funded, expenditures, and contracts and subawards equal to or greater than $50,000, and other information. See Section B, page 17. • Recovery Plan Performance Report: The Recovery Plan Performance Report (the “Recovery Plan”) will provide information on the projects that large recipients are undertaking with program funding and how they plan to ensure program outcomes are achieved in an effective, efficient, and equitable manner. It will include key performance indicators identified by the recipient and some mandatory indicators identified by Treasury. The Recovery Plan will be posted on the website of the recipient as well as provided to Treasury. See Section C, page 28.

The reporting threshold is based on the total award amount allocated by Treasury under the SLFRF program, not the funds received by the recipient as of the time of reporting.

States and territories are also required to submit information on their distributions to NEUs. Please refer to Section D for additional details.

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15 Table 2: Reporting requirements by recipient type

Tier Recipient Interim Report
Project and
Expenditure
Report
Recovery Plan
Performance
Report

1 States, U.S. territories,
metropolitan cities and
counties with a
population that exceeds
250,000 residents
By August 31,
2021 or 60
days after
receiving
funding if
funding was
received by
October 15,
with
expenditures by
category.

Note: NEUs
were not
required to
submit an
Interim Report

By January 31,
2022, and then the
last day of the
month after the end
of each quarter
thereafter

Note: NEUs were
not required to
submit a Project
and Expenditure
Report on January
31, 2022. The first
reporting date for
NEUs was April 30,
2022.

By August 31,
2021 or 60 days
after receiving
funding, and
annually
thereafter by
July 31

2 Metropolitan cities and
counties with a
population below
250,000 residents that
are allocated more than
$10 million in SLFRF
funding, and NEUs that
are allocated more than
$10 million in SLFRF
funding

3 Tribal Governments that
are allocated more than
$30 million in SLFRF
funding

4 Tribal Governments that
are allocated less than
$30 million in SLFRF
funding
By April 30, 2022,
and then annually
thereafter

5 Metropolitan cities and
counties with a
population below
250,000 residents that
are allocated less than
$10 million in SLFRF
funding, and NEUs that
are allocated less than
$10 million in SLFRF
funding

Note: Based on the period of performance, reports will be collected through April 30, 2027. See the specific due dates listed in Sections B and C.

As mentioned above, the total SLFRF allocations across all sources for a given jurisdiction will be used to identify that jurisdiction’s Reporting Tier , beginning in April of 2022. Treasury may reach out to jurisdictions to update Reporting Tiers.

The remainder of this document describes these reporting requirements. User guides describing how and where to submit required reports are posted at www.treasury.gov/SLFRPReporting and updated on a regular basis.

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16 A. Interim Report

Note: The Interim Reports were submitted under the interim final rule.

States, U.S. territories, metropolitan cities, counties, and Tribal governments were required to submit a one-time interim report with expenditures6 by Expenditure Category covering the period from March 3rd to July 31, 2021, by August 31, 2021 or sixty (60) days after first receiving funding if the recipient’s date of award was between July 15, 2021 and October 15, 2021. The recipient was required to enter obligations7 and expenditures and , for each , select the specific expenditure category from the available options. See Appendix 3 for Expenditure Categories applicable for the Interim Report.

1. Required Programmatic Data
Recipients were also required to provide the following information if they ha d or planned to have expenditures in the following Expenditure Categories.

a. Revenue replacement (EC 6.18): Key inputs into the revenue replacement formula in the Interim Final Rule and estimated revenue loss due to the Covid-19 public health emergency calculated using the formula in the Interim Final Rule as of December 31, 2020. • Base year general revenue (e.g., revenue in the last full fiscal year prior to the public health emergency)
• Fiscal year end date
• Growth adjustment used (either 4.1 percent or average annual general revenue growth over 3 years prior to pandemic)
• Actual general revenue as of the twelve months ended December 31, 2020

6 For purposes of reporting in the SLFRF portal, an expenditure is the amount that has been incurred as a liability of the entity (the service has been rendered or the good has been delivered to the entity). 7 For purposes of reporting in the SLFRF portal, an obligation is an order placed for property and services, contracts and subawards made, and similar transactions that require payment. 8 See Appendix 3 for the full Expenditure Category (EC) list. Please note that Appendix 3 includes the expenditure categories under the interim final rule, applicable to the Interim Report.

Comparison to reporting for the CRF
This guidance does not change the reporting or compliance requirements pertaining to the CRF. Reporting and compliance requirements for the SLFRF are separate from CRF reporting requirements. Differences between CRF and SLFRF include:
• Project, Expenditure , and Subaward Reporting : The SLFRF reporting requirements leverage the existing reporting regime used for CRF to foster continuity and provide many recipients with a familiar reporting mechanism. The data elements for the Project and Expenditure Report will largely mirror those used for CRF, with some minor exceptions noted in this guidance. The users’ guide will describe how reporting for CRF funds will relate to reporting for the SLFRF. • Timing of Reports: CRF reports were due within 10 days of each calendar quarter end. For quarterly reporters, SLFRF reporting will be due the last day of the month following the end of the period covered. For annual reporters, SLFRF reporting will be due on an annual schedule (see table in Section B below). • Program and Performance Reporting: The CRF reporting did not include any program or performance reporting. To build public awareness and accountability and allow Treasury to monitor compliance with eligible uses, some program and performance reporting is required for SLFRF.

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17 • Estimated revenue loss due to the Covid -19 public health emergency as of December 31, 2020
• An explanation of how revenue replacement funds were allocated to government services (Note: additional instructions was provided in the user guide)

In calculating general revenue and the other items discussed above, recipients should have used audited data if it was available. When audited data was not available, recipients were not required to obtain audited data if substantially accurate figures could be produced on an unaudited basis. Recipients should have used their own data sources to calculate general revenue and did not need to rely on revenue data published by the Census Bureau. Treasury acknowledges that due to differences in timing, data sources, and definitions, recipients’ self- reported general revenue figures may differ from those published by the Census Bureau.

Recipients were permitted to provide data on a cash, accrual, or modified accrual basis, provided that recipients are consistent in their choice of methodology throughout the covered period and until reporting is no longer required. Recipients’ reporting should align with their own financial reporting.

In calculating general revenue, recipients should have excluded all intergovernmental transfers from the federal government. This includes, but is not limited to, federal transfers made via a State to a locality pursuant to the CRF or SLFRF. To the extent federal funds are passed through States or other entities or intermingled with other funds, recipients should have attempted to identify and exclude the federal portion of those funds from the calculation of general revenue on a best-efforts basis.

Consistent with the broad latitude provided to recipients to use funds for government services to the extent of reduction in revenue, recipients were required to submit a description of services provided. This description may be in narrative or in another form, and recipients were encouraged to report based on their existing budget processes and to minimize administrative burden. For example, a recipient with $100 in revenue replacement funds available could indicate that $50 were used for law enforcement operating expenses and $50 were used for pay-go building of sidewalk infrastructure. As discussed in the interim final rule, these services can include a broad range of services but may not be used directly for pension deposits or debt service.

Reporting requirements did not require tracking the indirect effects of Fiscal Recovery Funds, apart from the restrictions on use of Fiscal Recovery Funds to offset a reduction in net tax revenue. In addition, recipients were required to indicate that Fiscal Recovery Funds were not used to make a deposit in a pension fund.

B. Project and Expenditure Report

All recipients are required to submit Project and Expenditure Reports.

Note on NEUs: To facilitate reporting, each NEU will need an NEU Recipient Number. This is a unique identification code for each NEU assigned by the State or territory to the NEU as p art of its request for funding.

1. Quarterly Reporting

The following recipients are required to submit quarterly Project and Expenditure Reports:
• States and U.S. territories
• Tribal governments that are allocated more than $30 million in SLFRF funding • Metropolitan cities and counties with a population that exceeds 250,000 residents

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18 • Metropolitan cities and counties with a population below 250,000 residents that are allocated more than $10 million in SLFRF funding and NEUs that are allocated more than $10 million in SLFRF funding.

For these recipients, the initial quarterly Project and Expenditure Report cover s three calendar quarters from March 3, 2021 to December 31, 2021 and was required to be submitted to Treasury by January 31, 2022. The subsequent quarterly reports will cover one calendar quarter and must be submitted to Treasury by the last day of the month following the end of the period covered. Quarterly reports are not due concurrent ly with applicable annual reports. Table 3 summarizes the quarterly report timelines:

Table 3: Quarterly Project and Expenditure Report Timeline Report Year Quarter Period Covered Due Date
1 2021 2 – 4 March 3 – December 31 January 31, 2022
2 2022 1 January 1 – March 31 April 30, 2022
3 2022 2 April 1 – June 30 July 31, 2022
4 2022 3 July 1 – September 30 October 31, 2022
5 2022 4 October 1 – December 31 January 31, 2023
6 2023 1 January 1 – March 31 April 30, 2023
7 2023 2 April 1 – June 30 July 31, 2023
8 2023 3 July 1 – September 30 October 31, 2023
9 2023 4 October 1 – December 31 January 31, 2024
10 2024 1 January 1 – March 31 April 30, 2024
11 2024 2 April 1 – June 30 July 31, 2024
12 2024 3 July 1 – September 30 October 31, 2024
13 2024 4 October 1 – December 31 January 31, 2025
14 2025 1 January 1 – March 31 April 30, 2025
15 2025 2 April 1 – June 30 July 31, 2025
16 2025 3 July 1 – September 30 October 31, 2025
17 2025 4 October 1 – December 31 January 31, 2026
18 2026 1 January 1 – March 31 April 30, 2026
19 2026 2 April 1 – June 30 July 31, 2026
20 2026 3 July 1 – September 30 October 31, 2026
21 2026 4 October 1 – December 31 April 30, 2027

2. Annual Reporting

The following recipients are required to submit annual Project and Expenditure Reports:
• Tribal governments that are allocated less than $30 million in SLFRF funding • Metropolitan cities and counties with a population below 250,000 residents that are allocated less than $10 million in SLFRF funding and NEUs that are allocated less than $10 million in SLFRF funding.

For these recipients, the initial Project and Expenditure Report covered from March 3, 2021 to March 31, 2022 and was required to be submitted to Treasury by April 30, 2022. The subsequent annual reports will cover one calendar year and must be submitted to Treasury by April 30. Table 4 summarizes the annual report timelines:

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19 Table 4: Annual Project and Expenditure Report timeline Report Period Covered Due Date
1 March 3, 2021 – March 31, 2022 April 30, 2022
2 April 1, 2022 – March 31, 2023 April 30, 2023
3 April 1, 2023 – March 31, 2024 April 30, 2024
4 April 1, 2024 – March 31, 2025 April 30, 2025
5 April 1, 2025 – March 31, 2026 April 30, 2026
6 April 1, 2026 – December 31, 2026 April 30, 2027

3. Required Information

The following information is required in Project and Expenditure Reports for both quarterly and annual reporting:

a. Projects: Provide information on all SLFRF funded projects. Projects are defined as a grouping of closely related activities that together are intended to achieve a specific goal or are directed toward a common purpose. These activities can include new or existing eligible government services or investments funded in whole or in part by SLFRF funding. For each project, the recipient is required to enter the project name, identification number (created by the recipient), project expenditure category (see Appendix 1), description, and status of completion. Project descriptions m ust describe the project in sufficient detail to provide an understanding of the major activities that will occur, and must be between 50 and 250 words. Projects should be defined to include only closely related activities directed toward a common purpose . Recipients should review the Required Programmatic Data described in 3.g. below and define their projects at a sufficient level of granularity.

Note: For each project, the recipient is asked to select the appropriate Expenditure Category based on the scope of the project (see Appendix 1). Projects should be scoped to align to a single Expenditure Category. For select Expenditure Categories, the recipient also is asked to provide additional programmatic data (described further below).

b. Obligations and Expenditures: Once a project is entered the recipient will be able to report on the project’s obligations and expenditures. Recipients will be asked to report:
• Current period obligation
• Cumulative obligation
• Current period expenditure
• Cumulative expenditure

c. Project Status: Once a project is entered the recipient will be asked to report on project status each reporting period, in four categories:
• Not Started
• Completed less than 50 percent
• Completed 50 percent or more
• Completed

d. Program Income: Recipients should report the program income earned and expen ded to cover eligible project costs, if applicable.

e. Adopted Budget (States, U.S. territories, metropolitan cities and counties with a population that exceeds 250,000 residents only ): Each state, territory and metropolitan city and county with a population that exceeds 250,000 residents will provide the budget adopted for each project by its jurisdiction associated with SLFRF funds. Treas ury will use this information to better understand the intended impact, identify opportunities for outreach, and understand the recipient’s progress in program implementation. Treasury is not approving or pre-approving projects or budgets.

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20 • Recipients will enter the Adopted Budget based on information that exists currently in the recipient’s financial systems and the recipient’s established budget process. Treasury understands that recipients may use different budget processes. For example, a recipient may consider a project budgeted once a legislature has appropriated funds; whereas another recipient may consider a project budgeted at the moment when the funds have been obligated.
• Additional information is provided on the differences between Adopted Budget, Obligations, and Expenditures as part of the user guide posted at www.treasury.gov/SLFRPReporting.

f. Project Demographic Distribution (applicable to Public Health and Negative Economic Impact ECs:

EC 1.1-2.37)– Collection began April 2022

Recognizing the disproportionate public health and negative economic impacts of the pandemic on many households, communities, and other entities, recipients must report whether certain types of projects are targeted to impacted and disproportionately impacted communities. Recipients will be asked to respond to the following:
a. What Impacted and/or Disproportionally Impacted population do es this project primarily serve? Please select the population primarily served.
b. If this project primarily serves more than one Impacted and/or Disproportionately Impacted population, please select up to two additional populations served.

Recipients will select from the following options:

Impacted Disproportionately Impacted
Public Health • General Public
Assistance to
Households
• Low- or-moderate income
households or populations9
• Households that experienced
unemployment
• Households that experienced
increased food or housing insecurity
• Households that qualify for certain
federal programs10
• For services to address lost
instructional time in K-12 schools:
any students that lost access to in-
person instruction for a significant
period of time
• Low-income households and
populations11
• Households and populations
residing in Qualified Census Tracts
• Households that qualify for certain
federal programs12
• Households receiving services
provided by Tribal governments
• Households residing in the U.S.
territories or receiving services from
these governments

9 Low or moderate-income households and communities are those with (i) income at or below 300 percent of the Federal Poverty Guidelines for the size of the household based on the most recently published poverty guidelines by the Department of Health and Human Services (HHS) or (ii) income at or below 65 percent of the Area Median Income for the county and size of household based on the most recently published data by the Department of Housing and Urban Development (HUD).
10 For Impacted households, these programs are Children’s Health Insurance Program (“CHIP”); Childcare Subsidies through the Child Care and Development Fund (“CCDF”) Program; Medicaid; National Housing Trust Fund (“HTF”), for affordable housing programs only; Home Investment Partnerships Program (“HOME”), for affordable housing programs only.
11 Low-income households and communities are those with (i) income at or below 185 percent of the Federal Poverty Guidelines for the size of the household based on the most recently published poverty guidelines by HHS or (ii) income at or below 40 percent of Area Median Income for its county and size of household based on the most recently published data by HUD.
12 For Disproportionately Impacted households, these programs are Temporary Assistance for Needy Families (“TANF”), Supplemental Nutrition Assistance Program (“SNAP”), Free- and Reduced-Price Lunch (“NSLP”) and/or School Breakfast (“SBP”) programs, Medicare Part D Low-Income Subsidies, Supplemental Security Income (“SSI”), Head Start, Special Supplemental Nutrition Program for Women, Infants, and Children (“WIC”), Section 8 Vouchers, Low-Income Home Energy Assistance Program (“LIHEAP”), and Pell Grants.

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21 Impacted Disproportionately Impacted
• Other households or populations
that experienced a negative
economic impact of the pandemic
other than those listed above
(please specify)
• For services to address educational
disparities, Title I eligible schools13
• Other households or populations
that experienced a disproportionate
negative economic impact of the
pandemic other than those listed
above (please specify)
Assistance to
Small
Businesses
• Small businesses that experienced a
negative economic impact of the
pandemic
• Classes of small businesses
designated as negatively
economically impacted by the
pandemic (please specify)
• Small businesses operating in
Qualified Census Tracts
• Small businesses operated by Tribal
governments or on Tribal lands
• Small businesses operating in the
U.S. territories
• Other small businesses
disproportionately impacted by the
pandemic (please specify)
Assistance to
Non-Profits
• Non-profits that experienced a
negative economic impact of the
pandemic (please specify)
• Classes of non-profits designated as
negatively economically impacted by
the pandemic (please specify)
• Non-profits operating in Qualified
Census Tracts
• Non-profits operated by Tribal
governments or on Tribal lands
• Non-profits operating in the U.S.
territories
• Other non-profits disproportionately
impacted by the pandemic (please
specify)
Aid to Impacted
Industries
• Travel, tourism, or hospitality sectors
(including Tribal development
districts)
• Industry outside the travel, tourism,
or hospitality sectors that
experienced a negative economic
impact of the pandemic (please
specify)
N/A

g. Subawards, Contracts, Grants, Loans, Transfers, and Direct Payments : Each recipient shall also provide detailed obligation and expenditure information for any contracts and grants awarded, loans issued, transfers made to other government entities, and direct payments made by the recipient that are equal to or greater than $50,000. As noted in Treasury’s Project & Expenditure User Guides, subaward reporting for funds spent under the revenue loss eligible use category has not been required in past reporting periods. Please note that as outlined in Final Rule FAQ 13.14, Treasury is not collecting subaward data for projects categorized under the revenue loss eligible use category.

Recipients do not need to submit separate monthly subaward reports to FSRS.gov as required pursuant to the 2 CFR Part 170, Appendix A award term reg arding reporting subaward and executive compensation, which is included in the SLFRF Award Terms and Conditions. Treasury

13 For educational services and other efforts to address educational disparities, Treasury will recognize Title I eligible schools as disproportionately impacted and responsive services that support the school generally or support the whole school service as eligible. “Title I eligible schools” means schools eligible to receive services under section 1113 of Title I, Part A of the Elementary and Secondary Education Act of 1965, as amended (20 U.S.C. 6313), including schools served under section 1113(b)(1)(C) of that Act.

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22 will submit this reporting on behalf of recipients using the $50,000 reporting threshold, timing, and data elements discussed in this guidance. If recipients choose to continue reporting to FSRS.gov in addition to reporting directly to Treasury on these funds, they may do so and will be asked to notify Treasury as part of their quarterly submission.

In general, recipients will be as ked to provide the following information for each Contract, Grant, Loan, Transfer, or Direct Payment equal to or greater than $50,000:
• Subrecipient identifying and demographic information (e.g., UEI/TIN number and location) • Award number (e.g., Award number, Contract number, Loan number) • Award date, type, amount, and description
• Award payment method (reimbursable or lump sum payment(s)) • For loans, expiration date (date when loan expected to be paid in full) • Primary place of performance
• Related project name(s)
• Related project identification number(s) (created by the recipient) • Period of performance start date
• Period of performance end date
• Quarterly obligation amount
• Quarterly expenditure amount
• Project(s)
• Additional programmatic performance indicators for select Expenditure Categories (see below)

Aggregate reporting is required for contracts, grants, transfers made to other government entities, loans, and direct payments that are below $50,000. This information will be accounted for by Expenditure Category at the project level. Note that all obligations and expenditures made directly to individuals, regardless of dollar amount, should be included in aggregate reporting.

As required by the 2 CFR Part 170, Appendix A award term regarding r eporting subaward and executive compensation, recipients must also report the names and total compensation of their five most highly compensated executives and their subrecipients’ executives for the preceding completed fiscal year if (1) the recipient received 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as provided by 2 CFR 170.320 (and subawards), and received $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act (and subawards), and (2) if the information is not otherwise public. In general, most SLFRF recipients are governmental entities with executive salaries that are already disclosed, so no additional information would be required to be reported for them . The recipient is responsible for the subrecipients’ compliance with registering and maintaining an updated profile on SAM.gov.

h. Civil Rights Compliance: Treasury will request information on recipients’ compliance with Title VI of the Civil Rights Act of 1964, as applicable, on an annual basis. This information may include a narrative describing the recipient’s compliance with Title VI, along with other questions and assurances. This collection does not apply to Tribal governments14

i. Ineligible Activities: Tax Offset Provision (States and territories only): Section 602(c)(2)(A) of the Social Security Act prohibits a State or territory from using SLFRF funds to directly or indirectly offset a reduction in the net tax revenue of the State or territory resulting from a change in law, regulation, or administrative interpretation during the covered period (the “Tax Offset Provision”).

The Final Rule implements the Tax Offset Provision at 31 CFR § 35.8. Violations of the Tax

14 Please note, as explained in Treasury FAQ 12.1, that the award terms and conditions for Treasury’s pandemic recovery programs, including the SLFRF, do not impose antidiscrimination requirements on Tribal governments beyond what would otherwise apply under federal law.

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23 Offset Provision may be subject to recoupment. The following information is required for Treasury to ensure SLFRF funding is not used for ineligible activities related to the Tax Offset Provision.

For each reporting year, in the quarterly reporting cycle occurring 90 days after the end of the recipient’s fiscal year, States and territories will report certain items related to the Tax Offset Provision, as detailed below. For example, if a recipient’s fiscal year ends June 30, 2022, reporting on the Tax Offset Provision for fiscal year 2022 will be due in October 2022. All States and territories reported on the Tax Offset Provision for fiscal year 2021 in July 2022.

As indicated in the final rule, Treasury is implementing a tiered approach to reporting on the Tax Offset Provision, which is described below. Although Treasury is implementing a tiered approach to reporting, recipients should maintain records to support their compliance with the Tax Offset Provision.

The terms “reporting year,” “baseline,” “covered change,” “covered period,” “net reduction in total spending,” and “tax revenue” are defined in the Final Rule, 31 CFR § 35.3. For purposes of calculating a net reduction in total spending, total spending for the fiscal year ending 2019 should be reported on an inflation-adjusted basis, consistent with the Final Rule. Similarly, for purposes of calculating baseline tax revenue, tax revenue for the fiscal year 2019 should be reported on an inflation-adjusted basis, consistent with the Final Rule.

For purposes of reporting actual tax revenue for the requested fiscal year and baseline tax revenue for the fiscal year ending 2019,15 (a) if available, recipients should report information using audited financials and (b) recipients may provide data on a cash, accrual, or modified accrual basis, but must be consistent in their approach across all reporting periods. Similarly, for purposes of calculating a net reduction in total spending, recipients should report data using audited financials where available.

Recipients will first answer a series of summary questions to determine the tiering of their tax offset reporting:

Summary Questions
• Do you have revenue-reducing covered change(s) to report for the requested fiscal year and for future fiscal years? Yes/No
o If no, recipients have no further reporting requirements in the tax offset section. (Remaining summary questions will be greyed out).
o If yes, recipients will complete part 1 and additional fields. • Is the aggregate value of your revenue-reducing covered change(s) for the requested fiscal year less than the de minimis? Yes/No.
o If yes, recipients will complete parts 1 and 2, and no further reporting is required in the tax offset section. (Remaining summary questions will be greyed out). o If no, recipients will complete parts 1, 2 and additional fields. • Do you have a reduction in net tax revenue for the requested fiscal year, meaning that actual tax revenue for the requested fiscal year is less than baseline tax revenue? Yes/No. o If yes, recipients will complete parts 1, 2, and 3 and additional fields. o If no, recipients will complete parts 1, 2, and 3, and no further reporting is required in the tax offset section. (Remaining summary questions will be greyed out). • Do you have revenue-increasing covered change(s) and/or covered spending cuts to report for the requested fiscal year? Yes/No
o If yes, recipients will complete parts 1, 2, 3, and 4. o If no, recipients will complete the revenue reduction cap.

Reporting Part 1: Revenue-reducing Covered Changes

15 Tax revenue for fiscal year ending 2019 is relevant for calculating the recipient’s baseline.

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24 • Do you have revenue-reducing covered change(s) to report for the requested fiscal year and for future fiscal years? Yes/No
o If yes, complete grid or upload spreadsheet with the name of each revenue-reducing covered change and the value of the revenue-reducing covered change for the requested fiscal year and for future fiscal years.
o If no, a recipient has no revenue-reducing covered changes to report, no additional reporting is required.
• Enter in the aggregate value of all revenue-reducing covered change(s) for the requested fiscal year.16

Revenue-reducing Covered Changes: Guidance
For each reporting year, a recipient must report the value of covered changes that the recipient predicts will have the effect of reducing tax revenue in a given reporting year (revenue-reducing covered changes), similar to the way it would in the ordinary course of its budgeting process.

The value of these revenue-reducing covered changes may be reported based on estimated values produced by a budget model, incorporating reasonable assumptions, that aligns with the recipient government’s existing approach for measuring the effects of fiscal policies, and that measures relative to a current law baseline. The revenue-reducing covered changes may also be reported based on actual values using a statistical methodology to isolate the change in year- over-year revenue attributable to the covered change(s), relative to the current law baseline prior to the change(s). Estimation approaches should not use dynamic methodologies that incorporate the projected effects of the policies on macroeconomic growth. In general and where possible, reported values should be produced by the agency of the recipient government responsible for estimating the costs and effects of fiscal policy changes. Recipients must maintain records regarding the identification and predicted effects of revenue-reducing covered changes.

Reporting Part 2: Baseline Revenue and De Minimis Threshold • Enter Baseline Revenue:
• Enter in the aggregate value of the revenue-reducing covered change(s) for the requested fiscal year as a percentage of baseline revenue:
• Is the aggregate value of the revenue-reducing covered change(s) for the requested fiscal year less than one percent of baseline revenue? Y/N
o If yes, a recipient’s aggregate value of the revenue-reducing covered changes in the reporting year is less than the de minimis threshold, and no additional reporting is required.

Baseline Revenue: Guidance
Baseline has the meaning defined in the Final Rule, 31 CFR 35.3.

Recipients must determine whether the aggregate value of the revenue-reducing covered changes in the reporting year is less than one percent of baseline revenue (the de minimis threshold).

Reporting Part 3: Actual Tax Revenue and Reduction in Net Tax Revenue • Enter Actual Tax Revenue for the requested fiscal year:
• Enter Reduction in Net Tax Revenue: baseline revenue minus actual tax revenue

16 The final rule defines covered change. “Covered change means a change in law, regulation, or administrative interpretation that reduces any tax (by providing for a reduction in a rate, a rebate, a deduction, a credit, or otherwise) or delays the imposition of any tax or tax increase. A change in law includes any final legislative or regulatory action, a new or changed administrative interpretation, and the phase-in or taking effect of any statute or rule if the phase-in or taking effect was not prescribed prior to the start of the covered period.”

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25 o If the value of the reduction in net tax revenue is zero or negative (meaning that actual tax revenue is equal to or greater than baseline revenue), no additional reporting is required.

Actual Tax Revenue: Guidance
Actual tax revenue means the tax revenue received by the recipient government in the reporting year. Tax revenue has the meaning defined in the Final Rule, 31 CFR 35.3.

Reduction in Net Tax Revenue: Guidance
The reduction in net tax revenue is equal to baseline revenue minus actual tax revenue in each reporting year. If this value is zero or negative, there is no reduction in net tax revenue.

Reporting Part 4: Revenue-increasing Covered Changes and Covered Spending Cuts • Do you have revenue-increasing covered change(s) and/or covered spending cuts to report for the requested fiscal year? Yes/No.
• If yes, complete grid or upload spreadsheet with the name of each revenue-increasing covered change and the value.
• Enter in the aggregate value of revenue-increasing covered change(s):

• Enter net reduction in total spending for the requested fiscal year:
• Complete grid or upload spreadsheet of specific spending cuts and the corresponding “reporting unit”, including the name of the reporting unit, description of the spending cut, the amount of the reduction in spending in the reporting unit for the reporting year relative to its inflation-adjusted FY 2019 level, the amount of any Fiscal Recovery Funds spent in the reporting unit in the reporting year, and the amount by which the reduction in spending in the reporting unit in the reporting year exceeds the Fiscal Recovery Funds spent in the reporting unit in the reporting year, if at all.
• Enter the aggregate value of covered spending cuts.

• Enter the aggregate value of revenue-increasing covered changes + the aggregate value of covered spending cuts.
• Enter the total value of revenue-reducing covered changes minus the total of (aggregate value of revenue-increasing covered changes + aggregate value of covered spending cuts). • Is the aggregate value of revenue-reducing covered changes minus the total of (aggregate value of revenue-increasing changes + aggregate value of covered spending cuts) negative or equal to zero? (Yes/No)
o If yes, recipients have no further reporting requirements related to the Tax Offset Provision.
o If no, recipients must move on to the calculation of the revenue reduction cap.

Revenue-increasing covered changes: Guidance
If a recipient has revenue-reducing covered changes, the aggregate value of which exceed the de minimis threshold, and its actual tax revenue does not exceed baseline tax revenue, a recipient must report the value of covered changes that have had or that the recipient predicts will have the effect of increasing tax revenue in a given reporting year (revenue-increasing covered changes), similar to the way it would in the ordinary course of its budgeting process.

The value of these revenue-increasing covered changes may be reported based on estimated values produced by a budget model, incorporating reasonable assumptions, that aligns with the recipient’s existing approach for measuring the effects of fiscal policies, and that measures relative to a current law baseline. The revenue-increasing covered changes may also be reported based on actual values using a statistical methodology to isolate the change in year- over-year revenue attributable to the revenue-increasing covered change(s), relative to the current law baseline prior to the change(s). Estimation approaches should not use dynamic methodologies that incorporate the projected effects of the policies on macroeconomic growth.

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26 In general and where possible, reporting should be produced by the agency of the recipient responsible for estimating the costs and effects of fiscal policy changes. Recipients should maintain records regarding revenue-increasing covered changes and estimates of such changes.

Net reduction in total spending, and tables of specific spending cuts: Guidance Recipients may cut spending in certain areas to pay for revenue-reducing covered changes, up to the amount of the recipient’s net reduction in total spending. To calculate the amount of spending cuts that are available to offset a reduction in tax revenue, the recipient must first consider whether there has been a reduction in total net spending, excluding Fiscal Recovery Funds (net reduction in total spending). As defined in the Final Rule, 35 CFR 35.3, net reduction in total spending is measured as the recipient government’s total spending for a given reporting year excluding Fiscal Recovery Funds, subtracted from its total spending for its fiscal year ending in 2019, adjusted for inflation using the Bureau of Economic Analysis’s Implicit Price Deflator for the gross domestic product of the United States for that reporting year. If that calculation yields a positive value, there has been a net reduction in total spending; if it yields zero or a negative value, there has not been a net reduction in total spending. If there has been no net reduction in total spending, a recipient will have no spending cuts to offset a reduction in net tax revenue.

Next, a recipient must determine and aggregate the value of spending cuts in each “reporting unit.” “Reporting units” are departments, agencies, or authorities of the recipient’s government.

For each reporting unit, the recipient must report (1) the amount of the reduction in spending in the reporting unit for the reporting year relative to its inflation-adjusted FY 2019 level, (2) the amount of any Fiscal Recovery Funds spent in the reporting unit in the reporting year, and (3) the amount by which the reduction in spending in the reporting year exceeds the Fiscal Recovery funds spent in the reporting unit in the reporting year. If a recipient has not spent amounts received from the Fiscal Recovery Funds in a reporting unit, the full amount of the reduction in spending counts as a covered spending cut and may be included in the aggregate value of spending cuts. If the recipient has spent amounts received from the Fiscal Recovery Funds, such amounts generally would be deemed to have replaced the amount of spending cut, and only reductions in spending above the amount of Fiscal Recovery Funds spent on the reporting unit would be eligible to offset a reduction in net tax revenue. Only such amounts above the amount of Fiscal Recovery Funds spent on the reporting unit should be included in the aggregate value of spending cuts.

To align with existing reporting and accounting, the Final Rule considers the department, agency, or authority from which spending has been cut and whether the recipient government has spent amounts received from the Fiscal Recovery Funds on that same department, agency, or authority. Some commenters on the interim final rule argued that the methodology for identifying offsetting spending cuts at the department, agency, or authority level was too restrictive, but as discussed in the final rule, Treasury maintained the approach of requiring this reporting at the department, agency, or authority level. Recipients are encouraged to define reporting units in a manner consistent with their existing budget process and should, to the extent possible, report using the same reporting unit in each reporting year. Spending cuts must be reported relative to FY 2019 spending levels, adjusted for inflation, and excluding Fiscal Recovery Funds from reporting year spending levels.

Recipients should maintain records regarding spending cuts.

Reporting Part 5: Revenue Reduction Cap
The “revenue reduction cap,” together with Part 3, ensures that recipient governments can use organic revenue growth to offset the cost of revenue-reducing covered changes. If, based on the calculations completed so far, a recipient has not yet demonstrated how its revenue-reducing

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27 covered changes were offset by non-SLFRF sources, the reporting portal will auto-calculate the revenue reduction cap, which will be the lesser of the following two amounts:
• Reduction in Net Tax Revenue (baseline tax revenue minus actual tax revenue) [pre- populated from Part 3] and
• Aggregate Value of revenue-reducing covered changes minus (total of (aggregate value of revenue-increasing changes + aggregate value of covered spending cuts) [pre-populated from Part 4].

j. Required Programmatic Data (other than infrastructure projects): For all projects listed under the following Expenditure Categories (see Appendix 1), the information listed must be provided in each report.

1. Public Health and Negative Economic Impact (EC 1.1-3.5) - Collection began in April 2022 • Brief description of structure and objectives of assistance program(s), including public health or negative economic impact experienced
• Brief description of how a recipient’s response is related and reasonably proportional to a public health or negative economic impact of COVID-19.17

Note: The final rule presumes that all enumerated eligible uses for programs and services, including COVID -19 mitigation and prevention programs and services, are reasonably proportional responses to the harm identified unless a response is grossly disproportionate to the type or extent of harm experienced. Many of the Eligibility Categories encompass multiple specific enumerated eligible uses and may be provided to a variety of populations.

For example, EC 2.13 Healthy Chil dhood Environments: Services to Foster Youth or Families Involved in Child Welfare System includes a wide array of financial, educational, child development, or health supports, or other supports necessary, including supports for kinship care, and may be p rovided to foster youth and/or families involved in the child welfare system. Between these two fields above, recipients should provide enough information to identify the type of enumerated eligible use being provided within the EC (e.g., kinship care support services) , the public health or economic impact experienced, who the program and/or service is being provided to, and what services are being provided (e.g., respite resources) . For enumerated eligible uses, recipients are not require d to provide substantive documentation that the response is related and reasonably proportional in the Project and Expenditure Report.

2. Capital Expenditures (EC 1.1 -3.5) - Collection began in January 2022, with additional fields required starting in July 2022
• Does this project include a capital expenditure? (Collection began in January 2022) • Total expected capital expenditure, including pre -development cost s, if applicable (Collection began in January 2022)
• Type of capital expenditure, based on the following enumerated uses (Collection began in July 2022):
▪ COVID-19 testing sites and laboratories, and acquisition of related equipment ▪ COVID-19 vaccination sites
▪ Medical facilities generally dedicated to COVID -19 treatment and mitigation (e.g., emergency rooms, intensive care units, telemedicine capabilities for COVID -19 related treatment)
▪ Temporary medical facilities and other measures to increase COVID -19 treatment capacity, including related construction costs
▪ Acquisition of equipment for COVID-19 prevention and treatment, including ventilators, ambulances, and other medical or emergency services equipment

17 Please note that capital expenditures are not considered “programs and services” and are not presumed to be reasonably proportional responses to an identified harm except as provided in the final rule.

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28 ▪ Emergency operations centers and acquisition of emergency response equipment (e.g., emergency response radio systems)
▪ Installation and improvement of ventilation systems in congregate settings, health facilities, or other public facilities
▪ Public health data systems, including technology infrastructure ▪ Adaptations to congregate living facilities, including skilled nursing facilities, other long-term care facilities, incarceration settings, homeless shelters, residential foster care facilities, residential behavioral health treatment, and other group living facilities, as well as public facilities and schools (excluding construction of new facilities for the purpose of mitigating spread of COVID-19 in the facility) ▪ Mitigation measures in small businesses, nonprofits, and impacted industries (e.g., developing outdoor spaces)
▪ Behavioral health facilities and equipment (e.g., inpatient or outpatient mental health or substance use treatment facilities, crisis centers, diversion centers) ▪ Technology and equipment to allow law enforcement to efficiently and effectively respond to the rise in gun violence resulting from the pandemic ▪ Affordable housing, supportive housing, or recovery housing development ▪ Food banks and other facilities primarily dedicated to addressing food insecurity ▪ Transitional shelters (e.g., temporary residences for people experiencing homelessness)
▪ Devices an d equipment that assist households in accessing the internet (e.g., tablets, computers, or routers)
▪ Childcare, daycare, and early learning facilities
▪ Job and workforce training centers
▪ Improvements to existing facilities to remediate lead contaminants (e.g., removal of lead paint)
▪ Medical equipment and facilities designed to address disparities in public health outcomes (includes primary care clinics, hospitals, or integrations of health services into other settings)
▪ Parks, green spaces, recreational facil ities, sidewalks, pedestrian safety features like crosswalks, streetlights, neighborhood cleanup, and other projects to revitalize public spaces
▪ Rehabilitations, renovation, remediation, cleanup , or conversions of vacant or abandoned properties
▪ Schools an d other educational facilities or equipment to address educational disparities
▪ Technology and tools to effectively develop, execute, and evaluate government programs
▪ Technology infrastructure to adapt government operations to the pandemic (e.g., video-conferencing software, improvements to case management systems or data sharing resources), reduce government backlogs, or meet increased maintenance needs
▪ Other (please specify)
• For recipients (other than Tribal governments) investing in projects wit h total expected capital expenditure s for an enumerated eligible use of $10 million or more, as well as projects with total expected capital expenditures for an “other” use of $1 million or more, provide a written justification (Collection began in July 2022) • For projects with total expected capital expenditures of over $10 million, provide labor reporting as outlined for infrastructure projects on pages 26 and 27 (Collection began July 2022)

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29 3. Household Assistance (EC 2.1-2.8) – Collection began January 2022:
• Number of households served (by program if recipient establishes multiple separate household assistance programs)

4. Small Business Economic Assistance (EC 1.8, 2.29-2.33) – Collection began April 2022 • Number of small businesses served (by program if recipient establishes multiple separate small business assistance programs)

5. Assistance to Non-Profits (EC 1.9, 2.34)- Collection began April 2022 • Number of Non-Profits served (by program if recipient establishes multiple separate non- profit assistance programs)

6. Aid to Travel, Tourism, and Hospitality or Other Impacted Industries (EC 1.10, 2.35-2.36) – Collection began April 2022:
• If aid is provided to industries other than travel, tourism, and hospitality (EC 2.36), describe if the industry experienced at least 8 percent employment loss from pre- pandemic levels, or the industry is experiencing comparable or worse economic impacts as the national tourism, travel, and hospitality industries as of the date of the final rule, and rationale for providing aid to the industry
• For each subaward:
o Sector of employer (Note: additional detail, including list of sectors, to be provided in the user guide posted to www.treasury.gov/SLFRP)
o Purpose of funds (e.g., payroll support, safety measure implementation)

7. Education Assistance (EC 2.14, 2.24-.2.27) – Collection began in January 2022:
• The National Center for Education Statistics (“NCES”) School ID or NCES District ID. List the School District if all schools within the school district received some funds. If not all schools within the school district received funds, list the School ID of the schools that received funds. These can allow evaluators to link data from the NCES to look at sc hool- level demographics and, eventually, student performance.18

8. Payroll for Public Health and Safety Employees (EC 3.1) – Collection began in January 2022:
• Number of government FTEs responding to COVID-19 supported under this authority

9. Rehiring Public Sector Staff (EC 3.2) – Collection began in January 2022:
• Number of FTEs rehired by governments under this authority

10. Premium Pay (both Public Sector EC 4.1 and Private Sector EC 4.2) – Collection began in January 2022; additional field began in April 2022
• List of sectors designated as critical to protecting the health and well-being of residents by the chief executive of the jurisdiction, if beyond those included in the final rule (Collection began January 2022)
• Number of workers to be served (Collection began January 2022) • Employer sector for all subawards to third -party employers (i.e., employers other than the State, local, or Tribal government) (Collection began January 2022) • For groups of workers (e.g., an operating unit, a classification of worker, etc.) or, to the extent applicable, individual workers, other than those where the eligible worker receiving premium pay is earning (with the premium pay included) below 150 percent of their residing state or county’s average annual wage for all occupations, as defined by the Bureau of Labor Statistics Occupational Employment and Wage Statistics, whichever is

18 For more information on NCES identification numbers see https://nces.ed.gov/ccd/districtsearch/ (districts) and https://nces.ed.gov/ccd/schoolsearch/ (schools).

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30 higher, on an annual basis; OR the eligible worker receiving premium pay is not exempt from the Fair Labor Standards Act overtime provisions:
▪ A brief written narrative justification of how the premium pay or grant is responsive to workers performing essential work during the public health emergency. This could include a description of the essential workers’ duties, health or financial risks faced due to COVID-19, and why the recipient government determined that the premium pay was responsive to workers performing essential work during the pandemic. This description should not include personally identifiable information; when addressing individual workers, recipients should be careful not to include this information. Recipients may consider describing the workers’ occupations and duties in a general manner as necessary to protect privacy (Collection began January 2022)
• Number of workers to be served with premium pay in K-12 schools (Collection began April 2022)

11. Revenue replacement (EC 6.1) – Collection began in August 2021:

As outlined in the final rule, recipients have the option to make a one-time decision to calculate revenue loss according to the formula outlined in the final rule or elect a “Standard Allowance” of up to $10 million, not to exceed the award allocation, to spend on government services throughout the period of performance. The option to make this one-time decision was provided during the April 30, 2022 reporting deadline.

For recipients electing the “Standard Allowance,” Treasury will presume that up to $10 million, not to exceed the award allocation, in revenue has been lost due to the public health emergency. Recipients are permitted to use that amount to fund “government services.” Please note that electing the standard allowance does not change a recipient’s total allocation. Recipients that elect to use this standard allowance will make this election instead of calculating lost revenue using the formula.

For recipients calculating revenue loss according to the formula, the final rule permits recipients to choose whether to use calendar or fiscal year calculation dates. Recipients must use the same calculation time frame (calendar or fiscal year) throughout the award period.

Recipients calculating lost revenue using the formula should report the following:
• Choice of fiscal or calendar year revenue loss (choice must remain consistent throughout award period)
• General revenue collected over the past 12 months as of the most recent calculation date, as outlined in the final rule.
• Calculated revenue loss due to the Covid-19 public health emergency; and • An explanation of how the revenue replacement funds were allocated to government services (note: additional instructions and/or template provided in the user guide posted at www.treasury.gov/SLFRPReporting).

For information on treatment of future tax changes, please see the Statement Regarding Compliance with the Coronavirus State and Local Fiscal Recovery Funds Interim Final Rule and Final Rule.

k. Required Programmatic Data for Infrastructure Projects (EC 5) : For all projects listed under the Water, Sewer, and Broadband Expenditure Categories (see Appendix 1), more detailed project - level information is required. Each project will be required to report expenditure data as described above, but will also report the following information:

1. All infrastructure projects (EC 5) – Collection began in January 2022:

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31 • Projected/actual construction start date (month/year) • Projected/actual initiation of operations date (month/year) • Location
• For projects over $10 million (based on expected total cost):
a. A recipient may provide a certification that, for the relevant project, all laborers and mechanics employed by contractors and subcontractors in the performance of such project are paid wages at rates not less than those prevailing, as determined by the U.S. Secretary of Labor in accordance with subchapter IV of chapter 31 of title 40, United States Code (commonly known as the “Davis -Bacon Act”), for the corresponding classes of laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the State (or the District of Columbia) in which the work is to be performed, or by the appropriate State entity pursuant to a corollary State prevailing-wage-in-construction law (commonly known as “baby Davis-Bacon Acts”). If such certification is not provided, a recipient must provide a project employment and local impact report detailing:
▪ The number of employees of contractors and sub -contractors working o n the project;
▪ The number of employees on the project hired directly and hired through a third party;
▪ The wages and benefits of workers on the project by classification; and ▪ Whether those wages are at rates less than those prevailing.19 Recipients must maintain sufficient records to substantiate this information upon request.
b. A recipient may provide a certification that a project includes a project labor agreement, meaning a pre-hire collective bargaining agreement consistent with section 8(f) of the National Labor Relations Act (29 U.S.C. 158(f)). If the recipient does not provide such certification, the recipient must provide a project workforce continuity plan, detailing:
▪ How the recipient will ensure the project has ready access to a sufficient supply of appropriately skilled and unskilled labor to ensure high -quality construction throughout the life of the project , including a description of any required professional certifications and/or in-house training;
▪ How the recipient will minimize risks of labor disputes and disruptions that would jeopardize timeliness and cost-effectiveness of the project; ▪ How the recipient will provide a safe and healthy workplace that avoids delays and costs associated with workplace illnesses, injuries , and fatalities , including descriptions of safety training, certification, and/or licensure requirements for all relevant workers (e.g., OSHA 10, OSHA 30);
▪ Whether workers on the project will receive wages and benefits that will secure an appropriately skilled workforce in the context of the local or regional labor market; and
▪ Whether the project has completed a project labor agreement. c. Whether the project prioritizes local hires.
d. Whether the project has a Community Benefit Agreement, with a description of any such agreement.

2. Water and sewer projects (EC 5.1-5.18) Required once the project starts:
• National Pollutant Discharge Elimination System (NPDES) Permit Number (if applicable; for projects aligned with the Clean Water State Revolving Fund) (Collection beg an in January 2022)

19 As determined by the U.S. Secretary of Labor in accordance with subchapter IV of chapter 31 of title 40, United States Code (commonly known as the “Davis-Bacon Act”), for the corresponding classes of laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the State (or the District of Columbia) in which the work is to be performed.

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32 • Public Water System (PWS) ID number (if applicable; for projects aligned with the Drinking Water State Revolving Fund) (Collection began January 2022) • Median Household Income of service area (Collection began in April 2022) • Lowest Quintile Income of the service area (Collection began in April 2022)

3. Broadband projects (EC 5.1 9-5.21) Collection includes new fields that began in July 2022 .

Additional fields will be phased in through future reporting periods, as noted below.

Overall Project Information
• Confirm that the project is designed to, upon completion, reliably meet or exceed symmetrical 100 Mbps download and upload speeds.
o If the project is not designed to reliably meet or exceed symmetrical 100 Mbps download and upload speeds, explain why not, and
o Confirm that the project is designed to, upon completion, meet or exceed 100 Mbps download speed and between at least 20 Mbps and 100 Mbps upload speed, and be scalable to a minimum of 100 Mbps download speed and 100 Mbps upload speed. • Confirm that the service provider for the project has, or will upon completion of the project, either participated in the Federal Communications Commission (FCC)’s Affordable Connectivity Program (ACP) or otherwise provided access to a broad-based affordability program that provides benefits to households commensurate with those provided under the ACP to low -income consumers in the proposed service area of the broadband infrastructure (applicable only to projects that provide service to households).

Detailed Project Information
• Project technology type(s) (Planned/Actual)
o Fiber
o Coaxial Cable
o Terrestrial Fixed Wireless
o Other (specify)
• Total miles of fiber deployed (Planned/Actual)
• Total number of funded locations served (Planned/Actual) o Total number of funded locations served, broken out by speeds:
▪ Pre-SLFRF Investment:
• Number receiving 25/3 Mbps or below
• Number receiving between 25/3 Mbps and 100/20 Mbps
▪ Post-SLFRF Investment (Planned/Actual):
• Number receiving minimum 100/100 Mbps
• Number receiving minimum 100/20 Mbps and scalable to minimum 100/100 Mbps
o Total number of funded locations served, broken out by type (Planned/Actual):
▪ Residential
• Total Housing Units
▪ Business
▪ Community anchor institution
• Speed tiers offered, corresponding non-promotional prices, including associated fees, and data allowance for each speed tier of broadband service (collection to be phased in a future reporting period)

Location-by-Location Project Information
For each location served by a Project, the recipient must collect from the subrecipient or contractor and submit the following information to Treasury using a predetermined file format that will be provided by Treasury (collection of certain fields will begin in October 2022, as specified below):

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33 • Latitude/longitude at the structure where service will be installed (required starting October 2022)Technology used to offer service at the location (required starting October 2022) • Location type (required starting October 2022)
o Residential
▪ If Residential, Number of Housing Units
o Business
o Community anchor institution
• Speed tier at the location pre-SLFRF investment (collection to be phased in) o 25/3 Mbps or below
o Between 25/3 Mbps and 100/20 Mbps
• Speed and latency at the location post-SLFRF investment (collection to be phased in) o Maximum download speed offered
o Maximum download speed delivered
o Maximum upload speed offered
o Maximum upload speed delivered
o Latency
• Standardized FCC Identifiers
o Fabric ID # (Broadband Serviceable Fabric Locations)
o FCC Issued Provider ID #

l. Additional Required Programmatic Data for States, U.S. territories, and metropolitan cities and counties with a population that exceeds 250,000 residents only: As noted in the Recovery Plan section of this guidance, states, U.S. territories, and metropolitan cities and counties with a population over 250,000 are required to provide additional data in the Project and Expenditure report for projects in the following expenditure categories:

1. Use of Evidence (for relevant ECs noted in Appendix 1)—Collection began April 2022 • The dollar amount of the total project spending that is allocated towards evidence -based interventions
• Whether a program evaluation of the project is being conducted

2. Household Assistance (EC 2.2, Long-Term Housing Security (EC 2.15 -2.16) and Housing Support (EC 2.17-2.18):
• Number of households receiving eviction prevention services (including legal representation)
• Number of affordable housing units preserved or developed

3. Assistance to Unemployed or Underemployed Workers (EC 2.10) and Community Violence Interventions (EC 1.11):
• Number of workers enrolled in sectoral job training programs • Number of workers completing sectoral job training programs • Number of people participating in summer youth employment programs

4. Addressing Educational Disparities (EC 2.24 -2.26) and Addressing Impacts of Lost Instructional Time (EC 2.27):
• Number of students participating in evidence-based tutoring programs20

5. Healthy Childhood Environments (EC 2.11-2.14):

20 For more information on evidence-based tutoring programs, refer to the U.S. Department of Education’s 2021 ED COVID-19 Handbook (Volume 2), which summarizes research on evidence-based tutoring programs (see the bottom of page 20.

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34 • Number of children served by childcare and early learning services (pre-school/pre-K/ages 3-5)
• Number of families served by home visiting

m. NEU Documentation (NEUs only): Each NEU is also required to provide the following information once its accounts are established in Treasury’s Reporting Portal and prior to the due date for their first Project and Expenditure Report (due April 30, 2022):
• Copy of the signed award terms and conditions agreement (which was signed and submitted to the State as part of the request for funding)
• Copy of the signed assurances of compliance with Title VI of the Civil Rights Act of 1964 (which was signed and submitted to the State as part of the request for funding) • Copy of actual budget documents validating the top-line budget total provided to the State as part of the request for funding

NEU accounts are established in Treasury’s Portal based on information provided by the States or territories, as further described in Section Part 2 D below.

C. Recovery Plan Performance Report

States, territories, and metropolitan cities and counties with a population that exceeds 250,000 residents (i.e., Tier 1 recipients) will also be required to publish and submit to Treasu ry a Recovery Plan performance report (“Recovery Plan”). Each Recovery Plan must be posted on an easily discoverable webpage on the public-facing website of the recipient by the same date the recipient submits the report to Treasury. Treasury recommends that Recovery Plans be accessible within three clicks or fewer from the homepage of the recipient’s website. Within Treasury’s reporting porta l, recipients must upload a link to the publicly available Recovery Plan and provide required data.

The Recovery Plan provides the public and Treasury both retrospective and prospective information on the projects recipients are undertaking or planning to undertake with program funding and how they are planning to ensure program outcomes are achieved in an effective, efficient, and equitable manner. While this guidance outlines some minimum requirements for the Recovery Plan, each recipient is encouraged to add info rmation to the plan that they feel is appropriate to provide information to their constituents on efforts they are taking to respond to the pandemic and promote economic recovery. Each jurisdiction may determine the general form and content of the Recover y Plan, as long as it includes the minimum information required by Treasury. Treasury provided a template (located at www.treasury.gov/SLFRP) but recipients may modify this template as appropriate for their jur isdiction, provided the modified template meets Treasury’s requirements, outlined below. Through the Recovery Plan, recipients may link to public documents, including, but not limited to, legislation, dashboards, survey results, community engagement report s, and equity frameworks to support the Recovery Plan narrative. T he Recovery Plan should include key performance indicators identified by the recipient and some mandatory indicators identified by Treasury, as noted below.

The initial Recovery Plan covered the period from the date of award to July 31, 2021 and was required to be submitted to Treasury by August 31, 2021, or 60 days after receiving funding. Thereafter, the Recovery Plan will cover a 12 -month period and recip ients are required to submit the report to Treasury after the end of the 12 -month period by July 31 . The Recovery Plan should include both retrospective information covering the time period of the Recovery Plan along with prospective information on future work to be undertaken with SLFRF funds or on the planning that has been undertaken during the covered period. Table 5 summarizes the report timelines:

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35 Table 5 Recovery Plan Timeline
Annual
Report
Period Covered Due Date
1 Award Date – July 31, 2021 August 31, 2021 or 60 days after receiving funding
2 July 1, 2021 – June 30, 2022 July 31, 2022
3 July 1, 2022 – June 30, 2023 July 31, 2023
4 July 1, 2023 – June 30, 2024 July 31, 2024
5 July 1, 2024 – June 30, 2025 July 31, 2025
6 July 1, 2025 – June 30, 2026 July 31, 2026
7 July 1, 2026 – December 31, 2026 April 30, 2027

Recovery Plans submitted as part of reporting are used by Treasury, third party organizations, the public, and other stakeholders to obtain a comprehensive understanding of SLFRF’s largest recipients’ planned and actual usage of SLFRF funding, including th e jurisdiction’s policy goals, its strategy for achieving them, and specific projects or initiatives underway. Alignment of data reported in Project and Expenditure reports and Recovery Plans is expected by both Treasury and SLFRF’s many stakeholders. Fina lly, Recovery Plans will be posted publicly by Treasury to provide transparency about how program funds are being used by recipient governments.

The Recovery Plan must include, at a minimum, the following information:

1. Executive Summary
In this section, recipients should provide a high-level overview of the jurisdiction’s intended and actual uses of funding including, but not limited to: the jurisdiction’s strategy, goals, and plan for using Fiscal Recovery Funds to respond to the pandemic and promote economic recovery, key outcome goals, progress to date on those outcomes, and any noteworthy challenges or opportunities identified during the reporting period.

2. Uses of Funds
In this section, recipients should describe in further detail the strategy and goals of their jurisdiction’s SLFRF program, such as how their jurisdiction’s approach would help support a strong and equitable recovery from the COVID-19 pandemic and economic downturn. Recipients should describe how their intended and actual uses of funds will achieve their goals . Given the broad eligible uses of funds established by the final rule and the specific needs of different jurisdictions, recipients should also explain how the funds would support the communities, populations, or individuals in their jurisdiction.

Recipients should describe how their use of funds supports their overall strategy and goals in the following areas:
a. Public Health (EC 1) : As relevant, describe how funds are being used to respond to COVID-19, the broader health impacts of COVID -19, and the COVID-19 public health emergency, including community violence interventions and behavioral health. b. Negative Economic Impacts (EC 2) : As relevant, describe how funds are being used to respond to negative economic impacts of the COVID -19 public health emergency, including services to households (such as affordable housing, job training, and childcare), small businesses , non - profits, and impacted industries.
c. Public Health-Negative Economic Impact: Public Sector Capacity (EC 3): As relevant, describe how funds are being used to support public sector workforce and capacity, including public sector payroll, rehiring of public sector workers, and building of public sector capacity. d. Premium Pay (EC 4) : As relevant, describe the approach, goals, and sectors or occupations served in any premium pay program. Describe how the approach prioritizes low-income workers and/or any particular group of eligible workers.
e. Water, sewer, and broadband infrastructure (EC 5): As relevant, describe the approach, goals, and types of projects being pursued . Where relevant, recipients should note how project s

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36 contribute to addressing climate change and/or how projects benefit disadvantaged communities in line with the Justice40 Initiative.21
f. Revenue Replacement (EC 6) : Describe the loss in revenue , including if electing the standard allowance, due to the COVID -19 public health emergency , and how funds have been used to provide government services, including any funds used under revenue loss for non -federal cost- share or matching requirements of other federal programs.

If appropriate, recipients may also include information on their jurisdiction’s use (or planned use) of other federal recovery funds , including other programs under the American Rescue Plan such as Emergency Rental Assistance, the Homeowner Assistance Fund, the Capital Projects Fund, the State Small Business Credit Initiative, and so forth, to provide broader context on the overall approach for pandemic recovery. Jurisdictions may also address use of SLFRF funds in coordination with, or in preparation for, funding available through the Infrastructure Investment and Jobs Act.

3. Promoting equitable outcomes

Treasury encourages uses of funds that advance strong, equitable growth, including economic and racial equity. For the purposes of the SLFRF, equity is described in the Executive Order 13985 On Advancing Racial Equity and Support for Underserved Communities Through the Federal Government, as issued on January 20, 2021.

In this section, recipients should describe, as applicable, their efforts to promote equitable outcomes, including economic and racial equity, and their efforts to design, implement, and measure their SLFRF program and projects with equity in mind.

In describing their efforts to design their SLFRF program and projects with equity in mind, recipients may consider the following:
a. Goals: Are there particular historically underserved, marginalized, or adversely affected groups that recipients intend to serve within their jurisdiction? b. Awareness: How equitable and practical is the ability for residents or businesses to become aware of the services funded by SLFRF?
c. Access and Distribution: Are there differences in levels of access to benefits and services across groups? Are there administrative requirements that res ult in disparities in ability to complete applications or meet eligibility criteria?
d. Outcomes: How are intended outcomes focused on closing gaps and/or reaching universal levels of service? How is the considering disaggregating outcomes by race, ethnicity, and other equity dimensions where relevant for the policy objective?

In describing their efforts to implement their SLFRF program and projects with equity in mind, recipients may consider the following:

a. Goals and Targets: Please describe how planned or current uses of funds prioritize economic and racial equity as a goal, name specific targets intended to produce meaningful equity results at scale, and include initiatives to achieve those targets. b. Project Implementation: In addition, please explain how the jurisdiction’s overall equity strategy translates into focus areas for SLFRF projects and the specific services or programs offered by the jurisdiction in the following Expenditure Category, as indicated in the final rule.

Negative Economic Impacts (EC 2) : assistance to households, small businesses, and non - profits to address impacts of the pandemic, which have been most severe among low-income populations. This includes assistance with food, housing, and other needs; em ployment programs for people with barriers to employment who faced negative economic impacts from

21 See Executive Order 14008, On Tackling the Climate Crisis at Home and Abroad and the Interim Implementation Guidance for the Justice40 Initiative, OMB M-21-28.

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37 the pandemic (such as residents of low -income neighborhoods, minorities, disconnected youth, the unemployed, formerly incarcerated people, veterans, and peopl e with disabilities); services to provide long -term housing security and housing supports, address educational disparities, or provide child care and early learning services; and other strategies that provide impacted and disproportionately impacted communities with services to address the negative economic impacts of the pandemic

The first annual Recovery Plan, due in 2021, was required to describe initial efforts and intended outcomes to promote equity , as applicable . Beginning in 2022, e ach annual Recovery Plan must provide an update, using qualitative and quantitative data, on how the recipients’ approach achieved or promoted equitable outcomes or progressed against equity goals during the performance period , as applicable. Each jurisdiction should describe any constraints or challenges that impacted project success in terms of incre asing equity. In particular, this section should describe the geographic and demographic distribution of funding, including whether it is targeted toward traditionally marginalized communities (recipients may reference the demographic data information in t heir Project and Expenditure Reports as relevant).

4. Community Engagement
In this section, recipients should describe how their jurisdiction’s planned or current use of funds incorporates community engagement strategies including written feedback through surveys, project proposals, and related documents; oral feedback through community meetings, issue -specific listening sessions, stakeholder interviews, focus groups, and additional public engagement; as well as other forms of input, such as steering committees, taskforces, and digital campaigns that capture diverse feedback from the community. Recipients may describe completed or planned community engagement strategies specifically focused o n their SLFRF program and projects or community engagement strategies that included SLFRF among other government programs. Recipients should also describe how community engagement strategies support their equity goals, including engagement with communities that have historically faced significant barriers to services, such as people of color, people with low incomes, limited English proficient populations, and other traditionally underserved groups.

5. Labor Practices
In this section, recipients should describe workforce practices on any infrastructure projects or capital expenditures being pursued. How are projects using strong labor standards to promote effective and efficient delivery of high -quality infrastructure projects while also supporting the econom ic recovery through strong employment opportunities for workers? For example, report whether any of the following practices are being utilized: project labor agreements, community benefits agreements, prevailing wage requirements, and local hiring.

6. Use of Evidence
In this section of the Recovery Plan, recipients should describe whether and how evidence-based interventions and/or program evaluation are incorporated into their SLFRF program. Recipients may include links to evidence standards, evidence dashboards, evaluation policies, and other public facing tools that are used to track and communicate the use of evidence and evaluation for Fiscal Recovery Funds. Recipients are encouraged to consider how a learning agenda, either narrowly focused on SLFRF or broadly focused on the recipient’s broader policy agenda, could support their overarching evaluation efforts in order to create an evidence-building strategy for their jurisdiction.22

In the Project Inventory section of the Recovery Plan (see Section 8 below), recipients should identify whether SLFRF funds are being used for evidence-based interventions23 and/or if projects are being evaluated through rigorous program evaluations that are designed to buil d evidence. In the Project Inventory, recipients must briefly describe the goals of the project and the evidence base for the

22 For more information on learning agendas, please see OMB M-19-23 23 As noted in Appendix 2, evidence-based refers to interventions with strong or moderate levels of evidence.

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38 interventions funded by the project. As part of the Project Inventory section, r ecipients must also specifically identify the dollar amount of the total project spending that is allocated towards evidence- based interventions for each project in the Expenditure Categories noted with an asterisk in Appendix

1. Please note that to increase consistency, the Project and Expenditure repor t now also includes fields for recipients to identify t he dollar amount of the total project spending that is allocated to evidence-based interventions and to indicate if a program evaluation of the project is being conducted.

Recipients are encouraged to reference relevant evidence clearinghouses, among other sources, to assess the level of evidence for their interventions and identify evidence-based models that could be applied in their jurisdiction; such evidence clearinghouses include the U.S. Department of Education’s What Works Clearinghouse , the U.S. Department of Labor’s CLEAR, and the Childcare & Early Education Research Connections and the Home Visiting Evidence of Effectiveness clearinghouses from Administration for Children and Families, as well as other clearinghouses relevant to particular projects conducted by the recipient.

Recipients are exempt from reporting on evidence -based interventions in cases where a program evaluation is being conducted. In such cases where a recipient is conducting a program evaluation , recipients must describe the evaluation design , including whether it is a randomized or quasi - experimental design; the key research questions being evaluated; whether the study has sufficient statistical power to disaggregate outcomes by demographics; and the timeframe for the completion of the evaluation (including a link to the completed evaluation if relevant).24 Once the evaluation has been completed, recipients must post the evaluation public ly and link to the completed evaluation in the Recovery Plan. Once an evaluation has been completed (or has sufficient interim findings to determine the efficacy of the intervention), recipients should determine whether the spending for the evaluated interventions should be counted towards the dollar amount categorized as evidence-based for the relevant project.

For all projects, recipients may be selected to participate in a national evaluation, which might, for example, study their project along with si milar projects in other jurisdictions that are focused on the same set of outcomes. In such cases, recipients may be asked to share information and data that is needed for the national evaluation.

Appendix 2 contains additional information on evidence -based interventions for the purposes of the Recovery Plan.

7. Performance Report
In this section, recipients should describe how performance management is incorporated into their SLFRF program, including how they are tracking their overarching jurisdictional goals for these funds as well as measuring results for individual projects. The recipient has flexibility in terms of how this information is presented in the Recovery Plan, and may report key performance indicators for each project, or may group projects with substantially similar goals and the same outcome measures. In some cases, the recipient may choose to include some indicators for each individual project as well as crosscutting indicators. Recipients may include links to performance ma nagement dashboards, performance management policies, and other public facing tools that are used to track and communicate the performance of Fiscal Recovery Funds. In addition to outlining in this section their high-level approach to performance managemen t, recipients must also include key performance indicators for each SLFRF project in the Project Inventory section (described below in #8).

Performance indicators should include both output and outcome measures. Output measures, such as the number of students enrolled in an early learning program, provide valuable information about the early implementation stages of a project. Outcome measures, such as the percent of students

24 For more information on the required standards for program evaluation, see OMB M-20-12.

Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

39 reading on grade level, provide information about whether a project is achieving its overall goals.

Recipients are encouraged to use logic models25 to identify their output and outcome measures.

While the initial Recovery Plan focused heavily on early output goals, recipients should include the related outcome goal for each project and provide updated information on achieving these outcome goals in subsequent annual reports. In cases where recipients are conducting a program evaluation for a project (as described above), the outcome measures in the performance report should be aligned with those being evaluated in the program. As described in the final rule, to support their performance measurement and program improvement efforts, recipients are permitted to use funds to make improvements to data or technology infrastructure and data analytics, as well as perform program evaluations.

While recipients have discretion on the full suite of performance indicators to include, a number of mandatory performance indicators and programmatic d ata must be included. These are necessary to allow Treasury to conduct oversight as well as understand and aggregate program outcomes across recipients. This section provides an overview of the mandatory performance indicators and programmatic data. This information should be included in the Project Inventory, but this data will also need to be entered directly into the Treasury reporting portal as part of the Project and Expenditure report, as Treasury has added these fields (for Tier 1 recipients only) to the Project and Expenditure report. Below is a list of required data for each Expenditure Category, where relevant.

a. Household Assistance (EC 2.2 ), Long -Term Housing Security (EC 2.15-2.16) and Housing Support (EC 2.17-2.18):
• Number of households receiving eviction prevention services (including legal representation) • Number of affordable housing units preserved or developed

b. Assistance to Unemployed or Underemployed Workers (EC 2 .10) and Community Violence Interventions (EC 1.11):
• Number of workers enrolled in sectoral job training programs • Number of workers completing sectoral job training programs • Number of people participating in summer youth employment programs

c. Addressing Educational Disparities (EC 2.24-2.26) and Addressing Impacts of Lost Instructional Time (EC 2.27):
• Number of students participating in evidence-based tutoring programs26

d. Healthy Childhood Environments (EC 2.11-2.14):
• Number of children served by childcare and early learning services (pre-school/pre-K/ages 3- 5)
• Number of families served by home visiting

The initial report should have included the key indicators above. Each annual report thereafter should include updated data for the performance period as well as prior period data, and a brief narrative adding any additional context to help the reader interpret the results and understand any c hanges in performance indicators over time. To the extent possible, Treasury also encourages recipients to provide data disaggregated by race, ethnicity, gender, income, and other relevant factors.

8. Project Inventory

25 A logic model is a tool that depicts the intended links between program investments and outcomes, specifically the relationships among the resources, activities, outputs, outcomes, and impact of a program. 26 For more information on evidence-based tutoring programs, refer to the U.S. Department of Education’s 2021 ED COVID-19 Handbook (Volume 2), which summarizes research on evidence-based tutoring programs (see the bottom of page 20.).

Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

40 In this section, recipients should list the name and provide a brief description of each SLFRF funded project. Projects are defined as a grouping of closely related activities that together are intended to achieve a specific goal or are directed toward a common purpose. These activities can include new or existing eligible government services or investments funded in whole or in part by SLFRF funding.

For each project, recipients should include the project name, funding amount, identification number (the same identification number created by the recipient that matches the identification number used in the quarterly Project and Expenditure Report), project Expenditure Category (see Appendix 1), and a description of the project that includes an overview of the main activities of the project, approximate timeline, primary delivery mechanisms and partners, and intended outcomes. Each jurisdiction should also include a link to the website of the project if available. This information will provide context and additional detail for the information reported quarterly in the Project and Expenditure Report.

For infrastructure projects, where relevant, recipients should describe how the project contributes to addressing climate change and/or advances the Justice40 initiative27, which sets a target of providing 40 percent of the benefits of certain federal investment s, including climate and clean energy investments to disadvantaged communities.

As noted above in section 6, the Project Inventory must also include information a bout the dollar amount of the total project spending that is allocated towards evidence -based interventions (or describe how projects are being evaluated as noted above). As described above in section 7, the Project Inventory must also contain information about the performance indicators for each project, including both those measures that recipients have defined for each project as well as the mandatory performance indicators defined by Treasury.

Recipients have flexibility in the presentation and format of their Project Inventory, provided it includes the minimum required information . Recipients have the option of downloading a spreadsheet of the information entered into their Project and Expenditure Report to assist them in creating the Project Inventory in their Recovery Plan. However, recipients must ensure that their Project Inventory contains the additional information required by this guidance, including but not lim ited to information about performance measures and evidence/evaluation for each project. In all cases, recipients must post publicly (and submit to Treasury) a single PDF file of their Recovery Plan, which includes the Project Inventory.

D. Distributions to NEUs

Each state and territory is required to provide regular updates on their NEU distributions as well as their distributions to units of general local government within counties that are not units of general local government. The distribution template generally requests information on whether the local government has (1) received funding; (2) declined funding and requested a transfer to the state under Section 603(c)(4) of the Act; or (3) not taken action on its funding or declined funding.

For NEUs, states and territories should be prepared to report on their information, including the following:
• NEU name
• NEU UEI number
• NEU Taxpayer Identification Number (TIN)
• NEU Recipient Number (a unique identification code for each NEU assigned by the State or territory to the NEU as part of the request for funding) • NEU contact information (e.g., address, point of contact name, point of contact email address, and point of contact phone number)
• NEU authorized representative name and email address

27 See Executive Order 14008, On Tackling the Climate Crisis at Home and Abroad and the Interim Implementation Guidance for the Justice40 Initiative, OMB M-21-28.

Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

41 • Initial allocation and, if applicable, subsequent allocation to the NEU (before application of the 75 percent cap)
• Total NEU reference budget (as submitted by the NEU to the State or territory as part of the request for funding)
• Amount of the initial and, if applicable, subsequent allocation above 75 percent of the NEU’s reference budget which will be returned to Treasury
• Payment amount(s)
• Payment date(s)

States with “weak” minor civil divisions (i.e., Illinois, Indiana, Kansas, Missouri, Nebraska, North Dakota, Ohio, and South Dakota) should also list any minor civil divisions that the state deemed ineligible.

For each eligible NEU that declined funding and requested a transfer to the state under Section 603(c)(4) of the Social Security Act, the state or territory must also attach a form signed by the NEU, as detailed in the Guidance on Distributions of Funds to Non-Entitlement Units of Local Government.

Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

42 Appendix 1: Expenditure Categories
Treasury’s final rule provides greater flexibility and simplicity for recipients to fight the pandemic and support families and businesses struggling with its impacts, maintain vital services amid revenue shortfalls, and build a strong, resilient, and equi table recovery. As such, recipients began reporting on a broader set of eligible uses and associated Expenditure Categories (“EC”), starting with the April 2022 Project and Expenditure Report than they did in their interim reports, initial Recovery Plans, and January Project and Expenditure Report. The table below includes the new Expenditure Categories, as well as a reference to previous Expenditure Categories aligned with the interim final rule and used for reporting before this date.

The Expenditure Categories (EC) listed below must be used to categorize each project as noted in Part 2 above. The term “Expenditure Category” refers to the detailed level (e.g., 1.1 COVID-19 Vaccination). When referred to as a category (e.g., EC 1) it includes all Expenditure Categories within that level.
*Denotes areas where recipients must identify the amount of the total funds that are allocated to evidence-based interventions (see Use of Evidence section above for details)

^Denotes areas where recipients must report on whether projects are primarily serving disproportionately impacted communities (see Project Demographic Distribution section above for details)

Expenditure Category EC28 Previous
EC29
1: Public Health
COVID-19 Mitigation & Prevention
COVID-19 Vaccination^ 1.1 1.1
COVID-19 Testing^ 1.2 1.2
COVID-19 Contact Tracing^ 1.3 1.3
Prevention in Congregate Settings (Nursing Homes, Prisons/Jails, Dense Work Sites, Schools, Child care facilities, etc.)*^ 1.4 1.4 Personal Protective Equipment^ 1.5 1.5
Medical Expenses (including Alternative Care Facilities)^ 1.6 1.6 Other COVID-19 Public Health Expenses (including Communications, Enforcement, Isolation/Quarantine)^ 1.7 1.8
COVID-19 Assistance to Small Businesses^ 1.8 -
COVID 19 Assistance to Non-Profits^ 1.9 -
COVID-19 Aid to Impacted Industries^ 1.10 -
Community Violence Interventions
Community Violence Interventions*^ 1.11 3.16
Behavioral Health
Mental Health Services*^ 1.12 1.10
Substance Use Services*^ 1.13 1.11
Other
Other Public Health Services^ 1.14 1.12
Capital Investments or Physical Plant Changes to Public Facilities that respond to the COVID-19 public health emergency - 1.7
2: Negative Economic Impacts
Assistance to Households
Household Assistance: Food Programs*^ 2.1 2.1

28 Under the final rule to be used starting with April 2022 reports 29 Under the interim final rule to be used in Interim Report and January 2022 Project and Expenditure Report

Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

43 Expenditure Category EC28 Previous
EC29
Household Assistance: Rent, Mortgage, and Utility Aid*^ 2.2 2.2 Household Assistance: Cash Transfers*^ 2.3 2.3
Household Assistance: Internet Access Programs*^ 2.4 2.4 Household Assistance: Paid Sick and Medical Leave^ 2.5 - Household Assistance: Health Insurance*^ 2.6 -
Household Assistance: Services for Un/Unbanked*^ 2.7 -
Household Assistance: Survivor's Benefits^ 2.8 -
Unemployment Benefits or Cash Assistance to Unemployed Workers*^ 2.9 2.6 Assistance to Unemployed or Underemployed Workers (e.g. job training, subsidized employment, employment supports or incentives)*^ 2.10 2.7 Healthy Childhood Environments: Child Care*^ 2.11 3.6
Healthy Childhood Environments: Home Visiting*^ 2.12 3.7 Healthy Childhood Environments: Services to Foster Youth or Families Involved in Child Welfare System*^ 2.13 3.8
Healthy Childhood Environments: Early Learning*^ 2.14 3.1 Long-term Housing Security: Affordable Housing*^ 2.15 3.10 Long-term Housing Security: Services for Unhoused Persons*^ 2.16 3.11 Housing Support: Housing Vouchers and Relocation Assistance for Disproportionately Impacted Communities*^ 2.17 -
Housing Support: Other Housing Assistance*^ 2.18 3.12
Social Determinants of Health: Community Health Workers or Benefits Navigators*^ 2.19 3.14
Social Determinants of Health: Lead Remediation*^ 2.20 3.15 Medical Facilities for Disproportionately Impacted Communities^ 2.21 - Strong Healthy Communities: Neighborhood Features that Promote Health and Safety^ 2.22 -
Strong Healthy Communities: Demolition and Rehabilitation of Properties^ 2.23 -
Addressing Educational Disparities: Aid to High-Poverty Districts^ 2.24 3.2 Addressing Educational Disparities: Academic, Social, and Emotional Services*^ 2.25 3.3
Addressing Educational Disparities: Mental Health Services*^ 2.26 3.4 Addressing Impacts of Lost Instructional Time^ 2.27 -
Contributions to UI Trust Funds^ 2.28 2.8
Assistance to Small Businesses
Loans or Grants to Mitigate Financial Hardship^ 2.29 2.9 Technical Assistance, Counseling, or Business Planning*^ 2.30 Rehabilitation of Commercial Properties or Other Improvements^ 2.31 - Business Incubators and Start-Up or Expansion Assistance*^ 2.32 Enhanced Support to Microbusinesses*^ 2.33
Assistance to Non-Profits
Assistance to Impacted Nonprofit Organizations (Impacted or Disproportionately Impacted)^ 2.34 2.10
Aid to Impacted Industries
Aid to Tourism, Travel, or Hospitality^ 2.35 2.11
Aid to Other Impacted Industries^ 2.36 2.12
Other
Economic Impact Assistance: Other*^ 2.37 2.13
Household Assistance: Eviction Prevention*^ - 2.5
Education Assistance: Other*^ - 3.5

Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

44 Expenditure Category EC28 Previous
EC29
Healthy Childhood Environments: Other*^ - 3.9
Social Determinants of Health: Other*^ - 3.13
3: Public Health-Negative Economic Impact: Public Sector Capacity General Provisions
Public Sector Workforce: Payroll and Benefits for Public Health, Public Safety, or Human Services Workers 3.1 1.9
Public Sector Workforce: Rehiring Public Sector Staff 3.2 2.14 Public Sector Workforce: Other 3.3 -
Public Sector Capacity: Effective Service Delivery 3.4 7.2 Public Sector Capacity: Administrative Needs 3.5 -
4: Premium Pay
Public Sector Employees 4.1 4.1
Private Sector: Grants to Other Employers 4.2 4.2
5: Infrastructure
Water and Sewer
Clean Water: Centralized Wastewater Treatment 5.1 5.1
Clean Water: Centralized Wastewater Collection and Conveyance 5.2 5.2 Clean Water: Decentralized Wastewater 5.3 5.3
Clean Water: Combined Sewer Overflows 5.4 5.4
Clean Water: Other Sewer Infrastructure 5.5 5.5
Clean Water: Stormwater 5.6 5.6
Clean Water: Energy Conservation 5.7 5.7
Clean Water: Water Conservation 5.8 5.8
Clean Water: Nonpoint Source 5.9 5.9
Drinking water: Treatment 5.10 5.10
Drinking water: Transmission & Distribution 5.11 5.11
Drinking water: Lead Remediation, including in Schools and Daycares 5.12 5.12 Drinking water: Source 5.13 5.13
Drinking water: Storage 5.14 5.14
Drinking water: Other water infrastructure 5.15 5.15
Water and Sewer: Private Wells 5.16 -
Water and Sewer: IIJA Bureau of Reclamation Match 5.17 - Water and Sewer: Other 5.18 -
Broadband
Broadband: “Last Mile” projects 5.19 5.16
Broadband: IIJA Match 5.20 -
Broadband: Other projects 5.21 5.17
6: Revenue Replacement
Provision of Government Services 6.1 6.1
Non-federal Match for Other Federal Programs 6.2 -
7: Administrative
Administrative Expenses 7.1 7.1
Transfers to Other Units of Government 7.2 7.3
Transfers to Non-entitlement Units (States and territories only) - 7.4

Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

45 Treasury has prepared the additional guidance below to support recipients in implementing the new expenditure categories. This table includes only those previous expenditure categories that are changing under the new structure, aligned with the final rule.

January 2022 Expenditure Categories April 2022 Guidance 1: Public Health

1.7 Capital Investments or Physical Plant Changes
to Public Facilities that respond to the COVID-
19 public health emergency
EC removed, capital expenditures can be
designated in any relevant PH-NEI EC
(e.g., new hospital wing would be tracked
under EC 1.4)

1.8 Other COVID-19 Public Health Expenses
(including Communications, Enforcement,
Isolation/Quarantine)
EC is 1.7

1.9 Payroll Costs for Public Health, Safety, and
Other Public Sector Staff Responding to
COVID-19
EC is 3.1

1.10 Mental Health Services* EC is 1.12

1.11 Substance Use Services* EC is 1.13

1.12 Other Public Health Services EC is 1.14
2: Negative Economic Impacts

2.5 Household Assistance: Eviction Prevention EC is now included as part of 2.2

2.6 Unemployment Benefits or Cash Assistance to
Unemployed Workers*
EC is 2.9

2.7 Job Training Assistance (e.g., Sectoral job-
training, Subsidized Employment, Employment
Supports or Incentives)*^
EC is 2.10

2.8 Contributions to UI Trust Funds EC is 2.28

2.9 Small Business Economic Assistance
(General)*^
If public-health related (e.g., providing
rapid tests for small businesses), EC is

1.8; if related to negative economic
impact eligible use (e.g., grants, technical
assistance, rehabilitation, incubators, or
microbusinesses), EC is 2.29-2.33

2.10 Aid to Nonprofit Organizations* If public-health related (e.g., providing rapid tests for non-profits), EC is 1.9; if
related to negative economic impact (e.g.,
grants to stabilize non-profit budget), EC
is 2.34

2.11 Aid to Tourism, Travel, or Hospitality EC is 2.35

2.12 Aid to Other Impacted Industries EC is 2.36

2.13 Other Economic Support*^ EC is 2.37, re-named Other Economic Impact

2.14 Rehiring Public Sector Staff EC is 3.2
3: Services to Disproportionately Impacted Communities

3.1 Education Assistance: Early Learning*^ EC is 2.14

3.2 Education Assistance: Aid to High-Poverty
Districts ^
EC is 2.24

3.3 Education Assistance: Academic Services*^ EC is 2.25, social and emotional services will now be tracked under this EC

3.4 Education Assistance: Social, Emotional, and
Mental Health Services*^
EC is 2.26, if social and emotional
services, EC is 2.25;

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46 January 2022 Expenditure Categories April 2022 Guidance

3.5 Education Assistance: Other*^ EC is 2.37, collected under Other Economic Impact

3.6 Healthy Childhood Environments: Child Care*^ EC is 2.11

3.7 Healthy Childhood Environments: Home
Visiting*^
EC is 2.12

3.8 Healthy Childhood Environments: Services to
Foster Youth or Families Involved in Child
Welfare System*^
EC is 2.13

3.9 Healthy Childhood Environments: Other*^ EC is 2.37, collected under Other Economic Impact

3.10 Housing Support: Affordable Housing*^ EC is 2.15

3.11 Housing Support: Services for Unhoused
Persons*^
EC is 2.16

3.12 Housing Support: Other Housing Assistance*^ EC is 2.18

3.13 Social Determinants of Health: Other*^ EC is 2.37, collected under Other Economic Impact

3.14 Social Determinants of Health: Community
Health Workers or Benefits Navigators*^
EC is 2.19

3.15 Social Determinants of Health: Lead
Remediation^
EC is 2.20

3.16 Social Determinants of Health: Community
Violence Interventions*^
EC is 1.11
5: Infrastructure

5.16 Broadband: “Last Mile” projects EC is 5.19

5.17 Broadband: Other projects EC is 5.20
7: Administrative

7.2 Evaluation and Data Analysis EC is 3.4 and has been renamed Effective Service Delivery

7.3 Transfers to Other Units of Government EC is 7.2

7.4 Transfers to Non-entitlement Units (States and
territories only)
To be separately reported as part of
NEU/Non-UGLG module. Refer to Part 2
Section D.

Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

47 Appendix 2: Evidenced-Based Intervention Additional Information

What is evidence-based?
For the purposes of the SLFRF, with the exception of investments in educational services (see additional information below), evidence-based refers to interventions with strong or moderate evidence as defined below:

Strong evidence means that the evidence base can support causal conclusions for the specific program proposed by the applicant with the highest level of confidence. This consists of one or more well-designed and well-implemented experimental studies conducted on the proposed program with positive findings on one or more intended outcomes.

Moderate evidence means that there is a reasonably developed evidence base th at can support causal conclusions. The evidence base consists of one or more quasi -experimental studies with positive findings on one or more intended outcomes OR two or more non -experimental studies with positive findings on one or more intended outcomes. Examples of research that meet the standards include: well-designed and well -implemented quasi -experimental studies that compare outcomes between the group receiving the intervention and a matched comparison group (i.e. , a similar population that does not receive the intervention).

Preliminary evidence means that the evidence base can support conclusions about the program’s contribution to observed outcomes. The evidence base consists of at least one non -experimental study. A study that demonstrates improvement in program beneficiari es over time on one or more intended outcomes OR an implementation (process evaluation) study used to learn about and improve program operations would constitute preliminary evi dence. Examples of research that meet the standards include: (1) outcome studies that track program beneficiaries through a service pipeline and measure beneficiaries’ responses at the end of the program; and (2) pre- and post-test research that determines whether beneficiaries have improved on an intended outcome.

For investme nts i n educational services, " evidence-based", consistent with the American Rescue Plan Act, has the meaning in section 8101(21) of the E lementary and Secondary Education Act of 1965, as amended (20 U.S.C. 6301 et seq.). Please see page 16 of this Frequently Asked Questions resource on the Department of Education's Elementary and Secondary School Em ergency Relief Programs and Governor's Emergency Education Relief Programs for more information.

Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

48 Appendix 3: Expenditure Categories aligned with the Interim Final Rule

1: Public Health

1.1 COVID-19 Vaccination ^

1.2 COVID-19 Testing ^

1.3 COVID-19 Contact Tracing

1.4 Prevention in Congregate Settings (Nursing Homes, Prisons/Jails, Dense Work Sites, Schools, etc.)*

1.5 Personal Protective Equipment

1.6 Medical Expenses (including Alternative Care Facilities)

1.7 Capital Investments or Physical Plant Changes to Public Facilities that respond to the COVID-19 public health emergency

1.8 Other COVID-19 Public Health Expenses (including Communications, Enforcement, Isolation/Quarantine)

1.9 Payroll Costs for Public Health, Safety, and Other Public Sector Staff Responding to COVID-19

1.10 Mental Health Services*

1.11 Substance Use Services*

1.12 Other Public Health Services
2: Negative Economic Impacts

2.1 Household Assistance: Food Programs* ^

2.2 Household Assistance: Rent, Mortgage, and Utility Aid* ^

2.3 Household Assistance: Cash Transfers* ^

2.4 Household Assistance: Internet Access Programs* ^

2.5 Household Assistance: Eviction Prevention* ^

2.6 Unemployment Benefits or Cash Assistance to Unemployed Workers*

2.7 Job Training Assistance (e.g., Sectoral job-training, Subsidized Employment, Employment Supports or Incentives)* ^

2.8 Contributions to UI Trust Funds

2.9 Small Business Economic Assistance (General)* ^

2.10 Aid to Nonprofit Organizations*

2.11 Aid to Tourism, Travel, or Hospitality

2.12 Aid to Other Impacted Industries

2.13 Other Economic Support* ^

2.14 Rehiring Public Sector Staff
3: Services to Disproportionately Impacted Communities

3.1 Education Assistance: Early Learning* ^

3.2 Education Assistance: Aid to High-Poverty Districts ^

3.3 Education Assistance: Academic Services* ^

3.4 Education Assistance: Social, Emotional, and Mental Health Services* ^

3.5 Education Assistance: Other* ^

3.6 Healthy Childhood Environments: Child Care* ^

3.7 Healthy Childhood Environments: Home Visiting* ^

3.8 Healthy Childhood Environments: Services to Foster Youth or Families Involved in Child Welfare System* ^

3.9 Healthy Childhood Environments: Other* ^

3.10 Housing Support: Affordable Housing* ^

3.11 Housing Support: Services for Unhoused Persons* ^

Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

49 3.12 Housing Support: Other Housing Assistance* ^

3.13 Social Determinants of Health: Other* ^

3.14 Social Determinants of Health: Community Health Workers or Benefits Navigators* ^

3.15 Social Determinants of Health: Lead Remediation ^

3.16 Social Determinants of Health: Community Violence Interventions* ^ 4: Premium Pay

4.1 Public Sector Employees

4.2 Private Sector: Grants to Other Employers
5: Infrastructure

5.1 Clean Water: Centralized Wastewater Treatment

5.2 Clean Water: Centralized Wastewater Collection and Conveyance

5.3 Clean Water: Decentralized Wastewater

5.4 Clean Water: Combined Sewer Overflows

5.5 Clean Water: Other Sewer Infrastructure

5.6 Clean Water: Stormwater

5.7 Clean Water: Energy Conservation

5.8 Clean Water: Water Conservation

5.9 Clean Water: Nonpoint Source

5.10 Drinking water: Treatment

5.11 Drinking water: Transmission & Distribution

5.12 Drinking water: Transmission & Distribution: Lead Remediation

5.13 Drinking water: Source

5.14 Drinking water: Storage

5.15 Drinking water: Other water infrastructure

5.16 Broadband: “Last Mile” projects

5.17 Broadband: Other projects
6: Revenue Replacement

6.1 Provision of Government Services
7: Administrative

7.1 Administrative Expenses

7.2 Evaluation and Data Analysis

7.3 Transfers to Other Units of Government

7.4 Transfers to Non-entitlement Units (States and territories only)

Coronavirus State and Local Fiscal Recovery Funds
Compliance and Reporting Guidance

50 Revision Log
Version Date Published Summary of changes

1.0 June 17, 2021 Initial publication

1.1 June 24, 2021 • Pg. 12, removed references to “summary” level with respect to reporting by Expenditure Categories in the
Interim Report to avoid confusion.
• Pg. 13, revised the coverage period end date for the
Interim Report from June 30, 2021 to July 31, 2021 to
align with the IFR.
• Pg. 13, removed references to “summary” level with
respect to reporting by Expenditure Categories in the
Interim Report to avoid confusion.
• Pg. 31, removed references to “summary level” with
respect to Expenditure Categories in Appendix 1 to avoid confusion.

1.1 September 30, 2021

• Announced the extension in the Project and Expenditure Report submission date, originally due on October 31,
2021.

2.0 November 5, 2021 • Updated Subrecipient Monitoring section to clarify beneficiaries and recipients.
• Updated references to Interim Final Rule comment period as comment period is closed.
• Updated reporting tiers, thresholds and timelines in Part 2 Table 2, Reporting Requirements by recipient type, as
well as Part 2 A and Part 2 B.
• Updated reporting periods for Interim Report and Project and Expenditure reports.
• Added concept of Adopted Budget to Project and
Expenditure Report data fields.
• Noted phase in of Required Programmatic Data in the
Project and Expenditure Report.
• Removed certain data fields from the Ineligible Activities:

Tax Offset Provision under the Recovery Plan.
• Separated reporting of NEU Distributions (for States and territories) from the Interim Report and Project and
Expenditure Reports as information will be provided on
an ongoing basis.

2.1 November 15, 2021 • Updated pages 9 and 11 to note that civil rights certification is not applicable to Tribal Governments.

3.0 February 28, 2022 • Updated to incorporate reporting updates under the final rule

4.0 June 10, 2022 • Updated Recovery Plan guidance to incorporate minor revisions
• Updated language around certain data fields that were required for April 2022 reporting
• Updated data fields for Ineligible Activities: Tax Offset Provision for the Project and Expenditure report
• Updated Broadband data fields

4.1 June 17, 2022 • Updated clerical errors in Ineligible Activities: Tax Offset Provision

4.2 August 15, 2022 • Updated to clarify resources for Uniform Guidance applicability and add a reference to an alternative to the Single Audit available for eligible recipients

5.0 September 20, 2022 • Updated to note phase in of broadband location by location data fields

5.1 June 6, 2023 • Updated to include Fabric ID and Provider ID fields for broadband location by location data collection.

Winter Shelter Grant Agreement Agreement No. A-8465
Advancing Communities Together Page 10

Exhibit D

CONTRACT PROVISIONS FOR NON-FEDERAL ENTITY CONTRACTS

TITLE VI OF THE CIVIL RIGHTS ACT OF 1964
In addition to other provisions required by the Federal agency or non -Federal entity, all contracts made by the non -Federal entity under the Federal award must contain provisions covering the following, as applicable.

1. Recipient ensures its current and future compliance with Title VI of the Civil Rights Act of 1964, as amended, whi ch prohibits exclusion from participation, denial of the benefits of, or subjection to discrimination under programs and activities receiving federal financial assistance, of any person in the United States on the ground of race, color, or national origin (42 U.S.C. § 2000d et seq.), as implemented by the Department of the Treasury Title VI regulations at 31 CFR Part 22 and other pertinent executive orders such as Executive Order 13166, directives, circulars, policies, memoranda, and/or guidance documents.

2. Recipient acknowledges that Executive Order 13166, “Improving Access to Services for Persons with Limited English Proficiency,” seeks to improve access to federally assisted programs and activities for individuals who, because of national origin, have Limited English proficiency (LEP). Recipient understands that denying a person access to its programs, services, and activities because of LEP is a form of national origin discrimination prohibited under Title VI of the Civil Rights Act of 1964 and the Dep artment of the Treasury’s implementing regulations. Accordingly, Recipient shall initiate reasonable steps, or comply with the Department of the Treasury’s directives, to ensure that LEP persons have meaningful access to its programs, services, and activit ies. Recipient understands and agrees that meaningful access may entail providing language assistance services, including oral interpretation and written translation where necessary, to ensure effective communication in the Recipient’s programs, services, and activities.

3. Recipient agrees to consider the need for language services for LEP persons when Recipient develops applicable budgets and conducts programs, services, and activities. As a resource, the Department of the Treasury has published its LEP guidance at 70 FR 6067. For more information on taking reasonable steps to provide meaningful access for LEP persons, please visit http://www.lep.gov.

4. Recipient acknowledges and agrees that compliance with the assurances constitutes a condition of cont inued receipt of federal financial assistance and is binding upon Recipient and Recipient’s successors, transferees, and assignees for the period in which such assistance is provided.

5. Recipient acknowledges and agrees that it must require any sub -grantees, contractors, subcontractors, successors, transferees, and assignees to comply with assurances 1 -4 above, and Winter Shelter Grant Agreement Agreement No. A-8465
Advancing Communities Together Page 11

agrees to incorporate the following language in every contract or agreement subject to Title VI and its regulations between the Recipient and the Recipient’s sub -grantees, contractors, subcontractors, successors, transferees, and assignees:

The sub -grantee, contractor, subcontractor, successor, transferee, and assignee shall comply with Title VI of the Civil Rights Act of 1964, which prohibits recipients of federal financial assistance from excluding from a program or activity, denying benefits of, or otherwise discriminating against a person on the basis of race, color, or national origin (42 U.S.C. § 2000d et seq.), as implemented by the Depar tment of the Treasury’s Title VI regulations, 31 CFR Part 22, which are herein incorporated by reference and made a part of this contract (or agreement). Title VI also includes protection to persons with “Limited English Proficiency” in any program or acti vity receiving federal financial assistance, 42 U.S.C. § 2000d et seq., as implemented by the Department of the Treasury’s Title VI regulations, 31 CFR Part 22, and herein incorporated by reference and made a part of this contract or agreement.

6. Recipient understands and agrees that if any real property or structure is provided or improved with the aid of federal financial assistance by the Department of the Treasury, this assurance obligates the Recipient, or in the case of a subsequent transfer, the tr ansferee, for the period during which the real property or structure is used for a purpose for which the federal financial assistance is extended or for another purpose involving the provision of similar services or benefits. If any personal property is pr ovided, this assurance obligates the Recipient for the period during which it retains ownership or possession of the property.

7. Recipient shall cooperate in any enforcement or compliance review activities by the Department of the Treasury of the aforeme ntioned obligations. Enforcement may include investigation, arbitration, mediation, litigation, and monitoring of any settlement agreements that may result from these actions. The Recipient shall comply with information requests, on -site compliance reviews and reporting requirements.

8. Recipient shall maintain a complaint log and inform the Department of the Treasury of any complaints of discrimination on the grounds of race, color, or national origin, and limited English proficiency covered by Title VI o f the Civil Rights Act of 1964 and implementing regulations and provide, upon request, a list of all such reviews or proceedings based on the complaint, pending or completed, including outcome. Recipient also must inform the Department of the Treasury if Recipient has received no complaints under Title VI.

9. Recipient must provide documentation of an administrative agency's or court's findings of non-compliance of Title VI and efforts to address the non -compliance, including any voluntary compliance or other agreements between the Recipient and the administrative agency that made the finding. If the Recipient settles a case or matter alleging such discrimination, the Recipient must provide documentation of the settlement. If Recipient has not been the subj ect of any court or administrative agency finding of discrimination, please so state.

Winter Shelter Grant Agreement Agreement No. A-8465
Advancing Communities Together Page 12

10. If the Recipient makes sub -awards to other agencies or other entities, the Recipient is responsible for ensuring that sub -recipients also comply with Title VI and ot her applicable authorities covered in this document State agencies that make sub -awards must have in place standard grant assurances and review procedures to demonstrate that that they are effectively monitoring the civil rights compliance of subrecipients.

11. The Catalogue of Federal Domestic Assistance (CFDA) Number for the State and Local Fiscal Recovery Funds is 21.027.

The United States of America has the right to seek judicial enforcement of the terms of this assurances document and nothing in thi s document alters or limits the federal enforcement measures that the United States may take in order to address violations of this document or applicable federal law.

Under penalty of perjury, the undersigned official(s) certifies that official(s) has r ead and understood the Recipient's obligations as herein described, that any information submitted in conjunction with this assurances document is accurate and complete, and that the Recipient is in compliance with the aforementioned nondiscrimination requirements.

City Council Staff Report
DATE: AUGUST 16, 2023
TO: HONORABLE MAYOR AND CITY COUNCIL
FROM: CITY MANAGER’S OFFICE – FINANCE DIVISION
DISTRICT: ALL
SUBJECT: ADOPT RESOLUTION NO. CC 2023 -050, A RESOLUTION OF THE

CITY COUNCIL OF THE CITY OF PALMDALE ESTABLISHING A
NEW FULL -TIME POSITION AND AMENDING THE CITY’S
CLASSIFICATION AND PAY PLAN FOR GENERAL POSITIONS.

ISSUE
Adopt Resolution No. CC 2023 -050, a Resolution of the City Council of the City of Palmdale establishing a new full -time position and amending the City’s Classification and Pay Plan for General Positions.

RECOMMENDATION
Staff recommends that the City Council:

1. Adopt Resolution No. CC 2023 -050, a Resolution of the City Council of the City of Palmdale establishing a new full-time position and amending the City’s Classification and Pay Plan for General Positions.

BACKGROUND
The City Manager, in collaboration with the Human Resources div ision, monitors and evaluates positions within the organization and makes recommendations based on the needs of the City.

DISCUSSION
It is requested that the City add a Deputy Director in the Human Resources division. The position will provide a strong level of leadership, direct, develop and coordinate polici es and staff, ensure legal compliance and implementation of the organization’smission and talent strategy.

In Fiscal Year 2023 -24, the City budgeted for a Deputy City Manager position, that has since become vacant. The Deputy City Manager position will be removed from authorized position listing and replaced with the Deputy Director position.

FISCAL IMPACT
$0; there is no fiscal impact. Funds are budgeted and available in account 10111201- 701000/705000 and will be transferred to account 10113001-701000/70500.

Report to Mayor and City Council
Re: Adopt Resolution No. CC 2023-050
August 16, 2023

Page 2 ends

STRATEGIC PLAN
Goal II: Ensure long-term fiscal health of the City and maintain funding for services.

B. Manage resources, costs, and liabilities to ensure the City’s long-term fiscal health.

C. Involve and expand engagement to enhance public oversight and transparency.

Prepared by: Janelle Samson, Director of Finance
Certified as to availability of Funds: Janelle Samson, Director of Finance Approved by: Ronda Perez, City Manager
Approved as to form: William P. Curley, Interim City Attorney

ATTACHMENTS

1. Resolution No. CC 2023-050

CITY COUNCIL

CITY OF PALMDALE, CALIFORNIA
RESOLUTION NO. CC 2023-050

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF PALMDALE

ESTABLISHING A NEW FULL-TIME POSITION AND AMENDING THE
CITY’S CLASSIFICATION AND PAY PLAN FOR GENERAL POSITIONS

NOW THEREFORE, BE IT RESOLVED, THE CITY COUNCIL OF THE CITY OF

PALMDALE DOES HEREBY FIND, DETERMINE, RESOLVE AND ORDER AS FOLLOWS:

SECTION 1. One new full-time positions, Deputy Director, is approved; and SECTION 2 . The City’s Classification and Pay Plan for General Positions is amended as set forth in attached Exhibit #1; and
SECTION 3. The City Manager, or her designee thereof, shall take, without further action of this City Council, all actions necessary or desirable to accomplish the establishment of a new full-time position and necessary related actions, as contemplated by this Resolution.

SECTION 4. The City Clerk shall certify to the adoption of this resolution.

SECTION 5. This Resolution is effective August 16, 2023 PASSED, APPROVED and ADOPTED this 16th day of August, 2023. _________________________________
Approved as to form: Laura Bettencourt, Mayor
ATTEST:
___________________________ _________________________________ William P. Curley, Rochelle Scott, Acting City Clerk
Interim City Attorney
Resolution No. CC 2023-050

Page 2 of 2 ends

I, Rochelle Scott, Acting City Clerk of Palmdale, California, do hereby certify that the foregoing resolution was duly passed, approved, and adopted by the City Council of the City of Palmdale at a regular meeting of said Council held on the 16 th day of August, 2023 by the following roll call vote:

AYES:

NOES:___________________________________________________________ ABSTAIN:______________________ABSENT:___________________________ Date:

Rochelle Scott, Acting City Clerk
Effective July 3, 2023, Revised August 16, 2023
CLASSIFICATION AND PAY PLAN – GENERAL POSITIONS
FY 2023 – 2024

TITLE

RANGE
Hourly

RANGE #
Intern $17.00- $19.17 per hour 14
Program Aide $17.00- $19.17 per hour 14
Administrative Intern $18.61 – $23.76 per hour 18
Records Management Clerk I $18.61 – $23.76 per hour 18
Public Security Officer $18.61 – $23.76 per hour 18
Office Assistant I $20.52 – $26.19 per hour 20
Records Management Clerk II $20.52 – $26.19 per hour 20 Senior Public Security Officer $20.52 – $26.19 per hour 20 SAVES Assistant $22.63 – $28.88 per hour 22
Senior Records Management Clerk $22.63 – $28.88 per hour 22 Neighborhood Compliance Officer $24.95 – $31.85 per hour 24 Theater Operations Technician $24.95 – $31.85 per hour 24 Senior Neighborhood Compliance Officer $27.51 – $35.11 per hour 26 Theater Operations Coordinator $27.51 – $35.11 per hour 26 Administrative Assistant $28.88 – $36.86 per hour 27
TITLE RANGE RANGE #

Office Assistant I
Monthly
$3,557 - $4,540

20 Senior Public Security Officer $3,557 - $4,540 20
Account Clerk I $3,923 - $5,006 22
Office Assistant II $3,923 - $5,006 22
SAVES Assistant $3,923 - $5,006 22
Account Clerk II $4,325 - $5,521 24
Audio Technician $4,325 - $5,521 24
Neighborhood Compliance Officer $4,325 - $5,521 24
Public Safety Technician $4,325 - $5,521 24
Records Management Specialist $4,325 - $5,521 24
Community Compliance Aide I $4,768 - $6,086 26
Community Service Officer $4,768 - $6,086 26
Development Technician I $4,768 - $6,086 26
Information Technology Technician I $4,768 - $6,086 26
Senior Account Clerk $4,768 - $6,086 26
Theater Operations Coordinator $4,768 - $6,086 26
Administrative Assistant $5,006 - $6,389 27
Management Aide $5,006 - $6,389 27
Business License Coordinator $5,255 - $6,711 28
Community Compliance Aide II $5,255 - $6,711 28
Community Development Technician II $5,255 - $6,711 28
Financial Technician $5,255 - $6,711 28
Information Technology Technician II $5,255 - $6,711 28 Effective July 3, 2023, Revised August 16, 2023

TITLE RANGE
Monthly
RANGE #
Payroll Specialist $5,255 - $6,711 28
Public Safety Specialist $5,255 - $6,711 28
Housing Technician $5,521 - $7,044 29
SAVES Coordinator $5,521 - $7,044 29
Senior Administrative Assistant $5,521 - $7,044 29
Senior Community Development Technician $5,521 - $7,044 29 Supervising Public Security Officer $5,521 - $7,044 29
Building Inspector I $5,796 - $7,398 30
Economic Development Coordinator $5,796 - $7,398 30
Engineering Technician I $5,796 - $7,398 30
Plan Reviewer Aide $5,796 - $7,398 30
Planning Aide $5,796 - $7,398 30
Public Works Inspector I $5,796 - $7,398 30
Recreation Coordinator $5,796 - $7,398 30
Senior Payroll Specialist $5,796 - $7,398 30
Buyer $6,086 - $7,769 31
City Council Legislative Aide $6,086 - $7,769 31
Code Enforcement Officer I $6,086 - $7,769 31
Community Compliance Specialist $6,086 - $7,769 31
Deputy City Clerk $6,086 - $7,769 31
Digital Media Specialist $6,086 - $7,769 31
Environmental Compliance Inspector $6,086 - $7,769 31
Executive Assistant $6,086 - $7,769 31
Human Resources Specialist $6,086 - $7,769 31
Neighborhood Services Specialist $6,086 - $7,769 31
Traffic Signal & Streetlight Technician I $6,086 - $7,769 31 Assistant Planner $6,389 - $8,155 32
Building Inspector II $6,389 - $8,155 32
Engineering Technician II $6,389 - $8,155 32
Information Technology Specialist $6,389 - $8,155 32
Public Works Inspector II $6,389 - $8,155 32
Supervising Community Development Technician $6,389 - $8,155 32 Assistant Engineer I $6,711 - $8,564 33
Code Enforcement Officer II $6,711 - $8,564 33
Collection System Maintenance Planner $6,711 - $8,564 33 Community Compliance Coordinator $6,711 - $8,564 33
GIS Analyst $6,711 - $8,564 33
Human Resources Analyst I $6,711 - $8,564 33
Legal and Risk Coordinator $6,711 - $8,564 33
Management Analyst I $6,711 - $8,564 33
Recreation Supervisor $6,711 - $8,564 33
Senior Buyer $6,711 - $8,564 33
Traffic Signal & Streetlight Technician II $6,711 - $8,564 33 Associate Planner $7,044 - $8,993 34
Plan Reviewer $7,044 - $8,993 34
Senior Building Inspector $7,044 - $8,993 34
Senior Engineering Technician $7,044 - $8,993 34
Senior Public Works Inspector $7,044 - $8,993 34
Effective July 3, 2023, Revised August 16, 2023

TITLE RANGE
Monthly
RANGE #
Assistant Engineer II $7,398 - $9,443 35
Assessment District Specialist $7,398 - $9,443 35
City Council Chief of Staff $7,398 - $9,443 35
Community Programs Coordinator $7,398 - $9,443 35
Financial Analyst $7,398 - $9,443 35
Housing Coordinator $7,398 - $9,443 35
Human Resources Analyst II $7,398 - $9,443 35
Information Technology Analyst I $7,398 - $9,443 35
Asset Management Specialist $7,398 - $9,443 35
Management Analyst II $7,398 - $9,443 35
Marketing & Digital Specialist $7,398 - $9,443 35
Media Production Specialist $7,398 - $9,443 35
Paralegal $7,398 - $9,443 35
Senior Code Enforcement Officer $7,398 - $9,443 35
Senior Traffic Signal & Streetlight Technician $7,398 - $9,443 35 Water Park Supervisor $7,398 - $9,443 35
Collection System Superintendent $7,769 - $9,915 36
Community Compliance Supervisor $7,769 - $9,915 36
Facilities Superintendent $7,769 - $9,915 36
Fleet Superintendent $7,769 - $9,915 36
Landscape Superintendent $7,769 - $9,915 36
Parks Superintendent $7,769 - $9,915 36
Public Safety Supervisor $7,769 - $9,915 36
Senior Financial Analyst $7,769 - $9,915 36
Associate Engineer $8,155 - $10,402 37
Information Technology Analyst II $8,155 - $10,402 37
Public Art Program Manager $8,155 - $10,402 37
Public Works Project Manager $8,155 - $10,402 37
Senior Housing Coordinator $8,155 - $10,402 37
Senior Human Resources Analyst $8,155 - $10,402 37
Senior Management Analyst $8,155 - $10,402 37
Senior Planner $8,155 - $10,402 37
Senior Plan Reviewer $8,155 - $10,402 37
Supervising Building Inspector $8,155 - $10,402 37
Supervising Financial Analyst $8,155 - $10,402 37
Supervising Public Works Inspector $8,155 - $10,402 37
Budget Officer $8,564 - $10,930 38
Deputy Public Information Officer $8,564 - $10,930 38
Diversity, Equity & Inclusion Specialist $8,564 - $10,930 38 Purchasing & Contracts Manager $8,564 - $10,930 38
Safety Officer $8,564 - $10,930 38
Street Superintendent $8,564 - $10,930 38
Traffic Signal & Streetlight Manager $8,564 - $10,930 38 GIS Coordinator $8,993 - $11,476 39
Senior Information Technology Analyst $8,993 - $11,476 39 Senior Public Works Project Manager $8,993 - $11,476 39 Effective July 3, 2023, Revised August 16, 2023

TITLE RANGE
Monthly
RANGE #
Community Compliance Manager $9,443 - $12,052 40
Community Programs Manager $9,443 - $12,052 40
Deputy City Attorney $9,443 - $12,052 40
Emergency Services Administrator $9,443 - $12,052 40
Energy Resources Manager $9,443 - $12,052 40
Engineering Manager $9,443 - $12,052 40
Innovation and Environmental Manager $9,443 - $12,052 40 Housing Manager $9,443 - $12,052 40
Principal Planner $9,443 - $12,052 40
Recreation Manager $9,443 - $12,052 40
Senior Engineer $9,443 - $12,052 40
Senior Civil Engineer $9,443 - $12,052 40
Traffic Manager $9,443 - $12,052 40
Assistant to the City Manager $9,915 - $12,653 41
City Clerk $9,915 - $12,653 41
Communications Manager $9,915 - $12,653 41
Building Official $10,402 - $13,286 42
Economic Development Manager $10,402 - $13,286 42
Information Technology Manager $10,402 - $13,286 42
Maintenance Services Manager $10,402 - $13,286 42
Capital Improvement Program Manager $11,476 - $14,647 44 Finance Manager $11,476 - $14,647 44
Human Resources Manager $11,476 - $14,647 44
Planning Manager $11,476 - $14,647 44
Traffic Engineer $11,476 - $14,647 44
Deputy Director of Economic & Community Development $12,052 - $15,378 45 Deputy Director $12,052 - $15,378 45
Deputy Director of Finance $12,052 - $15,378 45
Deputy Director of Parks & Recreation $12,052 - $15,378 45 Assistant City Attorney $13,286 - $16,955 47
City Engineer $13,286 - $16,955 47
Deputy Director of Public Works $13,286 - $16,955 47
Deputy City Manager $13,948 – $17,805 48
Director of Economic & Community Development $13,948 – $17,805 48 Director of Finance $13,948 – $17,805 48
Director of Parks & Recreation $13,948 – $17,805 48
Director of Neighborhood Services $13,948 – $17,805 48
Director of Public Works $16,955 - $21,641 52
Assistant City Manager $19,630 - $25,052 55

TITLE

Monthly - Contract

City Manager $25,728.54

City of Palmdale City of Palmdale
Hourly Wage Range/Step Schedule - General Positions Bi-weekly Wage Range/Step Schedule - General Positions Effective July 3, 2023 Effective July 3, 2023
Range Step A Step B Step C Step D Step E Step F
14 N/A N/A 17.00 17.74 18.61 19.17
15 15.50 17.00 17.74 18.61 19.55 20.52
16 17.00 17.74 18.61 19.55 20.52 21.56
17 17.74 18.61 19.55 20.52 21.56 22.63
18 18.61 19.55 20.52 21.56 22.63 23.76
19 19.55 20.52 21.56 22.63 23.76 24.95
20 20.52 21.56 22.63 23.76 24.95 26.19
21 21.56 22.63 23.76 24.95 26.19 27.51
22 22.63 23.76 24.95 26.19 27.51 28.88
23 23.76 24.95 26.19 27.51 28.88 30.32
24 24.95 26.19 27.51 28.88 30.32 31.85
25 26.19 27.51 28.88 30.32 31.85 33.44
26 27.51 28.88 30.32 31.85 33.44 35.11
27 28.88 30.32 31.85 33.44 35.11 36.86
28 30.32 31.85 33.44 35.11 36.86 38.72
29 31.85 33.44 35.11 36.86 38.72 40.64
30 33.44 35.11 36.86 38.72 40.64 42.68
31 35.11 36.86 38.72 40.64 42.68 44.82
32 36.86 38.72 40.64 42.68 44.82 47.05
33 38.72 40.64 42.68 44.82 47.05 49.41
34 40.64 42.68 44.82 47.05 49.41 51.88
35 42.68 44.82 47.05 49.41 51.88 54.48
36 44.82 47.05 49.41 51.88 54.48 57.20
37 47.05 49.41 51.88 54.48 57.20 60.01
38 49.41 51.88 54.48 57.20 60.01 63.06
39 51.88 54.48 57.20 60.01 63.06 66.21
40 54.48 57.20 60.01 63.06 66.21 69.53
41 57.20 60.01 63.06 66.21 69.53 73.00
42 60.01 63.06 66.21 69.53 73.00 76.65
43 63.06 66.21 69.53 73.00 76.65 80.47
44 66.21 69.53 73.00 76.65 80.47 84.50
45 69.53 73.00 76.65 80.47 84.50 88.72
46 73.00 76.65 80.47 84.50 88.72 93.16
47 76.65 80.47 84.50 88.72 93.16 97.82
48 80.47 84.50 88.72 93.16 97.82 102.72
49 84.50 88.72 93.16 97.82 102.72 107.84
50 88.72 93.16 97.82 102.72 107.84 113.25
51 93.16 97.82 102.72 107.84 113.25 118.91
52 97.82 102.72 107.84 113.25 118.91 124.85
53 102.72 107.85 113.25 118.91 124.85 131.09
54 107.85 113.25 118.91 124.85 131.09 137.65
55 113.25 118.91 124.85 131.09 137.65 144.53
56 118.91 124.85 131.09 137.65 144.53 151.75
57 124.85 131.09 137.65 144.53 151.75 159.34
58 131.09 137.65 144.53 151.75 159.34 167.31
59 137.65 144.53 151.75 159.34 167.31 175.68
60 144.53 151.75 159.34 167.31 175.68 184.46
61 151.75 159.34 167.31 175.68 184.46 193.69
62 159.34 167.31 175.68 184.46 193.69 203.36
63 167.31 175.68 184.46 193.69 203.36 213.54

Page 1 of 4 ends

Effective July 3, 2023
City of Palmdale City of Palmdale
Bi-weekly Wage Range/Step Schedule - General Positions Monthly Wage Range/Step Schedule - General Positions Effective July 3, 2023 Effective July 3, 2023
Range Step A Step B Step C Step D Step E Step F
14 N/A N/A 1,360.00 1,419.20 1,488.80 1,533.60
15 1,240.00 1,360.00 1,419.20 1,488.80 1,564.00 1,641.60 16 1,360.00 1,419.20 1,488.80 1,564.00 1,641.60 1,724.80 17 1,419.20 1,488.80 1,564.00 1,641.60 1,724.80 1,810.40 18 1,488.80 1,564.00 1,641.60 1,724.80 1,810.40 1,900.80 19 1,564.00 1,641.60 1,724.80 1,810.40 1,900.80 1,996.00 20 1,641.60 1,724.80 1,810.40 1,900.80 1,996.00 2,095.20 21 1,724.80 1,810.40 1,900.80 1,996.00 2,095.20 2,200.80 22 1,810.40 1,900.80 1,996.00 2,095.20 2,200.80 2,310.40 23 1,900.80 1,996.00 2,095.20 2,200.80 2,310.40 2,425.60 24 1,996.00 2,095.20 2,200.80 2,310.40 2,425.60 2,548.00 25 2,095.20 2,200.80 2,310.40 2,425.60 2,548.00 2,675.20 26 2,200.80 2,310.40 2,425.60 2,548.00 2,675.20 2,808.80 27 2,310.40 2,425.60 2,548.00 2,675.20 2,808.80 2,948.80 28 2,425.60 2,548.00 2,675.20 2,808.80 2,948.80 3,097.60 29 2,548.00 2,675.20 2,808.80 2,948.80 3,097.60 3,251.20 30 2,675.20 2,808.80 2,948.80 3,097.60 3,251.20 3,414.40 31 2,808.80 2,948.80 3,097.60 3,251.20 3,414.40 3,585.60 32 2,948.80 3,097.60 3,251.20 3,414.40 3,585.60 3,764.00 33 3,097.60 3,251.20 3,414.40 3,585.60 3,764.00 3,952.80 34 3,251.20 3,414.40 3,585.60 3,764.00 3,952.80 4,150.40 35 3,414.40 3,585.60 3,764.00 3,952.80 4,150.40 4,358.40 36 3,585.60 3,764.00 3,952.80 4,150.40 4,358.40 4,576.00 37 3,764.00 3,952.80 4,150.40 4,358.40 4,576.00 4,800.80 38 3,952.80 4,150.40 4,358.40 4,576.00 4,800.80 5,044.80 39 4,150.40 4,358.40 4,576.00 4,800.80 5,044.80 5,296.80 40 4,358.40 4,576.00 4,800.80 5,044.80 5,296.80 5,562.40 41 4,576.00 4,800.80 5,044.80 5,296.80 5,562.40 5,840.00 42 4,800.80 5,044.80 5,296.80 5,562.40 5,840.00 6,132.00 43 5,044.80 5,296.80 5,562.40 5,840.00 6,132.00 6,437.60 44 5,296.80 5,562.40 5,840.00 6,132.00 6,437.60 6,760.00 45 5,562.40 5,840.00 6,132.00 6,437.60 6,760.00 7,097.60 46 5,840.00 6,132.00 6,437.60 6,760.00 7,097.60 7,452.80 47 6,132.00 6,437.60 6,760.00 7,097.60 7,452.80 7,825.60 48 6,437.60 6,760.00 7,097.60 7,452.80 7,825.60 8,217.60 49 6,760.00 7,097.60 7,452.80 7,825.60 8,217.60 8,627.20 50 7,097.60 7,452.80 7,825.60 8,217.60 8,627.20 9,060.00 51 7,452.80 7,825.60 8,217.60 8,627.20 9,060.00 9,512.80 52 7,825.60 8,217.60 8,627.20 9,060.00 9,512.80 9,988.00 53 8,217.60 8,628.00 9,060.00 9,512.80 9,988.00 10,487.20 54 8,628.00 9,060.00 9,512.80 9,988.00 10,487.20 11,012.00 55 9,060.00 9,512.80 9,988.00 10,487.20 11,012.00 11,562.40 56 9,512.80 9,988.00 10,487.20 11,012.00 11,562.40 12,140.00 57 9,988.00 10,487.20 11,012.00 11,562.40 12,140.00 12,747.20 58 10,487.20 11,012.00 11,562.40 12,140.00 12,747.20 13,384.80 59 11,012.00 11,562.40 12,140.00 12,747.20 13,384.80 14,054.40 60 11,562.40 12,140.00 12,747.20 13,384.80 14,054.40 14,756.80 61 12,140.00 12,747.20 13,384.80 14,054.40 14,756.80 15,495.20 62 12,747.20 13,384.80 14,054.40 14,756.80 15,495.20 16,268.80 63 13,384.80 14,054.40 14,756.80 15,495.20 16,268.80 17,083.20

Page 2 of 4 ends

Effective July 3, 2023
City of Palmdale City of Palmdale
Monthly Wage Range/Step Schedule - General Positions Yearly Wage Range/Step Schedule - General Positions Effective July 3, 2023 Effective July 3, 2023
Range Step A Step B Step C Step D Step E Step F
14 N/A N/A 2,947 3,075 3,226 3,323
15 N/A 2,947 3,075 3,226 3,389 3,557
16 2,947 3,075 3,226 3,389 3,557 3,737
17 3,075 3,226 3,389 3,557 3,737 3,923
18 3,226 3,389 3,557 3,737 3,923 4,118
19 3,389 3,557 3,737 3,923 4,118 4,325
20 3,557 3,737 3,923 4,118 4,325 4,540
21 3,737 3,923 4,118 4,325 4,540 4,768
22 3,923 4,118 4,325 4,540 4,768 5,006
23 4,118 4,325 4,540 4,768 5,006 5,255
24 4,325 4,540 4,768 5,006 5,255 5,521
25 4,540 4,768 5,006 5,255 5,521 5,796
26 4,768 5,006 5,255 5,521 5,796 6,086
27 5,006 5,255 5,521 5,796 6,086 6,389
28 5,255 5,521 5,796 6,086 6,389 6,711
29 5,521 5,796 6,086 6,389 6,711 7,044
30 5,796 6,086 6,389 6,711 7,044 7,398
31 6,086 6,389 6,711 7,044 7,398 7,769
32 6,389 6,711 7,044 7,398 7,769 8,155
33 6,711 7,044 7,398 7,769 8,155 8,564
34 7,044 7,398 7,769 8,155 8,564 8,993
35 7,398 7,769 8,155 8,564 8,993 9,443
36 7,769 8,155 8,564 8,993 9,443 9,915
37 8,155 8,564 8,993 9,443 9,915 10,402
38 8,564 8,993 9,443 9,915 10,402 10,930
39 8,993 9,443 9,915 10,402 10,930 11,476
40 9,443 9,915 10,402 10,930 11,476 12,052
41 9,915 10,402 10,930 11,476 12,052 12,653
42 10,402 10,930 11,476 12,052 12,653 13,286
43 10,930 11,476 12,052 12,653 13,286 13,948
44 11,476 12,052 12,653 13,286 13,948 14,647
45 12,052 12,653 13,286 13,948 14,647 15,378
46 12,653 13,286 13,948 14,647 15,378 16,148
47 13,286 13,948 14,647 15,378 16,148 16,955
48 13,948 14,647 15,378 16,148 16,955 17,805
49 14,647 15,378 16,148 16,955 17,805 18,692
50 15,378 16,148 16,955 17,805 18,692 19,630
51 16,148 16,955 17,805 18,692 19,630 20,611
52 16,955 17,805 18,692 19,630 20,611 21,641
53 17,805 18,694 19,630 20,611 21,641 22,722
54 18,694 19,630 20,611 21,641 22,722 23,859
55 19,630 20,611 21,641 22,722 23,859 25,052
56 20,611 21,641 22,722 23,859 25,052 26,303
57 21,641 22,722 23,859 25,052 26,303 27,619
58 22,722 23,859 25,052 26,303 27,619 29,000
59 23,859 25,052 26,303 27,619 29,000 30,451
60 25,052 26,303 27,619 29,000 30,451 31,973
61 26,303 27,619 29,000 30,451 31,973 33,573
62 27,619 29,000 30,451 31,973 33,573 35,249
63 29,000 30,451 31,973 33,573 35,249 37,014

Page 3 of 4 ends

Effective July 3, 2023
City of Palmdale
Yearly Wage Range/Step Schedule - General Positions
Effective July 3, 2023
Range Step A Step B Step C Step D Step E Step F
14 N/A N/A 35,360 36,899 38,709 39,874 15 N/A 35,360 36,899 38,709 40,664 42,682 16 35,360 36,899 38,709 40,664 42,682 44,845 17 36,899 38,709 40,664 42,682 44,845 47,070 18 38,709 40,664 42,682 44,845 47,070 49,421 19 40,664 42,682 44,845 47,070 49,421 51,896 20 42,682 44,845 47,070 49,421 51,896 54,475 21 44,845 47,070 49,421 51,896 54,475 57,221 22 47,070 49,421 51,896 54,475 57,221 60,070 23 49,421 51,896 54,475 57,221 60,070 63,066 24 51,896 54,475 57,221 60,070 63,066 66,248 25 54,475 57,221 60,070 63,066 66,248 69,555 26 57,221 60,070 63,066 66,248 69,555 73,029 27 60,070 63,066 66,248 69,555 73,029 76,669 28 63,066 66,248 69,555 73,029 76,669 80,538 29 66,248 69,555 73,029 76,669 80,538 84,531 30 69,555 73,029 76,669 80,538 84,531 88,774 31 73,029 76,669 80,538 84,531 88,774 93,226 32 76,669 80,538 84,531 88,774 93,226 97,864 33 80,538 84,531 88,774 93,226 97,864 102,773 34 84,531 88,774 93,226 97,864 102,773 107,910 35 88,774 93,226 97,864 102,773 107,910 113,318 36 93,226 97,864 102,773 107,910 113,318 118,976 37 97,864 102,773 107,910 113,318 118,976 124,821 38 102,773 107,910 113,318 118,976 124,821 131,165 39 107,910 113,318 118,976 124,821 131,165 137,717 40 113,318 118,976 124,821 131,165 137,717 144,622 41 118,976 124,821 131,165 137,717 144,622 151,840 42 124,821 131,165 137,717 144,622 151,840 159,432 43 131,165 137,717 144,622 151,840 159,432 167,378 44 137,717 144,622 151,840 159,432 167,378 175,760 45 144,622 151,840 159,432 167,378 175,760 184,538 46 151,840 159,432 167,378 175,760 184,538 193,773 47 159,432 167,378 175,760 184,538 193,773 203,466 48 167,378 175,760 184,538 193,773 203,466 213,658 49 175,760 184,538 193,773 203,466 213,658 224,307 50 184,538 193,773 203,466 213,658 224,307 235,560 51 193,773 203,466 213,658 224,307 235,560 247,333 52 203,466 213,658 224,307 235,560 247,333 259,688 53 213,658 224,328 235,560 247,333 259,688 272,667 54 224,328 235,560 247,333 259,688 272,667 286,312 55 235,560 247,333 259,688 272,667 286,312 300,622 56 247,333 259,688 272,667 286,312 300,622 315,640 57 259,688 272,667 286,312 300,622 315,640 331,427 58 272,667 286,312 300,622 315,640 331,427 348,005 59 286,312 300,622 315,640 331,427 348,005 365,414 60 300,622 315,640 331,427 348,005 365,414 383,677 61 315,640 331,427 348,005 365,414 383,677 402,875 62 331,427 348,005 365,414 383,677 402,875 422,989 63 348,005 365,414 383,677 402,875 422,989 444,163

Page 4 of 4 ends

Effective July 3, 2023
City Council Staff Report
DATE: AUGUST 16, 2023
TO: HONORABLE MAYOR AND CITY COUNCIL
FROM: NEIGHBORHOOD SERVICES DEPARTMENT
DISTRICT: ALL
SUBJECT: ADOPT RESOLUTION NO. CC 2023-048, A RESOLUTION OF THE

CITY COUNCIL OF THE CITY OF PALMDALE, AUTHORIZING THE
SUBMISSION OF THE APPLICATION FOR THE 202 3 LOCAL

EDWARD BYRNE MEMORIAL JUSTICE ASSISTANCE GRANT
(JAG) PROGRAM TO RECEIVE A GRANT ALLOCATION OF
$54,869
ISSUE
Adopt Resolution No. CC 2023-048, a resolution of the City Council of the City of Palmdale, authorizing the submission of the application for the 202 3 Local Edward Byrne Memorial Justice Assistance Grant (JAG) Program.

RECOMMENDATION
Staff recommends the City Council:

1. Adopt Resolution No. CC 2023-048 authorizing the submission of the application for the 2023 JAG grant.

2. Authorize the City Manager or their designee to execute any documents related to the application, acceptance, and implementation of the grant.

BACKGROUND
Since November 2005, the City has contracted two (2) additional motorcycle deputies, bringing the total number of motorcycle deputies contracted with the Los Angeles Sheriff’s Department to f ive (5) and includes one (1) motorcycle sergeant . The two additional motor deputies have provided critical services in traffic and crime deterrence.

Each year the City sets goals to help reduce overall collisions and incidents. In 2020, collisions were reduced by 4%, Speed -related collisions were reduced by 4%, DUI/DWI related coll isions were reduced by 5% and the percentage of DUI/DWI collisions involving an injury or fatality were reduced by 5%. The two grant deputies also issued 2,265 citations for hazardous violations, concentrating on the speed -related problem areas throughout the City, particularly around school zones. A total of 474 non - hazardous citations were also issued and 45 traffic related arrests were made.

Report to Mayor and City Council
Re: Resolution No. CC 2023-048

Page 2 ends

The deputies are available to respond to calls for service and will work in coordination with the City’s Neighborhood Services Department to identify high-risk areas and other areas of concern, such as school zones. In addition, the deputies are responsible for conducting DUI/DWI checkpoints and neighborhood traffic operations to reduce speed.

The ten (10) identifiers associated with the grant funded activities include: alcohol testing, drugs, corrections, crime prevention, DWI, education, evaluation, impaired driving, policing, and traffic enforcement.

The two (2) motorcycle deputies, partially funded through this grant, will help mitigate traffic incidents from increasing and provide timely response to citizen complaints. Their efforts to maintain traffic safety and community safety, law enforcement priorities, will help reduce the number of overall collisions and incidents.

City staff will submit specific performance measure data as required under the award.

The City’s performance measures correlate to the goals, objectives and deliverables identified in the grant solicitation.

The City proposes utilizing the 2023 Edward Byrne Memorial Justice Grant (JAG) program allocation of $54,869 to continue to assist with the cost of two motor deputies.

FISCAL IMPACT
The 2023 JAG grant allocation of $54,869 will be utilized to continue funding two motorcycle deputies in account 10125002-721836-1072. The general fund will fund the remaining $433,479 for the cost of the two deputies.

STRATEGIC PLAN
Goal I: Maintain effective public safety and protection for life, property, and the environment.

A. Provide comprehensive and innovative safety services to prevent crime and promote a safe community.

ATTACHMENTS

1. Resolution No. CC 2023-048

2. Application

CITY COUNCIL

CITY OF PALMDALE, CALIFORNIA
RESOLUTION NO. CC 2023-048

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF PALMDALE APPROVING THE SUBMISSION OF A GRANT FROM THE U.S.

DEPARTMENT OF JUSTICE, 2023 LOCAL EDWARD BYRNE MEMORIAL

JUSTICE ASSISTANCE GRANT (JAG) PROGRAM
WHEREAS, the City of Palmdale is eligible to receive an allocation of $54,869 from the US Department of Justice, 2023 Local Edward Byrne Memorial Justice Assistance Grant (JAG) Program; and
WHEREAS, the current grant of $54,869 will be utilized to continue funding two motorcycle deputies; and
WHEREAS, the City will contribute $433,479 to fully fund the two motorcycle deputy items.

NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF PALMDALE, AS FOLLOWS:

SECTION 1. Approve the application and submission of the City of Palmdale’s Application for the 2023 Local Edward Byrne Memorial Justice Assistance Grant.

SECTION 2. Authorizes its City Manager or their designee to implement the City’s JAG grant program, to execute all documents and take all actions necessary and convenient to carry out and implement the grant agreement for the 2023 program year, and to administer the City’s obligations, responsibilities and duties to be performed thereunder;
SECTION 3. Authorizes the City Manager or their designee to update the City’s JAG program in accordance with the Office of Justice’s technical and regulatory requirements.

SECTION 4. The City Clerk shall certify to the adoption of this resolution.

RESOLUTION NO. CC 2023-048

Page 2 of 2 ends

PASSED, APPROVED and ADOPTED this 16th day of August, 2023. _________________________________
Approved as to form: Laura Bettencourt, Mayor
ATTEST:
___________________________ _________________________________ William P. Curley, III Rochelle Scott, Acting City Clerk Interim City Attorney
I, Rochelle Scott, Acting City Clerk of the City of Palmdale, California, do hereby certify that the foregoing resolution was duly passed, approved, and adopted by the City Council of the City of Palmdale at a regular meeting of said Council held on the 16th day of August, 2023 by the following roll call vote:

AYES:

NOES:___________________________________________________________ ABSTAIN:______________________ABSENT:___________________________ Date:

Rochelle Scott, Acting City Clerk

City Council/SA - 07/12/2023 - 5pm

1 MINUTES

CITY COUNCIL/SA

CITY HALL COUNCIL CHAMBER
38300 SIERRA HIGHWAY, SUITE B

PALMDALE, CALIFORNIA
JULY 12, 2023
www.cityofpalmdale.org

Mayor Pro Tem Alarcón participated via teleconference from the New York Marriott Marquis, 1535 Broadway, 8th Floor Lobby, New York, NY 10063 pursuant to Government Code Section 54953

1) CALL MEETING TO ORDER

Mayor Bettencourt called the meeting to order at 5:00 pm.

*Note: All City Council memberships are reflected in their City Council titles.

2) ROLL CALL MAYOR BETTENCOURT, MAYOR PRO TEM ALARCÓN,

COUNCILMEMBERS BISHOP, LOA, OHLSEN

PRESENT: Laura Bettencourt, Austin Bishop, Eric Ohlsen, Richard J. Loa.

ABSENT: Andrea Alarcón.

Staff announced that they were working on Mayor Pro Tem Alarcón's teleconference connection.

3) PLEDGE OF ALLEGIANCE AND MOMENT OF SILENCE

4) PRESENTATIONS

4.1) Joubin Pakpour, PE, American Public Work s Association presented a plaque to the City of Palmdale Public Works Department recognizing them for their APWA re-accreditation.

5) WAIVER OF FULL READING OF RESOLUTION(S) and ORDINANCE(S)

Motion: Move to waive full reading of the Resolution (s) and/or Ordinance(s) to be considered and voted on at this meeting.

Moved by Richard J. Loa, seconded by Eric Ohlsen.

Vote: Motion carried (4-0)
Yes: Laura Bettencourt, Austin Bishop, Eric Ohlsen, Richard J. Loa.

City Council/SA - 07/12/2023 - 5pm

2 6) PUBLIC COMMENT RULES

7) PUBLIC COMMENTS:

The following individuals provided public input:

Marsha Furman commented regarding Items 8.2 and 8.13.

Rich Gallego spoke regarding Item 8.2.

A motion was made and carried unanimously to close the Public Comments.

8) CONSENT CALENDAR

8.1) Receive and file the monthly investment activity reports for May 2023.

8.2) Approve Agreement with Flock Group, Inc to provide a fixed location Automated License Plate Recognition (ALPR) system, 50 LPR cameras, and provide implementation services in a not to exceed amount of $157,500 for a one (1) year term.

Mayor Bettencourt pulled this item for discussion. Information Technology Manager Thompson provided a brief overview of the project. Hector Soliman of Flock Safety spoke regarding benefits of the Flock technology.

Discussion ensued regarding access and retention of video footage.

Motion: Approve Agreement with Flock Group, Inc to provide a fixed location Automated License Plate Recognition (ALPR) system, 50 LPR cameras , and provide implementation services in a not to exceed amount of $157,500 Moved by Richard J. Loa, seconded by Laura Bettencourt.

Vote: Motion carried (4-0)
Yes: Laura Bettencourt, Austin Bishop, Eric Ohlsen, Richard J. Loa.

8.3) Adopt Resolution No. CC 202 3-047, a Resolution of the City Council of the City of Palmdale Approving the Palmdale California Environmental Quality Act Procedures.

8.4) Notice of Completion - Accept Public Improvements for Pilot Travel Centers located at 5231 Pearblossom Highway.

8.5) Notice of Completion - Accept Public Improvements for Desert Wind Church located at 38117 13th Street East.

8.6) Award On -Call Emergency Sewer Coll ection System Repairs Agreement with Mike Prlich & Sons in an amount not to exceed $350,000 for on -call citywide sewer emergency repairs for at term of three (3) years.

City Council/SA - 07/12/2023 - 5pm

3 8.7) Award construction agreement with Blue Ridge Mechanical for PN 804, The Oasis Generator Infrastructure Project, in the amount of $98,078.

8.8) Award construction agreement with Interior Demolition, Inc. for PN 873, Hammack Activity Center Demolition Project, in the amount of $284,295 and determine this project to be exempt from CEQA.

Councilmember Loa pulled Item 8.8 for discussion. Director of Public Works Glidden provided a brief overview of the project.

Motion: Award construction agreement with Interior Demolition, Inc. for PN 873, Hammack Activity Center Demolition Project, in the amount of $284,295 and determine this project to be exempt from CEQA
Moved by Richard J. Loa, seconded by Austin Bishop.

Vote: Motion carried (4-0)
Yes: Laura Bettencourt, Austin Bishop, Eric Ohlsen, Richard J. Loa.

8.9) Approve Purchase Order No. 20240001 with Wals ma Oil Company, Inc. for Diesel and Unleaded Fuel, Motor Oil, and Lubricants in an amount not to exceed $600,000 for FY 2023-24.

8.10) Approve Purchase Order No. 20240002 with Nutrien AG Solutions, Inc. for fertilizer supplies in an amount not to exceed $207,750 for FY 2023-24.

8.11) Approve Purchase Order No. 20240003 with Smith Pipe & Supply, Inc. for irrigation and water conservation supplies in an amount not to exceed $278,000 for FY 2023-24.

8.12) Approve Purchase Order No. 20240004 with Wilbur -Ellis Company for herbicide and pesticide chemicals in an amount not to exceed $120,000 for FY 2023-24.

8.13) Approve Purchase Order No. 20240005 with Hasa, Inc. for pool chemical supplies in an amount not to exceed $155,000 for FY 2023-24.

8.14) Approve Final Tract Map No. 69651, located at Palmdale Blvd and 61st Street East.

8.15) Approve service agreement for a digital divide study with Nutter Consulting in the amount of $140,000 for a term of six (6) months.

City Manager Perez requested the removal of Item 8.15 from the agenda.

Motion: Remove Item 8.15 from the agenda.

Moved by Laura Bettencourt, seconded by Richard J. Loa.

City Council/SA - 07/12/2023 - 5pm

4 Vote: Motion carried (4-0)
Yes: Laura Bettencourt, Austin Bishop, Eric Ohlsen, Richard J. Loa.

8.16) Approve the minutes from the previous meeting.

June 7, 2023 - CC/SA

Motion: Approve all items listed on the Consent Calendar except Items 8.2, 8.8, and

8.15. Moved by Richard J. Loa, seconded by Austin Bishop.

Vote: Motion carried (4-0)
Yes: Laura Bettencourt, Austin Bishop, Eric Ohlsen, Richard J. Loa.

9) PUBLIC HEARING

9 . 1 ) Adopt Resolution No. CC 2023 -028, a Resolution of the City Council of the City of Palmdale approving the Engineer's Report and the continuation of the levy and collection of assessments for Fiscal Year 2023/2024 for the City of Palmdale Drainage Benefit Assessment Districts No. 1 and No. 2006-02.

Public Works Director Glidden read the title of Resolution No. CC 2023-028 and spoke regarding this item.

Mayor Bettencourt called for Public Comments.

Public Comments: None.

Mayor Bettencourt closed the Public Comments.

Motion: Adopt Resolution No. CC 2023-028.

Moved by Richard J. Loa, seconded by Laura Bettencourt.

Vote: Motion carried (4-0)
Yes: Laura Bettencourt, Austin Bishop, Eric Ohlsen, Richard J. Loa.

9 . 2 ) Adopt Resolution No. CC 2023 -029, a Resolution of the City Council of the City of Palmdale approving the Engineer's Report and the continuation of the levy and collection of assessments for Fiscal Year 2023/2024 for the City of Palmdale Landscape Maintenan ce Assessment Districts and Annexations, Park Maintenance and Recreation Improvement District, and Streetlight Maintenance Assessment Districts and Annexations.

Public Works Director Glidden read the title of Resolution No. CC 2023-029 and spoke regarding this item.

Mayor Bettencourt called for Public Comments.

City Council/SA - 07/12/2023 - 5pm

5 Public Comments: None.

Mayor Bettencourt closed the Public Comments.

Motion: Adopt Resolution No. CC 2023-029
Moved by Laura Bettencourt, seconded by Richard J. Loa.

Vote: Motion carried (4-0)
Yes: Laura Bettencourt, Austin Bishop, Eric Ohlsen, Richard J. Loa.

9 . 3 ) Adopt Resolution No. CC 2023 -030, a Resolution of the City Council of the City of Palmdale updating the Sewer Collection Service Charge and ordering the continuation of the charge for the operation and maintenance of the Palmdale sewer collection system for Fiscal Year 2023/2024.

Public Works Director Glidden read the title of Resolution No. CC 2023-030 and spoke regarding this item.

Mayor Bettencourt called for Public Comments.

Public Comments: None.

Mayor Bettencourt closed the Public Comments.

Motion: Adopt Resolution No. CC 2023-030
Moved by Laura Bettencourt, seconded by Richard J. Loa.

Vote: Motion carried (4-0)
Yes: Laura Bettencourt, Austin Bishop, Eric Ohlsen, Richard J. Loa.

Mayor Pro Tem Alarcón, 5:28 p.m. via teleconference, announced she was unable to participate in any of the items due to technical difficulties and requested Council re - vote on the items.

Mayor Bettencourt stated the majority had already voted.

10) NON-AGENDA PUBLIC COMMENTS:

The following individuals provided public input on the City's adopted budget, allocation of Measure AV funds and essential services: Michael Ross, Carol Ross, Marisela Gomez, Angie Morcedo, Oscar Carrasco, Rich Gallego, Senage Ginza, Marsha, Patricia Salazar, Antonio Hernandez, Felix Menendez, Maribel Swenson, Ruth Sanchez, Stephanie Mayol, Victor Segura, A llen Morales, Eduardo, David Harris, and Gloria Yescaz.

Yul Gevargis apologized to Councilmember Ohlsen for negative comments and spoke regarding his life experiences.

Interim City Attorney Curley commented regarding the gift of public fund laws and City Council/SA - 07/12/2023 - 5pm

6 Charter cities.

Eugene Hernandez commented regarding the Palmdale Freedom Coalition.

Laurel Forrest spoke regarding approval of an Accessory Dwelling Unit.

Mayor Konstantine Anthony, Burbank, spoke regarding his campaign for the County Supervisor's Office and the increased cost of the City of Palmdale's Sheriff's Department budget.

The following individuals commented regarding the Amazon strike: Bryant Cline, Jesus Gutierrez Lopez, Heath Lopez, and Shaun Martinez.

Marcos Alvarez spoke regarding the history of Palmdale.

Steve Hill spoke regarding the monitoring of the Flock cameras and human rights issues.

Marsha spoke regarding the right to speak.

Individual, no name submitted, provided information for non-profit grants.

Mayor Bettencourt closed the Public Comments.
11) INFORMATIONAL REPORT FROM MAYOR AND / OR COUNCILMEMBERS ON

THEIR VARIOUS COMMITTEE MEMBERSHIPS AND MEETINGS ATTENDED AT

PUBLIC EXPENSE

Council Reports were provided for public review.

12) CITY COUNCIL ANNOUNCEMENTS AND REQUESTS FOR NEW AGENDA ITEMS

None.

13) CITY MANAGER’S REPORT

City Manager Perez reported on the following : Fireworks Show July 1st; Family Movie Nights; Brian McKnight Concert; Music in the Park at Domenic Massari Park; SAVES Back to School event; activation of Cooling Centers at the Library, Legacy Commons and Victory Outreach; future grand opening of Xevich ez Sushi Bar and construction of Trader Joe's facility; announced Star awards received from Nevada Telecommunications and Advisors for Economic Development and Parks and Recreation, and an Excellence in Safety Award to be presented at a future Council meeting.

Mayor Pro Tem Alarcón requested that Council allow Dolores Huerta the opportunity to make public comments. There was Council consensus to approve the request.

City Council/SA - 07/12/2023 - 5pm

7 14) PRESENTATION BY CITY ATTORNEY

Interim City Attorney Curley confirmed items were properly agendized.

14.1) CONFERENCE WITH LEGAL COUNSEL - EXISTING LITIGATION Shanae Smith, Patricia Nevarez and Michael "Mike" Behen vs. City of Palmdale, et al.

Los Angeles County Superior Court
Case No. 22STCV18219
This closed session is being held pursuant to the authority of California Government Code Section 54956.9(d)(1).

14.2) CONFERENCE WITH LEGAL COUNSEL—EXISTING LITIGATION Maithi Ricci v. City of Palmdale, et al.

Los Angeles County Superior Court
Case No. 22STCV01269
This closed session is being held pursuant to the authority of California Government Code Section 54956.9(d)(1).

14.3) CONFERENCE WITH LEGAL COUNSEL—EXISTING LITIGATION Ricky Thorstensen v. City of Palmdale, et al.

Los Angeles County Superior Court
Case No. 22STCV29463
This closed session is being held pursuant to the authority of California Government Code Section 54956.9(d)(1).

14.4) CONFERENCE WITH LEGAL COUNSEL - EXISTING LITIGATION Kenya Torres vs. City of Palmdale, et al.

Los Angeles County Superior Court
Case No. 22STCV37041
This closed session is being held pursuant to the authority of California Government Code Section 54956.9(d)(1).

Closed Session 7:14 p.m. - 8:27 p.m.

15) ANNOUNCEMENT BY CITY ATTORNEY

Interim City Attorney Curley announced all items were considered, Council was updated, and there were no reportable actions.

Staff attempted to reach Mayor Pro Tem Alarcón at her location to rejoin the meeting.

16) ADJOURNMENT

Mayor Bettencourt adjourned the meeting at 8:33 p.m., in honor of Andrea Pullum - Jones, to July 19, 2023 at 5:00 p.m. in the City Hall Council Chamber located at 38300 Sierra Highway, Suite B, Palmdale, California.

City Council/SA - 07/12/2023 - 5pm

8 PASSED, APPROVED, and ADOPTED this 16th day of August 2023

Laura Bettencourt, Mayor

ATTEST:

Rochelle Scott, Acting City Clerk
City Council - 07/19/2023 - 5pm

1 MINUTES

CITY COUNCIL

CITY HALL COUNCIL CHAMBER
38300 SIERRA HIGHWAY, SUITE B

PALMDALE, CALIFORNIA
JULY 19, 2023

www.cityofpalmdale.org

1) CALL MEETING TO ORDER

Mayor Bettencourt called the meeting to order at 5:00 pm.

*Note: All City Council memberships are reflected in their City Council titles.

2) ROLL CALL MAYOR BETTENCOURT, MAYOR PRO TEM ALARCÓN,

COUNCILMEMBERS BISHOP, LOA, OHLSEN

PRESENT: Laura Bettencourt, Andrea Alarcón, Austin Bishop, Eric Ohlsen, Richard J. Loa.

ABSENT: None.

3) PLEDGE OF ALLEGIANCE AND MOMENT OF SILENCE

4) PUBLIC COMMENT RULES

5) PUBLIC COMMENTS

Public Comments: None.

Mayor Bettencourt closed the Public Comments.

6) CONSENT CALENDAR

6.1) Approve the minutes from the previous meeting.

June 21, 2023 - CC/SA/IDA/PAA/PCA/PFA

Mayor Pro Tem Alarcón pulled this item for discussion and commented regarding the adoption of the budget at the June 21, 2023 meeting.

Motion: Approve the item listed on the Consent Calendar.

Moved by Laura Bettencourt, seconded by Richard J. Loa.

Vote: Motion carried (5-0)
Yes: Laura Bettencourt, Andrea Alarcón, Austin Bishop, Eric Ohlsen, Richard J. Loa.

City Council - 07/19/2023 - 5pm

2 7) APPOINTMENTS

7.1) City Council Nomination and Appointment of one (1) Alternate Member for the Human Rights Advisory Committee.

Ms. Sartika spoke regarding her background and personal experience.

Motion: Appoint Hestia Sartika as the Alternate Member for the Human Rights Advisory Committee.

Moved by Austin Bishop, seconded by Laura Bettencourt.

Vote: Motion carried (5-0)
Yes: Laura Bettencourt, Andrea Alarcón, Austin Bishop, Eric Ohlsen, Richard J. Loa.

7.2) City Council Nomination and Appointment of four (4) Members to fill the current vacancies on the Mobile Home Park Rental Review Board.

Motion: Appoint Amber Henderson, Debra McLaurin, Hector Ramses, Richard Perkins.

Moved by Andrea Alarcón, seconded by Austin Bishop.

Vote: Motion carried (5-0)
Yes: Laura Bettencourt, Andrea Alarcón, Austin Bishop, Eric Ohlsen, Richard J. Loa.

7.3) City Council Nomination and Appointment of two (2) Housing Authority Tenant Member Commissioners.

Motion: Separate the votes and appoint each position independently.

Moved by Andrea Alarcón, seconded by Eric Ohlsen.

Vote: Motion carried (4-1)
Yes: Laura Bettencourt, Andrea Alarcón, Austin Bishop, Eric Ohlsen.

No: Richard J. Loa.

Motion: Appoint Christina Fraga-Saenz as a Housing Authority Tenant Member Commissioner.

Moved by Laura Bettencourt, seconded by Austin Bishop.

Vote: Motion carried (4-1)
Yes: Laura Bettencourt, Austin Bishop, Eric Ohlsen, Richard J. Loa.

No: Andrea Alarcón.

Motion: Appoint Dianne Betts as a Housing Authority Tenant Member Commissioner.

Moved by Laura Bettencourt, seconded by Andrea Alarcón.

Vote: Motion carried (5-0)
City Council - 07/19/2023 - 5pm

3 Yes: Laura Bettencourt, Andrea Alarcón, Austin Bishop, Eric Ohlsen, Richard J. Loa.

Council thanked Commissioner Denny for his service.

8) NEW BUSINESS

8.1) Presentation update for Economic Development.

Economic Development Manager Schuler and Deputy Director of Economic and Community Development Taggart provided a detailed PowerPoint presentation.

Council thanked staff for their hard work and streamlining the process.

Mayor Bettencourt called for Public Comments.

Public Comments: None.

Mayor Bettencourt closed the Public Comments.

Mayor Bettencourt announced that Mayor Pro Tem Alarcón desired to make a statement.

Mayor Pro Tem Alarcón spoke requesting a review of the City budget in order to fund several additional services to provide opportunities to the citizens of Palmdale and respectfully requested that Council give due consideration to her budget revisions.

9) NON-AGENDA PUBLIC COMMENTS:

The following individuals provided public comments regarding Law Enforcement:

Eugene Hernandez, Steve Hill, and Yul Gevargis.

The following individuals spoke regarding the City's adopted budget: Stephanie Mayol, Felix Menendez, Ruth Sanchez, Oscar Carrasco, Marcos Alvarez, Maria Ibarra, Patricia Salazar, and Xavier Flores.

The following individuals spoke regarding immigrant rights: Cal Soto and Chris Newman.

Marsha spoke regarding the importance of Palmdale's Veterans Day activities.

Mayor Bettencourt closed Public Comments.

City Council - 07/19/2023 - 5pm

4 10) CITY COUNCIL ANNOUNCEMENTS AND REQUESTS FOR NEW AGENDA ITEMS

None.

11) CITY MANAGER’S REPORT

City Manager Perez reported on the following: Music and Movies in the Park ; National Night Out on July 25 th; SAVES Back to School program ; Veteran Memorial Sculpture Unveiling in Poncitlan Square on July 27th.

12) ANNOUNCEMENT BY CITY ATTORNEY

This section was not required.

13) ADJOURN

Mayor Bettencourt adjourned the meeting at 6:19 p.m. to August 2, 2023, at 5:00 p.m. in the City Hall Council Chamber located at 38300 Sierra Highway, Suite B, Palmdale, California.

PASSED, APPROVED, and ADOPTED this 16th day of August 2023

Laura Bettencourt, Mayor

ATTEST:

Rochelle Scott, Acting City Clerk
City Council Staff Report
DATE: AUGUST 16, 2023
TO: HONORABLE MAYOR AND CITY COUNCIL
FROM: OFFICE OF THE CITY MANAGER

CITY CLERK DIVISION

DISTRICT: ALL
SUBJECT: CITY COUNCIL NOMINATION AND APPOINTMENT OF ONE (1)

MEMBER TO THE PALMDALE AEROSPACE ACADEMY BOARD OF

DIRECTORS
ISSUE
City Council nomination and appointment of one (1) member to The Palmdale Aerospace Academy Board of Directors.

RECOMMENDATION
Pursuant to the Palmdale Municipal Code Section 2.08.030 staff recommends th at the City Council nominate and appoint one of the following individuals to serve as a member of the Palmdale Aerospace Academy Board of Directors for a new three (3) year term to expire on July 31, 2026.

1. Patrick Brophy (D4)

2. Tracy Perkins (D1)

BACKGROUND
According to The Palmdale Aerospace Academy (“TPAA”) Bylaws, Article 3 Directors, Section 3.3, the City shall designate three (3) Directors to serve on the Board of Directors. According to Section 3. 3 (b), “All Directors of the Corporation shall serve a term of three (3) years expiring on July 31st of the third year of office and shall hold office until the expiration of the term, for which selected and until a successor has been duly designated, or until that Director’s earlier resignation or removal in accordance with these Bylaws and the California Nonprofit Corporation Law.” Report to Mayor and City Council
Re: Approval of TPAA Appointment
August 16, 2023

Page 2 ends

Directors provide an invaluable service to the Academy and represent a variety of backgrounds and many levels of expertise to the Board. The Board values diversity and expertise in curriculum, instruction, assessment, finance, business management, special education, law, facilities, and governance. Directors receive no compensation.

DISCUSSION
On June 21, 2023, the City Council was notified of a vacancy on the Palmdale Aerospace Academy Board of Directors. A recruitment ad was placed in the AV Press, AV Press online and on the city’s website. The recruitment ran from July 14, 2023 through July 31, 2023. Two applications were received.

The City Clerk provided Mayor and City Council with the applications to consider approval of one (1) qualified applicant. The District information below has been provided for qualification purposes only.

1. Patrick Brophy (D4)

2. Tracy Perkins (D1)
Attached are the redacted applications, a copy of TPAA Board of Director’s Duties and Responsibilities, and excerpts from TPAA By-laws outlining the requirements of a Board Director.

TPAA meetings are generally held on the 2nd and 4th Monday every month at 5:00 p.m., at the Palmdale Aerospace Academy, located at 3300 East Palmdale Boulevard, Palmdale, California.

FISCAL IMPACT
Approximately $3,075 was needed for advertising the position paid out of Account # 10112001-722310.

STRATEGIC PLAN
Goal II: Ensure long-term fiscal health of the City and maintain funding for services.

C. Involve and expand engagement to enhance public oversight and transparency.

Report to Mayor and City Council
Re: Approval of TPAA Appointment
August 16, 2023

Page 3 ends

Prepared by: Roxanne Faber, Acting City Clerk
Certified as to availability of Funds: Janelle Samson, Director of Finance Approved by: Ronda Perez, City Manager
Approved as to form: William P. Curley, III, Interim City Attorney

ATTACHMENTS

1. Redacted Applications

2. The Palmdale Aerospace Academy’s Board of Directors Duties and Responsibilities

3. By-laws

PALMDALE

AEROSPACE

ACADEMY
Design
,
Create
and
Explore
New
Board
Member
Application
Please
complete
this
form
and
either
e
-
mail
,
hand
-
deliver
,
or
mail
the
application
and
your
resume
on
or
before
the
deadline
to
the
following
:

City
of
Palmdale
City
Clerk
Department
38300
Sierra
Hwy
.
,
Suite
C
,
Palmdale
.

E
-
mail
:
cityclerkdepartment
@
cityofpalmdale
.
org
-
Hours
:

Mon
-
Thurs
.
7 :
30 AM
-
6 :
00 PM
Closed
Fridays
Full
Name
:

Patrick
Brophv
Address
City
:

Palmdale
Zip
Code
:

State
:

CA
Cell
Phone
:

Email
:

Current
Employer
:

Lockheed
Martin
Current
Position
:

Software
Engineer
Experience
Please
list
any
relevant
experience
and
/
or
employment
:

Former
Teacher
:
11 years
teaching
including
9 at
TPAA
.
-
Math
&
Computer
Science
,
Several
Leadership
roles
.
-
Co
-
Founded
Robotics
Program
Software
Engineer
at
Lockheed
Martin
Skunkworks
-
STEM
Outreach
Volunteer
Please
list
prior
experience
serving
as
a
board
member
for
non
-
profit
organizations
:

Board
Member
and
Secretary
for
Next
Careers
-
Our
purpose
is
to
develop
student
technical
and
interpersonal
skills
through
FIRST
Tech
Challenge
robotics
competitions
.

We
annually
serve
170
+
teams
and
50 +
events
around
Southern
California
.

Please
check
your
area
(
s
)
of
expertise
and
/
or
the
contribution
you
feel
you
can
make
to
further
the
mission
of
TPAA
:
(
Pick
at
least
one
)
|
|
Business
Management
\
%
/
\
Curriculum
,
Instruction
,
and
Assessment
Facilities
\
^
\
Finance
|
|
Governance
|
|
Law

Additional
Information
Why
are
you
interested
in
serving
as
a
board
member
for
TPAA
?
I
believe
in
the
mission
and
vision
of
TPAA
.

We
prepare
our
students
to
be
a
home
-
grown
workforce
for
the
types
of
careers
available
in
the
Aerospace
Valley
.

I
have
been
a
member
of
the
TPAA
community
since
the
beginning
.

TPAA
is
important
to
me
.

What
other
volunteer
commitments
do
you
currently
have
?
FTC
Co
Program
Delivery
Partner
-
This
role
involves
leading
our
planning
committee
,
and
planning
events
throughout
the
school
year
.

Robotics
mentor
at
TPAA
-
I
'
m
one
of
several
adult
mentors
and
advisors
that
help
out
with
TPAA
'
s
robotics
team
.

Please
share
any
other
information
you
feel
important
for
consideration
of
your
application
to
serve
as
a
TPAA
board
member
:

I
believe
independent
public
charter
schools
like
TPAA
provide
great
options
for
parents
.

TPAA
is
a
valuable
part
of
the
Palmdale
community
and
I
believe
my
experience
and
background
can
be
a
great
asset
as
we
go
into
charter
reauthorization
.

Print
Clear
Form
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From:
[email protected]
To:

City Clerk Department
Subject:

Online Form Submittal: The Palmdale Aerospace Academy Director Recruitment Date:

Monday, July 31, 2023 3:32:46 PM
CAUTION:

This email originated from outside of the organization.

The Palmdale Aerospace Academy Director Recruitment
Full Name
Tracey Perkins
Address
City
Palmdale
Zip Code
Cell Phone
Email
Current Employer
Round Hill Search, Inc.

Current Position
Legal Recruiting Associate
Experience
Please list any relevant
experience and/or
employment.

B.A. in Political Science from the University of Virginia Extensive coursework in Public Policy
Experience establishing legal budgets in law firms
Experience responding to legal audits for various law firms regarding attorney and paralegal billing and budgets
Coursework in Sociology, Psychology, MultiCultural Education, Financial Math, Economics, and Statistics
18 years of experience in law as a Paralegal in the legal industry in multiple states
Project Management of litigation matters by drafting budgets, communicating with and selecting vendors, price assessment and analysis, and research of products and results
Consistently worked closely with all level of C-Suite executives and Managing Partners to establish and progress accounting systems, data analysis and tracking tools
Perform extensive contract review and proposals from vendors on special projects
Well-versed and quick learner of technology tools, databases and software such as tools for research, tracking, data analysis, and e-discovery
Well-versed in Microsoft applications, such as Word, Excel, Powerpoint and Outlook
Assisted Freeman Mathis & Gary Partner with paralegal
certification class courses at Kennesaw State University in

Kennesaw, Georgia
Prepared demonstratives for paralegal certification class courses Reviewed tests and provided scores and corrections to paralegal certification exams
Employed for two years as a Financial Aid Representative with the University of Virginia
Employed for one year as an Office Assistant with the Virginia Sexual and Domestic Violence Non-Profit Coalition in
Charlottesville, Virginia

PROFESSIONALEXPERIENCE
Round Hill Search, Inc. Los Angeles, CA
Legal Recruiting Associate May 2023 - Present
Elkins Kalt Weintraub Reuben Gartside, LLP Los Angeles, CA Paralegal/Legal Assistant Hybrid/Litigation May 2019 - May 2023 Tesser Grossman, LLP Los Angeles, CA
Legal Assistant, Entertainment/Business Litigation June 2018 – May 2019
Carlock, Copeland & Stair, LLP Atlanta, GA
Paralegal, Insurance Defense/General Liability June 2017 – May 2018
Carlton Fields, P.A. Atlanta, GA
Paralegal, Business Litigation June 2016 – June 2017
Freeman, Mathis & Gary, LLP Atlanta, GA
Senior Paralegal, Complex Commercial Litigation & Construction February 2015 – May 2016
Finnegan, Henderson, Farabow, Garrett & Dunner L.L.P. District of Columbia
Litigation Paralegal, Intellectual Property March 2012 - January 2014
Nagle & Zaller, P.C. Columbia, MD
Paralegal, Real Estate/HOA July 2007-November 2011
Steptoe & Johnson LLP Washington DC
Calendaring Paralegal, Asbestos Litigation September 2005 – July 2007
A full and complete resume including tasks can be provided upon request
Please list prior
experience serving as
a board member for
non-profit
organizations.

Field not completed.

Please check your
area(s) of expertise
and/or the contribution
you feel you can make
to further the mission of
TPAA.

Business Management, Curriculum, Instruction, and
Assessment, Facilities, Finance, Governance, Law, Special Education
Additional Information
Why are you interested
in serving as a board
member for TPAA?
A community thrives based on the educational opportunities and access to programs and information afforded to its citizens. This in turn means by investing in our schools on the front-end, we invest in our children and the future and in turn, we build a community of future leaders who will bring that investment back to the Palmdale community. In that way, the Antelope Valley will continue as one of the Nation's leaders in Aviation and Aerospace because we have invested in our future Scientist and Engineers. I am interested in serving as a Board Member first because I am a parent and homeowner in the City of Palmdale and would like to be more involved in my community and the education and betterment of our citizens by assisting in the educational progression of our children. The City of Palmdale is a diverse community and this should be reflective in our education and in our Boards/Committees. Our children deserve the access to opportunity afforded to become successful and active participants in civil engagement and the overall common good. I would value the opportunity to be a part of TPAA and contribute to the progression of access to opportunities so our children are competitive as they hit college and the job market. I am a mom and a Palmdale citizen. I have a successful career in the legal industry and feel I would be a valuable asset to TPAA's Board/Committees and the forward thinking and movement of TPAA's mission, overall business and educational goals. My driving force and motivation are my children, OUR CHILDREN, and we must ensure our schools are in collaboration with the community and parents for the continued growth of our City, population, workforce and opportunities available to its citizens.

What other volunteer
commitments do you
currently have?
This would be my first volunteer opportunity for the City of Palmdale. I am committed to. my community and doing more in its development and progression.

I am a mother with an Autistic child who was very active in her Please share any other
information you feel
important for
consideration of your
application to serve as
a TPAA board
member.

IEP and being an advocate for special education. From this lens, I realized the importance of having the right officials in place to ensure our children are given equal opportunities to exceed. I have incentive to further the goals of TPAA because I am a homeowner in the City of Palmdale and would like my children to be able to go to a school that provides top tier education and increases chances of college attendance. One of my children is entering the 9th grade of TPAA this year and I would like to be involved in ensuring the best education is available to all Palmdale residents. A community thrives based on the
educational opportunities and access to programs afforded to its citizens. This in turn means our children will bring that investment back to the Palmdale community and the Antelope Valley will continue as one of the Nation's leaders in Aviation and Aerospace. I have an extensive background in the legal industry and a demonstrated track record of being a valuable asset to any firm/organization. I have a background and skillset in project management, budgets, contracts, law, public policy, extensive research and analysis and working within a team for a common goal. Given the access to the analytics, research, budget, resources, and tools, I feel I would be useful in assisting with the strategizing and implementation of TPAA's policies that lead to progression and success. We must use the data and facts to figure out what works, and couple that with the means we are given and find, to implement the best strategies in alignment with success within the budget, but without sacrificing the well-being and opportunities afforded to our children.

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3300 East Palmdale Blvd.

Palmdale, CA 93550
(661) 273-3680
www.tpaa.org

Board of Directors Duties and Responsibilities

Board Directors for the Palmdale Aerospace Academy provide an invaluable service to the Academy.

TPAA’s Directors come from a variety of backgrounds and bring many levels of expertise to their work on the Board. The Board values diversity and looks for expertise in curriculum, instruction, assessment, finance, business management, special education, law, facilities, and governance.

All Board Directors serve in the following ways:
● Consistently attend regular Board of Directors meetings ● Participate in fund-raising activities in a manner appropriate for that Board Director ● Participate in the annual Board planning meeting
● Prepare in advance before regular Board meetings by reading and studying materials sent in advance regarding key actions the Board is expected to take at the next meeting Members of the Board of Directors may also attend special events and participate in professional development activities, as appropriate.

In accordance with The Palmdale Aerospace Academy, Inc.’s approved Bylaws, all Board Directors shall:
● Act in good faith in what they believe to the in the best interests of the organization ● Act with care, including reasonable inquiry, as an ordinarily prudent person would use in similar circumstances
● Act as a member of the group, and as a group:
o Exercise fiduciary role to ensure that the organization is properly managed but not manage the organization
o Validate information from the Executive Director/Superintendent o Maintain corporate status; ensure that proper paperwork is submitted to governmental agencies
o Approve the annual budget
o Review periodic financial reports
o Ensure proper internal controls are in place
o Establish a mission and program direction for the organization o Review and evaluate program plan and progress
o Set policy
o Elect officers
o Hire Executive Director/Superintendent and review performance of same o Establish fundraising goals and participate in fundraising efforts o Oversee maintenance of minutes, attendance records, and deal with Board Directors who have lapsed in responsibilities

ARTICLE I. OFFICES
Section 1.1. Principal Olfice The principal office of The Palmdale Aerospace Academy, Inc. (the ,,Corporation,,j is hereby fixed and located at 38060 2Oth Street East, Palmdale, cA 93550. The board ofdirectors of the corporation (the "Board") shall have the full power and authority to change the principal office from one location to another, and such location may be at any place where the Corporation is quali{ìed to conduct its activities. The Secretary shall note any change of location of tlie principal office.

Section 1.2. Other Offices. Branch or subordinate offices may be established at any time by the Board at any place or places where the Corporation is qualified to conduct its activities.

ARTICLE 2. MEMBERSHIP
Section 2.1 . Members. The Corporation shall have no members within the meaning of section 5056 of the california Nonprofit corporation Law. Any action that would otherwise require approval by a majority of all members or approval by the members shall require only approval of the Board. All rights which would otherwise vest in the members shall vest in the Board.

Section 2.2. Associates. Nothing in this Article 2 shall lirnit the right of the Corporation to refer to persons associated with it as "members" even though such persons are not members, and no such reference shall constitute anyone a member, within the meaning of Section 5056 of the california Nonprofit cor.poration Law. The Board may adopt policies and procedures for the adrnission of associate members or other designated members who shall have no voting rights in the Corpolation, and such associate or other members shall not be "members" of the Corporation as defined in Section 5056 of the California Nonprofit Corporation Law. The Corporation may confer some or all of the rights of a member, as set forth in the California Nonprofit Corporation Law, upon any person or persons who do not have the right to vote for or regarding (i) the election of Directors, (ii) a disposition of all or substantially all of the assets of the Corporation, (iii) a merger or dissolution of the Corporation, (iv) changes to the Corporation's Articles of lncorporation or Bylaws, or (v) the selection ol delegates who possess any of the preceding voting rights, but no such person shall be a member within the meaning of Section 5056 ofthe California Nonprofit Corporation Law ARTICLE 3. DIRECTORS
Section 3.1. Powers. Subject to provisions of the California Nonprofit Public Benefìt Corporation Law and any other applicable laws and any limitations of the Articles of lncorporation and tliese Bylaws, the activities and affairs of the Corporation shall be conducted and all corporate powers shatl be exercised by or under the direction of the Board. The Board may delegate the management of tlre activities of the Colporation to any person or persons, a n.ìanagement compar.ìy or Colnmittees however composed, plovided that the activities and affairs of the Corporation shall be managed and all corporate powers shall be exercised under the 1 l.A I t2063t8 tl
ultimate direction of the Board. Without preiudice to such general powers, but subject to the same limitations, it is hereby expressly declared that the Board shall have the following powers in addition to the other powers enuÍnerated in these Bylaws:
(a) to select, remove, and supervise alì the officers, agents and employees of the Corporation, prescribe qualifications, powers, and duties for them that are not inconsistent with law, the Articles of Incorporation or these Bylaws, fix their compensation, and require from them security or otherwise provide for faithful service; (b) to conduct, manage and control the affairs and activities ofthe Corporation and to make such rules and regulations therefor not inconsistent with law, the Articles of Incorporation or these Bylaws, âs they may deem best;
(c) to adopt, make and use a corporate seal and alter the form ofthe seal; (d) to bonow money and incur indebtedness on behalf of the Corporation and cause to be executed and delivered for the Corporation's purposes, in the corpolate name, promissory notes, bonds, debentures, deeds of trust, moftgages, pledges, hypothecations, and other evidences of debt and securities therefor; and
(e) seek out and actively pursue outside resources and funding for the purposes of improving, maintaining or expanding the services provided by the Corporation.

Section 3.2. Number of Directors. There shall be no more than twelve ( 12) directors of the Board. As per section 3.3 there shall be nine (9) positions filled by the original designating agencies. The Board reserves the right to fill and designate an additional three (3) "at large" directors at its discretion without further notice except as provided by Government Code 54950 et. seq.

Section 3.3. Selection and Term ofOffice.
(a) Designation of Directors. The directors of the Board (the "Directors") shall be selected in the following manner: the Palmdale School District shall designate three (3) Directors, the City of Pahndale shall designate three (3) Directors, and the AERO Institute shall designate one (1) Director. By a majority vote ofthe Directors present and voting at the annual meeting of the Board, provided that a quorum is present, the Board shall elect one (1) Director employed in or with experìence in the private sector in a field related to the areas of study emphasized at the Acadeny (as defined herein) (the "Private Sector Director"). The final Director shall be selected by the parent association (or the parent-teacher association, or the parent-teacher-student association, as applicable) of the Academy, subject to the approval of the Board (the "Parent Direstor"). The Board, or any committee of the Board so authorized, shall administer and oversee the appointment or approval, as applicable, ofthe Private Sector Director and the Parent Director to the Board.
(b) Term of Offìce. All Directors of the Corporation shall selve a term of three (3) years, expir.ing on July 31 of the third year of office, and shall hold office until the expiration ofthe term for which selected and until a successor has been duly designated, or until that Director's eallier resignatio¡r or removal in accordance with these Bylaws and the Califolnia Nonprof it Corporation Law.

The tenns of the Directors shall be staggered, with the intention thât only one- L^r ì206318 ¡t 2
third (t/3) of the directors of the Board shall be selected each year to replace the one{hird (l/3) of the Directors whose terms shall expire each year. The Directors in the first election group shall have their initial term as Director reduced to only one (1) year, and such Directors shall include one (l) Director designated by the Palmdale School District, one (l) Director designated by the City of Palmdale, and the Parent Director. Tlie Directors in the second election group shall have their initial term as Directo¡ reduced to only two (2) years, and such Directors shall include one (1) Director designated by the Palmdale School District, one (1) Director designated by the city of Palmdale, and the Director designated by the AERO lnstitute. The Directors in the third election group shall have their initial tenn remain as three (3) years, and shall include one (1) Director designated by the Palmdale School District, one (1) Director designated by the City of Palmdale, and the Private Sector Director. With respect to the initial Directors appointed by them, each of the Palmdale School District and the City of Palmdale shall determine which of such initial Directors shall be allocated to each election group. lf these Bylaws are amended to alter the number of Directors comprising the Board, any increase or decreâse in such number shall be apportioned among the election groups so as to maintain the number of Directors in each election group as nearly equal as practicable, and any additional Directors elected to fill a vacancy resulting from an increase in any election group shall hold office for a tel'm that shall coincide with the remaining term of that election group.

After the expiration of the initial terms of the Directors in each of the three (3) election groups, all Directors in each election group shall serve terms of three (3) years. No Director shall serve more than two (2) complete, consecutive three-year terms. A Director who has served two (2) such consecutive three-year terms shall be eligible to serve again as a Directot' after one (1) year has passed since the expiration ofsuch Director's last term ofoffice.

For purposes of this Section 3.3, any Director elected to serve an unexpired term created by an existing vacancy on the Board (provided that the vacancy occurs during, rather than prior to, such term ând therefore such Director serves less than three (3) full years during his or her initial term as a Director), or any Director whose initial term as a Director is less than three years as a result of the initial staggering of the terms of Director positions as described in this Section 3.3, shall be eligible to serve two (2) full three-year terms thereafter, regardless of the length of time served in the unexpired term created by such vacancy or in such initial term. (c) Selection Criteria. When selecting and designating Directors to the Boa¡d, each designator shall be ¡nindful of, the benefìts of the inclusion of Directors with expertise in curriculum, instruction and assessment, finance, business management, special education, law and facilities.

The Parent Director shall be chosen from among the parents of students then enrollecl at the Acadeny. The Parent Director shall not be required to be the parent of a student who will be enrolled at the Academy during the entirety of such Parent Director's three (3) year term, pleyklgl, however, that, if at any time during such Parent Director's term, the child of the 3 LAI:1206318.11
Parent Director ceases to be a student then enrolled in the Academy, the Parent Director shall be deemed to have resigned from the Board, creating a vacancy under Section 3.4.

Sect ion 3.4. Vacan cies.
(a) Events Causing Vacancies. A vacancy on the Board shall be deemed to exist at the occurrence olany ofthe foìlowing:
(i) the death, resignation or removal of any Director;
(ii) the failure of the applicable designator to designate the number of Directors requiled to be designated at such time as a vacancy occul's; (ìiÐ with respect to the Parent Director, the deemed resignation of such Director upon the child of such Parent Director ceasing to be a student then enrolled in the Academy; or
(iv) the increase ofthe authorized number ofDirectors.
(b) Removal.
(i) Any Director may be removed, with or without cause, by a vote of a majority of the Directors then in office.
(ii) Any Director shall be removed automatically from the Board without any action required by the Board, if such Director has been declared of uusound mind by a final order of court, or convicted of a felony, or found by a fìnal order or judgment of any court to have breached any duty under chapter 2, Article 3 of the California Nonprofìt Public Benefìt Corporation Law.
(iii) No reduction in the authorized number of Directors shall effect a removal of any D irector prior to the expiration of such Director's term of office' (c) Resiqnations. Any Director may resign, which resignation shall be effective upon giving written notice to the Chairperson of the Board, the President (if any)' the Secretary òr thà Board, unless the notice specifies a later time for the effectiveness of such resignation, provided that, except upon notice to the Attorney General of the State of California, no Di.""to. may resign ifl the Corporation would then be left without a duly-elected Director or Directors in charge of its affairs. lf the resignation of a Director is effective at a future time, a successor may be designated before that time, to take office when the resignation becomes effective. In addition, unexcused absence of any Dilector from four (4) regular Board meetings over a one (1) year period shall be deerned a resignation ofsuch absent Director from the Board, creating a vacancy to be filled as provided in Section 3.4(d). The determination of whether an absence is excused or unexcused shall be made by the Chairperson of the Board (d) Fillins of Vacancies. Vacancies in the Board shall be filled in the same manner as the vacant position was last filled; that is, either by the same designator as the designator. who appointed the Director(s) whose office is vacant, if applicable, or by the Board of Directors, if the Director(s) whose office is vacant was elected by the Board . Each Director so l_At t2063t8.114
selected shall hold office until the expiration of the tem'ì of the replaced Directol and until a successor has been selected and qualified.

Section 3.5. Place of Meetine. Meetings of the Board shall be held at the principal office of the Corporation. The Board may designate thât a meeting be held at any place within California that has been designated by resolution of the Board or in the notice of the meeting provided that all meetings of the Board shall be called, held and conducted in accordance with the terms and provisions of the Ralph M. Brown Act California Government Code Sections 54950, et seq., as said chapter may be modified by subsequent legislation.

Section 3.6. Regular Meetings. Regular meetings of the Board shall be held on the third Monday of each month at 4: I 5 p.m. local time. The Board shall hold an annual meeting for the purpose of organization, appointment of officers, election of such directors, ifany, as are to be elected by the Board in the applicable year, and the transaction of other business.

Annual meetings of the Boa¡d shall be held without call or notice on the first Wednesday of July of each year at 4:00 p.rn. local time; provided, however, that the Board may designate another date or time for the annual meeting in any year. If for any reason the annual meeting is not held on the date scheduled, the term of office for the incumbent directors and officers shall continue until adjournment ofthe succeeding Board meeting at which such elections take place.

Notice of regular and annual meetings is not required if conducted in accordance with these Bylaws. Agendas for each such meeting must be posted seventy-two (72) hours previous to such meeting.

All meetings of tl.re Board shall be called, held and conducted in accordance with the terms and provisions of the Ralph M. Brown Act California Government Code Sections 54950, et seq., as said chapter may be modified by subsequent legislation.

Section 3.7. Special Meetinss. Special meetings ofthe Board for any purpose or purposes may be called ât any time by the Chairperson of the Board or by a majority of the Directors, or as otherwise provided by the terms and provisions of the Ralph M. Brown Act California Govemment Code Sections 54950, et seq., as said chapter may be modified by subsequent Iegislation.

Notice ofthe time and place ofspecial meetings, and the business to be trânsacted at the meeting, shall be provided to the Directors and to all media who have provided written notice to the Corporation. All notices shall provide such information and be given with at least such notice as is required in accordance with the terms and provisions of the Ralph M. Brown Act Califomia Government Code Sections 54950, et seq., as said chapter may be modified by subsequent legislation that is applicable to the type of meeting called.

Section 3.8. Ouorum and Action of the Boald.
(a) Ouorum. A rnajority of the Dilectors then in office (excluding non-voting Directors) constitute a quorum of the Board for the transaction of business, except to adjourn as provided in Section 3.1 1.
(b) Valid Board Actions. Every act or decision done or made by a vote ofa rnajority of the Directors present at a rneeting duly held at which a quorunì is present shall be 5 LAI:1206318.11
regarded as the act of the Board, unless a greater number be required by law, by the Articles of Incorporation, or by these Bylaws, including, without limitation, acts or decisions relating to (a) approval ofcontracts or transactions in whiclr a Director has a direct or indirect material financial interest, (b) approval of certain transâctions between corporations having common directorships, and (c) cr.eation of and appointments to committees, and (d) indemnification of Directors. Notwithstanding the foregoing, a meeting at which a quorum is initially present lnay continue to transact business notwitltstanding the witlidrawal of Directors from tlie rneeting, if any action taken is approved by at least a majority ofthe required quorum for such meeting.

Section 3.9. Participation in Meetings by Conference Telephone. Meetings of the Board may be held by teleconference, provided that all Directors participating in the meeting must be able to hear one another. All meetings held by teleconference must comply with the terms and provisions of the Ralph M. Brown Act California Government Code Sections 54950, et seq., as said chapter may be modified by subsequent legislation.

Section 3.10. Waiver of Notice. Except as otherwise provided in the Ralph M.

Brown Act California Government Code Sections 54950, et seq. witl, respect to waivers of notice of special meetings, notice of a meeting need not be given to any Director who signs a waiver of notice or a written consent to holding the meeting or an approval of the minutes thereol whether belore or after the meeting, or who attends the meeting without protesting, prior thereto or at its commencement, the lack of notice to such Director. All such waivers, consents and approvals shall be filed with the corporate records or made a part of the minutes of the meetings. A waiver of notice need not specify the purpose of any regular or special meeting of the Board. Ðirectors can protest a lack of notice only by presenting a written protest to the Secretary either in person, by first-class mail addressed to the Secretary at the principal office of the Corporation as contained on the records of the Corporation as of the date of the protest, or by facsimile addressed to the facsimile number of the Corporation as contained on the records of the Corporation as of the date of the protest.

Section3.11. Adiournment. A Board meeting may be adjourned in accordance with the provisions of the Ralph M. Brown Act California Government Code Sections 54950, et seq., as said chapter may be modified by subsequent legislation.

Section 3.12. Conduct of Meetings. Meetings ofthe Board shall be presided over by the Chairperson of the Board, or, in his or her absence, the Treasurer or, in the absence oî each of these persons, by a chairperson chosen by a majority of the Directors plesent at the meeting. The Secretary of the Corporation shall act as secretary of all meetings of the Board, provided that, in his or her absence, the presiding officer shall appoint another person to âct as secretary of the meeting.

All rneetings of the Board shall be called, held and conducted in accordance with the terms and provisions of the Ralph M. Brown Act Califoinia Government Code Sections 54950, et seq., as said chapter rnay be rnodified by subsequent legislation Section 3.13. Fees and Compertsation. Directors shall not leceive any cornpensation for their service as Directors or as members of Committees of the Board;p¡qll¡dgd, however, that any Director' ;nay receive advances or reimburselnent of actual reasonable expenses incurred by such Director in carrying out his or her duties as a Director or as 6 LAI:1206318.I I
a lnember of a Committee of the Board, as may be authorized by the Board. This Section 3.13 shall not be construed to preclude any Director from serving tlie Corporation in any othet capacity as an officer, agent, employee or otherwise, and l'eceiving reasonable compelrsation for those services, as may be authorized by the Board.

Section 3.14. Restrictions on Interested Dilectors. Not more than forty-nine percenl (49Vo) of the persons servirrg on the Board at any time may be Interested Persons An "Interested Person" is (a) any persou currently being compensated by the Corporation for services rendered to it within the previous l2 months, whether as a full{ime or pafi-tilìle employee, independent contractor or otherwise; (b) any employee or officer of any corporation, or âny shareholder holding more than 3 percent of the shares in any corporation, or âny paúner or employee of any partnership, that has rendered compensated services to the Corporation within the previous 12 months; and (c) any brother, sister, ancestor, descendant, spouse, brother- in-law, sister-in-law, mother-in-law, father-in-law, daughter-in-law or son-in-law of any petson described in clause (a) or (b) above. Any violation of the provisions of this paragraph shall not, however, affect the valìdity or enforceability of any transaction entered into by the Corporation.

Section 3.15. Rights of lnspection. Every Director shall have the absolute riglrt at any reasonable time to inspect and copy all books, records, and documents of every kind and to inspect the physical properties of the Corporation.

Section 3.16. Guests of Honor. From time to time the Board, or any Committee so authorized, may place in nomination before the Board the names of individuals for election to life terms as Guests of Honor in recognition of especially meritorious service to the Corporation. The specific requirements and procedures for nomination and election shall be established by the Board, or any Committee so authorized, provided that any Director who has served at least one full term as the Chairperson of the Board or the President (if any) shall be eligible for nomination to the status of Guest of Honor.

Guests ofHonor shall receive notice ofand be permitted to attend all meetings of the Board and all functions ofthe Board, unless the Board by resolution has determined that such Guest ofHonor shall be excluded from any such meeting, but shall not be deemed Directors and therefore shall not (i) have voting power or any notice rights as a Director, (ii) have any authority to act as a Director, or (iii) be counted for quorum purposes. There shall be no limit to the number of Guests ofHonor.

Section 3.17. Non-liabilit), of Directors. The Directors shall not be personalÌy liable for the debts, liabilities or other obligations ofthe Corporation.

The personal liability (including personal liability to a third party for monetary damages) of any Director for such person's acts or omissions occurring within the scope of the performance of such person's duties as such shall be limited to the fullest extent permitted by law (including Section 5047.5 of the California Nonprofit Corporation Law or Section 5239 of the Nonprofit Public Benelìt Law, as applicable). Such Directors shall also have a right to indemnification by the Corporation as and to the extent set forth in Article t hereof.

Z t.A I t2063 t8 I I
City Council Staff Report
DATE: AUGUST 16, 2023
TO: HONORABLE MAYOR AND CITY COUNCIL
FROM: ECONOMIC AND COMMUNITY DEVELOPMENT DEPARTMENT

PLANNING DIVISION
DISTRICTS: ALL
SUBJECT: ADOPT ORDINANCE NO. 1613, AN ORDINANCE OF THE CITY

COUNCIL OF THE CITY OF PALMDALE APPROVING
ZONING ORDINANCE AMENDMENT 2 3-001 AND ZONE CHANGE
23-001
ISSUE
Adopt Ordinance No. 1613 approving Zoning Ordinance Amendment (ZOA) 23-001 and Zone Change (ZC) 23-001

RECOMMENDATION
The Planning Commission recommends that the City Council:

1. Receive public testimony regarding Ordinance No. 1613;

2. Adopt Ordinance No. 1613 approving ZOA 23-001 and ZC 23-001; and,

3. Find that the project is consistent with Program Environmental Impact Report (PEIR) 22-002 prepared and certified in conjunction with the City’s General Plan update (Palmdale 2045).

BACKGROUND
On September 21, 2022, Palmdale 2045 was approved by the City Council and replaced the previously adopted General Plan (1993). State law requires that the regulations governing the use and development of lands within the municipal limits of a city be consistent with the adopted General Plan for that city. ZOA 21 -007 was adopted by the City Council on March 15, 2023, which amended Title 17 of the Palmdale Municipal Code (PMC) to implement the vision of Palmdale 2045 as well as support new land use patterns and future development. Subsequently, City staff have identified minor amendments to Title 17, which are necessary to address inconsistencies, clarify review procedures, correct typographical errors and section references, as well as update the associated Zoning Map. On July 20, 2023, the Planning Commission adopted Resolution No. PC - 2023-015 recommending City Council approval of ZOA 23 -001 and ZC 23 -001. Staff recommends minor changes to the draft as noted below.

Report to Mayor and City Council
Re: ZOA 23-001 and ZC 23-001
August 16, 2023

Page 2 ends

Palmdale City CouncilAugust 16, 2023

Palmdale City Council
August 16, 2023