__________________________________ __________________
Andrew Lockman Date
Tulare County
Federal Emergency Management Agency (FEMA), prior to the obligation, and expenditure of funds for those projects.
Your organization will be required to prepare and submit the Biannual Strategy Implementation Report (BSIR) to Cal OES via the FEMA Grants Reporting Tool (GRT) semi-annually for the duration of the subaward period of performance or until all activities are completed and the subaward is formally closed. Failure to submit required reports could result in subaward reduction, suspension, or termination. Throughout the subaward cycle, milestones set in the GRT will be used as indicators of project feasibility, performance, and grant management capacity. This information may also be used in assessing proposals in future grant opportunities.
A Conditional Hold has been placed on your subaward; five percent of the subaward must be allocated to each of the four National Priority Investment Justifications for a total of twenty percent of the award. To release this hold, additional information is required for the investments identified which must be submitted in the December 2020 BSIR in a manner consistent with Grants Program Directorate Information Bulletin No. 447.
Your dated signature is required on this letter. Please sign and return the original to your Cal OES Program Representative within 20 calendar days upon receipt and keep a copy for your records. For further assistance, please contact your Cal OES Program Representative.
Sincerely,
MARK S. GHILARDUCCI
Director
10/26/20
APPROVAL AUTHORITY
MEMBERS Member/Alternate Name Title Address Phone E-mail Police Chief Member- Mike Marquez Police Chief, City of Woodlake 350 N. Valencia Blvd., Woodlake, CA 93286 (559) 564-3346 [email protected] AlternateMunicipal Fire Chief Member- David LaPere Fire Chief, City of Portervile 40 W. Cleveland Ave.
Porterville, CA 93257 (559) 782-7526 [email protected] AlternateCounty Sheriff Member- Mike Boudreaux Sheriff 833 S. Akers St.
Visalia, CA 93277 (559) 802-9400 [email protected] Alternate- Tom Sigley Undersheriff 833 S. Akers St.
Visalia, CA 93277 (559) 636-9400 [email protected] County Fire Chief Member- Charles Norman Fire Chief 907 W. Visalia Rd.
Farmersville, CA 93223 (559) 802-9801 [email protected] Alternate- Pete Marquez Division Chief 907 W. Visalia Rd.
Farmersville, CA 93223 (559) 802-9803 [email protected] County Public Health Officer Member- Dr. Karen Haught Health Officer 5957 S. Mooney Blvd.
Visalia, CA 93277 (559) 624-8481 [email protected] Alternate- Dan Lynch Director, CCEMSA
1221 Fulton Mall, 5th Floor
P.O. Box 11867
Fresno, CA 93775
(559) 600-3387 [email protected]
2020 APPROVAL AUTHORITY MEMBERS
HOMELAND SECURITY GRANT PROGRAM
SYSTEM FOR AWARD MANAGEMENT (SAM)
REQUIREMENTS
If your agency is using HSGP grant funds to contract with anyone, you MUST verify that they are NOT debarred on the Government’s “System for Award Management” by checking
the website:
http://www.sam.gov
Checks must be performed at the time of the Project
Proposal, if there is a vendor change, and before payment. Locate the “SEARCH RECORDS” menu item. You may
search by an entity’s name, DUNS number, or CAGE code.
Enter the requested information (i.e. individual, firm, or entity’s name; DUNS Number or CAGE Code). Click on
search. The search will display the results.
If your search returned no results, click on “Printer-Friendly” and print the search results. If the search leads you to any Active Exclusion Records for that person or entity, this means they may be debarred or suspended and may NOT
be eligible to receive any grant funds.
Attach the search results to your reimbursement request.
The printed search results are very important because the date will be printed on the report and it must be prior to the date you contract with anyone. This report must
accompany your reimbursement request to be eligible for reimbursement.
If the contractor is listed on the website as debarred or suspended and you use their services, you will NOT be
eligible for reimbursement from Tulare County OES.
Contractors are only allowed a maximum reimbursement of eight (8) hours per day.
Financial Management Guide
U.S. Department of Homeland Security
Preparedness Directorate
Office of Grants and Training
Office of Grant Operations
January 2006
Department of Homeland Security
The mission of the Department of Homeland Security (DHS) is to lead the unified national effort to secure America; to prevent and deter terrorist attacks and protect against and respond to threats and hazards to the nation; and to ensure safe and secure borders, welcome lawful immigrants and visitors, and promote the free-flow of commerce. DHS is also dedicated to protecting the rights of American citizens and enhancing public services, such as natural disaster assistance and citizenship services, by dedicating offices to these important missions.
Department of Homeland Security
World Wide Web page:
http://www.DHS.gov
U.S. Department of Homeland Security
Preparedness Directorate
Office of Grants and Training
Office of Grant Operations
800 K Street, NW
Washington, DC 20001
Mailing Address
810 Seventh Street, NW
Washington, DC 20531
Michael Chertoff
Secretary
U.S. Department of Homeland Security
Tracy A. Henke
Executive Director
Office of Grants and Training
Kimberly Orben
Director, Office for Business Administration
Office of Grants and Training
Nancy Anne (Baugher) Foy
Director, Office of Grant Operations
Office of Grants and Training
1-866- 9ASK-OGO (866-927-5646)
[email protected]
Foreword
Since terrorists attacked our nation on September 11, 2001, the Office of Grants and Training (G&T) and its predecessor agencies have awarded more than $8.6 billion in grant funding to build capabilities at the state and local levels to prevent, prepare for, and respond to terrorist incidents and catastrophic disasters. As stewards of these public funds, G&T and its recipient agencies share responsibility for ensuring–through sound planning and prioritizing–that those funds are well-invested, and–through sound financial processes–that those funds are well-managed.
G&T’s Office of Grant Operations (OGO) developed this Financial Management Guide to provide step-by-step guidance in fulfilling your fiduciary responsibility as recipients of Federal grant funds and in ensuring that these taxpayer dollars are used for the purposes for which they are awarded. The Guide should serve as the primary reference and day-to-day management tool for G&T award recipients and subrecipients in all financial management and grant administration matters.
I hope that you will find this Financial Management Guide useful and welcome your comments and suggestions. I also encourage you to contact our Office of Grant Operations whenever you have a question about your financial management operations or any of the areas covered in this Guide. OGO’s Customer Service staff may be reached at 1-866-9ASK-OGO or via e-mail at [email protected].
Thank you for your efforts to strengthen the financial management of your grants, to safeguard public funds, and to ensure our national security by building state and local preparedness. I look forward to continuing to work with you.
Tracy A. Henke
Executive Director
Table of Contents
CHAPTER 1: INTRODUCTION............................................................................................... 1 WHAT IS THE PURPOSE OF THIS GUIDE?......................................................................................... 2 WHO IS THIS GUIDE DESIGNED FOR? .............................................................................................. 3 CHAPTER 2: THE APPLICATION PROCESS ........................................................................... 5 NOTICE OF FUNDING AVAILABILITY/ANNOUNCEMENTS .................................................................... 6 APPLICATION REVIEW.................................................................................................................... 6 TECHNICAL REVIEW....................................................................................................................... 7 COST ANALYSIS ............................................................................................................................ 8 CHAPTER 3: THE AWARD PROCESS...................................................................................... 9 THE AWARD DOCUMENT.............................................................................................................. 10 ACCEPTANCE OF AWARD AND CONDITIONS .................................................................................. 10 TYPES OF FINANCIAL ASSISTANCE: GRANT OR COOPERATIVE AGREEMENT................................... 11 PLANNING AND IMPLEMENTING AWARD PROGRAMS...................................................................... 11 CHAPTER 4: MANAGING FEDERAL FUNDS......................................................................... 12 FINANCIAL MANAGEMENT SYSTEM REQUIREMENTS ...................................................................... 13 RECIPIENT AND SUBRECIPIENT ACCOUNTING RESPONSIBILITIES ................................................... 13 COMMINGLING OF FUNDS............................................................................................................. 14 MONITORING PROJECT PERFORMANCE ........................................................................................ 14 CONFLICTS OF INTEREST ............................................................................................................. 15 SUPPLANTING ............................................................................................................................. 15 CHAPTER 5: PAYMENTS......................................................................................................... 17 REQUEST FOR ADVANCE/REIMBURSEMENT .................................................................................. 18 WITHHOLDING OF FUNDS ............................................................................................................. 18 CASH MANAGEMENT IMPROVEMENT ACT OF 1990........................................................................ 18 INTEREST .................................................................................................................................... 19 CHAPTER 6: OBLIGATION AND EXPENDITURES................................................................ 20 OBLIGATION OF FUNDS................................................................................................................ 21 PERIOD OF AVAILABILITY............................................................................................................. 21 EXPENDITURE OF FUNDS ............................................................................................................. 21 SUSPENSION AND TERMINATION................................................................................................... 21 CHAPTER 7: GRANT REPORTING ......................................................................................... 23 FINANCIAL REPORTING................................................................................................................ 24 PROGRAMMATIC REPORTING ....................................................................................................... 24 CHAPTER 8: ADJUSTMENTS TO AWARDS...................................................................... 25 MODIFICATIONS AND REVISIONS (INCLUDING GRANT ADJUSTMENT NOTICES) ................................ 26 NOTIFICATION OF CHANGES......................................................................................................... 26 TYPES OF ADJUSTMENTS: ........................................................................................................... 26 CHAPTER 9: OTHER PROGRAM FUNDS............................................................................... 28 PROGRAM INCOME ...................................................................................................................... 29 REQUIREMENTS FOR MATCHING OR COST SHARING...................................................................... 30 CHAPTER 10: COSTS AND EXPENDITURES...................................................................... 32 ALLOWABLE COSTS .................................................................................................................... 33 UNALLOWABLE COSTS ................................................................................................................ 36 COSTS REQUIRING PRIOR APPROVAL .......................................................................................... 38 CHAPTER 11: PROCUREMENT ............................................................................................ 40 PROCUREMENT STANDARDS........................................................................................................ 41 SOLE SOURCE PROCUREMENT (NON-COMPETITIVE)..................................................................... 41 CHAPTER 12: AUDITS........................................................................................................... 43 AUDIT REQUIREMENTS FOR STATES, LOCAL GOVERNMENTS, AND NON-PROFIT ORGANIZATIONS... 44 AUDITS OF COMMERCIAL/FOR-PROFIT ORGANIZATIONS................................................................ 45 AUDITS OF SUBRECIPIENTS.......................................................................................................... 45 DISTRIBUTION OF REPORTS ......................................................................................................... 45 TECHNICAL ASSISTANCE ............................................................................................................. 45 CHAPTER 13: CLOSE OUT ................................................................................................... 47 CLOSE OUT PROCESS ................................................................................................................. 48 RETENTION AND MAINTENANCE OF RECORDS............................................................................... 48 ACCESS TO RECORDS ................................................................................................................. 49 APPENDIX: GLOSSARY OF TERMS.................................................................................... 50 INDEX............................................................................................................................................ 56 Chapter 1: Introduction
Highlights from this chapter:
• What is the purpose of this Guide?
• Who is this Guide designed for?
1 Introduction
What is the purpose of this Guide?
This Guide is intended to be used for the administration of Federal award programs administered by the Office of Grants and Training (G&T) in conjunction with the provisions of the Office of Management and Budget (OMB) circulars and governmentwide common rules applicable to grants and cooperative agreements, program guidelines, application kits, special conditions, terms and conditions, G&T information bulletins, and DHS policy, regulations and statutes. Details specific to the OMB Circulars can be found on the OMB website at www.whitehouse.gov/omb/circulars/. Below is a list of the most commonly used circulars with which grant recipients should become familiar.
Administrative Guidelines:
OMB Circular A-102, Grants and Cooperative Agreements with State and Local Governments. This Circular establishes consistency and uniformity among Federal agencies in the management of grants and cooperative agreements with State, local, and Federally recognized Indian tribal governments.
OMB Circular A-110, Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals and Other Non-Profit Organizations. This Circular establishes administrative requirements for Federal grants and agreements awarded to commercial organizations, institutions of higher education, hospitals, and other non-profit organizations.
Cost Guidelines:
OMB Circular A-21, Cost Principles for Educational Institutions. This Circular establishes principles for determining costs applicable to grants, contracts, and other agreements with educational institutions.
OMB Circular A-87, Cost Principles for State, Local and Indian Tribal Governments.
This Circular establishes principles and standards for determining costs for Federal awards carried out through grants, cost reimbursement contracts, and other agreements with State, local and Federally recognized Indian tribal governments.
OMB Circular A-122, Cost Principles for Non-Profit Organizations. This Circular establishes principles for determining costs of grants, contracts and other agreements with non-profit organizations. It does not apply to colleges and universities, which are covered by Office of Management and Budget (OMB) Circular A-21, "Cost Principles for Educational Institutions"; State, local, and Federally recognized Indian tribal governments, which are covered by OMB Circular A-87, "Cost Principles for State, Local, and Indian Tribal Governments"; or hospitals.
Code of Federal Regulations,Title 48 Federal Acquisition Regulations Systems, Chapter 1, Part 31, Contract Cost Principles and Procedures. This part is to be used by 2 commercial organizations and contains cost principles and procedures for cost analysis and the determination, negotiation and allowance of costs.
Audit Guidelines:
OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations. This Circular provides requirements regarding audits of State, local and tribal governments and non-profit organizations (the Single Audit Act), in addition to the circulars for cost principles. This Circular requires that non-Federal entities that expend $500,000 (effective January 1, 2004) or more of total Federal funds in their fiscal year shall have a single or program-specific audit conducted for that year. Guidance on determining Federal awards expended is provided in Section 205 of this Circular.
Unless prohibited by law, the costs of audits made in accordance with the provisions of this requirement are allowable charges to Federal awards. The charges may be considered a direct cost or an allocated indirect cost, as determined in accordance with the provisions of applicable OMB cost principles circulars, the Federal Acquisition Regulation (FAR) (48CFR parts 30 and 31), or other applicable cost principles or regulations.
For those organizations not subject to the A-133 requirements, records must still be available and complete for review or audit by appropriate officials or representatives of the Federal agency, pass-through entity, and Government Accountability Office (GAO).
These organizations shall have financial and compliance audits conducted by qualified individuals who are organizationally, personally, and externally independent from those who authorize the expenditure of Federal funds to ensure that there is no conflict of interest or appearance of conflict of interest.
The cost of auditing a non-Federal entity that has Federal awards expended of less than $500,000 per year and is thereby exempted under the A-133 requirement may not charge such costs to their Federal award(s).
Who is this Guide designed for?
This document is provided for the use of all recipients and their subrecipients of Federal award programs administered by G&T. This Guide is to serve as the primary reference for financial management and grants administration. Specific organizations and individuals that are to use this Guide include the following:
Direct Recipients:
Formula and discretionary recipients receiving funds directly from G&T.
Subrecipients:
An individual and/or organization that receives Federal financial or property assistance through the direct recipient of Federal funds. This may include entities receiving funds as a result of formula awards. Units of government and other organizations receiving Federal financial assistance from the State shall adhere to applicable State laws and procedures except where inconsistent with Federal statutes and guidelines. The 3 circulars and government-wide common rules specific to that organization-type also apply.
Individuals from the above organizations who may use this Guide include, but are not limited to: administrators, financial management specialists, grants management specialists, accountants, and auditors. These individuals are to use the Guide as a financial policy reference in executing their duties under agency-funded programs and projects. Additionally, the document is structured to serve as a training manual for new employees.
This Guide is not for the direct use of contractors. However, direct recipients should ensure that monitoring of organizations under contract to them is performed in a manner that will ensure compliance with their overall financial management requirements.
This Guide is intended to be used for fiscal year 2006 and future G&T awards.
Any awards made prior to October 1, 2005 must follow the legacy organization’s regulations as outlined in the recipient’s award terms and conditions.
Order of Precedence
In determining the relevant standards for the conduct of grant operations, grantees should consider the following, in precedential order:
• Public Laws
• Regulations
• Executive Orders
• OMB Circulars
• Departmental Policy
• Award Terms and Conditions
4 Chapter 2: The Application Process
Highlights from this chapter:
• Notice of Funding Availability/Announcements
• Application Review
• Technical Review
• Cost Analysis
5 The Application Process
Notice of Funding Availability/Announcements
A compilation of available assistance programs may be found in the Catalog of Federal Domestic Assistance (CFDA) at www.cfda.gov. G&T grant program announcements can also be found at the DHS/G&T (http://www.ojp.usdoj.gov/odp/welcome.html) and Grants.Gov (www.grants.gov) websites or by contacting the Centralized Scheduling Information Desk (CSID) at 1-800-368-6498 or [email protected] . The websites will provide you, at minimum, a link to the full application kit and online application system.
The following kinds of information can be found in the program guidance/solicitation packages for each specific program:
• Authorization
• Objectives
• Use and Restrictions
• Eligibility - Eligible applicants will be detailed in each program guidance/solicitation package released for funding. Formula funds are generally awarded to the State Administrative Agency (SAA), which may, in turn, subgrant funding to units of local government and nonprofit organizations, based upon statutory authority. (See appropriate specific program guidelines for eligibility.) Discretionary awards may also be awarded to States, units of local government, Indian tribes and tribal organizations, individuals, educational institutions, hospitals, and private nonprofit and private commercial organizations (if legislation allows) at the discretion of DHS/G&T.
• Match Requirements
• Program Description
• Funding Availability
• Program Specific Requirements
• Application Deadlines
• Application Requirements
• Application Forms
• Reporting Requirements
Application Review
SF 424 Analysis:
G&T examines information contained in the Application for Federal Assistance (SF 424) to ascertain the following information:
• Employer Identification Number (EIN). This number includes the Social Security Numbers (SSN) for individuals or employer identification numbers (EIN) for business entities, which are used to identify our customers. • Whether an applicant holds a Federal Debt obligation. The SF 424 includes a question about whether there is Federal debt. That question applies to the organization requesting the financial assistance, not the person who signs the 6 application as the authorized representative of the organization. This kind of debt is defined to include delinquent audit disallowances, loans, and taxes. • DUNS number: All grant applicants must have a Dun & Bradstreet (D&B) Data Universal Numbering System (DUNS) number in order to apply for Federal financial assistance. Organizations may receive a DUNS number at no cost by calling the toll-free DUNS Number request line at 1-866-705-5711. Individuals who apply for grant awards or cooperative agreements from the Federal government are exempt from this requirement.
Financial Capability and Fiscal Integrity:
Nongovernmental (non-profit and commercial) organizations that have not previously received DHS/G&T funds or have not had an active award within 3 years must complete the Accounting System and Financial Capability Questionnaire. This form is to be submitted as part of the application package. This Questionnaire may be obtained at http://www.ojp.usdoj.gov/forms.htm.
A preliminary assessment of the applicant’s financial capability, including the applicant’s accounting system and operations, will be completed to ensure that if Federal funds are awarded the funds will be expended in a judicious manner. Where a nongovernmental applicant (except public colleges, universities, and hospitals) has never received an award, the organization’s accounting system will be reviewed prior to award or within a reasonable time thereafter to assure its adequacy and acceptability. This review may also apply where known financial or management deficiencies appear to exist. The results of the review will determine the action to be taken by the awarding agency with regard to the award, i.e. additional reporting or monitoring requirements. Where an applicant has had prior awards, outstanding audit issues and delinquent audit, financial, or progress reports must be resolved prior to awarding additional discretionary funds.
The awarding agency will obtain credit reports before making awards to new recipients or to those recipients with poor past performance records. Also, the awarding agency may obtain credit reports on any applicant when there is reason to believe that performance is substandard or there is evidence of financial irregularities. If this preliminary assessment indicates that an applicant may be of higher risk, G&T may impose additional monitoring and/or reporting requirements.
G&T will also take the following information into account when considering the application for award: 1) past grant history, 2) audit reports, and 3) financial and performance report submission.
Technical Review
Awards that are made through a competitive review process will undergo a “peer review”. Applications that meet the minimum requirements identified in the program guidance will move forward and be reviewed by a panel(s) of subject matter experts.
The subject matter experts will then score and may rank the applications or make recommendations for funding to G&T.
7 Cost Analysis
G&T may conduct a cost analysis of each project application considered for funding.
This cost analysis includes obtaining cost breakdowns, verifying cost data, evaluating specific elements of costs, and examining data to determine the necessity, reasonableness, allowability, allocability, and appropriateness of the proposed cost. The form and extent of such an analysis will be determined by G&T based on the level and type of funding. Each program guidance package will specify when/if a cost analysis will be completed and the type of cost information required. 8 Chapter 3: The Award Process .
Highlights from this chapter:
• The Award Document
• Acceptance of Award and Conditions
• Types of Financial Assistance: Grant or Cooperative Agreement • Planning and Implementing Award Programs
9 The Award Process
The Award Document
After completing the internal review process, project applications designated for approval are formally awarded through the issuance of an Award Document.
This document includes:
• Name and address of recipient;
• Date of award;
• Project/performance period;
• Vendor/recipient number;
• Amount of Federal funds;
• Award/agreement number;
• Method of payment; and
• Terms and conditions, as appropriate, that the recipient/subrecipient must meet if the award is accepted.
Notification of the award will be made electronically. Instructions will be provided on how to accept the award. All correspondence concerning the award should refer to the designated award/agreement number shown on the Award Document.
Acceptance of Award and Conditions
The Award Document constitutes the operative document obligating and reserving Federal funds for use by the recipient in executing the program or project covered by the award. Acceptance of a Federal award of funds means that the grantee agrees to abide by all applicable laws, regulations, program guidance and special conditions. This obligation may be voided without further cause if the recipient fails to accept the award in a timely manner.
All awards will include terms and conditions that include requirements concerning compliance with this Guide and compliance with the audit requirements. A number of other standard or special conditions may be attached to the award. Recipients are urged to carefully review and understand all terms and conditions of the award prior to award acceptance. Failure to comply with these terms and conditions may result in disallowance of costs and recovery of funds and/or suspension or termination of funds and/or award.
Commercial Award recipients receiving grant funding from G&T should be aware of the additional special conditions placed on these awards. Commercial organizations must agree not to make a profit as a result of an award and not to charge a management fee for the performance of an award. Also, commercial organizations must agree to comply with the Federal Acquisition Regulations (FAR) cost principles and the administrative requirements of OMB Circular A-110.
10 If a recipient materially fails to comply with the terms and conditions of an award, whether stated in a Federal statute, regulation, assurance, application, or notice of award, G&T may take one or more of the following actions, as appropriate in the circumstances. This authority also extends to the recipient agency.
1. Temporarily withhold cash payments pending correction of the deficiency by the recipient.
2. Disallow (that is, deny both use of funds and any applicable matching credit for) all or part of the cost of the activity or action not in compliance.
3. Wholly or partly suspend or terminate the current award.
4. Withhold further awards for the project or program.
5. Take other remedies that may be legally available.
Types of Financial Assistance: Grant or Cooperative Agreement Grants are awarded to States, units of local government, or private organizations at the discretion of the awarding agency or on the basis of a formula. Grants are used to support a public purpose.
Cooperative agreements are awarded to States, units of local government, or private organizations at the discretion of the awarding agency. Like grants, cooperative agreements are also used to support a public purpose. Cooperative agreements are utilized when substantial involvement is anticipated between the awarding agency and the recipient during performance of the contemplated activity.
Planning and Implementing Award Programs
Planning Prior to Award
Sound planning practices, both before and after grant awards, are critical to the progress and success of G&T program initiatives. Pre-planning strategies, such as the use of calendars and tickler files and their use through all planning phases, contribute towards program success.
It is imperative that G&T grant applicants not wait until they receive an award to start planning how funds will be spent. Many grant programs require state and local jurisdictions to develop Homeland Security Strategic Plans, as well as descriptions of firefighting and emergency response needs, to which all allocations of grant funds must be tied. (Refer to specific grant program guidelines for requirements.) All grantees, including subrecipients, should employ pre-planning strategies, to include such activities as threat and vulnerability assessments, needs assessments, and gap analyses prior to making application for a grant award. Based upon the results of these activities, priorities for funding should then be established. Grantees should leverage all relevant funding and resources from multiple sources wherever possible that will support and sustain program efforts. Program budgets should be developed in a manner that maximizes all resources, not restrictive to Federal funding alone, avoids duplication of spending, will help achieve identified priorities, and will account for expenditures. 11 Chapter 4: Managing Federal Funds
Highlights from this chapter:
• Financial Management System Requirements
• Recipient and Subrecipient Accounting Responsibilities • Commingling of Funds
• Monitoring Project Performance
• Conflicts of Interest
• Supplanting
12 Managing Federal Funds
Financial Management System Requirements
All recipients are required to establish and maintain accounting systems and financial records to accurately account for funds awarded to them. These records shall include both Federal funds and all matching funds of State, local, and private organizations, when applicable. State recipients shall expend and account for grant funds in accordance with State laws and procedures for expending and accounting for their own funds. Subrecipients of States shall follow the financial management requirements imposed on them by States, which must comply with the requirements G&T has imposed on the States.
Funds specifically budgeted and/or received for one project may not be used to support another without prior written approval of the awarding agency. Where a recipient’s or subrecipient’s accounting system cannot comply with this requirement, the recipient or subrecipient shall establish a system to provide adequate fund accountability for each project it has been awarded.
Where the conduct of a program or one of its components is delegated to a subrecipient, the direct recipient is responsible for all aspects of the program, including proper accounting and financial recordkeeping by the subrecipient. Responsibilities include the accounting of receipts and expenditures, cash management, maintenance of adequate financial records, and refunding expenditures disallowed by audits.
Recipient and Subrecipient Accounting Responsibilities
• Reviewing Financial Operations - Direct recipients should be familiar with, and periodically monitor, their subrecipients’ financial operations, records, systems, and procedures. Particular attention should be directed to the maintenance of current financial data.
• Recording Financial Activities - The subrecipient’s award or contract obligation, as well as cash advances and other financial activities, should be recorded in the books of the recipient in summary form. Subrecipient expenditures should be recorded on the books of the recipient or evidenced by report forms duly filed by the subrecipient. Non-Federal contributions applied to programs or projects by subrecipients should likewise be recorded, as should any program income resulting from program operations. All financial records must validate expenditures related to the respective grant(s). • Budgeting and Budget Review - The recipient should ensure that each subrecipient prepares an adequate budget on which its award commitment will be based. The detail of each project budget should be maintained on file by the recipient.
• Accounting for Non-Federal Contributions - Recipients will ensure that the requirements, limitations, and regulations pertinent to non-Federal contributions are applied.
• Audit Requirements - Recipients must ensure that subrecipients have met the necessary audit requirements contained in this Guide.
13 • Reporting Irregularities - Recipients and their subrecipients shall promptly notify the awarding agency and the Federal cognizant audit agency of any illegal acts or irregularities and of proposed and actual actions, if any. Illegal acts and irregularities include conflicts of interest, falsification of records or reports, and misappropriation of funds or other assets. Should a recipient become aware of any criminal activity related to Federal assistance, these criminal acts should be reported to the appropriate law enforcement agency.
• Debarred and Suspended Organizations - Recipients and subrecipients must not award or permit any award at any level to any party that is debarred or suspended from participation in Federal assistance programs. • Bonding - The awarding agency may require adequate fidelity bond coverage where the recipient lacks sufficient coverage to protect the Federal government interest (see OMB Circular A-110, Subpart C, paragraph 21(c) and OMB Circular A-122). Where the conduct of a program or one of its components is delegated to a subrecipient, the direct recipient is responsible for all aspects of the program, including proper accounting and financial recordkeeping by the subrecipient.
Responsibilities include accounting for receipts and expenditures, cash management, maintaining adequate financial records, and refunding expenditures disallowed by audits.
Commingling of Funds
Federal agencies shall not require physical segregation of cash deposits or the establishment of any eligibility requirements for funds that are provided to a recipient.
However, the accounting systems of all recipients and subrecipients must ensure that agency funds are not commingled with funds from other awards or Federal agencies.
Each award must be accounted for separately. Recipients and subrecipients are prohibited from commingling funds on either a program-by-program or project-by-project basis without prior written approval of the awarding agency.
Monitoring Project Performance
Recipient Responsibilities:
A recipient has full responsibility for the conduct of the project or activity supported and for the results achieved. The recipient must monitor the performance of the project to assure adherence to performance goals, time schedules or other requirements as appropriate to the project or the terms of the agreement. The recipient is responsible for monitoring the activities of and pass-through requirements to any subrecipients.
Federal (DHS/G&T) Responsibilities:
It is DHS/G&T practice to limit involvement between itself and the recipient in the performance of a project to the minimum necessary to achieve program objectives and to ensure conformance with requirements of the grant. The Federal role is that of a partner, where the Government provides the financial assistance and the recipient carries out the project activities. In the case of a cooperative agreement, substantial involvement is expected between the Federal agency and the State, local government, or other recipient when carrying out the activity contemplated in the agreement. 14 Monitoring is a process whereby the programmatic progress and financial and business management aspects of a financial assistance award are reviewed by assessing information gathered from program and financial reports, site visits, teleconferences, and other means. DHS/G&T requires financial assistance recipients to have adequate management systems to ensure that project objectives are met and funds are spent and accounted for properly. To the extent possible, financial assistance award monitors rely on the management systems of the financial assistance recipients to meet project objectives, comply with award terms and conditions, and account for funds.
Conflicts of Interest
To avoid conflicts of interest, personnel and other officials connected with agency funded programs shall adhere to the following requirements:
No official or employee of a State or unit of local government or a non-governmental recipient/subrecipient shall participate personally through decisions, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise in any proceeding, application, request for a ruling or other determination, contract, award, cooperative agreement, claim, controversy, or other particular matter in which award funds (including program income or other funds generated by Federally funded activities) are used, where to his/her knowledge, he/she or his/her immediate family, partners, organization other than a public agency in which he/she is serving as an officer, director, trustee, partner, or employee, or any person or organization with whom he/she is negotiating or has any arrangement concerning prospective employment, has a financial interest, or has less than an arms-length transaction.
In the use of agency project funds, officials or employees of State or local units of government and non-governmental recipient/subrecipients shall avoid any action that might result in, or create the appearance of:
• Using his or her official position for private gain;
• Giving preferential treatment to any person;
• Losing complete independence or impartiality;
• Making an official decision outside official channels; or • Affecting adversely the confidence of the public in the integrity of the government or the program. For example, where a recipient of federal funds makes subawards under any competitive process and an actual conflict or an appearance of a conflict of interest exists, the person for whom the actual or apparent conflict of interest exists should recuse himself or herself not only from reviewing the application for which the conflict exists, but also from the evaluation of all competing applications.
Violations of the conflict of interest standards may result in criminal, civil, or administrative penalties.
Supplanting
Recipients of G&T funds shall not replace funding appropriated from State and local governments with their Federal grant funding. It is the purpose of these grants to increase the overall amount of resources available to any G&T funded organization in order to bolster preparedness and to increase services and opportunities. Current levels 15 of activities or programs funded by State, local or non-governmental entity resources should only be increased by receipt of Federal funding. Recipients therefore must ensure that they do not reduce the current overall level of funding support to preparedness missions, absent exigent circumstances.
For example, if a State pays the salaries of three intelligence analysts, it cannot begin to pay the salary of one of them with Federal grant funding. It could, however, hire a fourth analyst.
Potential supplanting will be the subject of application review, as well as pre-award review, post-award monitoring, and audit. If there is a potential presence of supplanting, the applicant or grantee will be required to supply documentation demonstrating that the reduction in non-Federal resources occurred for reasons other than the receipt or expected receipt of Federal funds.
A confirmation during the application process may be requested by the awarding agency or recipient agency stating that Federal funds will not be used to supplant State or local funds.
16 Chapter 5: Payments
Highlights from this chapter:
• Request for Advance or Reimbursement
• Withholding of Funds
• Cash Management Improvement Act of 1990
• Interest
17 Payments
The method used to request grant funds may be different depending on the grant program. Information on how to access grant funds is provided to grant recipients in the program guidance and/or post award instructions. For assistance in determining the method to be used for payment requests, please contact the Office of Grant Operations at 1-866-9ASK-OGO or [email protected].
Request for Advance/Reimbursement
Recipient organizations generally request funds based upon immediate disbursement requirements. Funds will not be paid in a lump sum, but rather disbursed over time as project costs are incurred or anticipated. Recipients should time their drawdown requests to ensure that Federal cash on hand is the minimum needed for disbursements to be made immediately or within a few days. Beginning with fiscal year 2005 funds, recipients may elect to drawdown funds up to 120 days prior to expenditure/disbursement. G&T strongly encourages recipients to draw down funds as close to expenditure as possible to avoid accruing interest.
Fund requests from subrecipients create a continuing cash demand on award balances of the State. The State should keep in mind that idle funds in the hands of subrecipients will impair the goals of sound cash management. All recipients must develop procedures for the disbursement of funds to ensure that Federal cash on hand is kept at a minimal balance.
Withholding of Funds
G&T may withhold payments to a recipient organization after proper notification or opportunity to remedy, by demonstrating any of the following:
1. Unwillingness or inability to attain program or project goals or to establish procedures that will minimize the time elapsing between cash drawdowns and expenditures;
2. Inability to adhere to guideline requirements or special conditions;
3. Improper award and administration of subawards or contracts; and
4. Inability to submit reliable and/or timely reports.
Cash Management Improvement Act of 1990
The Cash Management Improvement Act (CMIA) provides the general rules and procedures for the efficient transfer of Federal financial assistance between the Federal government and the States. Under this Act, States are no longer exempt from payment of interest to the Federal government resulting from drawing down funds prior to the need to pay off obligations incurred. States must pay interest in the event that the States draw down funds before the funds are needed to pay for program expenses.
Please note: Although recipients may draw down funds up to 120 days in advance of expenditure, State grantees are still subject to the interest requirements of the 18 CMIA and its implementing regulations at 31 C.F.R. Part 205. Interest under CMIA will accrue from the time Federal funds are credited to a State account until the time the State pays out the funds to a subgrantee or otherwise expends for program purposes.
Recipients should request funds based on an immediate cash needs basis.
Interest
Recipients and subrecipients shall minimize the time elapsing between the transfer and disbursement of funds.
1. A State, its subrecipient and any agency or instrumentality of a State, including State institutions of higher education and State hospitals, but not political subdivisions of a State (cities, towns, counties, and special districts created by State law) SHALL NOT be held accountable for interest earned on grant money pending its disbursement for program purposes. This refers to formula grant programs where subawards are made to local jurisdictions. Subrecipients under formula grant programs are held accountable for interest earned on advances.
2. Tribal organizations SHALL NOT be held accountable for interest earned pending their disbursement by such organizations.
3. All local units of government (political subdivisions of a State, including cities, towns, counties and special districts created by State law) shall account for interest earned on Federal funds. Local units of government may keep interest earned on Federal grant funds up to $100 PER FEDERAL FISCAL YEAR. This maximum limit is not per award; it is inclusive of all interest earned as a result of all Federal grant program funds received per year.
4. Nonprofit and commercial organizations shall account for interest earned on Federal funds. Nonprofit organizations may keep interest earned on Federal grant funds up to $250 PER FEDERAL FISCAL YEAR. This maximum limit is not per award; it is inclusive of all interest earned as a result of all Federal grant program funds received per year.
For G&T grants, interest earned, in excess of the amounts stated above, must be remitted to the United States Department of Health and Human Services, Division of Payment Management Services, P.O. Box 6021, Rockville, MD 20852.
For Assistance to Firefighters Grants (AFG) grants, interest should be remitted to the FEMA-Accounting Services Division, Disbursements and Receivables Branch, 500 C Street, S.W., Room 723, Washington, D.C. 20472.
19 Chapter 6: Obligation and Expenditures
Highlights from this chapter:
• Obligation of Funds
• Period of Availability
• Expenditure of Funds
• Suspension and Termination
20 Obligation and Expenditures
Obligation of Funds
Obligations are a legal liability to pay, under a grant, subgrant, and/or contract, determinable sums for services or goods incurred during the grant period. This includes, but is not limited to, amounts of orders placed, contracts and grants awarded, services received and similar transactions that require payment by the recipient during the same or a future period.
Period of Availability
The award period is the period of time when Federal funding is available for obligation by the recipient. The recipient may charge to the grant only allowable costs resulting from obligations incurred during the funding period and any pre-award costs authorized by G&T. An obligation occurs when funds are encumbered, such as in a valid purchase order or requisition to cover the cost of purchasing an authorized item on or after the begin date and up to the last day of the grant period in the award. Any funds not properly obligated by the recipient within the grant award period will lapse and revert to G&T. The obligation deadline is the last day of the grant award period unless otherwise stipulated.
The obligation period is the same as the award period listed on the award document. No additional obligations can be incurred after the end of the grant.
Example: If the award period is 10/1/04 to 9/30/05, the obligation deadline is 9/30/05.
Expenditure of Funds
Recipients who have properly obligated funds by the end of the award period will have 90 days in which to liquidate (expend) these funds. Any funds not liquidated at the end of the 90-day period will lapse and may revert to G&T, unless an adjustment extending the liquidation period has been approved. Refer to Chapter 8 for more information regarding extensions.
Example: If the award period is 10/1/2004 to 9/30/2005, then all funds obligated by 9/30/2005 must be liquidated/expended by 12/29/2005.
Suspension and Termination
G&T may terminate any project, in whole or in part, for the convenience of the Government or when a recipient materially fails to comply with the terms and conditions of an award. This includes unauthorized use of payment access codes by someone other than the grantee of record, or when the recipient and G&T agree to do so. In the event that the decision has been made to terminate a project, G&T will:
1. Notify the recipient in writing of its decision;
2. Specify the reason; and
3. Afford the recipient/subrecipient a reasonable time to offer a remedy or to terminate project operations.
21 A project that is terminated will be subject to the same requirements regarding audit, recordkeeping, and submission of reports as a project that runs for the duration of the project period. Upon notification, no new obligations may be made against the award. 22 Chapter 7: Grant Reporting
Highlights from this chapter:
• Financial Reporting
• Programmatic Reporting
23 Grant Reporting
G&T requires award recipients to submit both financial and program reports. These reports describe the status of the funds, the status of the project, a comparison of actual accomplishments to the objectives, the reason(s) goals have not been met, and/or other pertinent information. The specific requirements, reporting periods and submission deadlines are detailed in the program guidance and/or terms and conditions of the award. Future awards, fund drawdowns, and modification approvals may be withheld if financial and program reports are delinquent.
Financial Reporting
Generally, G&T requires grant recipients to submit a quarterly Financial Status Report (SF 269a) for each active grant award. These reports are due 30 days after the end of the calendar quarter. Financial reporting requirements may vary for G&T grant programs; therefore, for specific reporting instructions on a given grant program, please refer to the program guidance for information regarding the report to be submitted, the frequency of reporting and the deadline for submission of the report.
For those recipients required to submit the SF269a quarterly Financial Status Report, this report must be submitted on-line using the Grants Management System. The link to submit this report is https://grants.ojp.usdoj.gov/. For assistance using this system, recipients may contact the OJP GMS Help Desk at 888-549-9901 or at [email protected]. As of January 1, 2006 paper copies of these forms will no longer be accepted.
Programmatic Reporting
All G&T grant programs require that the recipient report on the performance and progress of grant activities. Reporting requirements may vary in format and in time frame, so please refer to the specific guidance for each program for full details on the required program report(s).
For those recipients required to submit the semi-annual Categorical Assistance Progress Report (CAPR), this report must be submitted on-line using the Grants Management System. The link to submit this report is https://grants.ojp.usdoj.gov/. For assistance using this system, recipients may contact the OJP GMS Help Desk at 888-549-9901 or at [email protected]. As of January 1, 2006 paper copies of these reports will no longer be accepted.
24 Chapter 8: Adjustments to Awards
Highlights from this chapter:
• Modifications and Revisions (including Grant Adjustment Notices) • Notification of Changes
• Types of Adjustments
25 Adjustments to Awards
Modifications and Revisions (including Grant Adjustment Notices) All requests for programmatic and/or administrative changes must be submitted in a timely manner by the recipient/subrecipient. All requests for changes to the approved award shall be carefully reviewed by the applicable authority for both consistency with this Guide and their contribution to the project goals and objectives.
Notification of Changes
All recipients must give notification in writing to G&T of events or proposed changes that may require an adjustment/notification. In requesting an adjustment, the recipient must set forth the reasons and basis for the proposed change and any other data deemed helpful for G&T review. Recipient requests will be reviewed by G&T and approval of these changes, if granted, will be provided in writing. Requests for adjustments will be considered only if the reporting requirements are current and terms and conditions have been met at the time the request for the adjustment is made.
Types of Adjustments:
• Change of Address - Recipients are required to notify G&T of changes to their mailing address.
• Changes in Award Period - Recipients may request an extension of the award/obligation and expenditure period. Written requests should be at least 90 calendar days before the end date of the award. A narrative justification must be submitted with the project or program extension request on agency letterhead.
Complete details must be provided, including the justification and the extraordinary circumstances that require the proposed extension, and a certification that there are adequate funds remaining to support the extension.
Explain the effect of a denial of the request on the project or program. • Changes in Scope - Change in the scope of the programmatic activities or purpose of the project.
• Change in project site.
• Changes that increase or decrease the total cost of the project. • Change in approved budget categories in excess of 10 percent of the total award amount - Movement of dollars between approved budget categories is allowed up to 10 percent of the total budget cost (total award amount) as last approved by G&T, provided there is no change in project scope. When the cumulative changes exceed 10 percent of the total award amount (includes the initial award plus the supplements) or change the scope of the project, prior approval from G&T is required. This 10 percent rule applies to awards over $100,000; however, if the total award is equal to or less than $100,000, and the scope of the project doesn’t change, prior approval is not required unless otherwise required in the program guidance or award documents.
• Change in or temporary absence of the project manager/director. • Transfer of project.
• Successor in interest and name change agreements.
• Addition of an item to the project budget requiring prior approval. 26 • Retirement of special conditions, if required.
• Changes in key personnel, if any are specified by the special conditions. • Change of State Administrative Agency (SAA) - Should the Governor of a state elect to change the SAA during the grant period, the current SAA must close-out the grant(s) that are transferring to the new SAA prior to any funds being transferred to the newly designated SAA. The close-out information must include, at minimum, a final Financial Status Report (SF-269a) and a final program report. It is G&T policy that these funds will not be awarded to the newly designated SAA prior to close-out of the original award. States are responsible for working with their vendors and/or subrecipients to obtain final expenditure reports, invoices, payment requests, etc. in a timely manner in order to assist in the transfer of funds to the new SAA. Once the close-out information has been submitted to G&T, the newly designated SAA will be permitted to apply for the remaining funds through the Grants Management System. 27 Chapter 9: Other Program Funds
Highlights from this chapter:
• Program Income
• Requirements for Match or Cost Sharing
28 Other Program Funds
Program Income
Program income is gross income earned by the recipient that is directly generated by a supported activity or earned as a result of the program. 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 Federally funded projects, the sale of commodities or items fabricated under an award, license fees and royalties on patents and copyrights, and interest on loans made with award funds. For example, if the purpose of the grant is to conduct conferences, any training fees that are generated would be considered program income. Interest earned on advances of Federal funds is not program income.
Accounting for and Reporting Program Income
Program income earned during the project period shall be retained by the recipient and, in accordance with OMB regulations or the terms and conditions of the award, shall be used and accounted for in one or more of the following ways.
1. Added to funds committed to the project by the Federal awarding agency and recipient and used to further eligible project or program objectives.
2. Used to finance the non-Federal share of the project or program, if applicable.
3. Deducted from the total project or program allowable cost in determining the net allowable costs on which the Federal share of costs is based.
Program income may be used to supplement project costs or reduce project costs, or may be refunded to the Federal government. Program income may only be used for allowable program costs and must be expended prior to additional drawdowns.
Use and Disposition of Program Income
Unless specified by G&T, program income should be used as earned and expended as soon as possible. If the cost is allowable under the Federal grant program, then the cost would be allowable using program income. If program income earned on a discretionary grant during the grant period remains at the end of the grant period, the recipient should request a no-cost extension of the grant period to provide the recipient with ample time to expend the program income for allowable project purposes. If there is no special condition on the award concerning the accounting for program income earned after the funding period, then such program income can be used at the discretion of the recipient.
The Federal portion of program income must be accounted for up to the same ratio of Federal participation as funded in the project or program. For example:
1. A discretionary project funded with 100 percent Federal funds must account for and report on 100 percent of the total program income earned. If the total program income earned was $20,000, the recipient must account for and report the $20,000 as program income on the Financial Status Report.
2. If a recipient was funded by formula funds at 75 percent Federal funds and 25 percent non-Federal funds and the total program income earned by the grant 29 was $100,000, $75,000 must be accounted for and reported, by the recipient, as program income on the Financial Status Report.
Direct recipients of formula grants will be responsible for requiring subrecipients to comply with program income guidelines.
For additional information on Program Income please refer to the appropriate OMB Circular (A-102 or A-110)
Requirements for Matching or Cost Sharing
Funds provided for a match must be used to support a Federally funded project and must be in addition to, and therefore supplement, funds that would otherwise be made available for the stated program purpose. Match is restricted to the same use of funds as allowed for the Federal funds.
Matching contributions need not be applied at the exact time or in proportion to the obligation of the Federal funds unless stipulated by legislation. However, the full matching share must be obligated by the end of the period for which the Federal funds have been made available for obligation under an approved program or project.
Sources of the match can either be a cash match or an in-kind match unless specified in the program guidance, regulation or statute.
Cash Match includes cash spent for project-related costs. Allowable cash match must include those costs that are allowable with Federal funds with the exception of the acquisition of land, when applicable. Cash match may be applied from the following sources:
1. Funds from states and local units of government that have a binding commitment of matching funds for programs or projects, or
2. Funds from the following:
Housing and Community Development Act of 1974, 42 USC §5301, et seq. (subject to the applicable policies and restrictions of the Department of Housing and Urban Development).
Appalachian Regional Development Act of 1965, 40 USC §214. Equitable Sharing Program, 21 USC §881(e) (current guidelines developed by the DOJ Asset Forfeiture Office apply). Forfeited assets used as match from the Equitable Sharing Program would be adjudicated by a Federal court. Funds contributed from private sources.
3. Program income and the related interest earned on that program income generated from projects, provided they are identified and approved prior to making an award, or
4. Funds earned from seized assets and forfeitures (adjudicated by a State court, as State law permits), or
30 5. Funds appropriated by Congress for the activities of any agency of a Tribal government or the Bureau of Indian Affairs performing law enforcement functions on Tribal lands, or
6. Sources otherwise authorized by law.
Except as noted above, Federal funds may not be used for match purposes.
In-kind Match includes, but is not limited to, the valuation of in-kind services. “In-kind” is the value of something received or provided that does not have a cost associated with it.
For example, if in-kind match is permitted by law, then the value of donated services could be used to comply with the match requirement.
Recordkeeping: Recipients and their subrecipients must maintain records that clearly support the source, the amount, and the timing of all matching contributions. In addition, if a program or project has included within its approved budget contributions that exceed the required matching portion, the recipient must maintain records of them in the same manner as it does the awarding agency funds and required matching shares. The direct recipient has primary responsibility for subrecipient compliance with requirements.
Waiver of Match Requirement: In accordance with 48 USC §1469a, congressional declaration of a policy regarding insular areas, the awarding agency, in its discretion, shall waive any requirement for matching funds otherwise required by law to be provided by the certain insular areas. This waiver applies to ALL awards made to American Samoa, Guam, the Virgin Islands, and Northern Mariana Islands. 31 Chapter 10: Costs and Expenditures
Highlights from this chapter:
• Allowable Costs
• Unallowable Costs
• Costs Requiring Prior Approval
32 Costs and Expenditures
Allowable Costs
Allowable costs are those costs identified in the circulars, as noted below, and in the grant program’s authorizing legislation. In addition, costs must be reasonable, allocable, necessary to the project, and comply with the funding statute requirements. Recipients should refer to the program guidelines to determine what program costs are allowable for that specific program. It is important to note that costs that are allowable under one G&T program may be specifically prohibited under another. Additionally, allowable items may change from one fiscal year to another, so it is important to verify allowable costs with Program Guidance specific to the fiscal year funding.
Please note, grantees generally are not required to comport with the restrictions of the Buy American Act (41 U.S.C. 10a). However, grants authorized under the Stafford Act, including the Emergency Management Performance Grant, must follow these standards. The Buy American Act requires that all materials purchased be produced in the United States, unless such materials are not available, or such a purchase would not be in the public interest.
Applicable Cost Principles:
OMB Circular A-21 “Cost Principles for Educational Institutions” OMB Circular A-87 “Cost Principles for State, Local, and Indian Tribal Governments” OMB Circular A-122 “Cost Principles for Nonprofit Organizations” Code of Federal Regulations, Title 48 Federal Acquisition Regulations Systems, Part 31 “Contract Cost Principles and Procedures”
Equipment
For G&T programs that include the purchase of equipment, recipients are encouraged to review the Interagency Board’s (IAB) Standardized Equipment List (SEL) and the Authorized Equipment List (AEL). These lists maybe be found on the Responder Knowledge Base (RKB) website at http://www.rkb.mipt.org. If State agencies and/or local governments have questions concerning the eligibility of equipment not specifically addressed in the AEL, they should contact their Program Manager or Preparedness Officer for clarification.
Disposition or Recovery of Federally Owned Assets
A State will dispose of equipment acquired under a grant by the State in accordance with State laws and procedures. All other grantees and subgrantees shall dispose of equipment as follows:
1. Items of equipment with a current per unit fair market value of less than $5,000 may be retained, sold or otherwise disposed of with no further obligation to the awarding agency.
33 2. Items of equipment with a current per unit fair market value greater than $5,000 may be retained or sold and the awarding agency shall have a right to an amount calculated by multiplying the current market value or proceeds from sale by the awarding agency's share of the equipment.
To remit payments, award recipients should contact the Office of Grant Operations ([email protected] or 1-866-9ASK-OGO) for further instructions.
Consultant Rates
Compensation for individual consultant services is to be reasonable and consistent with the amount paid for similar services in the market place. Consideration can be given to compensation, including fringe benefits, for those individuals whose employers do not provide the same. Time and effort reports are required for consultants. Competitive bidding for consultant services is encouraged.
State and Local Sales Taxes
State and local sales taxes are generally allowable costs, unless the tax is levied solely on Federal programs or Federal funding.
Indirect Costs
Indirect costs are costs of an organization that are not readily assignable to a particular project, but are necessary to the operation of the organization and the performance of the project. The cost of operating and maintaining facilities, depreciation, and administrative salaries are examples of the types of costs that are usually treated as indirect.
In order to be reimbursed for indirect costs, a recipient must first obtain an approved indirect cost rate. To do this, the recipient must prepare an indirect cost rate proposal and submit it to the cognizant Federal agency. The cognizant Federal agency is assigned by OMB or is determined based on the preponderance of Federal dollars received by the recipient, or which agency has awarded the most funds. If an indirect cost proposal for recovery of actual indirect costs is not submitted to the cognizant Federal agency within three months of the start of the award period, indirect costs will be irrevocably lost for all months prior to the month that the indirect cost proposal is received. This requirement is effective for all awards.
If a recipient has a Federally approved indirect cost rate agreement, G&T will accept any current indirect cost rate or allocation plan previously approved for a recipient by any Federal awarding agency on the basis of allocation methods substantially in accord with those set forth in the applicable cost circulars. Approving rates for subrecipients is the responsibility of the direct recipient. Per the OMB guidelines, G&T does not approve indirect cost rates beyond the direct recipient level. For information on how to obtain an approved indirect cost rate, direct recipients should contact the Office of Grant Operations at 1-866-9ASK-OGO or [email protected].
34 Indirect Costs versus Management and Administrative (M&A) Costs Indirect costs are defined as costs that are incurred for common or joint objectives and therefore cannot be identified readily and specifically with a particular award/project, but contribute to the ability of the recipient to support projects and programs and sustain the daily operations of the organization. Indirect costs are not incurred specifically from the actual performance of the activities under a particular award. Indirect costs are charged based on an approved rate and applicable base, which encompasses total organizational activity.
Indirect costs may include:
• Depreciation
• Rent
• Telephone
• Postage
• Printing
• Other expenses that benefit all programs and functions of an organization.
Management and Administrative costs are direct costs that are incurred to administer a particular program/award. M&A costs are identifiable and unique to each program/award and are charged based on the activity performed for that particular project.
M&A costs may include:
• Salaries of full-time or part-time staff or contractors/consultants to assist with the management of the program
• Hiring of full-time or part-time staff or contractors/consultants to assist with the implementation and administration of the program
• Travel expenses
• Meeting-related expenses
Food and Beverages
Food and/or beverage expenses provided by recipients are allowable costs if: (1) the food and/or beverages are provided to participants at training sessions, meetings, or conferences that are allowable activities under the particular G&T program guidelines; and (2) Expenses incurred for food and/or beverages and provided at training sessions, meetings, or conferences satisfy the following tests: (a) the cost of the food and/or beverages provided is considered to be reasonable; (b) the food and/or beverages provided are subject of a work-related event; (c) participation by all participants is mandatory; and (d) the food and/or beverages provided are not related directly to amusement and/or social events. (Any event where alcohol is being served is considered a social event; therefore, costs associated with that event are not allowable).
In the event food/meal(s) are being provided, the amount charged for per diem must be reduced accordingly.
35 Software development
Software development costs are allowable and may be expended in the period incurred with no dollar limitation.
Maintenance contracts
The cost of an equipment maintenance agreement is allowable for the period of time that covers the grant project period. Any portion of the contract that extends beyond the grant period may not be charged to the grant award using Federal or matching funds. For example, if the grant project period is one year and the maintenance agreement is for three years, only the cost associated with the first year of the agreement would be allowable. The grantee would have to prorate the cost of the agreement to cover only the grant project period.
Warranty costs
Warranty costs (extensions) on equipment providing extended coverage for parts, labor and repair, above and beyond the term of the original manufacturer's warranty, are allowable if the cost of the warranty is included as part of the acquisition cost. Acquisition cost means the cost of the asset including the cost to put it in place. Acquisition cost for equipment, for example, means the net invoice price of the equipment, including the cost of any modifications, attachments, accessories, or auxiliary apparatus necessary to make it usable for the purpose for which it is acquired.
Unallowable Costs
In addition to the applicable OMB cost principles, recipients should refer to the program guidelines to determine what program costs are not allowed for that specific program.
Costs that are unallowable under one G&T program may be allowed under another.
Costs generally unallowable under Federal grants are as follows:
Land Acquisition
Land acquisition costs are unallowable unless otherwise noted in grant guidance.
Compensation of Federal Employees
Salary payments, consulting fees, or other compensation of full-time Federal employees are unallowable costs.
Travel of Federal Employees
Costs of transportation, lodging, subsistence, and related travel expenses of G&T employees are unallowable charges. Travel expenses of other Federal employees for advisory committees or other program or project duties or assistance are allowable if they have been:
1. Approved by the Federal employee’s Department or Agency; and 36 2. Included as an identifiable item in the funds budgeted for the project or subsequently submitted for approval.
Bonuses or Commissions
The recipient or subrecipient is prohibited from paying any bonus or commission to any individual or organization for the purpose of obtaining approval of an application for award assistance. Bonuses to officers or board members of profit or non-profit organizations are determined to be a profit or fee and are unallowable.
Lobbying
All recipients and subrecipients must comply with the provisions of the government-wide Common Rule on Restrictions on Lobbying, as appropriate.
Fund Raising
Costs of organized fund raising, including financial campaigns, endowment drives, solicitation of gifts and bequests, and similar expenses incurred solely to raise capital or obtain contributions, may not be charged either as direct or indirect costs against the award. Neither the salary of persons engaged in such activities nor indirect costs associated with those salaries may be charged to the award, except insofar as such persons perform other program related activities.
An organization may accept donations (i.e., goods, space, services) as long as the value of the donations is not charged as a direct or indirect cost to the award. The donation must be supported with source documentation.
A recipient may also expend funds, in accordance with approved award terms, to seek future funding sources to expand the project, but not for the purpose of raising funds to finance related or complementary project activities.
Nothing in this section should be read to prohibit a recipient from engaging in fund raising activities as long as such activities are not financed by the Federal or nonFederal portion of award funds.
Conferences and Workshops
Unallowable costs include:
• Entertainment;
• Sporting events;
• Visa fees;
• Passport charges;
• Tips;
• Bar charges/Alcoholic beverages;
• Laundry charges; and
• Lodging costs in excess of Federal per diem.
37 Costs Requiring Prior Approval
Written approval is required for those costs specified in OMB Circulars A-21, A-87, and A-122 as “Costs Allowable With Approval of Awarding Agency” or costs that contain special limitations.
Where prior approval is required, G&T will be the approval authority for all discretionary recipients and for the State when it is the direct recipient. Where prior approval authority for subrecipients is required, it will be vested in the State unless specified as being “RETAINED BY THE FEDERAL AWARDING AGENCY,” as identified below.
Subrecipient requests for G&T approval should be submitted through the State for a formula award.
The intention of G&T is not to require approval of all changes within the listed cost categories, but only for those aspects or elements that specifically require prior approval.
Types of Costs Requiring Prior Approval
The following is a list of costs that require prior approval:
• Construction - The use of G&T funds for construction is generally prohibited, except as outlined in the specific program guidelines (see program specific guidelines for details). Written approval must be provided by G&T prior to the use of any G&T funds for construction or renovation.
• Preagreement Costs - Costs incurred prior to the start date of the award may be charged to the project only if the recipient receives prior approval from G&T.
Prior approval is required for costs incurred before the date of the subaward period and costs may be charged to the project only if the award or subaward application specifically requests support for preagreement costs. States may approve preagreement costs for subrecipients if incurred subsequent to the beginning of the Federal fiscal year of award.
• Proposal Costs - Unless specifically outlined in program guidance as allowable without prior approval, costs to projects for preparing proposals for potential Federal awards require PRIOR APPROVAL for: (1) the obligation or expenditure of funds; or (2) the performance or modification of an activity under an award/subaward project, where such approval is required. • Audit Costs - Audit costs for audits not required or performed in accordance with OMB Circular A-133 are unallowable. If the grantee did not expend $500,000 or more in Federal funds in its fiscal year, but contracted with a certified public accountant to perform an audit, these costs may not be charged to the grant. o Unless prohibited by law, the cost of audits made in accordance with the provisions of this requirement are allowable charges to Federal awards.
The charges may be considered a direct cost or an allocated indirect cost, as determined in accordance with the provisions of applicable OMB cost 38 principles circulars, the Federal Acquisition Regulation (FAR) (48CFR parts 30 and 31), or other applicable cost principles or regulations. o The cost of auditing a non-Federal entity which has Federal awards expended of less than $500,000 per year and is thereby exempted under the A-133 requirement may not charge such costs to their Federal award(s).
• Interest Expense - Interest on debt incurred for: (a) acquisition of equipment and buildings; (b) building construction; (c) fabrication; (d) reconstruction; and (e) remodeling is an allowable cost with prior approval. This interest applies only to buildings completed on or after 10/1/80 for State and local units of government and 9/29/95 for non-profit organizations.
• Foreign Travel - Direct charges for foreign travel costs are allowable only when the travel has prior approval of G&T. Foreign travel is defined as any travel outside of Canada and the United States and its territories and possessions.
However, for organizations located in foreign countries, the term “foreign travel” means travel outside that country.
Note: Indirect charges for foreign travel are allowable without prior approval of G&T when: (a) included as part of a Federally approved indirect cost rate; and (b) such costs have a beneficial relationship to the project. Each separate foreign trip must be approved.
Recipients must comply with the provisions of the Fly America Act (49 USC § 40118). The Fly America Act requires travelers performing U.S. Governmentfinanced foreign air travel to use U.S. flag air carriers to the extent that such service is available. Foreign air carriers may be used only in specific instances, such as when a U.S. flag air carrier is unavailable, or use of U.S. flag air carrier service will not accomplish the mission. If a foreign air carrier is used for any part of foreign travel, the recipient must maintain supporting documentation in the grant files available and specifically identified for review during an audit.
Requests must be in writing and justified with an explanation to permit review of the allowability. They may be submitted:
1. Through inclusion in the budget or other components of an award or subaward application; or
2. As a separate written request to the appropriate authority as described above. 39 Chapter 11: Procurement
Highlights from this chapter:
• Procurement Standards
• Sole Source Procurement (Non-Competitive)
40 Procurement
There are times when it may be necessary to procure goods and/or services in order to accomplish the goals of a program. For example, it may be necessary to purchase equipment or subcontract for services that the recipient does not have the required inhouse expertise to perform.
Procurement Standards
• General - A State shall follow the same policies and procedures it uses for procurement from its non-Federal funds. The State shall ensure that every purchase order or other contract includes any clauses required by Federal statutes and executive orders and their implementing regulations. Subrecipients of States shall follow the procurement requirements imposed upon them by the States. Other recipients and subrecipients will follow the appropriate OMB Circular (OMB Circular A-110 or OMB Circular A-102).
• Standards - Recipients and subrecipients shall use their own procurement procedures and regulations, provided that the procurement conforms to applicable Federal law and standards.
• Adequate Competition - All procurement transactions, whether negotiated or competitively bid and without regard to dollar value, shall be conducted in a manner so as to provide maximum open and free competition. All sole-source procurements in excess of $100,000 must receive prior written approval of the awarding agency. Interagency agreements between units of government are excluded from this provision.
• Non-competitive Practices - The recipient/subrecipient shall be alert to organizational conflicts of interest or non-competitive practices among contractors that may restrict or eliminate competition or otherwise restrain trade.
Contractors that develop or draft specifications, requirements, statements of work, and/or Requests for Proposals (RFP) for a proposed procurement shall be excluded from bidding or submitting a proposal to compete for the award of such procurement. Any request for exemption must be submitted in writing to the awarding agency.
Sole Source Procurement (Non-Competitive)
All non-state procurement transactions shall be conducted in such a manner that provides, to the maximum extent practical, open and free competition. However, should a recipient elect to award a contract without competition, sole source justification may be necessary. Justification must be provided for non-competitive procurement and should include a description of the program and what is being contracted for, an explanation of why it is necessary to contract noncompetitively, time constraints and any other pertinent information. G&T will approve sole-source procurements for direct recipients only.
Subrecipients must obtain approval from the primary recipient. If the primary recipient’s 41 regulations require approval at a lower dollar threshold than identified above, the subrecipient should abide by the primary recipient’s requirements. 42 Chapter 12: Audits
Highlights from this chapter:
• Audit Requirements for States, Local Governments, and Non-Profit Organizations
• Audits of Commercial/For-Profit Organizations
• Audits of Subrecipients
• Distribution of Reports
• Technical Assistance
43 Audits
Audit Requirements for States, Local Governments, and Non-Profit Organizations
Grantees and subrecipients are responsible for obtaining audits in accordance with OMB Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations”.
States, local governments or private, non-profit organizations that expend $500,000 or more in Federal awards in a fiscal year are required to have an audit performed. • The audits shall be completed by an independent auditor in accordance with generally accepted government auditing standards covering financial audits. • Audits are due no later than nine (9) months after the close of each fiscal year during the term of the award.
• Grantee audit reports will be distributed by the Federal Audit Clearinghouse to the organization’s Federal Cognizant Agency for review and resolution of any findings.
• Grantees are responsible for follow-up and corrective action on all audit findings.
Awards are subject to conditions of fiscal, program, and general administration to which the recipient expressly agrees. Accordingly, the audit objective is to review the recipient’s administration of funds and required non-Federal contributions for the purpose of determining whether the recipient has:
1. Established an accounting system integrated with adequate internal fiscal and management controls to provide full accountability for revenues, expenditures, assets, and liabilities. This system should provide reasonable assurance that the organization is managing Federal financial assistance programs in compliance with applicable laws and regulations.
2. Prepared financial statements that are presented fairly, in accordance with generally accepted accounting principles.
3. Submitted financial reports (which may include Financial Status Reports, Cash Reports, and Claims for Advances and Reimbursements), that contain accurate and reliable financial data, and are presented in accordance with the terms of applicable agreements.
4. Expended Federal funds in accordance with the terms of applicable agreements and those provisions of Federal law or regulations that could have a material effect on the financial statements or on the awards tested.
Independent auditors should follow the requirements prescribed in OMB Circular A-133.
If the auditor becomes aware of illegal acts or other irregularities, prompt notice shall be given to recipient management officials above the level of involvement. The recipient, in turn, shall promptly notify the cognizant Federal agency of the illegal acts or irregularities and of proposed and actual actions, if any.
44 Audits of Commercial/For-Profit Organizations
These organizations shall have financial and compliance audits conducted by qualified individuals who are organizationally, personally, and externally independent from those who authorize the expenditure of Federal funds. This audit must be performed in accordance with Government Auditing Standards, 1994 Revision. The purpose of this audit is to ascertain the effectiveness of the financial management systems and internal procedures that have been established to meet the terms and conditions of the award.
Usually, these audits shall be conducted annually, but not less frequently than every two years. The dollar threshold for audit reports established in OMB Circular A-133, as amended, applies.
Audits of Subrecipients
When subawards are made to another organization or organizations, the recipient shall require that subrecipients comply with the audit requirements set forth in OMB Circular A-133.
Recipients are responsible for ensuring that subrecipient audit reports are received and for resolving any audit findings. Known or suspected violations of any law encountered during audits, including fraud, theft, embezzlement, forgery, or other serious irregularities, must be communicated to the recipient and to DHS. Criminal violations must also be reported to the appropriate law enforcement agencies.
For subrecipients who are not required to have an audit as stipulated in OMB Circular A133, the recipient is still responsible for monitoring the subrecipients’ activities to provide reasonable assurance that the subrecipient administered Federal awards in compliance with Federal requirements.
Distribution of Reports
The submission of audit reports for all grantees shall be as follows:
1. State and Local Governments, Institutions of Higher Education, and NonProfit Institutions - All completed audit reports for State and local governments, institutions of higher education, and non-profit institutions should be mailed to the Federal Audit Clearinghouse, Bureau of the Census, 1201 East 10th Street, Jeffersonville, IN 47132.
2. Commercial Organizations and Individuals - One copy of all audit reports for commercial organizations and individuals should be mailed to the Department of Homeland Security, Office of Grants and Training, Office of Grant Operations, 810 7th Street NW, Washington, DC 20531.
Technical Assistance
The DHS Office of the Inspector General is available to provide technical assistance to recipients in implementing the audit requirements when DHS is the assigned cognizant 45 agency or has oversight responsibilities because it provided the preponderance of direct Federal funding to the recipient. This assistance is available for areas such as:
1. Review of the audit arrangements and/or negotiations;
2. Review of the audit program or guide to be used for the conduct of the audit; and
3. On-site assistance in the performance of the audit, when deemed necessary, as a result of universal or complex problems that arise.
46 Chapter 13: Close Out
Highlights from this chapter:
• Close Out Process
• Retention and Maintenance of Records
• Access to Records
47 Close Out
Close Out Process
Within 90 days after the end date of the award or any approved extension thereof (revised end date), the recipient must submit the required close-out documents to G&T.
Prior to submission of these documents, the recipient should do the following:
1. Cash Reconciliation - The recipient should request reimbursement for any funds due to cover expenditures and obligations (incurred prior to the grant expiration date and liquidated within 90 days after the grant expiration date) at award closeout. The recipient expenditures (outlays) must be equal to or greater than the cash disbursements from G&T.
2. Drawdown of Funds – The recipient should request final payment for reimbursement of expenditures made within the approved period in conjunction with the final financial status report.
In order to close-out an award, the recipient must submit the following documents to G&T:
1. Final Financial Status Report - This final report of expenditures must have no unliquidated obligations and must indicate the exact balance of unobligated funds. Any unobligated/unexpended funds will be deobligated from the award amount by G&T.
2. Final Progress Report - This report should be prepared in accordance with instructions provided by G&T.
3. Invention or Patent Report - All inventions that were conceived or first actually reduced to practice during the course of work under the award project must be listed on this report before closeout. (if applicable)
4. Disposition or recovery of Federally owned assets.
5. Federally owned property report.
6. Any other documents as required by the program guidance or award terms and conditions.
If funds must be returned at award closeout, award recipients should remit their check with a cover letter indicating the grant award number, the unobligated balance, and the itemization of returned monies, e.g., excess payments, interest income, program income, questioned costs, payments to vendors, etc. Award recipients should contact the Office of Grant Operations ([email protected] or 1-866-9ASK-OGO) for further iinstructions.
Retention and Maintenance of Records
In accordance with the requirements set forth in the OMB administrative requirements circulars, all financial records, supporting documents, statistical records, and all other records pertinent to the award shall be retained by each organization for at least three years from the date of submission of the final expenditure report. In cases where litigation, a claim, or an audit is initiated prior to expiration of the three year period, 48 records must be retained until completion of the action and resolution of issues or the end of the three year period, whichever is later. Retention is required for purposes of Federal examination and audit. Records may be retained in an automated format. State or local governments may impose record retention and maintenance requirements in addition to those prescribed.
1. Coverage - The retention requirement extends to books of original entry, source documents supporting accounting transactions, the general ledger, subsidiary ledgers, personnel and payroll records, cancelled checks, and related documents and records. Source documents include copies of all awards, applications, and required recipient financial and narrative reports. Personnel and payroll records shall include the time and attendance reports for all individuals reimbursed under the award, whether they are employed fulltime or part-time. Time and effort reports are also required for consultants, as well as justification of consultant rates in accordance with market value.
2. Retention Period - The three year retention period starts from the date of submission of the final expenditure report. If any litigation, claim, negotiation, audit, or other action involving the records has been started before the expiration of the three year period, the records must be retained until completion of the action and resolution of all issues that arise from it or until the end of the regular three year period, whichever is later.
Recipients of funds are expected to see that records of different Federal fiscal periods are separately identified and maintained so that information desired may be readily located. Recipients are also obligated to protect records adequately against fire or other damage. When records are stored away from the recipient’s principal office, a written index of the location of records stored should be on hand and ready access should be assured.
Access to Records
G&T, DHS, the DHS Office of the Inspector General, the Comptroller General of the United States, or any of their authorized representatives, will have the right of access to any pertinent books, documents, papers, or other records of recipients that are pertinent to the award, in order to make audits, examinations, excerpts, and transcripts. The right of access must not be limited to the required retention period, but shall last as long as the records are retained.
However, only under extraordinary and rare circumstances would such access include review of the true name of confidential informants or victims of crime. When access to the true name of confidential informants or victims of crime is necessary, appropriate steps to protect this sensitive information must and will be taken by the recipient and G&T. Any such access, other than under a court order or subpoena pursuant to a bona fide confidential investigation, must be approved by G&T. 49 Appendix: Glossary of Terms
50 Glossary of Terms
Accrual Basis is the method of recording revenues in the period in which they are earned, regardless of when cash is received, and reporting expenses in the period when the charges are incurred, regardless of when payment is made.
Administrative Requirements are standards for consistency and uniformity in the administration of grants, cooperative agreements, and subawards.
Amusement/social event is an informal gathering that is not mandatory for all participants to attain the necessary information. An indicator of a social/amusement event is a cash bar.
Awarding agency is the Federal government or the next highest authority, i.e., the State agency administering the formula award or the Federal agency administering the discretionary award.
Awards may include funding mechanisms such as grants, cooperative agreements, interagency agreements, contracts, and/or other agreements.
Breaks are short pauses in an ongoing informational program at trainings, meetings, conferences, or retreats. Typically, an all-day event may include one break during a morning session and one break during an afternoon session.
Break foods consist of cookies, sodas, and fruits or other snack items, and may be served at a training program, a meeting, or a conference.
Budget Period is the period for which a budget is approved for an award. The budget period may be equal to or shorter than the project period for an award, but cannot be longer than the project period.
Cash Basis is the method of reporting revenues and expenses when cash is actually received or paid out.
Closeout is a process in which G&T determines that all applicable administrative actions and all required work of the award have been completed by the recipient and G&T.
Cognizant Federal agency is the Federal agency that generally provides the most Federal financial assistance to the recipient of funds. Cognizance is assigned by the Office of Management and Budget (OMB). Cognizant agency assignments for the largest cities and counties are published in the Federal Register. The most recent publication was dated January 6, 1986. The cognizant agency is generally the agency that will negotiate an organization’s indirect cost rate agreement. The cognizant agency is also responsible for resolution of A-133 audit findings.
Conference or meeting is a formal event involving topical matters of general interest (i.e., matters that will contribute to improved conduct, supervision, or management of the agency’s functions or activities) to Federal agency and non-Federal agency participants, rather than a routine business meeting primarily involving day-to-day agency operations 51 and concerns. “Meeting” includes other designations, such as a conference, congress, convention, seminar, symposium, training for grantees or contractors, and workshop.
Consultant is an individual who provides professional advice or services.
Continental breakfast means a light breakfast that may include a selection of coffees, teas, juices, fruits, and assorted pastries, and is allowable provided several hours of substantive material directly follows the continental breakfast. Grant recipients are reminded that the least expensive of the available selections should be chosen. If a meal is provided to the recipient, per diem must be reduced accordingly.
Contracts are entered into by the awarding agency, recipients or subrecipients, and commercial (profit making) and non-profit organizations. With the exception of a few justified sole source situations, contracts are awarded via competitive processes to procure a good or service.
Cooperative agreements are awarded to States, units of local government, or private organizations at the discretion of the awarding agency or as stipulated by law.
Cooperative agreements are utilized when substantial involvement is anticipated between the awarding agency and the recipient during performance of the contemplated activity.
Discretionary awards are made to States, units of local government, or private organizations at the discretion of the awarding agency or as stipulated by law. Most discretionary awards are competitive in nature in that there are limited funds available and a large number of potential recipients.
Domestic travel includes travel within and between Canada and the United States and its territories and possessions.
Equipment is tangible, nonexpendable, personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. A recipient/subrecipient may use its own definition of equipment provided that such definition would at least include all equipment defined above.
Federal contractor is a person or entity that contracts with the Federal government to provide supplies, services, or experimental, developmental, or research work. Entities may include commercial organizations, educational institutions, construction and architectural engineering companies, State and local governments, and non-profit organizations.
Federal employees are people employed in or under an agency of the United States Federal Government.
Federal grantee means the component of a State, local, or Federally recognized Indian tribal government, educational institution, hospital, or a for profit or non-profit organization that is responsible for the performance or administration of all or some part of a Federal award.
52 Focus group means a gathering of Federal government employees to discuss results and improvements of programs in the field. The focus group should follow a prepared agenda, be led by an expert in the subject matter, and serve to educate Federal employees.
Food and/or beverages retain their common meanings. Food or beverages are considered in the context of formal meals and in the context of refreshments served at short, intermittent breaks during an activity. Beverages do not include alcoholic drinks.
Foreign travel includes any travel outside of Canada and the United States and its territories and possessions. For an organization located in a foreign country, this means travel outside that country.
Formal agenda provides a list of all activities that shall occur during the event, using an hour-by-hour time line. It must specifically include the times during the event when food and beverages will be provided.
Formula awards are awarded to the States to provide assistance to State and local units of government for programs in accordance with legislative requirements.
Grants are awarded to States, units of local government, or private organizations at the discretion of the awarding agency or on the basis of a formula. Grants are used to support a public purpose of support or stimulation authorized by Federal statute.
High risk is a determination made by the awarding agency of a recipient’s ability to financially administer Federal project funds. Additional requirements, such as reporting and/or monitoring, may be imposed.
Incidental means relating to a formal event where full participation by participants mandates the provision of food and beverages.
Indirect costs are costs of an organization that are not readily assignable to a particular project, but are necessary to the operation of the organization and the performance of the project. The cost of operating and maintaining facilities, depreciation, and administrative salaries are examples of the types of costs that are usually treated as indirect.
Interagency agreements and purchase of service arrangements are usually entered into by two governmental units or agencies. Such funding arrangements are negotiated by the entities involved.
Match is the recipient share of the project cost. Match may either be “in-kind” or “cash.” In-kind match includes the value of donated services. Cash match includes actual cash spent by the recipient and must have a cost relationship to the Federal award that is being matched.
Nonexpendable personal property includes tangible personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. A recipient may use its own definition of nonexpendable personal property provided that the definition would at least include all tangible personal property. 53 Obligation means a legally binding liability to pay under a grant, subgrant, and/or contract determinable sums for services or goods incurred during the grant period.
Pass-through is an obligation on the part of the States to make funds available to units of local governments, combinations of local units, or other specified groups or organizations.
Personal property means property of any kind except real property. It may be tangible (having physical existence) or intangible (having no physical existence, such as patents, inventions, and copyrights).
Preagreement/Pre-award costs are defined as costs that are considered necessary to the project but occur prior to the starting date of the award period.
Prior approval means written approval by the authorized official (the next highest authority except for sole source) evidencing consent prior to a budgetary or programmatic change in the award.
Program income means gross income earned by the recipient during the funding period as a direct result of the award. Direct result is defined as a specific act or set of activities that are directly attributable to grant funds and that are directly related to the goals and objectives of the project. Determinations of “direct result” will be made by the awarding agency for discretionary grants and by the State for formula subawards. Fines/penalties are not considered program income. Program income may be used only for allowable program expenses.
Project Period is the period for which implementation of a project is authorized. The project period may be equal to or longer than the budget period for an award, but cannot be shorter than the budget period.
Real property means land, land improvements, structures, and appurtenances thereto, excluding movable machinery and equipment.
Reasonable costs are costs that a prudent person would have incurred under the circumstances prevailing at the time the decision to incur the cost was made. Costs to consider when making judgments about reasonableness include the cost of food and beverage, total cost of the event, and costs incurred relative to costs in the geographical area. The exception to this definition is lodging costs for events of 30 or more participants, when the event is funded with a G&T award. For these events, reasonable is defined as the Federal per diem rate for lodging.
Reception means an informal gathering that is not mandatory for all event participants to obtain necessary information. Indicators of a reception include a cash bar, inadequate seating for the entire group, food items from a reception menu (such as finger foods), and a longer break (than utilized throughout the day) between the substantive meetings and the reception. Receptions are expressly prohibited and are considered to be an unallowable cost with Federal funds.
Recipient is an individual and/or organization that receives Federal financial assistance directly from the Federal agency.
54 Social event is any event with alcoholic beverages served, available, or present. Social events are expressly prohibited and are considered to be an unallowable cost with Federal funds.
Stipend is an allowance for living expenses. Examples of these expenses include, but are not limited to, rent, utilities, incidentals, etc.
Subaward is an award of financial assistance in the form of money to an eligible subrecipient or a procurement contract made under an award by a recipient.
Subrecipient is an individual and/or organization that receives Federal financial assistance from the direct recipient of Federal funds. This may include entities receiving funds as a result of formula awards.
Supplanting is to deliberately reduce State or local funds because of the existence of Federal funds. For example, when State funds are appropriated for a stated purpose and Federal funds are awarded for that same purpose, the State replaces its State funds with Federal funds, thereby reducing the total amount available for the stated purpose.
Working dinner means a formal and mandatory dinner necessary for all participants to have full participation in the conference or event. A working dinner must include a formal agenda including a program or speakers that will impart necessary information important for full understanding of the subject matter of the conference. There should be several hours of informative sessions providing substantive information scheduled both before and after a working dinner. Indicators of a working dinner include seating for all participants. If a meal is provided to the recipient, per diem must be reduced accordingly.
Working lunch is a formal and mandatory lunch necessary for all participants to have full participation in the conference or event. A working lunch must include a formal agenda including a program or speakers that will impart necessary information important for full understanding of the subject matter of the conference. There should be several hours of informative sessions providing substantive information scheduled both before and after a working lunch (exhibits are not included). Indicators of a working lunch include seating for all participants. If a meal is provided to the recipient, per diem must be reduced accordingly.
Work-related event is a conference or meeting involving a topical matter of interest within the purview of the agency’s mission and function. 55 Index
56 Index
Access to Records, 6, 54, 56
Accounting Responsibilities, 5, 19, 20
Accounting System, 13
Accrual, 61
Adjustments to Awards, 5, 32, 33
Administrative Requirements, 8, 61
Audit, 6, 9, 21, 45, 50, 51, 52
Award Document, 5, 15, 16
Bonding, 21
Bonuses or Commissions, 43
Buy American Act, 40
Cash Management Improvement Act, 5, 24, 25
Close Out, 6, 54, 55
Commingling of Funds, 5, 19, 21
Compensation of Federal Employees, 43
Conflicts of Interest, 5, 19, 22
Construction or Renovation, 45
Consultant, 41, 62
Cooperative agreements, 17, 62
Cost Analysis, 5, 11, 14
Direct Recipients, 9
Drawdown, 55
Dun & Bradstreet (D&B), 13
DUNS, 13
Equipment, 40, 62
Financial Status Report, 31, 34, 36, 37, 55
Fly America Act, 46
Foreign Travel, 46
Fund Raising, 44
Grants, 1, 3, 4, 8, 12, 17, 26, 31, 34, 52, 58, 63
Indirect Costs, 41
Individuals, 10, 13, 52
Interest, 5, 24, 26, 36, 45
Lobbying, 44
Management and Administrative, 41, 42
Match, 12, 35, 37, 38, 63
Monitoring, 5, 19, 21, 22
Obligation of Funds, 5, 27, 28
OMB Circulars, 8, 9, 10, 17, 21, 37, 40, 44, 45, 48, 51, 52, 61 Payments, 5, 24, 25
Preagreement Costs, 45
Procurement, 6, 47, 48
Program Income, 6, 35, 36, 37
Reporting requirements, 31
Retention and Maintenance of Records, 6, 54, 55
Sole Source, 6, 48
Special Conditions, 8, 16, 25, 34
Subrecipients, 4, 6, 9,10, 17, 20, 21, 22, 25, 26, 34, 37, 38, 41, 44, 45, 48, 49, 50, 51, 52, 62 Supplanting, 5, 19, 23, 65
Suspension, 5, 27, 28
Termination, 5, 27, 28
Waiver of Match Requirement, 38
57 1
Subaward Agreement Regarding FY 2020 State Homeland Security Grant Programs Funding for Equipment, Planning, Administration, Training and Exercises THIS AGREEMENT is entered into by and between the County of Tulare (“COUNTY”) and City of Porterville (“SUBRECIPIENT”), referred to individually herein as “Party” or collectively as “Parties,” on the following terms and conditions:
WHEREAS, the Fiscal Year 2020 (“FY 2020”) California State Homeland Security Grant Program (“SHSGP”) provides funding through Federal grants from the Department of Homeland Security to enhance the capabilities of state and local first responders by allowing the purchase of advanced types of equipment, as well as addressing other critical homeland security needs, including administration, planning, training, and exercise-related costs;
WHEREAS, COUNTY applied to the California Governor’s Office of Emergency Services (“CalOES”) for a FY 2020 SHSGP grant;
WHEREAS, as part of its grant application, COUNTY requested sufficient funds to support certain activity(ies) or program(s) planned by SUBRECIPIENT that may be eligible for SHSGP grant funds; WHEREAS, COUNTY was awarded FY 2020 SHSGP grant funding; and COUNTY, upon recommendation of the local Approval Authority designated in the SHSGP Guidelines, determined to allocate some of this funding to support SUBRECIPIENT’S eligible program(s) or activity(ies).
NOW, THEREFORE, for good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, and intending to be legally bound hereby, COUNTY and SUBRECIPIENT hereby agree as follows:
1. GRANT SUBAWARD. Subject to the terms, conditions, and other limitations specified herein, COUNTY intends to subaward to SUBRECIPIENT a portion of its FY 2020 SHSGP Grant for the following program and/or activity:
Department/Agency: Porterville Fire Department
Program/Activity: (1) Bauer SCBA Cylinder Air Fill Station Details about the specific program or activity authorized, the amounts allocated to the specified program or activity, and the anticipated performance and disbursement timelines shall be confirmed by subsequent award letter(s) from COUNTY (“Award Letter(s)”) in accordance with this Agreement.
SUBRECIPIENT agrees not to expend any anticipated FY 2020 SHSGP grant funds until after it has received [an] Award Letter(s) authorizing the specific activity or program, and confirming the award amount. Award Letter(s) may include attachments, which are considered to be integral parts of the Award Letter(s). Unless SUBRECIPIENT notifies COUNTY before it begins spending the funds authorized in a FY 20120 SHSGP Award Letter that it declines some or all of the program, activity, and/or funds outlined in the Award Letter, SUBRECIPIENT will be deemed to have accepted all of the terms and conditions specified in the Award Letter(s), including any applicable attachments.
COUNTY reserves the exclusive right to determine the method and timing of disbursement of SHSGP funds to SUBRECIPIENT. Furthermore, and in addition to all other rights provided to COUNTY under this Agreement or the law, COUNTY reserves the right to, issue revised Award Letter(s) to modify 2 SUBRECIPIENT’s authorized program, activity, award amounts, and/or performance periods, in accordance with the recommendations of the Local Approval Authority, the changing needs of SUBRECIPIENT and/or the likelihood of SUBRECIPIENT expending its subaward; however, such modifications will only be made after consultation with SUBRECIPIENT, and in accordance with the recommendations of the Local Approval Authority.
2. PERFORMANCE PERIOD. SUBRECIPIENT’s Performance Period for all activities covered by the terms of this Agreement shall commence on October 1, 20120. Unless COUNTY specifies otherwise in SUBRECIPIENT’s Award Letter(s), SUBRECIPIENT’s Performance Period for all activities covered by the terms of this Agreement shall continue until whichever of the following dates or events occurs first: (i) April 30, 2022, or (ii) until otherwise terminated under the provisions of this Agreement. Only activities performed during the County-specified FY 2020 SHSGP Performance Period are eligible for funding/reimbursement pursuant to this Agreement.
3. GRANT REQUIREMENTS AND ASSURANCES. The SUBRECIPIENT hereby agrees to review, adhere to, and comply with all COUNTY, state, and federal grant award requirements. SUBRECIPIENT acknowledges that COUNTY was required to accept and agree to the “CalOES Standard Assurances” (attached as Exhibit A, and incorporated by reference herein), and that COUNTY may be required to impose some or all of these assurances on all of its subrecipients, at all levels. Accordingly, SUBRECIPIENT specifically accepts, agrees to, and will abide by the CalOES Standard Assurances, with the understanding that everywhere it references “Applicant” or “subrecipient” in Exhibit A shall be read to refer to SUBRECIPIENT. The CalOES Standard Assurances shall be binding on the SUBRECIPIENT, as well as its successors, transferees, contractors, consultants, etc. SUBRECIPIENT acknowledges that failure to comply with any of the assurances may result in suspension, termination, or reduction of grant funds.
Some of the requirements that SUBRECIPIENT hereby agrees to comply with appear in the following documents:
(a) Applicable Federal Regulations, including: (i) Title 2, Part 200 of the Code of Federal Regulations (CFR) (which contains, among other items, Government cost principles, uniform administrative requirements and audit requirements for Federal grant programs), and (ii) updates issued by the Office of Management and Budget (OMB) on http://www.whitehouse.gov/omb/;
(b) Federal Program Notice of Funding Opportunity (NOFO); (c) California Supplement to the NOFO; and
(d) Federal and State Grant Program Guidelines.
By signing this Agreement, SUBRECIPIENT specifically makes the applicable certifications in Exhibit A, including the Lobbying and Political Activities and Debarment and Suspension Certifications (Paragraphs 3 and 4 of Exhibit A, respectively), as evidenced by the signature of SUBRECIPIENT’s authorized agent.
4. FEDERALLY-FUNDED SERVICES. Because this grant subaward involves the provision of federal funds to SUBRECIPIENT, the terms and conditions outlined and incorporated in Exhibit B, “FederallyFunded Services,” will apply to this Agreement, and are incorporated herein by reference.
5. DISPOSAL OR DISPOSITION OF PROPERTY. SUBRECIPIENT acknowledges that pursuant to 2 CFR section 200.316, any real property, equipment, and intangible property that are acquired orimproved with any SHSGP award must be held in trust by SUBRECIPIENT as trustee for the beneficiaries of the project 3 or program under which the property was acquired or improved. SUBRECIPIENT may be required by COUNTY, CalOES, or the federal government to record liens or other appropriate notices of record to indicate that personal or real property has been acquired or improved with the SHSGP award and that use and disposition conditions apply to the property.
Furthermore, SUBRECIPIENT agrees that when the equipment or supplies acquired with funds from this subaward are no longer needed for the original activity or program, or for other SUBRECIPIENT activities supported by the Department of Homeland Security (DHS)/ Federal Emergency Management Agency (FEMA), SUBRECIPIENT must notify COUNTY to request instructions on proper disposition of the equipment or supplies. SUBRECIPIENT is not permitted to sell, assign, or otherwise transfer title to (or any other interest in) equipment or supplies purchased with SHSGP funds except as permitted by 2 CFR Part 200. Furthermore, SUBRECIPIENT must obtain the express written permission of COUNTY for disposition of property that may have a current per unit fair market value of $5,000 or more. Though not exclusive or exhaustive, additional information regarding disposition of property acquired with SHSGP funds can be found at 2 CFR Part 200, sections 200.313 through 200.316.
6. SUBAWARDS AND CONTRACTS. With the understanding that not all provisions may be applicable to subawardees, SUBRECIPIENT agrees to include all of the commitments specified in Exhibit A, and any other commitments or requirements included in this Agreement that expressly so designate, in the award documents it issues for all subawards at all tiers, including contracts under grants and cooperative agreements and subcontracts. SUBRECIPIENT further agrees that it will include the commitments in Exhibit A in all contracts paid for in full or part with FY 2020 SGHSGP funds.
7. DESIGNATED COUNTY AUTHORIZED AGENT. Only those individuals designated by resolution of the Tulare County Board of Supervisors as Authorized Agents for FY 2020 SHSGP (“COUNTY Authorized Agents”) are authorized to sign FY 2020 SHSGP Award Letters on behalf of COUNTY, or to suspend performance in accordance with Paragraph 16(d), below. All other notices from COUNTY may come from other COUNTY personnel.
8. PROOF OF SUBRECIPIENT AUTHORITY. Before this Agreement will be approved by COUNTY, SUBRECIPIENT must provide to COUNTY written authorization (in the form of a resolution, or some other format specifically authorized by COUNTY) from the city council, governing board, or authorized body in support of this project. This written authorization must specify that the SUBRECIPIENT and the city council, governing board, or authorized body agree:
(a) To provide all matching funds required for the grant project and that any cash match will be appropriated as required;
(b) Any liability arising out of performance of this Agreement shall be the responsibility of the SUBRECIPIENT and the city council, governing board, or authorized body; (c) Grant funds shall not be used to supplant expenditures controlled by the city council, governing board, or authorized body;
(d) SUBRECIPIENT is authorized by the city council, governing board, or authorized body to apply for federal assistance, and the institutional, managerial, and financial capability (including funds sufficient to pay the non-federal share of project cost, if any_ to ensure proper planning, management, and completion of the project described in this application; and (e) Official executing this Agreement is authorized by the SUBRECIPIENT.
9. DISALLOWANCE AND OFFSET. If, pursuant to this Agreement, SUBRECIPIENT requests or 4 receives payment from COUNTY for programs, activities, or equipment, the reimbursement for which is later disallowed by the State of California or the United States Government, SUBRECIPIENT shall promptly refund the disallowed amount to COUNTY upon COUNTY’s request. At its option, and to the fullest extent permitted by law, COUNTY may offset the amount disallowed from any payment due or to become due to SUBRECIPIENT under this Agreement or any other agreement between SUBRECIPIENT or COUNTY.
Furthermore, if any of COUNTY’s FY 20120 SHSGP grant funding is reduced, modified, or eliminated for any reason, COUNTY reserves the right to reduce, modify, or eliminate any or all of this FY 2020 SHSGP grant subaward to SUBRECIPIENT. SUBRECIPIENT agrees to promptly return any amounts requested by COUNTY in accordance with this provision. At its option, COUNTY may offset the amount to be returned by SUBRECIPIENT from any payment due or to become due to SUBRECIPIENT under this Agreement or any other agreement between SUBRECIPIENT and COUNTY.
10. MONITORING AND REPORTS. SUBRECIPIENT is responsible for oversight of the operations of the FY 2020 SHSGP supported activities. SUBRECPIENT must monitor its activities to ensure compliance with applicable Federal requirements and achievement of specific performance expectations.
SUBRECIPIENT’s monitoring must cover each program, function or activity supported by FY 2020 SHSGP funding.
SUBRECIPIENT agrees to provide ongoing performance and financial reports regarding any and all of SUBRECIPIENT’s programs and activities funded with FY 2020 SHSGP funding. At a minimum, these reports will be due on an annual basis, but COUNTY reserves the right to request more frequent reporting.
Within 90 days of completion or termination of FY 2020 SHSGP funded subawards, SUBRECIPIENT is also expected to provide a final performance report and a final expenditure report in a format acceptable to COUNTY, State and the Federal government. SUBRECIPIENT will be notified of any additional required reports by separate Award Letter(s) or notice(s) from COUNTY.
11. MANDATORY DISCLOSURES. Pursuant to 2 CFR section 200.113, SUBRECIPIENT must disclose, in a timely manner, and in writing to COUNTY and ultimately to the federal awarding agency, all violations of Federal criminal law involving fraud, bribery, or gratuity violations potentially affecting this subaward.
Pursuant to the terms and conditions outlined in Appendix XII to 2 CFR Part 200 (“Award Term and Condition for Recipient Integrity and Performance Matters”), SUBRECIPIENT may also be also required to report certain civil, criminal, or administrative proceedings to SAM. Failure to make required disclosures can result in any of the remedies described in 2 CFR section 200.338, “Remedies for noncompliance,” including suspension or debarment.
12. SUBMITTING FALSE CLAIMS. Under applicable federal and state law, if SUBRECIPIENT submits a false claim to COUNTY under this Agreement, then SUBRECIPIENT will be liable to COUNTY for the statutory penalties set forth in those statutes, including, but not limited to statutory fines, treble damages, costs, and attorneys’ fees. SUBRECIPIENT will be deemed to have submitted a false claim to COUNTY if SUBRECIPIENT:
(a) Knowingly presents or causes to be presented to COUNTY a false claim or request for payment or approval;
(b) Knowingly makes, uses, or causes to be made or used a false record or statement to get a false claim paid or approved by COUNTY;
(c) Conspires to defraud COUNTY, State, or the Federal Government by getting a false claim allowed or paid by COUNTY
5 (d) Knowingly makes, uses, or causes to be made or used a false record or statement to conceal, avoid, or decrease an obligation to pay or transmit money or property to COUNTY; or (e) Is a beneficiary of an inadvertent submission of a false claim to COUNTY, later discovers the falsity of the claim, and fails to disclose the false claim to COUNTY within a reasonable time after discovery of the false claim.
13. INSURANCE. SUBRECIPIENT certifies it is insured or self-insured for general liability exposures with limits of no less than $1 million per occurrence. SUBRECIPIENT certifies it is insured or self-insured for workers’ compensation and maintains statutory limits. SUBRECIPIENT agrees that coverage limits specified within the Agreement will not be used to reduce limits of coverage from SUBRECIPIENT’S full policy limits. Insurance Policies will not be used to limit liability or to limit the indemnification provisions and requirements of this Agreement or act in any way to reduce available coverage and limits from the insurer. Failure to maintain or renew coverage may be a material breach of this Agreement.
14. LIABILITY OF COUNTY. COUNTY’s payment obligations to SUBRECIPIENT for FY 2020 SHSGP funds are limited by all provisions and other requirements specified in this Agreement. Notwithstanding any other provision of this Agreement, in no event shall COUNTY be liable, regardless of whether any claim is based on contract or tort, for any special, consequential, indirect, or incidental damages arising out of or in connection with this Agreement, including, but not limited to, lost profits, equipment purchased, or activities performed in connection with this Agreement.
15. HOLD HARMLESS, INDEMNIFICATION, AND DEFENSE.
(a) To the fullest extent permitted by law, SUBRECIPIENT must indemnify, defend (at SUBRECIPIENT'S sole cost and expense and with legal counsel approved by COUNTY, which approval may not be unreasonably withheld), protect, and hold harmless COUNTY, all subsidiaries, divisions and affiliated agencies of COUNTY, and all of their representatives, partners, designees, officers, directors, employees, consultants, agents, successors and assigns, (each, an “Indemnified Party” and collectively, the "Indemnified Parties"), from and against all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorneys' fees, disbursements and court costs, and all other professional expert or consultants' fees and costs and COUNTY general and administrative expenses) of every kind and nature whatsoever (individually, a "Claim"; collectively, "Claims") which may arise out of, pertain to, or relate (directly or indirectly) to the negligence, recklessness, or misconduct of SUBRECIPIENT with respect to any activities and/or programs performed, training provided, or items purchased or used under or in relation to this Agreement (including, without limitation, the acts, errors, and/or omissions of SUBRECIPIENT, its principals, officers, agents, employees, vendors, suppliers, consultants, sub-consultants, contractors, anyone employed directly or indirectly by any of them, or for whose acts they may be liable, or any or all of them).
SUBRECIPIENT’S obligation to indemnify applies unless it is finally adjudicated that the liability was caused by the sole active negligence or sole willful misconduct of an Indemnified Party. If it is finally adjudicated that liability is caused by the comparative active negligence or willful misconduct of an Indemnified Party, then SUBRECIPIENT’S indemnification obligation shall be reduced in proportion to the established comparative liability.
(b) The duty to defend is a separate and distinct obligation from SUBRECIPIENT’S duty to indemnify. SUBRECIPIENT shall be obligated to defend, in all legal, equitable, administrative, or special proceedings, the Indemnified Parties immediately upon tender to SUBRECIPIENT of the Claim in any form or at any stage of an action or proceeding, whether or not liability is established. Payment to 6 SUBRECIPIENT by any Indemnified Party or the payment or advance of defense costs by any Indemnified Party cannot be a condition precedent to enforcing the Indemnified Party's rights to defense or indemnification under this Agreement. An allegation or determination that persons other than SUBRECIPIENT are responsible for the Claim does not relieve SUBRECIPIENT from its separate and distinct obligation to defend under this section. The obligation to defend extends through final judgment, including exhaustion of any appeals. The defense obligation includes an obligation to provide independent defense counsel if SUBRECIPIENT asserts that liability is caused in whole or in part by the negligence or willful misconduct of an Indemnified Party. If it is finally adjudicated that liability was caused by the comparative active negligence or willful misconduct of an Indemnified Party, then SUBRECIPIENT may submit a claim to the COUNTY for reimbursement of reasonable attorneys’ fees and defense costs in proportion to the established comparative liability of the Indemnified Party. SUBRECIPIENT'S indemnification obligations under this Agreement will survive the expiration or earlier termination of this Agreement until action against the Indemnified Parties for the matter indemnified is fully and finally barred by the applicable statute of limitations or statute of repose. SUBRECIPIENT'S liability for indemnification under this Agreement is in addition to any liability SUBRECIPIENT may have to COUNTY for a breach by SUBRECIPIENT of any of the provisions of this Agreement. Under no circumstances may the insurance requirements and limits set forth in this Agreement be construed to limit SUBRECIPIENT'S indemnification obligation or other liability under this Agreement. The terms of this Agreement are contractual and the result of negotiation between the Parties. (c) SUBRECIPIENT must indemnify and hold COUNTY harmless from all loss and liability, including attorneys’ fees, court costs and all other litigation expenses, for any infringement of the patent rights, copyright, trade secret or any other proprietary right or trademark, and all other intellectual property claims of any person or persons in consequence of the use by COUNTY, or any of its officers or agents, of articles or services to be supplied in the performance of this Agreement.
16. TERMINATION
(a) Without Cause (For Convenience): Either Party may terminate this Agreement for convenience by giving thirty (30) days’ prior written notice to the other Party of its intention to terminate pursuant to this provision, specifying the date of termination. COUNTY will not pay lost anticipated profits or other economic loss resulting from termination of this Agreement. After receiving a notice of termination for convenience from SUBRECIPIENT, and prior to the effective date of termination, COUNTY may, in its sole discretion, continue to disburse grant funding to SUBRECIPIENT for the programs or activities permitted under this Agreement and specified in the effective Award Letter(s); however, COUNTY specifically reserves the right to cancel or modify some of the programs or activities specified in the Award Letter if it seems infeasible for SUBRECIPIENT to complete its work before the termination of the contract. Any funding disbursed to SUBRECIPIENT but not yet spent at the time the Agreement is terminated must be returned to COUNTY. All such disbursements continue to be subject to the restrictions otherwise provided in this Agreement or by law.
COUNTY will not impose sanctions on SUBRECIPIENT for a termination for convenience. (b) With Cause: Either party may terminate this Agreement immediately, by written notice to the other Party, should the other Party:
(1) be adjudged a bankrupt, or
(2) become insolvent or have a receiver appointed, or
(3) make a general assignment for the benefit of creditors, or (4) suffer any judgment which remains unsatisfied for 30 days, and which would 7 substantively impair the ability of the judgment debtor to perform under this Agreement.
COUNTY also reserves the right to immediately suspend and/or to terminate this Agreement, for cause, upon discovery of a material breach by SUBRECIPIENT. A material breach includes, but is not limited to, (i) SUBRECIPIENT’s failure to comply with the terms and conditions of this Agreement or of any Award Letter(s) issued by COUNTY; (ii) a material misrepresentation by SUBRECIPIENT to COUNTY in relation to this grant program; or (iii) failure to comply with all applicable laws or regulations. COUNTY will provide written notice of the material breach and its determination to either suspend or terminate the contract, specifying the date of termination. At COUNTY’s sole discretion, COUNTY may provide SUBRECIPIENT with a reasonable period of time to cure the breach. If COUNTY terminates this Agreement for cause, COUNTY reserves the right to reduce, modify, or eliminate any or all of this subaward and any other outstanding SHSGP subawards to SUBRECIPIENT. Upon demand by COUNTY, SUBRECIPIENT agrees to immediately return FY 2020 SHSGP funding that has been disbursed to SUBRECIPIENT and which remains in SUBRECIPIENT’s possession at the time this Agreement is terminated. In addition, the payment of any grant funds that have yet to be disbursed for work already completed by SUBRECIPIENT under this Agreement remains subject to the restrictions on payments otherwise provided in this Agreement and by law, and is further conditioned on COUNTY’s confirmation of SUBRECIPIENT’s satisfactory completion of the activities or programs specified in this Agreement and any related Award Letter(s).
COUNTY will not pay lost anticipated profits or other economic loss, nor will the County pay compensation or make reimbursement to cure any breach arising out of or resulting from such termination for cause. If this Agreement is terminated for cause, COUNTY may impose sanctions, including possible rejection of future proposals based on specific causes of non-performance. Furthermore, if this Agreement is terminated for SUBRECIPIENT’s failure to comply with applicable federal statutes or regulations, including those specifically incorporated into this Agreement by reference, SUBRECIPIENT is advised that the COUNTY’s termination decision may be considered in evaluating future applications for federal grant awards.
(c) Effects of Completion or Termination: Expiration, completion, or termination of this Agreement shall not terminate any of SUBRECIPIENT’s obligations to indemnify, defend, or hold harmless; to maintain and make available any records pertaining to the Agreement; to cooperate with any audit; to be subject to offset; to make any reports of pre-termination contract activities; to honor its obligations related to the disposal or disposition of property purchased with SHSGP funding; to comply with the continuing applicable obligations contained in Exhibit A; or to comply with any other continuing or closeout obligations required by this Agreement or by federal or state law or regulation, including those specified in 2 CFR Part 200. Where SUBRECIPIENT’s activities or programs have been terminated by the COUNTY for cause, said termination will not affect any rights of the COUNTY to recover damages from or against SUBRECIPIENT.
(d) Suspension of Performance: Independent of any right to terminate this Agreement, COUNTY Authorized Agents may immediately suspend performance by SUBRECIPIENT, in whole or in part, in response to health, safety or financial emergency, a change in SHSGP grant funding to COUNTY, or a failure or refusal by SUBRECIPIENT to comply with the provisions of this Agreement, until such time as the cause for suspension is resolved, or a notice of termination becomes effective.
17. RECORDS. SUBRECIPIENT shall maintain complete and accurate records with respect to the activities, programs, and/or purchases funded by or related to FY 20120 SHSGP funding and/or this Agreement, including all records relating to procurement of goods and services. In addition, SUBRECIPIENT shall maintain complete and accurate records with respect to any payments to employees, 8 subawardees, contractors, or subcontractors. All such records shall be prepared in accordance with generally accepted accounting procedures and any applicable procedures required by the COUNTY or the federal or state government. All applicable records shall be clearly identified, maintained on site, and be kept readily accessible.
SUBRECIPIENT further agrees to make all such records available to federal, state, and COUNTY government representatives, as further specified in Exhibit A, Paragraph 9 and Exhibit B, Paragraph 10.
SUBRECIPIENT shall ensure that members of the public also have access to such records upon request, in accordance with the Freedom of Information Act and the California Public Records Act. SUBRECIPIENT specifically agrees to require any subrecipients, contractors, successors, transferees, and assignees to acknowledge and agree to comply with all of these record keeping and access requirements.
Failure to comply with these requirements may result in suspension of payments under the grant, termination of the grant, or both. SUBRECIPIENT may be ineligible for award of any future grants if COUNTY or Cal OES determines that any of the following has occurred: (1) the recipient has made false certification, or (2) violates the certification by failing to carry out the requirements as noted above.
18. NOTICES. Except as may be otherwise required by law, any notice to be given must be written and must be either personally delivered, sent by facsimile transmission, or sent by first class mail, postage prepaid and addressed as follows:
COUNTY: With a Copy To:
Andrew Lockman
Emergency Services Manager
Tulare County HHSA/Office of Emergency
Services
COUNTY ADMINISTRATIVE OFFICER
2800 W. Burrel Ave.
Visalia, CA 93291
5957 S Mooney Blvd
Visalia, CA 93277
Phone No.: (559) 624-7498
Fax No.: (559) 624-7499
Phone No.: (559) 636-5005
Fax No.: (559) 733-6318
SUBRECIPIENT:
David LaPere
Fire Chief
40 W. Cleveland Ave
Porterville, CA 93257
Phone No.: (559) 782-7526
Fax No.: (559) 791-7834
Notice personally delivered is effective when delivered. Notice sent by facsimile transmission is deemed to be received upon successful transmission. Notice sent by first class mail shall be deemed received on the fifth (5th) day after the date of mailing. Either party may change the above address by giving written notice pursuant to this paragraph.
19. CONFLICTS WITH LAWS OR REGULATIONS/ SEVERABILITY. This Agreement is subject to all applicable laws and regulations. If any provision of this Agreement is found by any court or other legal authority, or is agreed by the parties, to be in conflict with any code or regulation governing its subject, the conflicting provision shall be considered null and void. If the effect of nullifying any conflicting 9 provision is such that a material benefit of the Agreement to either party is lost, the Agreement may be terminated at the option of the affected party, and some or all of the grant money may need to be returned to COUNTY. Such a termination will be treated as a termination for cause, in accordance with Paragraph 16 above. In all other cases, the remainder of the Agreement shall continue in full force and effect.
20. MODIFICATION. No part of this Agreement may be modified without the written consent of both Parties.
21. EXHIBITS AND RECITALS. The Recitals and the Exhibits to this Agreement are fully incorporated into and are integral parts of this Agreement.
22. GOVERNING LAW. This Agreement shall be interpreted and governed under the laws of the State of California without reference to California conflicts of law principles. The Parties agree that this contract is made in and shall be performed in Tulare County, California.
23. FURTHER ASSURANCES. Each Party will execute any additional documents and perform any further acts which may be reasonably required to effect the purposes of this Agreement.
24. NO THIRD PARTY BENEFICIARIES. Unless specifically set forth, the Parties to this Agreement do not intend to provide any other party with any benefit or enforceable legal or equitable right or remedy.
25. WAIVERS. The failure of either Party to insist on strict compliance with any provision of this Agreement shall not be considered a waiver of any right to do so, whether for that breach or any subsequent breach. The acceptance by either Party of either performance or payment shall not be considered to be a waiver of any preceding breach of the Agreement by the other Party.
26. HEADINGS. Section headings are provided for organizational purposes only and do not in any manner affect the scope, meaning or intent of the provisions under the headings.
27. ORDER OF PRECEDENCE. In the event of any conflict or inconsistency between or among the body of the Agreement and any Award Letter or other communication between COUNTY and SUBRECIPIENT, then the terms and conditions of the body of this Agreement shall prevail.
28. ASSIGNMENT. This Agreement is entered into by COUNTY in reliance on the identity and representations made by SUBRECIPIENT, and no part of this Agreement or this subaward (including any equipment purchased with the subaward) may be assigned, transferred, or sold by SUBRECIPIENT without the prior written consent of COUNTY, which consent COUNTY may grant, delay, deny, or condition in its absolute discretion. Any FY 2020 SHSGP funds provided to SUBRECIPIENT and not yet expended at the time of any attempted unauthorized assignment or transfer will be forfeit to COUNTY at the time of attempted assignment or transfer. Furthermore, the voluntary or involuntary assignment of this Agreement to a receiver or trustee in bankruptcy, will constitute a material breach and will automatically terminate this Agreement without advance notice or opportunity to cure.
29. COMPLIANCE WITH LAWS. SUBRECIPIENT shall comply with all applicable laws, ordinances, rules, and regulations and obtain and keep current all permits, licenses and/or approvals required by law to perform the activities or services, or to purchase any equipment, specified in this Agreement. 10 30. CONFLICT OF INTEREST
(a) SUBRECIPIENT agrees to, at all times during the performance of this Agreement, comply with the law of the State of California regarding conflicts of interests and appearance of conflicts of interests, including, but not limited to Government Code Section 1090 et seq., and the Political Reform Act, Government Code Section 81000 et seq. and regulations promulgated pursuant thereto by the California Fair Political Practices Commission. The statutes, regulations and laws previously referenced include, but are not limited to, prohibitions against any public officer or employee, including SUBRECIPIENT, from making any decision on behalf of COUNTY in which such officer, employee or consultant/contractor has a direct or indirect financial interest. A violation can occur if the public officer, employee or consultant/contractor participates in or influences any COUNTY decision which has the potential to confer any pecuniary benefit on SUBRECIPIENT or any business firm in which SUBRECIPIENT has an interest, with certain narrow exceptions.
(b) SUBRECIPIENT agrees that if any facts come to its attention which raise any questions as to the applicability of conflicts of interest laws, it will immediately inform the COUNTY designated representative and provide all information needed for resolution of this question.
31. COUNTERPARTS. The Parties may sign this Agreement in counterparts, each of which is an original and all of which taken together form one single document.
32. CERTIFICATION AND ACKNOWLEDGEMENT: The undersigned represents that he/she is authorized to enter into this Agreement for and on behalf of the SUBRECIPIENT. As the duly authorized representative of the SUBRECIPIENT, the undersigned hereby certifies that the SUBRECIPIENT has the legal authority to apply for County, State, and Federal assistance and the institutional, managerial and financial capability (including funds sufficient to pay any non-Federal share of project cost) to ensure proper planning, management and completion of the project described in the FY 2019 SHSGP application, within the prescribed timelines.
The undersigned further acknowledges that the SUBRECIPIENT is responsible for reviewing and adhering to all COUNTY, state, and federal grant award requirements. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]
11 IN WITNESS WHEREOF, the Parties have executed this Agreement as of the day and year signed by the last Party below.
CITY OF PORTERVILLE
ATTEST:
By:________________________________
Approved as to form:
By: _______________________________
By: ________________________________
Mayor
Date: ______________________________
COUNTY OF TULARE
ATTEST: JASON T. BRITT
County Administrative Officer/
Clerk of the Board of Supervisors
By:________________________________
Deputy
Approved as to form: County Counsel
By: _______________________________
Deputy, Matter No. 20191550.
By: ________________________________
Chairman, Board of Supervisors
Date: ______________________________
EXHIBIT A
A-1
EXHIBIT A
A-2
EXHIBIT A
A-3
EXHIBIT A
A-4
EXHIBIT A
A-5
EXHIBIT A
A-6
EXHIBIT A
A-7
EXHIBIT A
A-8
EXHIBIT A
A-9
EXHIBIT A
A-10
EXHIBIT A
A-11
EXHIBIT B
B-1
Federally-Funded Services
(Pursuant to Appendix II, 2 CFR Part 200)
(1) Equal Employment Opportunity. Except as otherwise provided under 41 CFR Part 60, if this Agreement meets the definition of ‘‘federally assisted construction contract’’ in 41 CFR Part 60–1.3, then during the performance of this Agreement, the SUBRECIPIENT agrees as follows: (1) The SUBRECIPIENT will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The SUBRECIPIENT will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, or national origin. Such action shall include, but not be limited to the following: Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The SUBRECIPIENT agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.(2) The SUBRECIPIENT will, in all solicitations or advertisements for employees placed by or on behalf of the SUBRECIPIENT, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, or national origin.(3) The SUBRECIPIENT will not discharge or in any other manner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or is consistent with the SUBRECIPIENT’S legal duty to furnish information.(4) The SUBRECIPIENT will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the SUBRECIPIENT’S commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.(5) The SUBRECIPIENT will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.(6) The SUBRECIPIENT will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders.(7) In the event of the SUBRECIPIENT’S noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this Agreement may be canceled, terminated, or suspended in whole or in part and the SUBRECIPIENT may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law.(8) The SUBRECIPIENT will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (8) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The SUBRECIPIENT will take such action with respect to any subcontract or purchase order as the COUNTY may direct as a means of enforcing such provisions, including sanctions for noncompliance: Provided, however, that in the event SUBRECIPIENT becomes involved in, or is threatened with, litigation with a sub-contractor or vendor as a result of such direction
EXHIBIT B
B-2
by the COUNTY, then the SUBRECIPIENT may request the United States to enter into such litigation to protect the interests of the United States. The COUNTY further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in federally assisted construction work.
The COUNTY agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such information as they may require for the supervision of such compliance, and that it will otherwise assist the administering agency in the discharge of the agency's primary responsibility for securing compliance. The COUNTY further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, with a contractor debarred from, or who has not demonstrated eligibility for, Government contracts and federally assisted construction contracts pursuant to the Executive Order and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D of the Executive Order. In addition, the COUNTY agrees that if it fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions: Cancel, terminate, or suspend in whole or in part this grant (contract, loan, insurance, guarantee); refrain from extending any further assistance to the COUNTY under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from the COUNTY; and refer the case to the Department of Justice for appropriate legal proceedings.
The SUBRECIPIENT and each of its subcontractors shall include this equal opportunity clause in each of its subcontracts.
(2) Davis-Bacon Act, as amended (40 U.S.C. 3141–3148). If this Agreement involves payment for construction services in excess of $2,000, then the SUBRECIPIENT must comply with the Davis-Bacon Act (40 U.S.C. 3141–3144, and 3146–3148) as supplemented by Department of Labor regulations (29 CFR Part 5, ‘‘Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction’’). In accordance with the Davis-Bacon Act, the SUBRECIPIENT is required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the U.S. Secretary of Labor. In addition, the SUBRECIPIENT is required to pay wages not less than once a week. The COUNTY must provide SUBRECIPIENT with a copy of the current prevailing wage determination issued by the U.S. Department of Labor with respect to the services to be provided under the subject Agreement. The SUBRECIPIENT’S execution of the subject Agreement constitutes the SUBRECIPIENT’S acceptance of the wage determination. The COUNTY must report all suspected or reported violations to the Federal awarding agency. (3) Copeland ‘‘Anti- Kickback’’ Act (40 U.S.C. 3145). SUBRECIPIENT must comply with the Copeland ‘‘Anti- Kickback’’ Act (40 U.S.C. 3145), as supplemented by Department of Labor regulations (29 CFR Part 3, ‘‘Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States’’). Under the Copeland ‘‘Anti- Kickback’’ Act, the SUBRECIPIENT and all subcontractors are prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. The COUNTY must report all suspected or reported violations to the Federal awarding agency.
(4) Contract Work Hours and Safety Standards Act (40 U.S.C. 3701–3708). If this Agreement
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involves payments for services in excess of $100,000 that include the employment of mechanics or laborers, then the SUBRECIPIENT must comply with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 CFR Part 5). Under 40 U.S.C. 3702 of the Act, the SUBRECIPIENT is required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence.
(5) Rights to Inventions Made Under a Contract or Agreement. If the Federal award supporting payments for services under this Agreement meetsthe definition of ‘‘funding agreement’’ under 37 CFR § 401.2 (a) and the Agreement is with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that ‘‘funding agreement,’’ then the COUNTY and the SUBRECIPIENT must comply with the requirements of 37 CFR Part 401, ‘‘Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements,’’ and any implementing regulations issued by the awarding agency. (6) Clean Air Act (42 U.S.C. 7401–7671q.) and the Federal Water Pollution Control Act (33 U.S.C. 1251–1387), as amended. If this Agreement involves payments for services in excess of $150,000, then the SUBRECIPIENT must comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401–7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251–1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA).
(7) Debarment and Suspension (Executive Orders 12549 and 12689). By execution of this Agreement, SUBRECIPIENT certifies to the COUNTY that it is not a party listed on the government-wide exclusions list in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), ‘‘Debarment and Suspension,’’ and is not debarred, suspended, or otherwise excluded from the award of a federally-supported contract under statutory or regulatory authority other than Executive Order 12549.
(8) Byrd Anti-Lobbying Amendment (31 U.S.C. 1352). If this Agreement involves payments for services in excess of $100,000, then by execution of this Agreement, the SUBRECIPIENT certifies to the COUNTY that it will not and has not used Federally-appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. The SUBRECIPIENT must also disclose to the COUNTY in writing any lobbying with non-Federal funds that takes place in connection with obtaining any Federal award.
(9) Procurement of recovered materials. Pursuant to 2 CFR § 200.322, COUNTY and SUBRECIPIENT must comply with section 6002 of the Federal Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR part 247 that
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contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines.
(10) Records Retention and Access. Pursuant to 2 CFR §§ 200.333 through 200.337, the following provisions regarding Records Retention and Access will apply to this Agreement:
(a) Retention requirements for records. SUBRECIPIENT must retain all financial records, supporting documents, statistical records, and all other of its records pertinent to this Agreement for a period of three years from the date of submission of the final expenditure report or, for Federal awards that are renewed quarterly or annually, from the date of the submission of the quarterly or annual financial report, respectively, as reported to the Federal awarding agency or COUNTY. The only exceptions to the 3 year limit are the following:
(i) If any litigation, claim, or audit is started before the expiration of the 3-year period, then the records must be retained until all litigation, claims, or audit findings involving the records have been resolved and final action taken.
(ii) When the SUBRECIPIENT is notified in writing by the COUNTY or Federal awarding agency, cognizant agency for audit, oversight agency for audit, or cognizant agency for indirect costs to extend the retention period.
(iii) Records for real property and equipment acquired with Federal funds must be retained for 3 years after final disposition.
(iv) When records are transferred to or maintained by the COUNTY, or Federal awarding agency, the 3-year retention requirement is not applicable to the SUBRECIPIENT. (v) Records for program income transactions after the period of performance. In some cases recipients must report program income after the period of performance. Where there is such a requirement, the retention period for the records pertaining to the earning of the program income starts from the end of the SUBRECIPIENT’S fiscal year in which the program income is earned. (vi) Indirect cost rate proposals and cost allocations plans. This paragraph applies to the following types of documents and their supporting records: indirect cost rate computations or proposals, cost allocation plans, and any similar accounting computations of the rate at which a particular group of costs is chargeable (such as computer usage chargeback rates or composite fringe benefit rates).
1. If submitted for negotiation. If the proposal, plan, or other computation is required to be submitted to the COUNTY or the Federal Government to form the basis for negotiation of the rate, then the 3-year retention period for its supporting records starts from the date of such submission.
2. If not submitted for negotiation. If the proposal, plan, or other computation is not required to be submitted to the COUNTY or Federal Government for negotiation purposes, then the 3- year retention period for the proposal, plan, or computation and its supporting records starts from the end of the fiscal year (or other accounting period) covered by the proposal, plan, or other computation. (b) Methods for collection, transmission and storage of information. In accordance with the May 2013 Executive Order on Making Open and Machine Readable the New Default for Government Information, the Federal awarding agency and the SUBRECIPIENT should, whenever practicable, collect, transmit, and store Federal award-related information in open and machine readable formats rather than in closed formats or on paper. The Federal awarding agency or COUNTY must always provide or accept paper versions of Federal award-related information to and from the SUBRECIPIENT upon request. If paper copies are submitted, the Federal awarding agency or COUNTY must not require more than an
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original and two copies. When original records are electronic and cannot be altered, there is no need to create and retain paper copies. When original records are paper, electronic versions may be substituted through the use of duplication or other forms of electronic media provided that they are subject to periodic quality control reviews, provide reasonable safeguards against alteration, and remain readable. (c) Access to records.
(i) Records of SUBRECIPIENT. The Federal awarding agency, Inspectors General, the Comptroller General of the United States, the State of California, and the COUNTY, or any of their authorized representatives, must have the right of access to any documents, papers, or other records of the SUBRECIPIENT which are pertinent to the Federal award, in order to make audits, examinations, excerpts, and transcripts. The right also includes timely and reasonable access to the SUBRECIPIENT’S personnel for the purpose of interview and discussion related to such documents. (ii) Only under extraordinary and rare circumstances would such access include review of the true name of victims of a crime. Routine monitoring cannot be considered extraordinary and rare circumstances that would necessitate access to this information. When access to the true name of victims of a crime is necessary, appropriate steps to protect this sensitive information must be taken by both the SUBRECIPIENT and the Federal awarding agency or COUNTY. Any such access, other than under a court order or subpoena pursuant to a bona fide confidential investigation, must be approved by the head of the Federal awarding agency or delegate.
(iii) Expiration of right of access. The rights of access in this section are not limited to the required retention period but last as long as the records are retained. Federal awarding agencies and COUNTY must not impose any other access requirements upon SUBRECIPIENT. 8592.5. (a) Except as provided in subdivision (c), a state department that purchases public safety radio communication equipment shall ensure that the equipment purchased complies with applicable provisions of the following:
(1) The common system standards for digital public safety radio communications commonly referred to as the "Project 25 Standard," as that standard may be amended, revised, or added to in the future jointly by the Associated Public-Safety Communications Officials, Inc., National Association of State Telecommunications Directors and agencies of the federal government, commonly referred to as "APCO/NASTD/FED."
(2) The operational and functional requirements delineated in the Statement of Requirements for Public Safety Wireless Communications and Interoperability developed by the SAFECOM Program under the United States Department of Homeland Security.
(b) Except as provided in subdivision (c), a local first response agency that purchases public safety radio communication equipment, in whole or in part, with state funds or federal funds administered by the state, shall ensure that the equipment purchased complies with paragraphs (1) and (2) of subdivision (a).
(c) Subdivision (a) or (b) shall not apply to either of the following:
(1) Purchases of equipment to operate with existing state or local communications systems where the latest applicable standard will not be compatible, as verified by the Telecommunications Division of the Department of General Services.
(2) Purchases of equipment for existing statewide low-band public safety communications systems.
(d) This section may not be construed to require an affected state or local governmental agency to compromise its immediate mission or ability to function and carry out its existing responsibilities.
SAFECOM Guidance on
Emergency Communications
Grants
Fiscal Year 2020
U.S. Department of Homeland Security
Cybersecurity and Infrastructure Security Agency
FY 2020 SAFECOM Guidance on Emergency Communications Grants 2 A Message to Stakeholders
On behalf of the Cybersecurity and Infrastructure Security Agency (CISA), I am releasing the Fiscal Year 2020 SAFECOM Guidance on Emergency Communications Grants (SAFECOM Guidance). This document is updated annually to provide current information on emergency communications policies, eligible costs, best practices, and technical standards for state, local, tribal, and territorial grant recipients investing federal funds in emergency communications projects.
The SAFECOM Guidance aligns with the National Emergency Communications Plan (NECP), recently updated in 2019, which emphasizes the need to enhance governance structures, plans, and protocols that enable the emergency response community to communicate and share information under all circumstances.
It aims to maximize the use of all communications capabilities available to public safety officials—voice, video, and data—and to ensure the security of data and information exchange. To accomplish this, grant recipients must engage the whole community in preparedness activities. Similarly, the SAFECOM Guidance addresses the rapidly evolving emergency communications ecosystem and encourages grant recipients to support the concepts and recommendations within the NECP.
The Administration, Office of Management and Budget, and federal grant program offices recognize the SAFECOM Guidance as the primary guidance on emergency communications grants. Since 2015, the Department of Homeland Security has required its grant recipients investing in emergency communications to comply with SAFECOM Guidance. All grant applicants are encouraged to coordinate with their statewide governance bodies and emergency communications leaders (e.g., Statewide Interoperability Coordinators) to ensure projects support the state, local, tribal, or territory’s strategy to improve interoperable emergency communications. In addition, grant applicants should work with public and private entities, and across jurisdictions and disciplines, to assess needs, plan projects, coordinate resources, and improve response through cross-training and joint exercises. These coordination efforts are important to ensure interoperability remains a top priority.
The SAFECOM Guidance encourages grant applicants to participate, support, and invest in planning activities that will help states or territories prepare for deployment of new emergency communications systems or technologies. At the same time, there is a need to sustain current land mobile radio (LMR) systems into the foreseeable future. Grant recipients should continue enhancing governance and leadership, developing plans and procedures, conducting training and exercises, and investing in standards-based equipment to sustain LMR capabilities, while concurrently planning for the integration and deployment of new technologies. Grant recipients must also consider cybersecurity risks across all capabilities when planning operable, interoperable, and continuity of communications.
As in previous years, CISA developed the SAFECOM Guidance in partnership with SAFECOM and the National Council of Statewide Interoperability Coordinators. CISA also consulted federal partners and the Emergency Communications Preparedness Center to ensure emergency communications policies are coordinated and consistent across the Federal Government. Grant applicants are encouraged to reference this document when developing emergency communications investments for federal funding, and to direct any questions to my office at [email protected].
Vincent DeLaurentis
Acting Assistant Director for Emergency Communications
Cybersecurity and Infrastructure Security Agency
U.S. Department of Homeland Security
FY 2020 SAFECOM Guidance on Emergency Communications Grants 3 Contents
A Message to Stakeholders........................................................................................................................... 2 Contents ........................................................................................................................................................ 3
1. Introduction ............................................................................................................................................ 4
1.1 Purpose of SAFECOM Guidance .................................................................................................... 4
1.2 Report Methodology ........................................................................................................................ 5
1.3 Use of SAFECOM Guidance........................................................................................................... 6
1.4 Key Changes and Updates............................................................................................................... 8
2. Emergency Communications Priorities.................................................................................................. 9
2.1 Priority 1: Governance and Leadership ........................................................................................... 9
2.2 Priority 2: Planning and Procedures .............................................................................................. 10
2.3 Priority 3: Training, Exercises, and Evaluation ............................................................................. 12
2.4 Priority 4: Activities that Enhance Communications Coordination ............................................... 13
2.5 Priority 5: Standards-based Technology and Infrastructure........................................................... 14
2.6 Priority 6: Cybersecurity ................................................................................................................ 16
3. Before Applying ................................................................................................................................... 17
3.1 Review the NECP and SCIP .......................................................................................................... 17
3.2 Coordinate with Statewide Emergency Communications Leaders ................................................ 17
3.3 Recognize Changes in the Emergency Communications Ecosystem ............................................ 17
3.4 Understand Federal Grant Requirements and Restrictions ............................................................ 23
4. Eligible Activities ................................................................................................................................. 26
4.1 Personnel ........................................................................................................................................ 26
4.2 Planning and Organization ............................................................................................................. 27
4.3. Training .......................................................................................................................................... 30
4.4 Exercises ........................................................................................................................................ 31
4.5 Equipment ...................................................................................................................................... 32
5. Emergency Communications Systems and Capabilities ...................................................................... 36
6. Grants Management Best Practices ...................................................................................................... 37
7. Funding Sources ................................................................................................................................... 38 Appendix A – Acronym List ..................................................................................................................... A-1 Appendix B – Technology and Equipment Standards and Resources ...................................................... B-1 Appendix C – Emergency Communications Resources ........................................................................... C-1 Appendix D – Compliance Requirements for DHS Grants ...................................................................... D-1 FY 2020 SAFECOM Guidance on Emergency Communications Grants 4 1. Introduction
The Department of Homeland Security (DHS) is mandated to administer responsibilities and authorities relating to the SAFECOM Program. Within DHS, the Cybersecurity and Infrastructure Security Agency (CISA) is responsible for developing coordinated guidance for federal grant programs for public safety communications.1 As a result, CISA develops the annual SAFECOM Guidance on Emergency Communications Grants (SAFECOM Guidance) as a reference guide for entities applying for federal financial assistance for emergency communications projects. While only entities funding emergency communications projects with DHS grant funding are required to comply with SAFECOM Guidance (see Appendix D), all entities are highly encouraged to follow the recommendations within this document to ensure interoperable, resilient, and fully effective communications.
The SAFECOM Guidance provides general information on eligible activities, technical standards, and other terms and conditions that are common to most federal emergency communications grants.2 It aims to ensure
that policies and standards across federal grant programs provide a consistent approach to improving emergency communications nationwide. The SAFECOM Guidance achieves this consistency by aligning recommendations with the Nation’s strategic plan for emergency communications, entitled the National Emergency Communications Plan (NECP).3
SAFECOM is a public safety-driven program sponsored by CISA, which develops policy, guidance, and future efforts by drawing on SAFECOM member expertise and recommendations. The DHS Science and Technology Directorate also supports SAFECOM-related research, development, testing, evaluation, as well as the acceleration of standards. SAFECOM works to build partnerships among all levels of government, linking the strategic planning, technical support, and implementation needs of the emergency response community with federal, state, local, tribal, and territorial governments, to improve communications.
Additionally, CISA consulted members of the Emergency Communications Preparedness Center, which coordinates roles and activities of agencies across the Federal Government to improve interoperable public safety and emergency response communications. It consists of 14 federal departments and agencies representing the government’s broad role in improving coordination of emergency communications efforts, including information sharing, planning, regulation, policy, operations, grants, and technical assistance.
Together, SAFECOM members and federal partners coordinate on emergency communications policy and standards to ensure projects are compatible, interoperable, and most importantly, meet needs of end-users.
1.1 Purpose of SAFECOM Guidance
The SAFECOM Guidance provides guidance to grant recipients4 on:
• Recommendations for planning, coordinating, and implementing projects • Emergency communications activities that can be funded through federal grants • Best practices, policies, and technical standards that help to improve interoperability • Resources to help grant recipients comply with technical standards and grant requirements 1 6 U.S.C. § 571(c)(2) and 6 U.S.C. § 574.
2 Federal financial assistance includes grants, loans, cooperative agreements, and other funds provided by the Federal Government. For this document, these terms are used interchangeably unless otherwise indicated. 3 For more information on the NECP, see: https://www.cisa.gov/necp. 4 In accordance with Title 2 of the Code of Federal Regulations (CFR) 200, the terms “recipient” and “sub-recipient” is defined as a non-federal entity that receives a federal award directly from a federal awarding agency to carry out an activity under a federal program.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 5 The SAFECOM Guidance is designed to promote and align with the national vision established in the NECP. CISA published a second update to the NECP in September 2019 that builds upon revisions made in 2014, while also positioning the NECP to maintain relevance into the future. Updates to the NECP goals and objectives aim to enhance emergency communications capabilities at all levels of government in coordination with the private sector, nongovernmental organizations, and communities across the Nation.
The plan’s success relies on the whole community embracing the NECP goals and objectives, and most importantly implementing them. Critical components for advancing emergency communications fall under three national priorities:
• Enhance effective governance across partners with a stake in emergency communications, embracing a shared responsibility of the whole community from traditional emergency responders and supporting entities to the citizens served
• Address interoperability challenges posed by rapid technology advancements and increased information sharing, ensuring the most critical information gets to the right people at the right time • Build resilient and secure emergency communications systems to reduce cybersecurity threats and vulnerabilities
Recommendations within the SAFECOM Guidance are intended to help state, local, tribal, and territorial stakeholders develop projects that meet critical emergency communications needs defined in the NECP and their Statewide Communication Interoperability Plan (SCIP).5 Best practices and technical standards located within the SAFECOM Guidance help ensure federally-funded investments are interoperable, fully effective and reliable, and support national policies. However, not all guidance is applicable to all grant programs. Grants funding emergency communications are administered by numerous federal agencies and are subject to various statutory and programmatic requirements. As a result, grant applicants and recipients should review specific grant guidance carefully to ensure their proposed activities are eligible, and all standards, terms, and conditions required by the program are met.6
1.2 Report Methodology
CISA consulted with local, state, and federal partners to develop the SAFECOM Guidance, including:
• Emergency Communications Preparedness Center (ECPC) Grants Focus Group • Federal Communications Commission (FCC), Public Safety and Homeland Security Bureau (PSHSB) • SAFECOM8
and the National Council of Statewide Interoperability Coordinators (NCSWIC) • U.S. Department of Commerce
o First Responder Network Authority (FirstNet Authority) o National Institute of Standards and Technology (NIST) o National Telecommunications and Information Administration (NTIA) • U.S. Department of Homeland Security
o Federal Emergency Management Agency (FEMA)
o Integrated Public Alert and Warning System (IPAWS)
o Science and Technology Directorate, Office for Interoperability and Compatibility • U.S. Department of Justice, Office of Justice Programs • U.S. Department of Transportation, National Highway Traffic Safety Administration (NHTSA) 7 5 For information on SCIPs, see: https://www.cisa.gov/statewide-communication-interoperability-plans. 6 For the purposes of this document, “grant guidance” may include Notices of Funding Opportunity, Grant Notices, Grant Applications, and other formal notices of grants and federal financial assistance programs. 7 The ECPC Grants Focus Group is comprised of grant officers, program administrators, and communications experts representing the 14 federal agencies that participate in the ECPC. 8 For a list of SAFECOM members, see: http://www.dhs.gov/safecom/membership.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 6 1.3 Use of SAFECOM Guidance
The SAFECOM Guidance should be used during planning, development, and implementation of emergency communications projects and in conjunction with other planning documents. Before proposing projects for funding, prospective applicants are encouraged to read the NECP, federal and state preparedness documents such as statewide plans and reports, and the SAFECOM Guidance to ensure projects support federal, state, local, tribal, and territorial plans for improving emergency communications.
Table 1 provides a list of essential resources available to recipients.
Table 1. Essential Resources for Emergency Communications Grant Recipients Resources Descriptions
National
Emergency
Communication
Plan
The NECP is the Nation’s strategic plan that promotes communication and information sharing across all levels of government, jurisdictions, disciplines, and organizations for all threats and hazards, as needed and when authorized. It provides information and guidance to those that plan for, coordinate, invest in, and use communications to support response operations. Grant applicants are encouraged to read the NECP to understand the national strategy, and to ensure investments support the goals and objectives. The NECP is available at: https://www.cisa.gov/necp.
Statewide
Communication
Interoperability
Plan
The SCIP contains the state, territory, or tribal government’s strategy to improve emergency communications. States and territories were required to develop and submit a SCIP to DHS by December 2008 and required to submit reports annually on the progress of the state or territory in implementing its SCIP. Many federal grants funding emergency communications require grant applicants to align projects to needs identified in SCIPs. Grant recipients and sub-recipients should review the SCIP for their state/territory and work with their Statewide Interoperability Coordinator (SWIC) to ensure investments support statewide plans to improve communications. To find your state’s SCIP, please contact your SWIC. Contact information for SWICs can be found on the NCSWIC membership page: https://www.dhs.gov/safecom/ncswic-membership.
SAFECOM
Website
The SAFECOM website provides information and resources for public safety agencies developing emergency communications projects. For the most recent SAFECOM Guidance and list of grants funding emergency communications, see the SAFECOM website at: https://www.dhs.gov/safecom/funding.
IPAWS Website This website contains information on IPAWS’s capabilities, who can use IPAWS to send alerts and warnings, and organizations that work with the IPAWS Program Management Office to support public alerts and warnings. IPAWS is accessed through software that meets IPAWS system requirements. There is no cost to send messages through IPAWS, although there may be costs associated with acquiring compatible alert origination software. Grant recipients are encouraged to invest in alerting software.
IPAWS is not mandatory and does not replace existing methods of alerting, but instead complements existing systems and offers new capabilities to deliver timely and actionable alerts. See the IPAWS website at: https://www.fema.gov/integrated-publicalert-warning-system and information for alerting authorities at:
https://www.fema.gov/alerting-authorities.
Office of
Management
and Budget
(OMB) Grants
Circulars
Federal awards must adhere to the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at:
https://www.govinfo.gov/app/details/CFR-2014-title2-vol1/CFR-2014-title2-vol1-part200.
Grant applicants should reference specific Notices of Funding Opportunity to determine applicable requirements at: https://www.grants.gov. Additional information is on the Chief Financial Officers Council website at: https://cfo.gov/grants.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 7 Resources Descriptions
Statewide
Interoperability
Coordinator
States, territories, and tribal governments are encouraged to designate a full-time SWIC who has the authority and resources to actively improve interoperability with emergency management and response agencies across all levels of government. Grant applicants are strongly encouraged to coordinate project proposals with the SWIC to ensure projects support statewide efforts to improve emergency communications. DHS/FEMA requires all states and territories that use Homeland Security Grant Program funds to designate a full-time SWIC who has the authority and resources to actively improve interoperability with emergency management and response agencies across all levels of government. https://www.dhs.gov/safecom/ncswic-membership.
State
Leadership
As required as a condition of the State and Local Implementation Grant Program (SLIGP) 2.0, each State and Territory Governor designated an individual or body to serve as coordinator of implementation of the grant funds known as the Single Point of Contact (SPOC). Grant recipients are encouraged to consult with the appropriate point of contact or governance body for their state or territory when engaging in public safety broadband activities.
The State Emergency Management Agency Director is responsible for ensuring the state or territory is prepared to deal with any type of emergency, as well as coordinating statewide incident response. This includes collaborating with appropriate statewide representatives for critical capabilities, such as emergency communications, statewide 911 communications, and public alerting.
State Information Technology and Security Officials, including a state or territory’s Chief Information Officer, Chief Technology Officer, and Chief Information Security Officer manage key information technology (IT) initiatives, including IT procurement, security, and IT planning and budgeting.
The 911 Administrator manages the state or territory’s 911 functions as determined by state legislation. The official title and role of this position may vary. Grant recipients are encouraged to coordinate 911 projects with the Administrator to ensure projects support state or territory 911 efforts. To find your Administrator, refer to the National Association of State 911 Administrators at: http://www.nasna911.org/state-911-contacts.
The Homeland Security Director coordinates the planning, development, and coordination of statewide policies developed in support of public and private organizations responsible for preventing terrorism, raising awareness, reducing vulnerabilities, responding to, and recovering from terrorist acts. To locate your Director or office, refer to: https://www.dhs.gov/state-homeland-security-contacts.
State
Governance
The Statewide Interoperability Governing Body (SIGB) or State Interoperability Executive Committee (SIEC) serve as the primary steering group for the statewide interoperability strategy that seek to improve emergency response communications across the State through enhanced data and voice communications interoperability.
SIGBs and SIECs include representatives from various jurisdictions, disciplines, as well as subject matter experts. To find the SIGB or SIEC for your state or territory, contact CISA at: [email protected].
A Broadband Working Group serves as the governing body for state or territory planning activities for the FirstNet Authority. Many states are using their SIGB or SIEC for planning or have created an independent working group focused on public safety broadband. Grant recipients are encouraged to work with their respective group to ensure efforts do not conflict with the FirstNet Authority’s planning and implementation of the Nationwide Public Safety Broadband Network (NPSBN).
The 911 Advisory Board works with the 911 Administrator to plan and coordinate state and local 911 efforts. The official title and role of this board vary. Grant applicants are encouraged to coordinate 911 projects with the Board to ensure projects support state or territory 911 efforts. To find your 911 Advisory Board, refer to State 911 Contacts page of the National Association of State 911 Administrators at:
http://www.nasna911.org/state-911-contacts.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 8 1.4 Key Changes and Updates
This section highlights key changes to the FY 2020 SAFECOM Guidance:
• Emergency Communications Priorities (Section 2). This section reviews stakeholder-driven priorities aligned to the NECP goals and recommendations, including: 1) Governance and Leadership; 2) Planning and Procedures; 3) Training, Exercises, and Evaluation; 4) Activities that Enhance Communications Coordination; 5) Standards-based Technology and Infrastructure; and 6) Cybersecurity.
Based on lessons learned from recent federally-declared disasters, there is an urgent need to address communications survivability, resilience, and continuity. Rather than listing this as a separate priority, communications resilience and continuity should be viewed as a critical component across all priorities.
• Before Applying (Section 3). This section provides an overview of national policies, laws, and issues affecting emergency communications grants and the broader emergency communications ecosystem, as well as federal requirements and restrictions on funding that applicants should consider before applying.
New this year, the NECP update was released in September 2019. Congress directs CISA to complete a nationwide emergency communications baseline assessment every five years and to periodically update the NECP. Informed by the 2018 assessment results, updating the NECP keeps the plan forward-looking and accounts for changes in emergency communications policy, legislation, and technologies. NECP updates to the Nation’s strategic plan for emergency communications have been incorporated throughout the SAFECOM Guidance. • Eligible Activities (Section 4). This section includes a review of eligible costs commonly funded by federal grants, as well as guidance for applicants to address NECP strategic goals and recommendations. Grant applicants seeking to improve interoperable emergency communications are encouraged to allocate grant funding to these activities. However, applicants must consult the specific grant guidance they are applying for to confirm allowable costs, as all activities listed in this section may not be eligible for funding under all federal grant programs. • Emergency Communications Systems and Capabilities (Section 5). This section provides an overview of emergency communications and the importance of deploying standards-based technology and equipment.
• Grants Management Best Practices (Section 6). This section provides best practices to ensure the effective implementation of grants and to establish the entity as a trusted steward of federal grant funding and a credible recipient of future grant funding. • Funding Sources (Section 7). This section offers recommendations on how applicants should consider multiple funding sources, including traditional grants and other sources that may partially fund emergency communications projects.
• Appendices. The appendices include an acronym list (Appendix A), technical standards for emergency communications equipment (Appendix B), and resources recipients can reference when developing emergency communications projects (Appendix C).
In Appendix D, DHS has outlined specific requirements for DHS/FEMA recipients to comply with SAFECOM Guidance. These requirements are in accordance with the DHS Standard Terms and Conditions of preparedness grants.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 9 2. Emergency Communications Priorities
CISA is responsible for ensuring grant guidelines and priorities relating to interoperable emergency communications are coordinated and consistent with the NECP goals and recommendations. In support of this mandate, SAFECOM Guidance identifies six investment priorities. These priorities were developed in coordination with stakeholders and federal partners, and are informed by the NECP, as well as other applicable Presidential Policy Directives, federal statutes, and regulations. Grant recipients are encouraged to target grant funding toward the following priorities:
• Priority 1: Governance and Leadership
• Priority 2: Planning and Procedures
• Priority 3: Training, Exercises, and Evaluation
• Priority 4: Activities that Enhance Communications Coordination • Priority 5: Standards-Based Technology and Infrastructure • Priority 6: Cybersecurity
2.1 Priority 1: Governance and Leadership
Strong governance and leadership structures are essential to effective decision-making, coordination, and planning for emergency communications. While the existence and growth in governance bodies is a significant accomplishment, many of these entities were originally established to address land mobile radio (LMR) interoperability issues. Evolving technology and rising expectations in emergency communications change the traditional roles and responsibilities within the public safety community, requiring strong, broader scopes and unified governing bodies. Fortunately, there is already a strong foundation for future progress. State, local, tribal, and territorial governments should focus on formalizing, expanding, and updating current structures, processes, and investments in governance and leadership.
In FY 2020, grant recipients are encouraged to invest in emergency communications governance and leadership structures for coordinating statewide and regional initiatives that reflect the evolving emergency communications environment.
9 These investments are critical for assessing needs, conducting statewide planning, coordinating investments, ensuring projects support the SCIP, maintaining and improving communications systems, and planning for future communications improvements. Formal governance and leadership structures can also facilitate the development of operating procedures and planning mechanisms that establish priorities, objectives, strategies, and tactics during response operations.10
For regional, cross-border initiatives, grant recipients should coordinate projects with national level emergency communications coordination bodies, such as the NCSWIC and the Regional Emergency Communications Coordination Working Groups (RECCWGs). The NCSWIC promotes and coordinates state level activities designed to ensure the highest level of public safety communications across the Nation. RECCWGs are congressionally-mandated planning and coordination bodies located in each FEMA Region and provide a collaborative forum to assess and address the survivability, sustainability, operability, and interoperability of emergency communications systems at all levels of government.
Grant-funded investments that are coordinated with these bodies will help ensure that federally-funded emergency communications investments are interoperable and support national policies. 9 See the Emergency Communications Governance Guide for State, Local, Tribal, and Territorial Officials at:
http://www.dhs.gov/safecom/governance. 10 See the National Incident Management System Implementation Objectives at: http://www.fema.gov/nationalincident-management-system.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 10 To support this priority, grant recipients should target funding to:
• Develop/sustain the SIGB or SIEC activities and SWIC position ο In accordance with DHS/FEMA requirements, all states and territories receiving Homeland Security Grant Program funds are required to designate a full-time SWIC who has the authority and resources to actively improve interoperability with emergency management and response agencies across all levels of government, to include establishing statewide plans, policies, and procedures, and coordinating decisions on communications investments • Formalize and adapt governance structures and processes to address the evolving operating environment, including:
ο Include and coordinate with emergency communications leaders (e.g., 911 leaders, IPAWS Program Management Office, RECCWGs, utilities commissions) and representatives from multiple agencies, jurisdictions, disciplines, levels of government, tribes, rural areas, subject matter experts, and private industry when developing strategic and operational plans and policies, and during training and exercises
ο Identify and include information management, network infrastructure, and cybersecurity representatives in governance membership or through formalized coordination to undertake technology integration and migration initiatives (e.g., broadband, 911, alerts and warnings, information management, network infrastructure, cybersecurity), as well as identify and address legislative and regulatory issues associated with emerging technology ο Review and update key operating documents for SIGB or SIEC (e.g., charters, agreements, policies, procedures) to ensure they are positioned to address new technology deployments and facilitate coordination with the SWIC
ο Formalize and regularly review cross-jurisdictional, multi-state, or multi-organizational agreements (e.g., memoranda of understanding [MOU], mutual aid agreements) to account for changes to resources, capabilities, and information- or technology-sharing needs ο Integrate emergency communications governance and leadership into broader statewide planning efforts (e.g., FirstNet deployment and radio access network buildout, 911 system migration, IT enhancements) to ensure emergency communications needs are represented ο Increase regional structures or processes to foster multi-state coordination and information sharing
ο Conduct outreach and education to continually assess and address user needs ο Develop governance to aid in coordination of messaging within partnering IPAWS Alerting Authorities; improve the common operating picture; and create awareness of existing plans, policies, and procedures
2.2 Priority 2: Planning and Procedures
The emergency communications community benefits from a comprehensive and inclusive approach to planning. The NECP recommends that response agencies seek to improve responders’ ability to communicate and share information with others through formal, written strategies, plans, and standard operating procedures (SOPs) that integrate the capabilities of all users and account for the entire system lifecycle. Through development and updating of their SCIPs, states, tribes, and territories engage multiple jurisdictions, disciplines, and levels of government in planning, incorporating all emergency communications needs. The SCIP serves as the primary strategic plan for emergency communications, while other plans outline specific operational coordination or tactical procedures, including Tactical Interoperable Communications Plans (TICPs) and FEMA Regional Emergency Communications Plans (RECPs). TICPs are designed to allow urban areas, counties, regions, states/territories, tribes, or federal agencies to document interoperable communications governance structures, technology assets, and usage policies and procedures. RECPs, along with their associated state, territorial, or tribal annexes, serve to identify emergency communications capability shortfalls and potential resource requirements.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 11 Grant recipients are encouraged to leverage these planning resources as a source of input and reference for all emergency communications grant applications and investment justifications. Updating plans and SOPs to address emergency communications gaps, new technologies, and stakeholder needs helps to improve emergency communications and response across the whole community. This continuous and comprehensive planning enables agencies to effectively identify, prioritize, and coordinate to ensure proposed investments support statewide, tribal-wide, and territory-wide planning priorities.
In FY 2020, grant recipients should continue to target funding toward planning activities, including updates of statewide, tribal-wide, and territory-wide plans, and ensure plans incorporate the capabilities and needs of all emergency communications systems throughout their lifecycles. The goal of this priority is to ensure emergency communications needs are continually assessed and integrated into risk assessments and preparedness plans, including continuity planning efforts. These planning activities must include analyzing threats and vulnerabilities that may affect communications resilience and developing investment plans and SOPs to mitigate identified risks. Stakeholders are encouraged to target funding toward planning, stakeholder outreach, assessment of user needs, and other activities that will help to engage the whole community in emergency communications planning initiatives.
To support this priority, grant recipients should target funding toward critical planning activities, including the following:
• Update SCIPs, other strategic plans, and procedures to:
ο Reflect the NECP strategic goals and objectives into measurable goals, activities, and milestones ο Incorporate whole community concepts11
ο Integrate lifecycle planning to inform agency funding decisions ο Address capabilities (e.g., voice, video, data), findings, and gaps identified in state-level preparedness reports, risk and vulnerability assessments, and After-Action Reports (AAR) from real-world incidents and planned exercises
ο Identify and address FCC directives affecting current or planned public safety communications systems (e.g., narrowbanding, T-Band migration, systems operating in the 700 megahertz [MHz] public safety broadband spectrum, 800 MHz rebanding) ο Incorporate a multifaceted approach to ensure the confidentiality, integrity, reliability, and availability of data
• Support statewide emergency communications and preparedness planning efforts through allocation of funding to the following planning activities:
ο Conduct and attend planning meetings
ο Engage the whole community in emergency communications planning, response, and risk identification
ο Develop and perform risk, resiliency, and vulnerability assessments (e.g., cyber, threat and hazard identification and risk assessment [THIRA])
ο Incorporate risk management strategies for continuity and recovery ο Integrate emergency communications assets and needs into state-level plans ο Coordinate with SWIC, State Administrative Agency (SAA),12 and state-level planners (e.g., 911 planners, utilities commissions) to ensure proposed investments align to statewide plans and comply with technical requirements
11 Per the National Preparedness Goal, whole community is formally defined as, “A focus on enabling the participation in national preparedness activities of a wider range of players from the private and nonprofit sectors, including nongovernmental organizations and the general public, in conjunction with the participation of federal, state, and local governmental partners in order to foster better coordination and working relationships.” 12 Many federal grants are awarded to a designated SAA as the official recipient and administrator for the grant, responsible for sub-recipient oversight of grant-funded activities.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 12 ο Establish a cybersecurity response plan including continuity of vulnerable communications components, such as Radio Frequency (RF)-based communications that do not rely on public infrastructure
• Identify, review, establish, and improve SOPs in coordination with response agencies at all levels of government to:
ο Ensure federal, state, local, tribal, and territorial roles and responsibilities are clearly defined ο Ensure communications assets and capabilities are integrated, deployed, and utilized to maximize interoperability
ο Address threats, mitigate vulnerabilities, and identify contingencies for the continuity of critical communications
2.3 Priority 3: Training, Exercises, and Evaluation
NECP Goal Demonstrations, AARs, and similar assessments reveal that jurisdictions are better able to respond to emergencies due in part to regular training and exercises. Training, exercises, and evaluations help response personnel understand their communications roles and responsibilities during an emergency, as well as processes for working with other agencies. Further, as communications technologies continue to evolve, the need for training and exercises becomes even greater to ensure personnel are proficient in using existing and new technologies. The NECP recommends agencies involve responders from all levels of government, as well as non-governmental stakeholders, to practice a whole community response. It also recommends agencies utilize all types of communication technologies, and identify gaps and problems with technologies or protocols.
In FY 2020, grant recipients should continue to invest in communications-related training, exercises, and evaluations to address gaps identified in response and recovery operations, which should include thoroughly testing resiliency and continuity of communications. Grant recipients are encouraged to participate in training and exercises across all levels of government and with other entities that will better assist jurisdictions to prepare for disasters and identify, assess, and address capability gaps.
To support this priority, grant recipients should target funding toward certified training, exercises, and evaluation activities, including:
• Conduct National Incident Management System (NIMS)-compliant training (e.g., training in Incident Command System [ICS] and the ICS Communications Unit such as Communications Unit Leader [COML], Communications Technician [COMT], Radio Operator [RADO], Incident Tactical Dispatcher [INTD], Auxiliary Communications [AUXCOMM], and Incident Communication Center Manager [INCM])13
• Improve states’, tribal, and territories’ ability to track and share trained Communications Unit personnel during response operations (e.g., include Communications Unit training plan within statewide plans such as the SCIP)
• Conduct frequent training and exercises involving personnel from all levels of government who are assigned to operate communications capabilities, to test communications systems and personnel (e.g., include emerging technologies and system failure), and utilize third-party evaluators with communications expertise
• Incorporate human factors in training and exercises to address the demands that voice, video, and data information place on personnel, to ensure that responders effectively use and are not overloaded by available information
• Perform exercises that support and demonstrate the adoption, implementation, and use of the NIMS concepts and principles
13 Regular training on NIMS/ICS concepts is needed to ensure new and existing staff are proficient in NIMS/ICS concepts. For NIMS-compliant training, see: https://www.fema.gov/nims-training.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 13 • Hold cross-training and state, regional, or national level exercises to validate plans and procedures to include tribes, nongovernmental organizations, and public sector communications stakeholders
• Provide training and exercises on new and existing systems, equipment, and SOPs • Develop or update training and exercise programs to address new technologies, data interoperability, cybersecurity, use of federal and national interoperability channels, personally identifiable information, and continuity of communications • Test communications survivability, resilience, and continuity of communications, to include validation of continuity procedures and operational testing of backup systems and equipment • Develop and support instructor cadres to expand training for communications-support personnel • Assess and update training curriculums and exercise criteria to reflect changes in the operating environment and plain language protocols
• Identify opportunities to integrate private and public sector communications stakeholders into training and exercises, as well as cost-effective approaches (e.g., distance learning) • Offer cyber training and education on the proper use and security of devices and applications, phishing, malware, other potential threats, and how to guard against attacks • Provide regular training and exercises for alerting authorities incorporating the use of IPAWS
2.4 Priority 4: Activities that Enhance Communications Coordination There has been significant improvement in capabilities at state, local, tribal, and territorial levels resulting in the ability of jurisdictions to more effectively coordinate communications resources and services during emergency incidents and planned events. This includes integration of capabilities, resources, and personnel across the whole community. As incidents escalate, communications resources must be able to expand rapidly to meet responders’ needs. This requires agencies to track communications resources they own or can access, then follow appropriate procedures to request and deploy resources to locations when needed.
In FY 2020, grant recipients are encouraged to update inventories of communications assets and share information within their state, tribe, or territory and region (e.g., neighboring states, tribes, or territories) that are most likely to request support during emergencies or events. This can be achieved by working with SWICs to update inputs to the Communication Assets Survey and Mapping (CASM) Tool—a webbased tool that assists public safety agencies to collect and visualize data, and assess inter-agency interoperability based on communications assets and interoperability methods. 14 Grant applicants and
recipients should identify gaps in capabilities and target funding toward those gaps. In addition, grant recipients must continue to implement NIMS ICS principles during all incidents and planned events.
Grant applicants and recipients are also encouraged to actively engage neighboring jurisdictions—both internal and external to the state, local, tribe, or territory—to coordinate response planning and seek mutual aid agreements for large-scale responses. Agencies should also collaborate and encourage alerting practices between levels of government including installing resilient communications to coordinate the distribution of alerts.
14 CISA hosts Public Safety Software Tools on the SAFECOM website at: https://www.dhs.gov/safecom/publicsafety-software-tools. Tools include the CASM Resource Finder, the electronic National Interoperability Field Operations Guide (eNIFOG), and electronic Auxiliary Communications Field Operations Guide (eAUXFOG) mobile applications. Users may request online training from CISA Technical Assistance at:
https://www.cisa.gov/ictapscip-resources.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 14 To support this priority, grant recipients should target funding to:
• Promote projects that confirm implementation of NIMS, the continued use of ICS and information sharing:
ο Establish or enhance primary, secondary, and backup communications capabilities and share appropriate ICS forms and information illustrating the status of an agency’s capabilities ο Assess and improve the timeliness of notification, activation, and response of communications systems providers to support the Incident Commander and Incident Management Team(s) requirements at incidents and planned events • Enhance the coordination and effective usage of communications resources ο Ensure inventories of emergency communications resources are updated and comprehensive, and readily share information about features, functionality, and capabilities of operable and interoperable communication resources with partners
ο Promote assessment of communications assets, asset coordination, and resource sharing ο Implement projects that promote regional, intra- and inter-state collaboration ο Support initiatives that engage the whole community, including commercial and nontraditional communications partners (e.g., auxiliary communications, volunteers, utilities) • Develop or update operational protocols and procedures ο Develop, integrate, or implement NIMS aligned SOPs to facilitate the integration, deployment, and use of communications assets
ο Test communications capabilities and personnel proficiency through training, exercises, and real-world events and address needs identified in statewide plans, AARs, or assessments through comprehensive action plans
ο Develop recommended guidelines regarding the use of personal communications devices (e.g., bring your own device) for official duties based on applicable laws and regulations ο Review usage of Priority Telecommunications Services (e.g., Telecommunications Service Priority, Government Emergency Telecommunications Service, and Wireless Priority Service) and ensure SOPs govern the programs’ use, execution, and testing ο Plan for Alerting Authorities to ensure the highest state of readiness of existing capabilities for resilient and interoperable alerts, warnings, messaging and notifications using current local, county, state, and federal systems, and when applicable, the IPAWS ο Review uses of the NPSBN, or FirstNet, and ensure SOPs govern the programs’ use, execution, and testing
• Strengthen resilience and continuity of communications ο Inventory and typing of resources and other activities that strengthen resilience and provide backup communications solutions (e.g., radio caches, Cell on Wheels) ο Establish testing and usage observations of primary, secondary, and backup communications ο Address system and staffing for continuity of operations planning
2.5 Priority 5: Standards-based Technology and Infrastructure Public safety agencies continue to maintain and evolve LMR infrastructure for mission critical voice capabilities, including the pursuit of shared Project 25 (P25) radio systems and infrastructure. With acknowledgement of the need for enhanced data capabilities, many public safety organizations are also preparing to implement broadband solutions. In addition, Next Generation 911 (NG911) systems are being deployed. The public safety community continues to develop strategies and technology roadmaps for implementing standards-based, vendor-neutral devices and applications that can sustain the unique public safety operating environment and provide mission critical communications.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 15 In FY 2020, grant recipients should continue to invest in infrastructure that is standards-based to enable interoperability between agencies and jurisdictions, regardless of vendor. Grant recipients should include technical specifications in procurement agreements with vendors and obtain sufficient documentation to verify infrastructure is compliant to applicable standards. Grant recipients are strongly encouraged to invest in equipment that will sustain and maintain current LMR capabilities while planning for new technologies and capabilities that may not have fully defined standards. As emergency communications capabilities continue to evolve, recipients should participate in community outreach and planning to ensure new capabilities are interoperable and all user requirements are incorporated.
To support this priority, grant recipients should target funding to:
• Sustain and maintain current LMR capabilities
• Purchase and use P25 compliant LMR equipment (see P25 Compliance Assessment Program [CAP] approved equipment list) for mission critical voice communications15 • Support rapid and far-ranging deployment of the NPSBN and use of FirstNet devices and applications dedicated for public safety using multi-layered, proven cybersecurity and network security solutions16
• Transition towards NG911 capabilities in compliance with NG911 standards • Support standards that allow for alerts, warnings, and notifications across different systems • Secure and protect equipment, information, and capabilities from physical and virtual threats • Acquire, sustain, and maintain Common Alerting Protocol compliant software that meets IPAWS system requirements
• Employ standards-based information exchange models and data sharing solutions • Sustain and ensure critical communication systems connectivity and resiliency, including backup solutions, among key government leadership, internal elements, other supporting organizations, and the public under all conditions
• Support standards and practices that enhance survivability and resilience to electromagnetic effects • Ensure all communications systems and networks are traced from end-to-end to identify all Single Points of Failure, including redundancy at critical infrastructure facilities, and:
ο Sustain availability of backup systems (e.g., backup power, portable repeaters, satellite phones, High Frequency [HF] radios)
ο Ensure diversity of network element components and routing ο Plan for geographic separation of primary and alternate transmission media ο Maintain spares for designated critical communication systems ο Work with commercial suppliers to remediate Single Points of Failure ο Maintain communications capabilities to ensure their readiness when needed 15 For more information on P25 requirements, see: http://www.project25.org/. For a list of P25 CAP approved equipment, see: https://www.dhs.gov/science-and-technology/approved-grant-eligible-equipment. 16 Applicants interested in broadband investments should consult with the FirstNet Authority to ensure investments meet all technical requirements to operate on the network. Please refer to the Authority’s contact information at:
https://firstnet.gov/.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 16 2.6 Priority 6: Cybersecurity
As cyber threats and vulnerabilities grow in complexity and sophistication, incidents become more numerous and severe against emergency communications systems. Therefore, it is critical that public safety organizations take proactive measures to carefully manage their cybersecurity risks. To prepare for cyber incidents, the public safety community must continually identify risks and evolve security requirements in coordination with partners. Cybersecurity is a shared mission across all levels of government, the private sector, nongovernmental organizations, and the public.
In FY 2020, grant recipients should invest in solutions that enhance cybersecurity posture. Cybersecurity must be addressed through planning, governance, and technology solutions that secure networks.
Recipients should ensure cybersecurity planning is comprehensive and maintained throughout the lifecycle of all network components. Cybersecurity risk management should also include updates to non-technology support activities, such as mutual aid agreements, SOPs, and policy development. Personnel should be trained on the latest security, resiliency, continuity and operational practices and maintain in-service training as new technology and methods are made available.
To support this priority, grant recipients should target funding to:
• Develop and maintain cybersecurity risk management
• Implement the NIST Framework for Improving Critical Infrastructure Cybersecurity17 (Cybersecurity Framework) to complement an existing risk management process or to develop a credible program if one does not exist. The NIST Cybersecurity Framework establishes five functions to integrate cybersecurity into mission functions and operations, including:
ο Identify, evaluate, and prioritize risks
ο Protect against identified risks
ο Detect risks to the network as they arise
ο Deploy response capabilities to mitigate risks
ο Establish recovery protocols to ensure the resiliency and continuity of communications • Perform a Cyber Resilience Review18
• Identify and implement standards for cybersecurity that fit system and mission needs while maintaining operability and interoperability
• Develop incident response plans, recovery plans, resiliency plans, and continuity of operations plans in anticipation of physical or cybersecurity incidents • Mitigate cybersecurity vulnerabilities with consideration of potential impacts of cybersecurity risk management on interoperability with the broader community • Identify and mitigate equipment and protocol vulnerabilities 17 NIST released the Framework for Improving Critical Infrastructure Cybersecurity, which is a voluntary riskbased approach to cybersecurity that uses industry guidelines to help organizations manage cyber risks to critical infrastructure. For more information, see: https://www.nist.gov/cyberframework. 18 CISA helps organizations use the NIST Cybersecurity Framework to improve cyber resilience. For more information, see: https://www.us-cert.gov/resources/cybersecurity-framework.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 17 3. Before Applying
Before applying for federal funds for emergency communications, applicants should:
• Review the NECP and SCIP
• Coordinate with statewide emergency communications leaders • Recognize changes in the emergency communications ecosystem • Understand federal grant requirements and restrictions
3.1 Review the NECP and SCIP
Grant applicants should read the NECP to understand the national emergency communications strategy, and to ensure proposed projects support national goals and objectives. Similarly, grant recipients should review their state or territory’s SCIP to ensure proposals support statewide plans to improve communications across all emergency communications systems and capabilities. Some federal grants (e.g., Homeland Security Grant Program) require applicants to align project activities to their SCIP, so it is a best practice for all applicants to describe how proposed projects align to the needs identified in their strategic plans and performance measures.
3.2 Coordinate with Statewide Emergency Communications Leaders To ensure projects are compatible, interoperable, and support statewide plans and strategies, grant applicants should consult the appropriate statewide leaders or entities prior to developing projects for funding. Some federal programs require or encourage coordination of grant submissions with the SWIC and other statewide leaders (e.g., Emergency Management Agency Director, 911 Administrator, Homeland Security Director), as well as require applicants to attach a letter of project support from these leaders. Grant applicants should also consult the SIGB or SIEC, as they serve as the primary steering group for the statewide interoperability strategy. Additionally, grant recipients should consult any subject matter experts serving on governance bodies such as broadband experts, chief information officers, representatives from utilities, or legal and financial experts when developing proposals.
3.3 Recognize Changes in the Emergency Communications Ecosystem Grant recipients should understand the more complex and interdependent ecosystem that has emerged due to evolving technologies, risks, stakeholders, and policies impacting many facets of emergency communications including planning, operations, equipment, and training. Key issues impacting federal emergency communications grants include developments in advanced technologies, national policies and laws, spectrum issues, and the reduction and streamlining of grant programs.
Developments in Advanced Technologies19
Traditionally, LMR systems were the primary capabilities the public safety community used to achieve mission critical voice communications in the field. To augment their LMR capabilities, emergency response agencies are increasingly using commercial wireless broadband services and, in some cases, procuring dedicated broadband networks for mission critical data communications. Internet Protocol (IP)- enabled networks stand to transform how public officials will communicate by providing unparalleled 19 The term “advanced technologies” includes, but is not limited to, the use of emerging technologies to provide advanced interoperability solutions; solutions that allow the use of commercial services, where appropriate, to support interoperable communications; IP-based technologies; use of common advanced encryption options that allow for secure and vital transmissions; use of standards-based technologies to provide voice and data services that meet wireless public safety service quality; solutions that have an open interface to enable the efficient transfer of voice, data, and video signals, such as NG911 and Bridging System Interface.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 18 connectivity and bandwidth that enhance situational awareness and information sharing. Communication network modernization is also occurring with the migration of the Nation’s 911 infrastructure to NG911, an IP-based model that will enable increased resilience and redundancy in call routing, as well as the transmission of both voice and data (e.g., texts, images, geospatial location, video) to flow seamlessly from the public, through the 911 network and eventually, directly to first responders. Also, the deployment of a nationwide public alerting system is using traditional media, such as broadcast and cable, as well as IP-based technologies to transmit alerts to mobile phones and other devices.
Public safety IT systems include sensitive data, such as law enforcement information and electronic medical records, which create new security considerations including storage, access, and authentication.
While electronic access to this data enables more effective response operations, it also poses risks including system failures, lack of user or server connection, and hostile hackers. As the community adopts new technologies and applications, then it too must increase understanding and planning for the security risks associated with the open architecture and vast complexity of IP-based technologies and services.
To meet these challenges, a multifaceted cybersecurity approach is needed to ensure the confidentiality and the integrity of the communication system and sensitive data. For example, comprehensive cyber training and education will be required on the proper use and security of devices, phishing, malware, and other potential threats. In addition, planning must match user needs against bandwidth requirements and the options for network resiliency. Assessments of cyber risks and strategies to mitigate vulnerabilities must be conducted before the deployment of IP-based networks occurs to ensure mission requirements can be met securely and reliably from the outset.
The convergence of technologies and risks in this evolving ecosystem shows the importance of ongoing planning for emergency communications. Grant recipients and their respective governance and leadership must consider all components that support LMR, broadband, cyber, and IP-based technologies as they update strategic plans and common operational protocols that ensure the operability, interoperability, and continuity of emergency communications systems. Additionally, grant recipients should prioritize maintaining LMR systems and other emergency communications capabilities gained in recent years as they gradually adopt and deploy IP-based technologies and services.
National Policies and Laws
In addition to technological developments, the Nation is evolving its approach to preparing for and responding to incidents through the National Preparedness Goal, which promotes a shared responsibility across all levels of government, private and nonprofit sectors, and the general public. Applicable plans, laws, and policies include the NECP, the Middle Class Tax Relief and Job Creation Act of 2012 (Public Law 112- 96; 47 U.S.C. 1401), the IPAWS Modernization Act of 2015, and the Presidential Policy Directive (PPD)–8:
• National Emergency Communications Plan. Updated in September 2019, the focus of this Plan is to ensure strategies, resource decisions, and investments for emergency communications keep pace with the evolving environment, and the emergency response community is collectively driving toward a common end-state for communications. The NECP provides information and guidance to those that plan for, coordinate, invest in, and use communications to support response and recovery operations.20
Grant recipients should read the NECP to understand the national emergency communications strategy, and to ensure proposed investments support the goals, objectives, and recommendations of the Plan. In addition, grant applicants are encouraged to review NECP supplemental materials such as assessments, annual progress reports, and implementation documents. Additionally, grant 20 For more information on the NECP, see: https://www.cisa.gov/necp.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 19 applicants should work with the SWIC to ensure alignment of the SCIP and other emergency communications plans to the NECP.
• Middle Class Tax Relief and Job Creation Act of 2012. Signed into law on February 22, 2012, the Act established the FirstNet Authority, an independent authority within NTIA, and directed it to ensure the establishment of the NPSBN.21 The Act reallocated and designated 700 MHz D Block spectrum for public safety use to the FirstNet Authority. 22 The Authority engaged in comprehensive
outreach and consultation with public safety entities in federal, state, local, tribal, and territory jurisdictions to plan for the network. The Authority actively sought input from federal, tribal, state, and territorial governments; paid and volunteer first responders and other public safety personnel; industry; and other stakeholders on what the network should offer, how it should function, and how to meet the technical objectives of the network. The resulting FirstNet network solution is based on a single, national network architecture that evolves with technological advances and consists of a 23 physically separate evolved packet core (EPC) network and radio access networks (RANs).
FirstNet competes as a services-based business where eligible users choose to subscribe to a level of service that aligns with their mission needs. The principle responsibilities of federal, state, local, tribal, and territorial public safety entities are the acquisition of authorized and compatible devices and applications that operate on the network and determination of connectivity of proprietary databases that could support public safety operations. Infrastructure and maintenance costs of the network EPC, RANs, and NPSBN assets (e.g., Cell on Wheels, Cell on Light Trucks [COLTs], Satellite COLTs, Flying Cell on Wings) will be borne by the FirstNet Authority and its NPSBN contractor.
Per the Act, the FirstNet Authority delivered final state plans to governors to make an opt-in/optout decision. All 50 states, 5 territories, and the District of Columbia opted into the FirstNet Authority-proposed deployment and will have a FirstNet Network presence consistent with their state plan.
At this time, only after receiving further guidance from the FirstNet Authority on the technical requirements of and compatibility with the network should grant recipients acquire long-term evolution (LTE) devices or network equipment. Additional outreach and planning activities (e.g., community engagement and education, documenting user needs) that support the arrival of public safety broadband technologies should be done in consultation with the FirstNet Authority.
Applicants interested in investing federal funds in broadband-related projects should consult with the FirstNet Authority and the federal granting agency to understand all requirements impacting broadband investments. The FirstNet Authority is the sole nationwide licensee for Band 14 spectrum and does not anticipate entering into any other spectrum agreements. Applicants should work closely with the SWIC, statewide emergency communications leaders, and the federal granting agency to ensure projects remain in compliance with programmatic and technical requirements.
In addition to the duties of the FirstNet Authority, the Act also charged NTIA with establishing a grant program, the State and Local Implementation Grant Program (SLIGP), to assist state, regional, tribal, and local jurisdictions with planning activities to support the implementation of the NPSBN. As required by the Act, NTIA consulted with the FirstNet Authority in establishing the programmatic requirements for SLIGP. NTIA awarded $116.5 million in grant funds to 54 state and 21 For more information on the Act, see: https://www.ntia.doc.gov/category/public-safety. 22 47 U.S.C.§ 1421(a). 23 For more information on the FirstNet Core, see:
http://about.att.com/story/nationwide_launch_of_firstnet_dedicated_core_network.html.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 20 territorial recipients between July 2013 and June 2014. The first round of grants (SLIGP 1.0) expired February 28, 2018. Many recipients expended their grant funds at a lower rate of spending than NTIA anticipated. NTIA used the unspent funds from SLIGP 1.0 to award a new grant program, SLIGP 2.0, in March 2018. SLIGP 2.0 grants, totaling $33.3 million, were awarded to 46 states and territories for planning activities to support implementation of the NPSBN. The original SLIGP period of performance had the grant awards end February 29, 2020, but all grants received a no-cost extension to extend the awards to the end by March 31, 2021, at the latest.
Additionally, the Act provides the NHTSA and NTIA with $115 million for grants to improve 911 services. In August 2019, the agencies awarded 36 grants to states and two tribal grant recipients totaling $109,250,000. The period of performance for the grant program ends on March 31, 2022.
Grant applicants should continue to monitor current federal actions affecting broadband and 911 programs funded through the Act.24
• IPAWS Modernization Act of 2015. Signed into law in April 2016, Public Law 114-143 calls for the modernization of IPAWS to ensure that under all conditions, the President, federal agencies, and state, local, and tribal governments can alert and warn the civilian population in areas endangered by natural disasters, acts of terrorism, and other man-made disasters or threats to public safety.
The Modernization Act requires IPAWS to be designed to adapt to and incorporate future technologies for communicating directly with the public, provide alerts to the largest portion of the affected population feasible, and improve the ability of remote areas to receive alerts; promote local and regional public and private partnerships to enhance community preparedness and response; provide redundant alert mechanisms; and protect individual privacy.25 Additionally, the Modernization Act established the IPAWS Subcommittee to develop and submit recommendations for the National Advisory Council (NAC). The NAC provided a report to the FEMA Administrator in February 2019. The FEMA Administrator’s Response to the NAC was signed in September 2019, prioritizing recommendations, highlighting what is currently planned, and identified areas where more resources are required. • Presidential Policy Directive–8, National Preparedness. Signed by the President in March 2011, this directive is aimed at strengthening the security and resilience of the United States through systematic preparation for the threats that pose the greatest risk to the security of the Nation. It consists of four main components: National Preparedness Goal; National Preparedness System; National Preparedness Report; and the Campaign to Build and Sustain Preparedness. The directive emphasizes national preparedness is the shared responsibility of the whole community.26 As a result, many grants that fund emergency communications now require grant applicants to engage the whole community in planning. FY 2020 federal grant programs require applicants to demonstrate how a whole community approach to project planning was used, and explain how core capabilities were improved. Applicants are encouraged to engage their community early in project development to ensure they can provide evidence of community involvement in applications, which in turn improves preparedness and response. 24 For more information on the 911 Grant Program, visit: http://www.911.gov/project_911grantprogram.html. 25 For more information on the IPAWS Modernization Act of 2015, see: https://www.congress.gov/bill/114thcongress/senate-bill/1180. 26 For more information on PPD-8, see: http://www.dhs.gov/presidential-policy-directive-8-national-preparedness.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 21 Spectrum Issues
The FCC authorizes state, local, and some tribal public safety entities to use specific spectrum bands to operate emergency communications systems. By statute, the FirstNet Authority holds the FCC license for the 700 MHz public safety broadband spectrum to deploy the NPSBN. Grant applicants seeking federal funds for emergency communications projects should be aware of initiatives and actions affecting spectrum use for public safety entities. Applicants should review the following spectrum issues, confirm their proposed projects are consistent with regulatory requirements and initiatives, and consult the appropriate coordinator (e.g., Frequency Coordinator, SWIC), the FCC, and/or the FirstNet Authority early in the project development process to determine whether the grant applicant will have authority to operate in the desired spectrum, once complete. Key spectrum-related issues are described below:
• Ultra-High Frequency (UHF)/Very High Frequency (VHF) Narrowbanding. 27 The FCC
mandated all non-federal LMR licensees operating between 150 and 512 MHz and using 25 kilohertz (kHz) bandwidth voice channels migrate to 12.5 kHz bandwidth or equivalent efficiency by January 1, 2013. Grant applicants should ensure existing LMR systems are compliant with these narrowbanding requirements and consult with the SWIC and the FCC on any non-compliance issues to avoid admonishment, monetary fines, or loss of license. Grant applicants that have not complied with the FCC narrowband mandate may face limitations on their eligibility for federal funding.28
• 800 MHz Reconfiguration (Rebanding).29 In 2004, the FCC ordered the reconfiguration of portions of the 800 MHz band to separate public safety systems from commercial cellular networks and thereby reduce harmful interferences. 800 MHz rebanding is complete in most areas of the U.S. but remains to be completed in the U.S.-Mexico border region. Public safety entities contemplating communication projects in areas still undergoing rebanding should consult their SWIC, the FCC, and the 800 MHz Transition Administrator, which is responsible for overseeing the rebanding process and providing technical assistance to affected licensees. • T-Band Migration. The Middle Class Tax Relief and Job Creation Act of 2012 authorized the future auction of the 470–512 MHz ultra-high frequency band, referred to as the T-Band. Several large urban areas use the T-Band for public safety communications.30 The Act requires the FCC to commence the auction process by 2021 and requires T-Band public safety licensees to relocate from the T-Band to other, unspecified spectrum, two years after the completion of the auction of this spectrum. The Act charges NTIA with administration of a grant program for relocation out of auction proceeds. T-Band licensees are currently eligible to relocate to public safety channels in the VHF (150-174 MHz), UHF (450-470 MHz), 700 MHz, and 800 MHz bands, to the extent channels in these bands are available, and the Commission has prioritized availability of certain channels in these bands for T-Band licensees. Spectrum may also be available through leasing, or partitioning/ disaggregation of other narrowband public safety or commercial spectrum. Grant applicants seeking funding for relocation of T-Band systems should consult the FCC,31 SWIC, and 27 For more information on narrowbanding, see: https://www.fcc.gov/narrowbanding-overview. 28 See “Guidance for licensees for FCC’s narrowband operation requirement” at:
https://www.fcc.gov/document/guidance-licensees-fccs-narrowband-operation-requirement. Grant applicants with questions on narrowbanding may contact the FCC at: [email protected]. 29 For more information on 800 MHz reconfiguration, see: http://www.800ta.org/. 30 T-Band markets include: Boston (MA), Chicago (IL), Dallas/Ft. Worth (TX), Houston (TX), Los Angeles (CA), Miami (FL), New York City (NY), Philadelphia (PA), Pittsburgh (PA), San Francisco/Oakland (CA), Washington DC/Maryland/Virginia.
31 Grant applicants can contact the FCC Public Safety and Homeland Security Bureau at: [email protected].
FY 2020 SAFECOM Guidance on Emergency Communications Grants 22 a frequency coordinator32 early in the project development process to ensure the project supports statewide plans for improving emergency communications, and is planned in the appropriate spectrum.
• 700 MHz Public Safety Broadband Spectrum.33 The Middle Class Tax Relief and Job Creation Act of 2012 authorized the establishment of the NPSBN, dedicated 20 MHz of spectrum (Band 14) for this purpose, and made the FirstNet Authority the single licensee for Band 14.
In general, grant applicants should consult with the regulatory agency and appropriate state-level points of contact when developing public safety projects to ensure entities are in compliance with federal spectrum initiatives and regulations, and projects will have authority to operate in the designated spectrum.34 To assist state, local, tribal, and territorial levels of government, many grants that fund interoperable communications equipment allow grant funds to be used for spectrum-related activities,35 including:
• Identification, assessment, coordination, and licensing of new spectrum resources • Development and execution of spectrum migration plans • Assessment of current communications assets, services, and capabilities • Training associated with systems migration to new spectrum allocations • Replacement of non-compliant communications equipment and services • Acquiring/upgrading tower sites and facilities needed to comply with spectrum migration36 • Reprogramming existing equipment to comply with spectrum migration Reduction and Streamlining of Grants
The elimination and consolidation of grants funding emergency communications over the past several years have increased competition for funding and necessitated increased planning among jurisdictions and disciplines. Emergency communications leaders and agencies are strongly encouraged to work with other jurisdictions and disciplines to coordinate resources and projects and to avoid duplication of activities.
Additionally, when developing funding proposals, grant applicants are advised to work with state-level planning offices to incorporate emergency communications needs into statewide plans and to ensure communications projects are prioritized by states and territories. Applicants are encouraged to:
• Coordinate projects with the SWIC, neighboring jurisdictions, and multiple agencies • Develop regional, multi-jurisdictional, multi-disciplinary, and cross-border projects to not only promote greater interoperability across agencies, but also to pool grant resources, facilitate assetsharing, and eliminate duplicate purchases37 32 For more information on frequency coordinators, see: https://www.fcc.gov/general/public-safety-frequencycoordinators. 33 The public safety broadband spectrum band is 763-768 MHz and 793-798 MHz. 34 Contact the FCC’s Public Safety Homeland Security Bureau at [email protected] and the FirstNet Authority at [email protected]. 35 Generally, federal licensing fees are not allowable under most federal grants; however, applicants should not anticipate having such expenses as public safety entities are exempt from FCC filing fees. For more information, see: https://www.fcc.gov/licensing-databases/fees. 36 Some federal grants do not allow construction or ground-disturbing activities. Consult the grant officer on these activities.
37 Applicants should work with SWICs and the FCC to ensure projects do not interfere with the 800 MHz rebanding effort occurring along the U.S.-Canada and U.S.-Mexico borders. For more information on the rebanding process, see: https://www.fcc.gov/general/800-mhz-spectrum. Federal funding may not be allocated to international entities, unless authorized by law, and placement of federally-funded equipment on international property may be subject to special terms and conditions. Recipients should work closely with grant officers on these projects.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 23 • Leverage assessment data to develop strong statements of need that can be shared with state leaders responsible for prioritizing projects for funding38 • Identify additional sources of funding for emergency communications improvements39
3.4 Understand Federal Grant Requirements and Restrictions Federal Grant Requirements
Emergency communications grants are administered by numerous federal agencies in accordance with various statutory, programmatic, and departmental requirements. Grant applicants are encouraged to carefully review grant guidance to ensure applications meet all grant requirements, including:
• Program goals
• Eligibility requirements
• Application requirements (e.g., due dates, submission dates, matching requirements) • Allowable costs and restrictions on allowable costs
• Technical standards preferred, required, or allowed under each program, if applicable • Reporting requirements
Additionally, recipients should be aware of common requirements for grants funding emergency communications,40 including:
• Environmental Planning and Historic Preservation (EHP) Compliance. Recipients must comply with all applicable EHP laws, regulations, Executive Orders, and agency guidance.
Recipients are strongly encouraged to discuss projects with federal grant program officers to understand EHP restrictions, requirements, and review processes prior to starting the project. • NIMS. Homeland Security Presidential Directive 5 (HSPD-5), Management of Domestic Incidents, requires the adoption of NIMS to strengthen and standardize preparedness response, and to receive preparedness grant funding. State, local, tribal, and territorial recipients should ensure that they meet, or are working to meet, the most recent NIMS implementation and reporting requirements as described in the applicable Notice of Funding Opportunity and NIMS Implementation Objectives published by FEMA.41
• Stakeholder Preparedness Review (SPR) Submittal. The Stakeholder Preparedness Review replaces the State Preparedness Report. Section 652(c) of the Post-Katrina Emergency Management Reform Act of 2006 (Public Law 109-295), 6 U.S.C. §752(c), requires any state, territory, urban area, or tribe that receives federal preparedness assistance administered by DHS to submit an SPR to FEMA. The SPR is a self-assessment of a jurisdiction’s current capability levels against the targets identified in the Threat and Hazard Identification and Risk Assessment (THIRA). Jurisdictions use 38 Applicants are encouraged to use AARs and similar assessments to demonstrate where there are gaps in emergency communications, and to appeal to state-level leaders for funding to address those gaps. 39 For additional sources of funding, see the List of Federal Financial Assistance Programs Funding for Emergency Communications posted to the SAFECOM website at: https://www.dhs.gov/safecom/funding. 40 While these are common requirements that affect many emergency communications grants, they may not apply to all grants; therefore, applicants should consult their grant guidance and grant officer for specific questions on grant requirements.
41 The NIMS Implementation Objectives reflect the concepts and principles contained in NIMS and clarify the NIMS implementation requirements in FEMA preparedness grant Notices of Funding Opportunity. As recipients and subrecipients of federal preparedness (non-disaster) grant awards, jurisdictions and organizations must achieve, or be actively working to achieve, all of the NIMS Implementation Objectives. Additional NIMS implementation guidance can be found at: https://www.fema.gov/implementation-guidance-and-reporting.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 24 the SPR to estimate their current preparedness capabilities and compare those to their THIRA results to identify gaps. They also use the SPR to identify potential approaches for addressing those capability gaps.
• Threat and Hazard Identification and Risk Assessment. Beginning in 2019, DHS/FEMA require Homeland Security Grant Program (State Homeland Security Program and Urban Area Security Initiative), Tribal Homeland Security Grant Program, and Emergency Management Performance Grant Program recipients to complete a THIRA report every three years (previously, a THIRA was required annually). Grant recipients are also required to submit an SPR annually.
Communities use the THIRA process to better understand their risks and determine the level of capabilities needed to address those risks. Through the THIRA process, communities set goals for building and sustaining their capabilities. It results in whole community-informed capability targets and resource requirements necessary to address anticipated and unanticipated risks. 42 Developing and updating an effective THIRA/SPR requires active involvement from the whole community. This can result in more complete, accurate, and actionable assessments and planning efforts. Therefore, recipients should actively engage a wide variety of stakeholders in the THIRA/SPR process. Emergency communications subject matter experts should be involved in the THIRA/SPR process and provide input as appropriate, including but not exclusive to the potential impacts of threats and hazards on emergency communications. For additional information, refer to each grant program’s FY 2020 Notice of Funding Opportunity for reporting requirements, including the THIRA/SPR. Grant recipients participating in risk assessments are strongly encouraged to:
o Analyze communications gaps, excesses, and deficiencies within the state regularly o Utilize THIRA to identify communications-specific threats and hazards and set core capability targets identified in the National Preparedness Goal o Ensure THIRA updates include outcomes as stated in program guidance o Assist with the development of the SPR
• Nationwide Cybersecurity Review. Recipients and subrecipients of FY 2020 State Homeland Security Grant Program awards are required to complete the 2020 Nationwide Cybersecurity Review, enabling agencies to benchmark and measure progress of improving their cybersecurity posture. The Chief Information Officer (CIO), Chief Information Security Officer (CISO), or equivalent for each recipient and subrecipient should complete the Nationwide Cybersecurity Review. If there is no CIO or CISO, the most senior cybersecurity professional should complete the assessment.
• Authority to Operate. In establishing requirements for the NPSBN and providing 20 MHz of the upper 700 MHz spectrum to the FirstNet Authority, Congress directed the Authority to ensure the building, operation, and maintenance of a wireless, nationwide interoperable public safety broadband network based on a single national network architecture. The Authority holds the single nationwide FCC license for the 20 MHz of combined Public Safety Broadband Spectrum (758-768 MHz and 788-798 MHz), commonly referred to as Band 14. The FirstNet Authority license also incorporates two one-MHz guard bands at 769 and 799 MHz. Subscription to the NPSBN and use of approved NPSBN devices enables prioritized access to Band 14 spectrum for public safety entities.
42 For additional information on the THIRA process, see: https://www.fema.gov/threat-and-hazard-identificationand-risk-assessment.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 25 • Reporting. Federal agencies are improving how they demonstrate impact and effectiveness of federal grant programs. As a result, recipients may be required to report project-level information, performance measurement data, detailed financial reports, and progress reports.
Recipients are encouraged to use existing documentation and data (e.g., SCIPs, AARs, assessments) to measure performance and demonstrate how gaps in capabilities will be/were addressed through federal grant funding. Recipients are strongly encouraged to:
o Develop performance measures at the start of the grant o Include interval performance measures and milestones to gauge project progress o Track performance and report the impact of funds on emergency communications o Include metrics on improvements in interval and final grant reports Recipients should ensure all grant requirements are met and that they can implement the project as proposed and within the grant period of performance; properly manage grant funding; fulfill grant reporting requirements; and comply with federal grant restrictions.
Federal Grant Restrictions
Recipients should be aware of common restrictions on federal grant funding and should consult the grant officer with any questions, particularly as requirements vary by program. • Commingling or Duplication of Funds. Since multiple agencies are involved in communications projects, projects are often funded with multiple grant programs, creating a risk of commingling and duplication. Recipients must ensure federal funds are used for purposes that were proposed and approved, and have financial systems in place to properly manage grant funds.
Recipients cannot commingle federal sources of funding. The accounting systems of all recipients and sub-recipients must ensure federal funds are not commingled with funds from other awards or federal agencies.
• Cost Sharing/Matching Funds. Recipients must meet all matching requirements prescribed by the grant. If matching funds are required, grant recipients must provide matching funds or in-kind goods and services that must be:
ο Allowable under the program and associated with the investment ο Applied only to one federal grant program
ο Valued at a cost that is verifiable and reasonable
ο Contributed from non-federal sources
ο Treated as part of the grant budget
ο Documented the same way as federal funds in a formal accounting system • Funding and Sustaining Personnel. In general, the use of federal grant funding to pay for staff regular time is considered personnel and may be allowable. Recipients are encouraged to refer to the applicable grant program guidance and develop a plan to sustain critical communications positions in the event federal funds are not available to support the position in future years. For more information on personnel, refer to Section 4. Eligible Activities – Personnel. • Supplanting. Most grant funds cannot supplant (or replace) funds previously funded or budgeted for the same purpose. Most federal grants funding emergency communications restrict recipients from hiring personnel for the purposes of fulfilling traditional public safety duties or to supplant traditional public safety positions and responsibilities. Review applicable grant program guidance for specific rules on supplanting.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 26 4. Eligible Activities
The following section details eligible emergency communications activities commonly funded by federal grants, including Personnel and the four common cost categories: Planning and Organization, Training, Exercises, and Equipment.43 Grant applicants seeking to improve interoperable emergency communications are encouraged to allocate grant funding to these activities but must consult the specific grant guidance for allowable costs.
The intent of this section is to raise awareness as to the types of costs that can be covered under most federal grants funding emergency communications. However, applicants should note all activities listed in this section may not be eligible for funding under all grant programs. Applicants should read each grant guidance and related information carefully to ensure activities proposed are eligible under the program before developing or submitting applications.
4.1 Personnel
Many federal grants allow recipients to hire full- or part-time staff, contractor staff, or consultants to assist with emergency communications planning, training, and exercise activities. 44 Allocating funding
toward personnel helps ensure grants and grant-funded projects are managed, state-level planning meetings are attended, emergency communications needs are represented, and plans are completed.
Personnel can be hired to develop and conduct training and exercises, and to complete AARs.
Eligible Personnel Costs
• Personnel to assist with planning. Full- or part-time staff, contractors, or consultants may be hired to support emergency communications planning activities, including:
ο Statewide, local, tribal, territorial, or regional interoperability coordinator(s) ο Project manager(s)
ο Program director(s)
ο Emergency communications specialists (e.g., frequency planners, radio technicians, cybersecurity)
• Personnel to assist with training. Full- or part-time staff, contractors, or consultants may be hired to support emergency communications training activities, including personnel who can:
ο Assess training needs
ο Develop training curriculum
ο Train the trainers
ο Train emergency responders
ο Promote cross-training and continuous training to address changes in the workforce ο Ensure personnel are proficient in using existing and new technologies ο Develop exercises to test training
ο Support training conferences
ο Develop and implement a curriculum covering technical issues raised by broadband and other advanced technologies
ο Address continuity of operations planning requirements 43 The general cost categories for grants include: Planning, Organization, Equipment, Training, and Exercises (POETE). Some grants do not provide a category for Organizational costs, but allow organizational costs to be included under the Planning cost category. Applicants should be aware that emergency communications personnel, planning, and organizational costs are often allowable under the Planning cost category for grants. 44 Typically, the use of federal grant funding to pay for staff or contractor regular time is considered personnel.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 27 ο Serve as subject matter experts (e.g., environmental engineers, grant administrators, financial analysts, accountants, attorneys)
• Personnel to assist with exercises. Full- or part-time staff, contractors, or consultants may be hired to support exercises. This includes personnel that will:
ο Assess needs
ο Plan and conduct exercises in accordance with NIMS and the Homeland Security Exercise and Evaluation Program (HSEEP)
ο Implement NECP goal measurements and assessments
ο Lead After Action Conferences and prepare AARs
Additional Requirements and Recommendations for Personnel Activities Grant recipients should be aware of common restrictions on federal grant funding for emergency communications personnel.
• Sustaining Grant-Funded Positions. Recipients should ensure funding for critical communications positions is sustained after the grant period of performance has ended and core capabilities are maintained.
• Overtime. Some federal grants permit the use of funds for overtime related to training. These expenses are limited to additional costs that result from personnel working more than 40 hours per week as a direct result of their attendance at approved activities (e.g., emergency communications training and exercises).
• Backfill-related Overtime. Some federal grants allow funds to be used for backfill-related overtime. These expenses are limited to costs of personnel who work overtime to perform duties of other personnel who are temporarily assigned to grant-funded activities (e.g., to attend approved, grant-funded emergency communications training or exercises). These costs are calculated by subtracting the non-overtime compensation, including fringe benefits of the temporarily assigned personnel, from the total costs for backfilling the position. Recipients should ensure grant funds can be used for overtime and consult their grant officer to correctly calculate overtime costs.
4.2 Planning and Organization
Allocating grant funding for planning helps entities identify and prioritize needs, define capabilities, update preparedness strategies, refine communications plans, identify where resources are needed most, and deliver preparedness programs across multiple jurisdictions, disciplines, and levels of government.
Grant recipients are strongly encouraged to assess needs before planning projects, and to carefully plan projects before purchasing equipment.
Eligible Planning and Organization Costs
• Development or enhancement of interoperable emergency communications plans. Grant funds may be used to develop or enhance interoperable communications plans and align plans to the strategic goals, objectives, and recommendations set forth in the NECP. Examples of emergency communications plans include:
ο Plans to implement and measure the NECP
ο SCIPs
ο TICPs, FEMA RECPs, or other tactical or regional communications plans ο Disaster emergency communications plans
FY 2020 SAFECOM Guidance on Emergency Communications Grants 28 ο Communications system lifecycle planning, including migration planning and use of the 2018 Emergency Communications System Lifecycle Planning Guide and Lifecycle Planning Tool45
ο Plans for narrowband conversion and compliance
ο Plans for broadband integration with broader communications capabilities ο Plans for 800 MHz rebanding
ο Plans for relocating existing systems operating in the T-Band ο Stakeholder statements of need and concept of operations (CONOPS) ο As-is and proposed enterprise architectures
ο System engineering requirements
ο Acquisition planning for the procurement of systems or equipment ο Planning for continuity of communications, including backup solutions, if primary systems or equipment fail (e.g., contingency and strategic planning) ο Planning for training and exercises
ο Identifying security measures for communications networks and systems ο Planning activities for the transition of 911 to NG911 (e.g., NG911 Self-Assessment Tool • Engagement of federal, state, local, tribal, territorial, private, and public sector entities in planning. Many federal grants require engagement of the whole community in planning to adequately assess and address needs, and to implement the National Preparedness System. The National Preparedness Goal and the National Preparedness System concepts, as described in PPD– 8, recognize the development and sustainment of core capabilities are not exclusive to any single level of government or organization, but rather require combined efforts of the whole community. 46 )
47 As a result, the following activities are often supported through federal grants funding emergency communications:
ο Conducting conferences and workshops to receive input on plans ο Meeting expenses related to planning
ο Public education and outreach on planning
ο Travel and supplies related to planning or coordination meetings ο Attending planning or educational meetings on emergency communications • Establishment or enhancement of interoperability governing bodies. Strong governance structures and leadership are essential to effective decision-making, coordination, planning, and managing of emergency communications initiatives. Grant funds may be used to establish, update, or enhance statewide, regional (e.g., multi-state, multi-urban area), or local governing bodies. Eligible activities may include:
ο Developing MOUs and Memoranda of Agreement (MOA) to facilitate participation in planning and governance activities
ο Meeting or workshop expenses associated with receiving input on plans or supporting a funded activity
ο Increasing participation in governing bodies through public education and outreach ο Travel and supplies for governing body meetings
ο Attending planning or educational meetings on emergency communications 45 For guidance on emergency communications system lifecycle planning, see: https://www.dhs.gov/safecom/funding. 46 SAFECOM/NCSWIC developed a dynamic NG911 Self-Assessment Tool for use by state, regional, and local emergency communications centers (ECCs)/public safety answering points (PSAPs) personnel. For more information or to download this tool, see: https://www.911.gov/project_ng911tool.html. 47 Core capabilities include Prevention, Protection, Mitigation, Response, and Recovery, and are further defined in the National Preparedness Goal on the FEMA website at: https://www.fema.gov/national-preparedness-goal.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 29 ο Developing SOPs or templates to provide access to and use of resources ο Continued broadband planning and coordination efforts ο Ensuring coordination between traditional LMR governance programs and other decision-making offices, bodies, and individuals that oversee new technology deployments in states, territories, localities, and tribes • Development of emergency communications assessments and inventories. Grant recipients are encouraged to allocate grant funding to planning activities, such as assessments of:
ο Technology capabilities, infrastructure, and equipment (e.g., updating the CASM Tool, creating fleet maps)
ο SOPs, coordination of interoperability channels, and regional response plans ο Training and exercises
ο Narrowband compliance capabilities and system coverage analysis ο Cost maintenance models for equipment and usage
• Development or enhancement of interoperable emergency communications protocols. Funds may be used to enhance multi-jurisdictional and multi-disciplinary common planning and operational protocols, including the development or update of:
ο SOPs, shared channels and talk groups, and the elimination of coded substitutions (i.e., developing and implementing common language protocols)
ο Partnership agreements, MOUs, and cross-border agreements ο Plans to integrate SOPs across disciplines, jurisdictions, levels of government, and with private entities, as appropriate, and into mutual aid agreements ο Response plans to specific disaster or emergency scenarios ο Field guides and templates for field guides
• Planning activities for emerging technologies. Grant funds may be used to begin planning for the NPSBN and other advanced technologies. Activities may include:
ο Defining user needs
ο Updating SCIPs to incorporate high-level goals and initiatives ο Developing plans to optimize broadband use in support of public safety operations ο Continued collection of broadband usage data, use cases, and needs analyses ο Developing agreed-upon standards for the use of common applications to promote enhanced level of situational awareness
ο Preliminary planning for advanced technologies (e.g., alerts and warnings, NG911) ο Conducting assessments of cyber risks and strategies to mitigate vulnerabilities before the deployment of IP-based networks
ο Implementing identity, credential, and access management (ICAM) solutions to address growing data management, interoperability, and cybersecurity challenges, with consideration for federated solutions, such as the Trustmark Framework48 • Use of priority service programs. Grant funds may be used to assist priority service planning and engineering, and to facilitate participation in federal priority service programs,49 including:
ο Telecommunications Service Priority (TSP)
ο Government Emergency Telecommunications Service (GETS) ο Wireless Priority Service (WPS)
48 For more information on ICAM and the Trustmark Framework, see: https://www.dhs.gov/safecom/icam-resources. 49 For more information on priority services, see: https://www.cisa.gov/emergency-communications-divisionpriority-telecommunications-services.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 30 • Use of notifications and alerts and warnings. Grant funds may be used to connect with national-level mass notification alert systems, including the IPAWS, 50 which consists of:
ο Emergency Alert System (EAS)
ο Wireless Emergency Alerts (WEA)
ο National Oceanic and Atmospheric Administration All Hazards Weather Radio/HazCollect (NWR)
In addition to distributing alerts and warnings through EAS, WEA, and NWR, IPAWS supports Internet-based products and services that redistribute alerts via the IPAWS All Hazards Information Feed. Examples include digital signage, wireless device applications, desktop alerting, assistive devices, and siren systems.
Additional Requirements and Recommendations for Planning Activities Additional activities in support of federal planning initiatives include updating and submitting a SPR, THIRA, and SCIP, as well as demonstrating NIMS implementation. 51 4.3. Training
Eligible Training Costs
Recipients are encouraged to allocate federal grant funds to support emergency communications and incident response training. Communications-specific training activities should be incorporated into statewide training and exercise plans and be reflected in SCIPs. Recipients should continue to train on LMR systems as it is necessary to ensure public safety officials can achieve mission critical voice communications. As other communications technologies become integrated into response operations, the need for training becomes even more critical to ensure response personnel are maximizing the benefits that new capabilities provide. Training projects should be consistent with the NECP priorities and address gaps identified through SCIPs, TICPs, AARs, and other assessments. Training reinforces SOPs and proper equipment use by personnel. Grant recipients are strongly encouraged to include training in projects that involve new SOPs or equipment purchase.
• Development, delivery, attendance, and evaluation of training.52 Grant funds may be used to plan, attend, and conduct communications-specific training workshops or meetings to include costs related to planning, meeting space, and other logistics costs, facilitation, travel, and training development. Communications-specific training should focus on:
ο Use of SOPs and other established operational protocols (e.g., common language) ο NIMS/ICS training
ο COML, COMT, or ICS Communications Unit position training ο Use of equipment and advanced data capabilities (e.g., voice, video, text) ο Disaster preparedness
ο Peer-to-peer training
ο Regional (e.g., multi-state, multi-urban area) operations ο Population of CASM Tool
ο Integration of NG911, broadband devices, and applications into public safety operations 50 For more information on IPAWS, see: https://www.fema.gov/ipaws-components. 51 DHS/FEMA developed a Preparedness Grants Manual to guide grant applicants and recipients on how to manage their grants and other resources, available at: https://www.fema.gov/media-library/assets/documents/178291. 52 DHS training catalogs are available at: https://www.dhs.gov/training-technical-assistance. The federal-sponsored and state-sponsored course catalogs can be found at: https://www.firstrespondertraining.gov.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 31 ο Cyber education on proper use and security of devices and applications, phishing, malware, other potential threats, and how to stay on guard against attacks ο Evaluation and testing of public alert and warning procedures • Expenses related to training. Many federal grants allow expenses related to training, including:
ο Travel
ο Public education and outreach on training opportunities ο Supplies related to training (e.g., signs, badges, materials) Additional Requirements and Recommendations for Training Activities Recipients should target funding toward certified emergency communications activities, including:
• NIMS Implementation.
53 State, local, tribal, and territorial entities must adopt NIMS as a condition of many federal grants. Given that implementation of NIMS requires certain training courses, recipients may target funding towards NIMS-compliant training. • Completion of Communications Unit Leader Training. CISA, in partnership with FEMA, the Office for Interoperability and Compatibility, the National Integration Center, and practitioners from across the country, developed performance and training standards for the All-Hazards COML and formulated a curriculum and comprehensive All-Hazards COML Course. Recipients should target grant funding toward this training to improve on-site communications during emergencies, as well as satisfy NIMS training requirements.
4.4 Exercises
Exercises should be used to demonstrate and validate skills learned in training, and to identify gaps in capabilities. To the extent possible, exercises should include participants from multiple jurisdictions, disciplines, and levels of government and include emergency management, emergency medical services, law enforcement, interoperability coordinators, key information technology and cybersecurity personnel, public health officials, hospital officials, officials from colleges and universities, and other disciplines and private sector entities, as appropriate. Findings from exercises can be used to update programs to address gaps in emergency communications and emerging technologies, policies, and partners. Recipients are encouraged to increase awareness and availability of emergency communications exercise opportunities across all levels of government.
Eligible Exercise Costs
• Design, development, execution, and evaluation of exercises. Grant funds may be used to design, develop, conduct, and evaluate interoperable emergency communications exercises, including tabletop and functional exercises. Activities should focus on:
ο Use of new or established operational protocols, SOPs, and equipment ο Regional (e.g., multi-state, multi-jurisdictional) participation ο Integration of broadband services, devices, and applications into public safety operations • Expenses related to exercises. Many federal grants allow for expenses related to exercises, including:
ο Meeting expenses for planning or conducting exercises
53 NIMS is a national framework for response that requires state, local, tribal, and territorial stakeholders to adopt a national ICS, complete certified training, and integrate the framework into state and local protocols. For more information on NIMS training, see: https://www.fema.gov/national-incident-management-system.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 32 ο Public education and outreach
ο Travel and supplies
Additional Requirements and Recommendations for Exercise Activities Recipients should target funding toward federal exercise initiatives, including participation in the communications components of the National Level Exercises and the following:
• Management and execution of exercises in accordance with HSEEP. The HSEEP library provides guidance for exercise design, development, conduct, and evaluation of exercises, as well as sample exercise materials.54
• Implementation of NIMS. HSPD-5 requires all federal departments and agencies to adopt NIMS and use it in their individual incident management programs and activities, including all preparedness grants. DHS/FEMA recipients should review NIMS implementation criteria at:
https://www.fema.gov/national-incident-management-system, and ensure all federally-funded training and exercise activities align with NIMS standards. • Coordination with state-level partners. Communications-specific exercise activities should be coordinated with the SIGB or SIEC and SWIC to facilitate participation by appropriate entities (e.g., public safety, utilities, private sector, federal agencies) and resources (e.g., deployable assets).
4.5 Equipment
Emergency management and response providers must regularly maintain communications systems and equipment to ensure effective operation, as well as upgrade their systems when appropriate. Grant recipients are strongly encouraged to invest in standards-based equipment that supports statewide plans for improving emergency communications and interoperability among systems.
Eligible Expenses55
• Design, construction,56 implementation, enhancement, replacement, and maintenance of emergency communications systems and equipment, including:
ο System engineering requirements
ο As-is and proposed enterprise architectures
ο Interoperability verification and validation test plans ο System lifecycle plans
ο Analysis and monitoring of cybersecurity risks
ο Migration to approved, open architecture, standards-based technologies ο Integration of existing capabilities and advanced technologies (e.g., multi-band/multi-mode capable radio, Internet of Things devices, artificial intelligence, machine intelligence, and data science solutions)
ο Project management costs associated with systems and equipment ο Procurement of technical assistance services for management, implementation, and maintenance of communications systems and equipment
54 HSEEP resources are available at: https://www.fema.gov/media-library/assets/documents/32326. 55 While activities listed are generally allowable for traditional LMR investments, these activities may be restricted for broadband-related investments. Applicants are strongly encouraged to consult their federal granting agency before developing broadband proposals for funding to determine if those activities are allowable under the grant. 56 Not all federal grants permit construction-related activities. Consult the grant officer to determine whether construction activities are allowed. For grants that support construction-related activities, see applicable EHP requirements to select construction-related activities in this guidance.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 33 ο Reimbursement of cellular and satellite user fees when used for backup communications • Use of narrowband equipment. The FCC mandated that all non-federal public safety land mobile licensees operating between 150-512 MHz and using 25 kHz channel bandwidth in their radio systems migrate to 12.5 kHz channels by January 1, 2013. Recipients should ensure existing systems are compliant and prioritize grant funding, where allowable, toward the following:
ο Replacing non-compliant equipment
ο Acquiring/upgrading additional tower sites to maintain coverage after conversion ο Reprogramming existing equipment to operate in compliance with the FCC’s rule • Site upgrades for emergency communications systems.
ο Installing or expanding battery backup, generators, or fuel systems ο Evaluating existing shelter space for new communications equipment ο Conducting tower loading analysis to determine feasibility of supporting new antennas and equipment
ο Analyzing site power and grounding systems to determine upgrades needed for additional communications equipment
ο Analyzing physical site security provisions for upgrades and enhancements (e.g., fences, lighting, alarms, cameras, shelter access hardening, protective measures) ο Evaluating Public Safety Answering Points and other 911 infrastructure sites to determine hardware and software upgrades
• Upgrading connectivity capabilities for emergency communications systems. ο Documenting existing wireline and wireless backhaul resources to determine used and excess capacity (e.g., connectivity type of either fiber, wireline, or cable at communications sites and existing public safety facilities) ο Analyzing existing IP backbone to determine gaps in supporting high bandwidth public safety communications system access and applications
ο Planning and modeling network capacity to ensure backhaul links and aggregation points are appropriately provisioned
ο Upgrading existing backbone to support advanced capabilities (e.g., multi-protocol line switching)
ο Installing fiber optic connections and microwave connectivity to support enhanced communications and networking capabilities
ο Assessing and documenting usage of wireless communications capabilities including:
− Mobile data systems facilitated through government-owned or commercial services
− Applications
− Devices or platforms supported
− Speed/capacity
− Accessible data
− Redundancy and resiliency of systems or services
− Cost of services and systems
− Existing gaps in capabilities, connectivity, coverage, or application support FY 2020 SAFECOM Guidance on Emergency Communications Grants 34 • Purchase of:
o Standards-based interoperable communications equipment listed on the Authorized Equipment List (AEL)57
o P25 compliant radio equipment listed on the P25 CAP Approved (Grant-Eligible) Equipment List58
o Broadband user equipment on the NIST List of Certified Devices59 o Applications and services that meet appropriate protocols and standards for access to, use of, or compatibility with the NPSBN
o Equipment that will facilitate the transition of existing systems from the T-Band to authorized spectrum
ο Ancillary equipment to facilitate planning and implementation of interoperable public safety grade communications systems and capabilities (e.g., radio frequency and network test equipment including handheld spectrum analyzers, cable testers) ο Alerts and warnings software that is compliant with the Common Alerting Protocol standards, user friendly, and meets IPAWS system requirements Additional Requirements and Recommendations for Equipment Purchases Recipients should anticipate additional requirements when purchasing equipment with federal grant funds, including:
• Assignment of full-time Statewide Interoperability Coordinator. DHS/FEMA requires all states and territories that use Homeland Security Grant Program funds to designate a full-time SWIC who has the authority and resources to actively improve interoperability with emergency management and response agencies across all levels of government. Responsibilities include establishing and maintaining statewide plans, policies, and procedures, and coordinating decisions on communications investments funded through federal grants. SWIC status information will be maintained by CISA and verified by FEMA through programmatic monitoring activities for DHS/FEMA grant recipients.
• Coordination with statewide emergency communications leaders. Recipients are strongly encouraged to coordinate with the SWIC, other emergency communications governance bodies and leadership, and appropriate state, local, tribal, and territorial partners to ensure consistency with statewide plans, and compatibility among existing and proposed emergency communications systems. • Compliance with technical standards. DHS/FEMA recipients must ensure all grant-funded equipment complies with technical standards in the SAFECOM Guidance Appendix B, unless otherwise noted in a program’s grant guidance.60 Other federal grants require recipients to explain how their procurements will comply with applicable standards for LMR, IP-based systems, and alert and warning systems or provide compelling reasons for using non-standards-based solutions. Recipients should document all purchases and evidence of compliance with standards-based requirements.
57 For a list of equipment typically allowed by DHS/FEMA grants, see: https://www.fema.gov/authorized-equipment-list.
The AEL consists of 21 equipment categories further divided into sub-categories and individual equipment items. 58 For a list of P25 compliant radio equipment, see: https://www.dhs.gov/science-and-technology/approved-granteligible-equipment. 59 For a list of NIST certified devices, see: https://www.nist.gov/ctl/pscr/process-document-nist-list-certified-devices. 60 Technical standards and requirements vary among federal grant programs (especially grants funding research and testing). Applicants should review grant guidance to ensure specific standards, terms, and conditions are met.
DHS/FEMA grant recipients must adhere to compliance requirements specified in SAFECOM Guidance Appendix D.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 35 • Compliance with FCC Requirements. Applicants are encouraged to consult with the FCC during application development to determine whether projects will be able to access the appropriate spectrum for planned operations or if a waiver is needed. Contact the FCC at [email protected]. • Compliance with federal EHP laws and policies. Recipients must ensure federally-funded projects comply with relevant EHP laws. Construction and installation of communications towers and other ground-disturbing activities frequently requires EHP review. Each agency (and sometimes each program) has its own EHP compliance process. Recipients should discuss proposed constructionrelated activities with federal granting agencies before beginning work to determine whether proposed activities are allowed, and to determine if proposed activities are subject to EHP review.61 • Adoption of new technologies. Recipients are encouraged to migrate to approved, open architecture, standards-based systems and to integrate existing and other advanced technologies, applications, and software (e.g., multi-band/multi-mode capable radio) to expand disaster communications capabilities among emergency response providers. • Sustainment of current LMR capabilities. Grant recipients are strongly encouraged to sustain current LMR capabilities for mission critical voice capabilities so that systems continue to deliver reliable communications.
• Compliance with federal procurement requirements. As a condition of funding, recipients agree to comply with federal procurement requirements. Recipients are responsible for ensuring open and competitive procurements, subject to the specific programmatic requirements of the grant, and applicable state or local procurement requirements. Recipients are required to have written procurement policies in place, are encouraged to follow the same policies and procedures it uses for procurement from its non-federal funds, and should include any clauses required by the Federal Government. The following are key procurement tenets when using federal funds:
o Procurement transactions should be conducted to ensure open and free competition o Recipients/sub-recipients may not supplant, or replace, non-federal funds that are already budgeted or funded for a project
o Recipients/sub-recipients should avoid non-competitive practices (e.g., contractors that developed the specifications for a project should be excluded from bidding) • Promotion of regional capabilities. Grant recipients should coordinate and collaborate with agencies from neighboring states and regions to facilitate regional operable and interoperable solutions, including shared solutions.
• Development of communications system lifecycle plans. Emergency responders must upgrade and maintain communications systems to ensure effective operation. Some programs require recipients to submit system lifecycle plans for equipment purchased with federal grant funds. As a result, recipients should develop a system lifecycle plan for any communications system. • Understanding of cost share. Federal grants often require recipients to provide a percentage of total costs allocated to equipment. Federal funds cannot be matched with other federal funds, but can be matched through state, local, tribal, or territory cash and in-kind contributions. Match requirements are often waived for ancillary territories. Grant recipients should refer to the applicable grant guidance and consult the awarding agency with any questions regarding cost share requirements. 61 To learn more about federal EHP requirements, see the Council on Environmental Quality Regulations, 40 CFR Part 1500-1508, or the U.S. Department of Energy website at: https://energy.gov/sites/prod/files/NEPA40CFR1500_1508.pdf.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 36 5. Emergency Communications Systems and Capabilities Emergency communications are accomplished through many technologies, each with varying capabilities, standards, and features. As the public safety community adopts new technologies, LMR will remain an important tool for mission critical voice communications for emergency responders in the field for many years to come. Successful future planning requires a multi-path approach in maintaining LMR systems’ operability and interoperability while planning and deploying new emergency communications technologies. As such, grant recipients should invest in sustaining LMR capabilities while also planning for new technologies.
As LMR and IP-based technologies continue to become integrated with one another, interoperability and cybersecurity become increasingly important. When procuring equipment or software for emergency communications systems, grant recipients are strongly encouraged to purchase standards-based technologies to facilitate interoperability and security among jurisdictions and disciplines at all levels of government. Table 2 provides best practices for promoting interoperability and security in several types of emergency communications capabilities. For detailed standards and resources for each system type, refer to Appendix B.
Table 2. Best Practices when Purchasing Emergency Communications Capabilities Systems Best Practices
Land Mobile
Radio
• Review P25 technical standards for LMR and specify applicable P25 standards and specifications in the P25 Steering Committee Approved List of Standards • Select P25 Compliance Assessment Program (P25 CAP) approved equipment • Obtain documented evidence of P25 CAP compliance; in the absence of testing information on the P25 Compliance Assessment Bulletins, entities should request results of applicable test procedures identified in the P25 standards list • Ensure additional features purchased are P25 compliant (e.g., AES 256 encryption) • Avoid non-standard features, but if necessary, ensure features are identified and understand impact on interoperability
• Provide written justification for non-compliant P25 purchases Public Safety
Broadband
• Seek guidance from the FirstNet Authority on how to best incorporate broadband communications into a public safety entity’s communications ecosystem Alerts,
Warnings, and
Notifications
• Read the IPAWS Best Practices Guide
• Consult with IPAWS Program Management Office for compatible alert origination software tools
• Review the IPAWS list of critical capabilities and recommended features of an alert origination software tool
• Ensure software tool compliance with Common Alerting Protocol (CAP), the IPAWS CAP Profile, and support of a testing environment • Complete the IPAWS Memorandum of Agreement process
911 Systems • Read the NG911 Standards Identification and Review and select a Standard Development Organization’s standards
• Consult with the National 911 Program Office regarding any updated standards • Select IP-enabled 911 open standards equipment and software Data Exchange
and Information
Sharing
Environment
• Evaluate data information sharing needs and standards based on existing systems, users, and the type of information being exchanged • Read the Organization for the Advancement of Structured Information Standards (OASIS) Emergency Data eXchange Language (EDXL) and National Information Exchange Model (NIEM) resources on data messaging standards • Read the standards, guides, and best practices provided by the Information Sharing Framework initiative
FY 2020 SAFECOM Guidance on Emergency Communications Grants 37 6. Grants Management Best Practices
Proper management of grants enables recipients to effectively implement projects and access grant funds.
It also can establish the entity as a trusted and capable steward of federal funding that is able to manage additional funds in the future. This section provides guidance and best practices for recipients to use throughout the grant lifecycle. Table 3 provides best practices during the four major phases of the grant:
• Planning grant applications (Pre-Award)
• Reviewing award agreements and funding (Award)
• Implementing grant-funded projects (Post Award)
• Completing federal grant projects (Closeout)
Table 3. Suggested Actions and Best Practices to Use during Grant Cycle Phases 62 Stakeholders can also contact their respective CISA Emergency Communications Coordinator for guidance.
Phases Suggested Actions / Best Practices
PreAward
• Review and understand the NECP, SCIP, and other applicable plans • Coordinate with the SWIC and other key governance bodies and leadership to document needs, align projects to plans, and identify funding options 62 • Work with SAA to include projects in state preparedness plans and to secure funding • Review program requirements included in grant guidance • Consult the federal granting agency, spectrum authority (i.e., FCC or FirstNet Authority), and SAFECOM Guidance when developing projects
• Align projects to federal and state-level plans and initiatives • Include coordination efforts with the whole community in applications • Identify staff to manage financial reporting and programmatic compliance requirements • Develop project and budget milestones to ensure timely completion • Identify performance measures and metrics that will help demonstrate impact • Consider potential impacts of EHP requirements on implementation timelines • Ensure proper mechanisms are in place to avoid commingling and supplanting of funds • Evaluate the ability of sub-recipients to manage federal funding • Consider how the project will be sustained after grant funding has ended Award • Review award agreement to identify special conditions, budget modifications, restrictions on funding, pass-through and reporting requirements, and reimbursement instructions • Update the proposed budget to reflect changes made during review and award • Inform sub-recipients of the award and fulfill any pass-through requirements Post
Award
• Establish repository for grant file and related data to be collected and retained from award through closeout, including correspondences, financial and performance reports, project metrics, documentation of compliance with EHP requirements and technology standards • Ensure fair and competitive procurement process for all grant-funded purchases • Understand the process for obtaining approval for changes in scope and budget • Adhere to proposed timeline for project and budget milestones; document and justify any delays impacting progress or spending
• Leverage federal resources, best practices, and technical assistance • Complete financial and performance reports on time
• Draw down federal funds as planned in budget milestones or in regular intervals • Complete projects within grant period of performance
Closeout • Ensure all projects are complete
• Maintain and retain data as required by the award terms and conditions • File closeout reports; report on final performance
FY 2020 SAFECOM Guidance on Emergency Communications Grants 38 7. Funding Sources
Applicants should consider all available funding sources, including traditional grants to help fund initial capital investments or improvements to communications systems, as well as other sources of funding that may partially fund emergency communications projects.
Traditional Grant Funding
CISA is charged with coordinating federal grants funding emergency communications. Through its work with the ECPC Grants Focus Group, CISA identified more than 20 federal grants and loans that fund emergency communications in FY 2019.63 When applying for these funds, grant applicants are encouraged to:
• Identify current grant funding available and alternative sources of funding • Review eligibility requirements, program goals, and allowable costs • Understand what past grants have funded in your jurisdiction • Partner with entities eligible to receive other funding sources Other Sources of Federal Funding
While SAFECOM Guidance traditionally covered federal financial assistance programs, there are other grant and loan programs that can provide extensive funding for state, local, tribal, and territorial public safety communications needs. For example, the U.S. Department of Agriculture (USDA) Rural Utility Service integrated interoperable emergency communications and 911 upgrade authority in its Telecommunications Loan Program, and loans and grants from USDA Rural Development’s Community Facilities Program provided critical funding for emergency communications projects. While loans offer an alternative to traditional grants, applicants should work with financial experts to understand loan terms and ensure their proposals meet all requirements under each program.
Also, there are several federal programs that are not solely focused on public safety communications (e.g., Rural Telecommunications and Rural Electrification Programs). These programs can improve access to 911 services; provide all hazards warnings; improve integration and interoperability of emergency communications; provide critical infrastructure protection and outage prevention; and increase the reliability of standby power to emergency responders. Applicants are encouraged to identify additional funding sources, such as rural grants and loans, and work with eligible entities for those programs to improve communications infrastructure.
63 For an updated list of federal grants and loans that fund emergency communications, see:
https://www.dhs.gov/safecom/funding. Applicants can find and search grants and loans at: https://www.grants.gov.
FY 2020 SAFECOM Guidance on Emergency Communications Grants 39 Funding and Sustainment Resources
CISA, SAFECOM, and NCSWIC publish numerous resources for state, local, tribal, and territorial governments and their public safety agencies to identify funding mechanisms for emergency communications projects. The following list includes educational documents and tools designed for stakeholders, available on the SAFECOM Funding website. • Funding Mechanisms for Public Safety Communications Systems, provides an overview of various methods of funding emergency communications systems (e.g., bonds, special tax, surcharges), and specific examples of where these methods have been used to fund state and local systems. Updates are anticipated in 2020, which will include new funding and sustainment methods and considerations for implementing in your area. • Emergency Communications System Lifecycle Planning Guide and Lifecycle Planning Tool, provide assistance to stakeholders in their efforts to fund, plan, procure, implement, support, and maintain public safety communications systems, and eventually to replace and dispose of system components.
• Emergency Communications Systems Value Analysis Guide and Brochure, assist public safety agencies evaluate communications systems and equipment for cost effectiveness and value to its users. Materials describe common system components, including considerations and features required by public safety agencies that are unique to specific roles. • Interoperability Business Case: An Introduction to Ongoing Local Funding, advises the community on the elements needed to build a strong business case for funding interoperable communications.
• Various educational documents, brochures, and action memorandum to assist stakeholders identify funding and procure radio communications systems.
o LMR 101, Part I: Educating Decision Makers on LMR Technologies, includes basic information for use in educating decision-makers about the importance of LMR technologies.
The paper includes simple diagrams, terminology, history, and current usage of LMR technologies by public safety agencies.
o LMR for Decision Makers, Part II: Educating Decision Makers on LMR Technology Issues, provides information about emerging technologies, and the impact such technologies will have on LMR systems as they evolve. Information includes discussion of the LMR-to-LTE transition, and the need to sustain mission critical voice through such transition. o LMR for Project Managers, Part III: A P25 Primer for Project Managers and Acquisition Managers, delivers an introduction about standards-based purchasing, and an overview of the P25 standard explaining its importance to public safety interoperability. o LMR Brochure, provides stakeholders with a hand-out to give to state and local decisionmakers and elected officials to explain why it is important to fund and sustain LMR. o LMR Action Memorandum, provides stakeholders with basic information they can give to state and local decision-makers and elected officials on why it is important to fund and sustain public safety radio systems.
FY 2020 SAFECOM Guidance on Emergency Communications Grants A-1
Appendix A – Acronym List
3GPP Third Generation Partnership Project
AAR After-Action Report
AEL Authorized Equipment List
AES Advanced Encryption Standard
ANSI American National Standards Institute
ATIS Alliance for Telecommunications Industry Solutions, Inc.
BSI Bridging Systems Interface
CAP Common Alerting Protocol
CASM Communication Assets Survey and Mapping
CDM Continuous Diagnostics and Mitigation
CFR Code of Federal Regulations
CIO Chief Information Officer
CISA Cybersecurity and Infrastructure Security Agency
CISO Chief Information Security Officer
CJIS Criminal Justice Information Services
CEQR Council on Environmental Quality Regulations
CNSS Committee on National Security Systems
COLT Cell on Light Trucks
COML Communications Unit Leader
COMT Communications Technician
CONOPS Concept of Operations
COW Cell on Wheels
CSIRT Computer Security Incident Response Team
CSRIC Communications Security Reliability and Interoperability Council CSSP Communications Sector-Specific Plan
DE Distribution Element
DES-OFB Data Encryption Standard-Output Feedback
DHS Department of Homeland Security
EAS Emergency Alert System
ECC Emergency Communications Center
ECPC Emergency Communications Preparedness Center
EDXL Emergency Data eXchange Language
EHP Environmental Planning and Historic Preservation
EO Executive Order
EPC Evolved Packet Core
ETSI European Telecommunications Standards Institute
FY 2020 SAFECOM Guidance on Emergency Communications Grants A-2
FCC Federal Communications Commission
FEMA Federal Emergency Management Agency
FIPS Federal Information Processing Standards
FirstNet Authority First Responder Network Authority
FY Fiscal Year
GETS Government Emergency Telecommunications Service
GFIPM Global Federated Identity and Privilege Management GRA Global Reference Architecture
GSMA Groupe Speciale Mobile Association
HAVE Hospital Availability Exchange
HF High Frequency
HSEEP Homeland Security Exercise and Evaluation Program HSPD Homeland Security Presidential Directive
ICAM Identity, Credential, and Access Management
ICO Implementation Coordination Office
ICS Incident Command System
IDS Intrusion Detection
IEC International Electrotechnical Commission
IEEE Institute of Electrical and Electronics Engineers
IEP Information Exchange Package
IEPD Information Exchange Package Documentation
IETF Internet Engineering Task Force
IP Internet Protocol
IPAWS Integrated Public Alert and Warning System
IPS Intrusion Prevention
IS Independent Study
ISE Information Sharing Environment
ISO International Organization for Standardization
ISSI Inter Radio Frequency Sub-System Interface
IT Information Technology
ITU International Telecommunications Union
kHz kilohertz
LMR Land Mobile Radio
LTE Long-Term Evolution
MHz Megahertz
MOA Memorandum of Agreement
MOU Memorandum of Understanding
NAC National Advisory Council
FY 2020 SAFECOM Guidance on Emergency Communications Grants A-3
NASNA National Association of State 911 Administrators
NCCIC National Cybersecurity and Communications Integration Center NCSWIC National Council of Statewide Interoperability Coordinators NECP National Emergency Communications Plan
NENA National Emergency Number Association
NEP National Exercise Program
NERC North American Electric Reliability Corporation
NG-SEC NENA Security for NG911 Standard
NHTSA National Highway Traffic Safety Administration
NIFOG National Interoperability Field Operations Guide
NG911 Next Generation 911
NIEM National Information Exchange Model
NIMS National Incident Management System
NIPP National Infrastructure Protection Plan
NIST National Institute of Standards and Technology
NISTIR NIST Internal/Interagency Reports
NOAA National Oceanic and Atmospheric Administration
NOFO Notice of Funding Opportunity
NPSBN Nationwide Public Safety Broadband Network, or FirstNet NPSTC National Public Safety Telecommunications Council NTIA National Telecommunications and Information Administration OASIS Organization for the Advancement of Structured Information Standards OGC Open Geospatial Consortium
OMA Open Mobil Alliance
OIC Office for Interoperability and Compatibility
OMB Office of Management and Budget
P25 Project 25
P25 CAP P25 Compliance Assessment Program
PMO Project Management Office
POETE Planning, Organization, Equipment, Training, and Exercises PPD Presidential Policy Directive
PSAP Public Safety Answering Point
PSCR Public Safety Communications Research
PSHSB Public Safety & Homeland Security Bureau
PTIG Project 25 Technology Interest Group
RAN Radio Access Network
RECCWG Regional Emergency Communications Coordination Working Group RECP Regional Emergency Communications Plans
FY 2020 SAFECOM Guidance on Emergency Communications Grants A-4
RF Radio Frequency
RFI Request for Information
RM Resource Messaging
RUS Rural Utilities Service
SAA State Administrative Agency
SAME Specific Area Message Encoding
SCIP Statewide Communication Interoperability Plan
SDO Standard Development Organization
SIGB Statewide Interoperability Governing Body
SIEC State Interoperability Executive Committee
SLIGP State and Local Implementation Grant Program
SOP Standard Operating Procedure
SoR Statement of Requirements
SPR Stakeholder Preparedness Review
SWIC Statewide Interoperability Coordinator
TDoS Telephone Denial of Service
TFOPA Task Force on Optimal Public Safety Answering Point Architecture THIRA Threat and Hazard Identification and Risk Assessment TIA Telecommunications Industry Association
TICP Tactical Interoperable Communications Plan
TSP Telecommunications Service Priority
UASI Urban Areas Security Initiative
UHF Ultra High Frequency
USDA United States Department of Agriculture
URT Unified Reporting Tool
US-CERT U.S. Computer Emergency Readiness Team
VHF Very High Frequency
VoIP Voice over Internet Protocol
W3C World Wide Web Consortium
WEA Wireless Emergency Alerts
WPS Wireless Priority Service
XML Extensible Markup Language
FY 2020 SAFECOM Guidance on Emergency Communications Grants B-1
Appendix B – Technology and Equipment Standards and Resources This appendix provides grant applicants and recipients with operational best practices, technical standards, and resources to reference when developing communications systems. Above all, grant recipients should purchase standards-based technologies and equipment that promote interoperability with partners.
How to Use this Appendix
When procuring communications infrastructure, there are overarching considerations and guidelines, as well as specific standards to follow. No single document could include everything public safety communications system planners need to know. However, this appendix lists technical standards applicable to public safety communications systems and resources for additional information. The following topics are included in this appendix:
System Lifecycle Planning…………………………………………… B-1
Cybersecurity……………………….………………………………… B-3
Continuity and Resilience……………………………………………. B-7
Land Mobile Radio……………………………….…….……………. B-9
Public Safety Broadband…………………………………………… B-12
Alerts, Warnings, and Notifications………….…………….……… B-14
911 Systems.…………….……………………………….…………. B-16
Data Exchange and Information Sharing Environment………… B-18 System Lifecycle
Planning
Grant recipients should employ best practices and recommendations from the 2018 Emergency Communications System Lifecycle Planning Guide The Cybersecurity and Infrastructure Security Agency (CISA), in collaboration with SAFECOM and the National Council of Statewide Interoperability Coordinators (NCSWIC), developed the Emergency Communications System Lifecycle Planning Guide, which provides recommended actions through easyto-use checklists for each phase of the system lifecycle planning model. It is intended for stakeholders to use in their efforts to fund, plan, procure, implement, support, and maintain public safety communications systems, and eventually replace and dispose of system components.
Each phase of the system lifecycle planning model—Pre-Planning; Project Planning; Request for Proposals and Acquisition; Implementation; Support, Maintenance, and Sustainment; End-of-Lifecycle Assessment and Replacement; and Disposition—includes best practices, considerations, and recommended checklists to assist public safety agencies embarking on system lifecycle planning.
Specifically, the checklists are designed to be torn-out, referenced, and used by project management teams throughout the system lifecycle. Table B-1 summarizes the system lifecycle planning model phases and high-level recommendations contained in the 2018 Emergency Communications System Lifecycle Planning Guide. Reference the guide for additional information on recommendations.
FY 2020 SAFECOM Guidance on Emergency Communications Grants B-2
Table B-1. System Lifecycle Planning Model and Recommendations Summary Planning Model Recommendations
Phase 1: Pre-Planning
Timing: 6–12 months
Goals: Inform and secure the
decision to replace, upgrade,
maintain, dispose of, and/or
acquire a new system
• Establish the core planning team
• Research and develop system and funding options
• Decide on the optimal and alternative solutions with funding options • Plan for frequency needs and channel programming
• Develop a business case, presentation materials, and strategic plan • Identify a legislative- or executive-level project champion • Present to decision-makers and secure funding to support the initial build-out and sustain the system throughout the entire lifecycle Phase 2: Project Planning
Timing: 6–18 months
Goals: Formalize the project
team; identify operational and
technical requirements for
system replacement and
upgrade; and develop the
project plan
• Consider how long the planning process can take and communicate expected timeframes to elected officials
• Collect user needs and requirements and incorporate into project plans • Engage with communications leaders early for guidance and support (e.g., Statewide Interoperability Coordinators [SWIC], Statewide Interoperability Governing Bodies [SIGB])
• Identify strong Project Sponsors (e.g., state or local elected officials) • Begin planning the Request for Proposals (RFP)
Phase 3: RFP and Acquisition
Timing: 6–12 months
Goals: Select the appropriate
procurement vehicle and procure
systems and components
• Develop a written action plan
• Form the RFP team
• Develop the Statement of Work (SOW)
• Include specifications or requirements in the RFP
• Establish written evaluation criteria, well before the award • Conduct a formal objective review process and document results Phase 4: Implementation
Timing: 12–18 months
Goals: Develop an
implementation plan; install new
systems; test; train users; and
transition from legacy to new
• Develop the implementation plan
• Understand and document testing procedures (e.g., factory testing, staging, site installation and testing, coverage verification, testing and acceptance, cut-over, final acceptance)
• Update operational procedures and train users
• Promote new communications capabilities and benefits to the community Phase 5: Support, Maintenance
and Sustainment
Timing: Year(s) 1–25
Goals: Inventory and maintain
equipment; manage budget;
assess and communicate needs
• Maintain an accurate inventory of equipment (e.g., scope, database tool, inventory team, processes to compile and secure data)
• Determine and execute an ongoing maintenance and operations model • Manage the budget when the project is conceived, directly before it is funded and after delivery
• Share communications needs with decision-makers early and continually Phase 6: End-of-Lifecycle
Assessment and Replacement
Timing: Years 7–25
Goals: Determine when to
replace systems or components
with solutions to best fit
operational and technical needs
• Conduct ongoing assessments of current system (e.g., implement a balanced scorecard) to plan for technology maturity
• Refresh or upgrade systems, as needed, to extend the life • Determine potential replacement solutions, with consideration to support national, state, and regional interoperability initiatives; consider early adoption of new technologies; and, adhere to widely-used technical standards
Phase 7: Disposition
Timing: 90 days after cut-over or
transition
Goals: Determine options and
dispose of legacy systems or
components
• Develop the disposition plan
• Determine options (e.g., reuse or repurpose old components, consider space availability, convey surplus equipment to partner agencies) in consideration of legal or policy limitations, and business requirements • Brief leaders on disposition plans
• Identify lessons learned following disposition
FY 2020 SAFECOM Guidance on Emergency Communications Grants B-3
Cybersecurity Grant recipients should implement the NIST Cybersecurity Framework and take advantage of existing cybersecurity standards and resources Land mobile radio (LMR) has long been used by emergency first responders for mission critical communications. As technologies evolve, LMR systems are exposed to greater security risks such as jamming, eavesdropping, and denial of service. In addition, the emergency response community is deploying advanced voice, video, and data services over Internet Protocol (IP)-based networks to enhance response operations. Although these services enhance capabilities, they also introduce new and significant cyber risks that the emergency response community must address. Traditional emergency communications systems have limited means of cyber entry, but IP-based platforms enable interconnection with a wide range of public and private networks, such as wireless networks and the Internet.
The public safety community must continually identify risks and address evolving security requirements.
Emergency communications cybersecurity is a shared mission across all levels of government, the private sector, nongovernmental organizations, and even the public. To protect emergency communications from cyber threats and attacks, recipients will need to invest in solutions that enhance cybersecurity posture.
Cybersecurity must be addressed through planning, governance, and technology solutions that secure networks. Recipients should ensure cybersecurity planning is comprehensive and maintained throughout the lifecycle of all network components. Cybersecurity risk management should also include updates to non-technology support activities, such as mutual aid agreements, standard operating procedures, and policy development. Personnel should be trained on the latest security, resiliency, continuity and operational practices and maintain in-service training as new technology and methods are made available.
Despite every effort, cyber incidents will occur. Being prepared to execute response processes and procedures, prevent expansion of the event, mitigate its effects, and eradicate the incident is necessary.
Incident response plans, recovery or resiliency plans, and continuity of operations plans are useful in cybersecurity incident response. Recovery planning processes and strategies are improved by incorporating lessons learned into future activities.
Cybersecurity Framework
The National Institute of Standards and Technology (NIST) developed the Framework for Improving Critical Infrastructure Cybersecurity (Cybersecurity Framework) as a flexible and voluntary risk-based approach that outlines techniques to secure critical infrastructure. Recipients are strongly encouraged to implement NIST’s framework to complement an existing risk management process or to develop a credible program if one does not exist. In addition to NIST materials, sector-specific Cybersecurity Framework guidance is available from CISA.
The NIST Cybersecurity Framework establishes five functions to integrate cybersecurity into mission functions and operations, including: 1) identify, evaluate, and prioritize risks; 2) protect against identified risks; 3) detect risks to the network as they arise; 4) deploy response capabilities to mitigate risks; and 5) establish recovery protocols to ensure the resiliency and continuity of communications. CISA’s Emergency Services Sector has developed tailored guidance specific to emergency service disciplines, including a NIST Framework implementation guide with a repeatable process to identify and prioritize cybersecurity improvements.64
64 Suggested resources include the 2015 ESS Cybersecurity Framework Implementation Guidance and 2014 ESS Roadmap to Secure Voice and Data Systems.
FY 2020 SAFECOM Guidance on Emergency Communications Grants B-4
There is considerable cybersecurity guidance available from government, industry, and academic organizations and a multitude of standards development organizations (SDOs) that contribute to technical standards and best practices. Organizations managing critical infrastructure will continue to have unique risks―different threats, different vulnerabilities, and different risk tolerances—and how they implement the standards and guidance available will vary. There is currently no one-size-fits-all network cybersecurity solution. Table B-2 lists some of the potentially-applicable standards for cybersecurity that recipients should leverage as they identify and select the standards that fit their system and mission needs. Table B-3 lists cybersecurity resources for additional information. While these lists are not exhaustive, they include some of the more comprehensive guidance for the public safety community.
Table B-2. Cybersecurity Standards
Organizations Standards
Third Generation
Partnership Project
(3GPP) Security
Standards
3GPP’s security working group, SA3, is continuously updating security standards associated with prevalent technologies, most notably IP Multimedia Subsystem.
Specifically, the group is addressing 3GPP standards for network access security, network domain security, user domain security, application domain security, and user configuration and visibility of security is important for critical infrastructure implementations. https://www.3gpp.org.
American National
Standards Institute
(ANSI) / International
Society of Automation
(ISA)
ANSI/ISA standards focus on automation and control systems solutions. The NIST Cybersecurity Framework recommends two ANSI/ISA standards for use:
ANSI/ISA-62443-2-1 (99.02.01)-2009 and ANSI/ISA-62443-3-3 (99.03.03)-2013. https://www.isa.org/templates/two-column.aspx?pageid=131422. Also, outputs of the Alliance for Telecommunications Industry Solutions (ATIS) Emergency Services Interconnection Forum, Next Generation Interconnection Interoperability Forum, and Wireless Technologies and Systems Committee are important to the public safety community.
Criminal Justice
Information Services
(CJIS) Security Policy
CJIS standards contain information security requirements, guidelines, and agreements reflecting the will of law enforcement agencies for protecting the sources, transmission, storage, and generation of Criminal Justice Information. https://www.fbi.gov/about-us/cjis/cjis-security-policy-resource-center.
European
Telecommunications
Standards Institute
(ETSI)
ETSI Telecommunications & Internet converged Services & Protocols for Advanced Networks (TISPAN) has been a key standardization body in creating Next Generation Network (NGN) specifications, and their Cyber Security committee focuses entirely on privacy and security activities. Of note for emergency communications are the ETSI TS 102, 123, 182, and 282 series. http://www.etsi.org/.
Federal Information
Processing Standards
(FIPS)
FIPS establishes the minimum security requirements for federal information systems. https://www.nist.gov/itl/popular-links/federal-information-processingstandards-fips.
Health Insurance
Portability and
Accountability Act of
1996 (HIPAA)
Legislation enacted by Congress in 1997 to streamline medical regulations, privacy considerations, and the efficiency and security of medical care. The standards/rules associated with HIPAA address some of the NIST Cybersecurity Framework functions. https://www.hhs.gov/hipaa/.
International
Organization for
Standardization (ISO) /
International
Electrotechnical
Commission (IEC)
Standards
The ISO/IEC 27000 series of standards provide a foundation for information security management best practices. Of interest to emergency communication networks may be ISO/IEC 27001, ISO/IEC 27003, ISO/IEC 27002, ISO/IEC 27032, and ISO/IEC 17799. http://www.iso.org.
Institute of Electrical and
Electronics Engineers
(IEEE)
IEEE produces sector-specific security standards, as well as industry guidance.
Of interest to networks may be the 802, 1363, and 1619 series, as well as C37.240-2014 IEEE Standard Cybersecurity Requirements for Substation Automation, Protection, and Control Systems. http://www.ieee.org/.
FY 2020 SAFECOM Guidance on Emergency Communications Grants B-5
Organizations Standards
International
Telecommunication
Union (ITU)
A fundamental role of ITU is to build confidence and security in the use of Information and Communication Technologies. Of note for emergency communications networks include X.800, X.805, and X.1051. http://www.itu.int/.
Internet Engineering
Task Force (IETF)
IETF Working Groups are the primary mechanism for development of IETF standards. IETF Working Groups currently have 598 standards regarding security mechanisms, integrity mechanisms, network layer security, transport layer security, application layer security, encryption algorithms, key management, secure messaging, etc. https://www.ietf.org/.
National Fire Protection
Association 1221
A standard for the installation, maintenance, and use of emergency services communications systems, including cybersecurity considerations. http://www.nfpa.org/codes-and-standards/document-informationpages?mode=code&code=1221.
NIST Recommendations
on Cybersecurity (Special
Publications 800 Series)
NIST’s 800 series provides targeted cybersecurity guidance and are strongly encouraged to be incorporated into cybersecurity planning. http://csrc.nist.gov/publications/PubsSPs.html.
North American Electric
Reliability Corporation
(NERC) Critical
Infrastructure Protection
Regulations
Reliability standards address the security of cyber assets essential to the reliable operation of the electric grid. With emerging interconnectivity of infrastructure, the emergency communications community may also need to address these standards. http://www.nerc.com/pa/CI/Comp/Pages/default.aspx.
Telecommunications
Industry Association
(TIA)
TIA has both Cybersecurity and Public Safety working groups. Standards of particular use for emergency communications include: TR-8, TR-30, TR-34, TR41 TR-42 TR-45, TR-47, TR-48, TR-49, TR-50 M2M, TR-51, and TIA-102. https://www.tiaonline.org/.
Table B-3. Cybersecurity Resources
Organizations Resources
Committee on
National
Security
Systems (CNSS)
• CNSS Policies
Department of
Homeland
Security (DHS)
• DHS Cybersecurity Strategy
• CISA Cyber Resilience Review
• CISA Insights
• Communications Sector-Specific Plan: An Annex to the National Infrastructure Protection Plan
• Continuous Diagnostics and Mitigation (CDM)
• Cybersecurity Evaluation Tool (CSET)
• Emergency Services Sector (ESS) Cyber Risk Assessment – 2012 • ESS Roadmap to Secure Voice and Data Systems – 2014
• ESS Cybersecurity Framework Implementation Guidance – 2015 • Homeland Security Grant Program Supplemental Resource: Cyber Security Guidance • Information Sharing Environment (ISE) Guides and Best Practices • National Cyber Incident Response Plan
• National Cybersecurity and Communications Integration Center (NCCIC) and U.S.
Computer Emergency Readiness Team (US-CERT)
• National Infrastructure Coordinating Center (NICC)
• National Infrastructure Protection Plan
• Safeguarding and Securing Cyberspace
FY 2020 SAFECOM Guidance on Emergency Communications Grants B-6
Organizations Resources
• Supplement Tool: National Protection and Programs Directorate Resources to Support Vulnerability Assessments
• Best Practices for Encryption in Project 25 Public Safety Land Mobile Radio Systems Department of
Energy
• Energy Sector Cybersecurity Capability Maturity Model (C2M2) Program Executive
Orders (EO) and
President
Directives
• EO 13636: Improving Critical Infrastructure Cybersecurity • EO 13231: Critical Infrastructure Protection in the Information Age and EO 13286 • EO 13618: Assignment of national Security and Emergency Preparedness Communications Functions
• Executive Office of the President, Presidential Policy Directive 21 (PPD – 21) • EO 13407: Public Alert and Warning System
• EO 13800: Strengthening the Cybersecurity of Federal Networks and Critical Infrastructure
Federal Bureau
of Investigation
• Cyber Crime
Federal
Communications
Commission
• Communications Security, Reliability and Interoperability Council (CSRIC) • Task Force on Optimal PSAP Architecture (TFOPA)
• Cyber Security Planning Guide
Federal
Emergency
Management
Agency
• Emergency Management and Response-Information Sharing and Analysis Center (EMRISAC) • Cybersecurity Gap Analysis, FEMA National Cyber Resilient Architecture, and Training resources
Government
Accountability
Office
• U.S. Government Accountability Office, Cybersecurity
National
Institute of
Standards and
Technology
• Framework for Improving Critical Infrastructure Cybersecurity • Internal/Interagency Reports (NISTIRs)
• National Initiative for Cybersecurity Education (NICE) • NICE Cybersecurity Workforce Framework
Various
Industry and
Associations
• ATIS Industry Best Practices
• Association of Public-Safety Officials, International (APCO), specifically SPCO Cybersecurity Guide for Public Safety Community Professionals and APCO Introductory Guide to Cybersecurity for PSAPs ISACA COBIT 5 Framework • ITU Security Standards Roadmap
• Center for Internet Studies (CIS) Critical Security Controls (CSC), available through the Multi-State Information Sharing and Analysis Center
• National Association of State Chief Information Officers (NASCIO) Cybersecurity Awareness, including NASCIO Cyber Disruption Planning Guide for States • National Conference of State Legislation Cybersecurity Training for State Employees • Open Web Application Security Project (OWASP) Top Ten Project • OWASP Internet of Things Project
FY 2020 SAFECOM Guidance on Emergency Communications Grants B-7
Continuity
and
Resilience
Grant recipients should target funding toward activities that address communications continuity, survivability, and resiliency. Activities can include system assessments, analysis of threats and vulnerabilities, and strategic plan and procedural updates to mitigate identified risks
Lessons learned from major disasters, unplanned events, and full-scale exercises have identified a need for greater coordination of emergency communications among senior elected officials, emergency management agencies, and first responders at all levels of government. Responders arriving on the scene of a domestic incident are not always able to communicate with other response agencies, particularly when the incident requires a multi-agency, regional response effort, or when primary communications capabilities fail. This lack of operability and interoperability between agencies is further complicated by problems with communications continuity, survivability, and resilience, which hinders the ability to share critical information, and can compromise the unity-of-effort required for an effective incident response.
Applicants investing in emergency communications are encouraged to work with Statewide Interoperability Coordinators, Statewide Interoperability Governance Bodies, and appropriate stakeholders across levels of government to:
• Establish robust, resilient, reliable, secure, and interoperable communication capabilities • Plan for mission-related communications and connectivity among government leadership, internal elements, other supporting organizations, and the public under all conditions • Trace all communications systems/networks from end-to-end to identify Single Points of Failure • Recipients should also address the following issues:
o Integrate communications needs into continuity planning efforts and emergency operations plans by incorporating mitigation options to ensure uninterrupted communications support
o Maintain and protect communications capabilities against emerging threats, both manmade and natural, to ensure their readiness when needed o Frequently train and exercise personnel required to operate communications capabilities o Test and exercise communications capabilities
o Establish a cybersecurity plan that includes continuity of an “out of band” communications capability such as High Frequency (HF) Radio Frequency (RF), fiberbased communications pathways that do not rely on public infrastructure • Ensure key communications systems resiliency through:
o Availability of backup systems
o Development of standard operating procedures and training to address the use of backup systems
o Diversity of network element components and routing
o Geographic separation of primary and alternate transmission media o Availability of backup power sources
o Access to systems that are not dependent on commercial infrastructure o Maintained spare parts for designated critical communication systems o Agreements with commercial suppliers to remediate communications Single Point of Failures
FY 2020 SAFECOM Guidance on Emergency Communications Grants B-8
Resource De
Table B-4. Continuity and Resilience Resources
scription
FEMA National
Continuity Programs
National Continuity Programs highlight the national policy and guidance for continuity of operations initiatives. They provide guidance and assistance to support continuity preparedness for federal departments and agencies; state, local, tribal, and territorial government jurisdictions; and private sector organizations.
CISA Regional
Resiliency
Assessment
Program
The Regional Resiliency Assessment Program is a cooperative assessment of specific critical infrastructure within a designated geographic area. DHS works with selected areas each year to conduct a regional analysis of surrounding infrastructure and address a range of resilience issues that could have significant regional or national consequences if disrupted.
CISA Ten Keys to
Obtaining a Resilient
Local Access
Network
This document introduces resiliency concepts and provides ten keys to obtaining and maintaining resiliency in a local access network, such as knowing the exact network infrastructure in the local loop, interfacing with commercial service providers, and properly maintaining alternative path solutions. CISA developed these ten fundamental steps, supported by descriptive text and visually-appealing graphics, as recommendations to help organizations maintain critical communications in emergency situations.
CISA Public Safety
Communications
Resiliency SelfAssessment
Guidebook
This document provides a self-assessment methodology for public safety entities to identify and address potential points of failure in their communication networks by evaluating the local access networks of their primary and alternate operating facilities.
The methodology describes the process of gathering data on network infrastructure, creating logical and physical network maps, and choosing resiliency solutions based on the network maps. DHS also developed a Resiliency Fact Sheet to understand communications continuity planning and offer resources to assist entities.
CISA Priority
Services Programs
Priority Services Programs, including the Telecommunications Service Priority, Government Emergency Telecommunications Service, and Wireless Priority Service, support national leadership; federal, state, local, tribal, and territorial governments; first responders; and other authorized national security and emergency preparedness users. They are intended to be used in an emergency or crisis situation when data, landline, or wireless networks are congested and the probability of completing a normal transmission or call is reduced.
CISA
Electromagnetic
Pulse (EMP)
Guidance
The EMP Protection and Resilience Guidelines for Critical Infrastructure and Equipment provides guidelines to assist federal, state, and local officials and critical infrastructure owners and operators to protect mission essential equipment against EMP threats. There are four EMP Protection Levels defined. These levels were initially developed at the request of the federal Continuity Communications Managers Group, but are applicable to any organization that desires to protect its electronics and critical infrastructures.
FY 2020 SAFECOM Guidance on Emergency Communications Grants B-9
Grant recipients should purchase digital LMR systems and equipment compliant with the Project 25 (P25) suite of standards (Telecommunications Industry Association), and include all applicable P25 standards and expectations for interoperability in any SOW or acquisition documents Recipients should purchase P25 compliant systems and equipment that has been assessed as compliant in accordance with the P25 Compliance Assessment Program Land If encryption is required, agencies shall ensure compliance with the P25 Block Encryption Protocol standard and implement Advanced Encryption Standard 256-bit encryption Mobile Recipients should ensure all P25 eligible equipment, features, and capabilities selected are P25 Radio compliant, to include new equipment and upgrades
When purchasing bridging or gateway devices that have a VoIP capability to provide connectivity between LMR systems, those devices should, at a minimum, implement either the Bridging System Interface specification or the ISSI
Recipients should consult the federal granting agency before submitting requests for ISSI and broadband-related project investments to determine whether costs are allowed, as well as applicable technical standards
LMR systems are terrestrially-based, wireless, narrowband communications systems commonly used by federal, state, local, tribal, and territorial emergency responders, public works companies, and the military in non-tactical environments, to support voice and low-speed data communications. These systems are designed to meet public safety’s unique mission and critical voice requirements and support time-sensitive, lifesaving tasks, including sub-second voice call-setup, group calling capabilities, high-quality audio, and priority access to the end-user. Because LMR systems implemented by the public safety community support responders’ safety and lifesaving operations, they are designed and implemented to achieve high levels of reliability, redundancy, coverage, and capacity, and can operate in harsh natural and man-made environments. LMR technology has progressed over time from conventional, analog voice service to complex systems incorporating digital and trunking features. These enhancements have improved the interoperability, spectral efficiency, security, reliability, and functionality of voice and low speed data communications.
For the foreseeable future, the public safety community is expected to follow a multi-path approach to develop, establish, and maintain critical communications capabilities. To improve interoperability across investments, grant recipients are strongly encouraged to ensure digital voice systems and equipment purchased with federal grant funds are compliant with the Project 25 (P25) suite of standards, unless otherwise noted in a program’s grant guidance.65 Recipients should ensure all P25 eligible equipment, features, and capabilities selected are P25 compliant, to include new equipment and upgrades. When federal grant funds are used to purchase P25 LMR equipment and systems that contain non-standard features or capabilities, while a comparable P25 feature or capability is available, recipients must ensure the standardsbased feature or capability is included.
65 Applicants should read grant guidance carefully to ensure compliance with standards, allowable cost, documentation, reporting, and audit requirements. If interested in using federal funds to purchase equipment that does not align with P25 standards or does not appear on the approved equipment list, the applicant should consult with the federal grantmaking agency to determine if non-P25 compliant equipment is allowable. In some cases, written justification must be provided to the grantor. Many agencies will not approve non-standards-based equipment unless there are compelling reasons for using other solutions. Authorizing language for most emergency communications grants strongly encourages investment in standards-based equipment. Funding requests by agencies to replace or add radio equipment to an existing non-P25 system (e.g., procuring new portable radios for an existing analog system) will be considered if there is a clear rationale why such equipment should be purchased and written justification of how the equipment will advance interoperability and support eventual migration to interoperable systems. Written justification should also explain how that purchase will serve the needs of the applicant better than equipment or systems that meet or exceed such standards. Absent compelling reasons for using other solutions, agencies should invest in standards-based equipment.
FY 2020 SAFECOM Guidance on Emergency Communications Grants B-10
Grant recipients should purchase P25 compliant systems and equipment that has been assessed in accordance with the P25 Compliance Assessment Program (P25 CAP). P25 standards provide many technical specifications designed to ensure equipment is interoperable regardless of manufacturer.
Recipients should obtain documented evidence of P25 compliance from the manufacturer that the equipment has been tested and passed all the applicable, published, normative P25 compliance assessment test procedures for performance, conformance, and interoperability as defined in the latest P25 Compliance Assessment Bulletins for testing requirements. If documentation for applicable equipment is not available through the P25 CAP or there is an absence of applicable testing in the P25 CAP, recipients should obtain documented evidence from the manufacturer stating that the applicable tests were conducted in accordance with the published test procedures in the P25 suite of standards and successfully passed.
Encryption
Recipients using federal funds to purchase encryption options for new or existing communications equipment shall ensure encrypted capabilities are compliant with the published P25 Block Encryption Protocol Standard. Recipients investing in encryption must implement the Advanced Encryption Standard (AES) 256-bit Encryption Algorithm as specified in the P25 Block Encryption Protocol. The P25 suite of standards references the use of AES as the primary encryption algorithm but continues to allow Data Encryption Standard-Output Feedback (DES-OFB) for backwards compatibility and interoperability with existing systems. The current version of the P25 Block Encryption Protocol, ANSI/TIA-102.AAAD should be identified in all procurement actions when encryption is required.
Recipients seeking to use federal grant funds to purchase non-standard encryption features (e.g., 40-bit encryption, DES-OFB) or capabilities for new or existing equipment must ensure AES 256-bit is also included to ensure their devices have the capability to interoperate in an encrypted mode. Agencies currently using DES-OFB may continue to invest in this encryption method but should plan to migrate to AES as soon as possible. The continued use of DES-OFB or other non-standard encryption algorithms is strongly discouraged. The Federal Government recognizes AES as a more robust encryption algorithm and strongly recommends entities migrate to AES as it will enhance interoperability with federal entities, as well as state and local agencies implementing encryption in the future.
Interconnecting Systems
When purchasing bridging or gateway devices that have a VoIP capability to provide connectivity between LMR systems, those devices should, at a minimum, implement either the Bridging System Interface (BSI) specification or the P25 Inter Radio Frequency Sub-System Interface (ISSI)/Console Sub-System Interface (CSSI) as a part of their VoIP capability. Note, there are potential interoperability issues when implementing ISSI/CSSI, as testing parameters are still under development and vendors/manufacturers may interpret accredited technical standards differently or may test interfaces inconsistently.
While baseline standards for ISSI connections exist, they are not complete. Due to the current lack of completed accredited technical standards and differing manufacturer’s features and functionality implementation practices, public safety agencies should consider planning and technical complexities associated with the implementation of ISSI technologies to connect RF-subsystems (RFSS) from the same or dissimilar LMR vendors/manufacturers. As such, grant applicants should:
• Ensure that operability and interoperability between existing RFSS/systems remain intact and operational during implementation;
• Identify explicit requirements of features, functionalities, and capabilities that the ISSI connections will support to a same or dissimilar manufacturer’s RFSS/systems, including interoperability requirements, in any SOW or acquisition documents; FY 2020 SAFECOM Guidance on Emergency Communications Grants B-11
• State the vendor/manufacturer’s ability and acceptance to provide these explicit features, functionalities, and capability requirements for ISSI implementation in the appropriate purchasing agreement or contract;
• Develop a set of compliance testing of currently available accredited technical standards criteria with ISSI partners and the selected vendor/manufacturer. Testing should demonstrate standards compliance, as well as successful operability and interoperability functions on each side of the ISSI connection, consistency with procurement and acquisition requirements, and compliance with agreed upon standards;
• Accomplish the set of applicable testing with ISSI partners and the selected vendor/manufacturer that demonstrates successful and effective operability and interoperability of the agreed to features, functions, and capabilities on each side of the ISSI connection, consistent with the stated requirements of the SOW or acquisition documents;
• Submit evidence to the federal granting agency upon successful testing and certification of compliance to applicable accredited technical standards, as well as operability and interoperability with ISSI partners.
Applicants may also be interested in using grant funds to enable interoperability between existing LMR and long-term evolution (LTE) broadband networks. Note, technical standards for interconnecting LMR to LTE systems remain under development. Agencies should beware of proprietary solutions offered by vendors/manufacturers that may provide LMR to LTE connections. However, these proprietary solutions, while achieving LMR to LTE interoperability, are not interoperable amongst themselves thus creating an LTE interoperability issue. Additionally, the indiscriminate, non-planned use of some LTE to LMR Over the Top (OTT) Push to Talk (PTT) solutions has proven to be detrimental to hosting LMR regional/state systems and created significant operability issues and site loading issues for the systems infrastructure.
Investing in proprietary solutions is a misuse of federal funds, as additional solutions are needed to restore interoperability among neighboring jurisdictions.
Grant applicants should consult the federal granting agency before submitting requests for ISSI/CSSI and broadband-related project investments to determine whether costs are allowed, as well as applicable technical standards.
The P25 Steering Committee published a list of Approved Project 25 Suite of Standards that includes the most recent documents and revisions. Also, the P25 Technology Interest Group’s Capabilities Guide can help determine which standards are applicable to proposed purchases and projects.
Table B-5. Land Mobile Radio Standards and Resources
Organizations Standards and Resources
P25 Compliance P25 CAP is a partnership of DHS, industry, and the emergency response community. It is a Assessment formal, independent process for ensuring communications equipment declared by the Program supplier is P25 compliant and tested against standards with published results. It publishes Compliance Assessment Bulletins on policy, testing, and reporting requirements, and an approved equipment list that may be eligible for grants.
Telecommunicat- TIA is a recognized American National Standards Institution responsible for publishing the ions Industry P25 suite of standards, approved by the P25 Steering Committee. To date, it has published Association over 90 documents detailing the specifications, messages, procedures, and tests applicable to the 11 interfaces, multiple feature sets, and functions offered by P25.
SAFECOM SAFECOM Technology Resources provide guidance and recommendations on Website communications technologies currently used in the public safety environment, including P25 and LMR encryption, ISSI Fact Sheet, P25 ISSI and CSSI Primer, Best Practices for Planning and Implementation of P25 ISSI and CSSI, Volume I.
FY 2020 SAFECOM Guidance on Emergency Communications Grants B-12
Public
Safety
Broadband
Applicants interested in investing federal funds in broadband-related infrastructure projects should consult the federal granting agency to understand all requirements and restrictions impacting broadband investments
Grant recipients should consult with any applicable governing bodies and the FirstNet Authority to ensure the project does not conflict with network deployment efforts Recipients may be able to use grant funds for the implementation of alternative broadband technologies and the deployment of fiber optic backhaul networks in rural and unserved areas Applicants investing in broadband technologies should be aware that the Federal Government is building, operating, and maintaining a Nationwide Public Safety Broadband Network (NPSBN). The First Responder Network Authority’s (FirstNet Authority) mission is to ensure the building, deployment, and ongoing operation of the NPSBN to provide LTE-based broadband services and applications to public safety entities.
The network is a single, nationwide network architecture consisting of a secure, redundant evolved packet core network (EPC), transport backhaul, and radio access networks (RANs) in the fifty states, five territories, and the District of Columbia.
Applicants should coordinate with the FirstNet Authority in advance of any strategic acquisition of LTE equipment to ensure understanding of all requirements and restrictions impacting broadband investments and that purchases support future service choices. Applicants should also monitor federal actions affecting broadband investments and continue planning and outreach activities (e.g., community education, documenting user needs), as well as work with applicable governing bodies in preparing for and leveraging broadband and other advanced technologies, including:
• Leveraging broadband devices including smartphones, feature phones, tablets, wearables, laptops, ruggedized smartphones, ruggedized tablets, USB modems/dongles, in-vehicle routers, and Internet of Things devices;
• Employing customer-owned and managed broadband deployable equipment, enabling public safety to own and dispatch coverage expansion or capacity enhancement equipment within their jurisdiction;
• Using broadband device accessories that enable efficient and safe public safety operations such as headsets, belt clips, ear pieces, remote Bluetooth sensors, and ruggedized cases; • Installing standards-based equipment to provide interworking between LTE and existing LMR systems within their jurisdiction when needed;
• Installing FirstNet SIM/UICC cards to allow public safety users to update existing devices, “Bring Your Own Device,” and new devices to operate on public safety prioritized services; and • Securing one-time purchase and subscription-based applications for public safety use, which could include, among several other options, enterprise mobility management, mobile Virtual Private Network, identity services, or cloud service tools.
Non-LTE wireless broadband technologies, such as Wi-Fi, WiMAX, and mesh networks, are sometimes used to supplement public safety communications. These solutions, which are either agency-owned or provided by a commercial provider, allow agencies to access voice, data, and video applications. Grant recipients should consider the overall impact of using other wireless broadband technologies given ongoing advancements in FirstNet’s deployment and unique interoperability challenges introduced by each of the various technologies.
Upon taking into account these cautions, applicants may be able to use federal grant funds for costs related to the implementation of alternative broadband technologies and the deployment of fiber optic backhaul networks in rural and unserved areas. Applicants should work closely with the federal granting agency and commercial suppliers and providers to ensure that grant-funded systems and equipment will be compatible FY 2020 SAFECOM Guidance on Emergency Communications Grants B-13
and interoperable with current and future solutions. Applicants are encouraged to implement innovative solutions that improve communications capabilities and are consistent with the deployment of the NPSBN.
Table B-6. Broadband Technology Standards and Resources Organizations Standards and Resources
FirstNet The Middle Class Tax Relief and Job Creation Act of 2012 created the FirstNet Authority as Authority an independent authority within the National Telecommunications and Information Administration to provide emergency responders with the first nationwide, high-speed, broadband network dedicated to public safety: https://www.firstnet.gov. 3GPP 3GPP is the SDO responsible for development and maintenance of LTE specifications, though various standards from TIA, ATIS, the Groupe Speciale Mobile Association (GSMA), and the Open Mobil Alliance (OMA) also contribute to LTE functionality and interoperability.
IEEE The 802.11a, 802.11b/g/n, and 802.11ac wireless standards are collectively known as Wi-Fi technologies and developed and maintained by IEEE. The Official IEEE 802.11 Working Group Project Timelines provides status of each networking standard under development, and a link to each effort. IEEE also maintains the WiMAX family of 802.16 standards.
Open OGC is an international non-profit organization committed to making quality open standards Geospatial for the global geospatial community. These standards are made through a consensus Consortium process and are freely available for anyone to use to improve sharing of the world's (OGC) geospatial data.
FY 2020 SAFECOM Guidance on Emergency Communications Grants B-14
Grant recipients using funds to cover costs associated with AWN systems should:
• Establish strong governance and engage in collaboration with existing AWN stakeholders
Alerts,
Warnings,
and
Notifications
•
•
•
•
•
Ensure well-documented and field-tested plans, policies, and procedures, are executed, evaluated for potential gaps, and adapted to evolving AWN capabilities Invest in secure and resilient AWN solutions, and incorporate safeguards to ensure the accuracy of messaging
Consider diversity and inclusion influence accessibility to AWN issuances, as well as how people receive, interpret, and respond to messages
Invest in solutions that enable comprehensive, targeted, specific, and transparent messaging, while minimizing issuance and dissemination delays Select software or equipment that also supports regional operable and interoperable solutions
If accessing IPAWS, grant recipients should select equipment and applications that adhere to both Common Alerting Protocol and IPAWS CAP Profile standards, as well as meet the IPAWS minimum critical capabilities
During an emergency, alerts, warnings, and notifications (AWNs) enable public safety officials to provide the public with information quickly. The Federal Emergency Management Agency (FEMA) Integrated Public Alert and Warning System (IPAWS) is an Internet-based capability that federal, state, local, tribal, and territorial authorities can use to issue critical public alerts and warnings. IPAWS is accessed through compatible alert origination software that meets IPAWS CAP Profile system requirements. There is no cost to send messages through IPAWS, although there may be costs associated with acquiring compatible alert origination software. IPAWS is not mandatory and does not replace existing methods of alerting, but instead complements existing systems and offers unique added capabilities.
FEMA built IPAWS to ensure that under all conditions the President of the United States can alert and warn the public. Federal, state, local, tribal, and territorial authorities can also use IPAWS to send alerts and warnings within their jurisdictions. IPAWS improves alert and warning capabilities by allowing Alerting Authorities to deliver alerts simultaneously through multiple communications pathways, reaching as many people as possible to save lives and protect property. These communication pathways include:
• Emergency Alert System (EAS) used by authorities to send detailed warnings via broadcast, cable, satellite, and wireline radio and television channels; • Wireless Emergency Alerts (WEA) sent to mobile devices as a 90- to 360-character message with a unique tone and vibration, even when cellular networks are overloaded and can no longer support person-to-person calls, texts, or emails;
• National Weather Service Dissemination Systems, including the National Oceanic and Atmospheric Administration (NOAA) Weather Radio;
• Unique Alert Systems, such as siren systems and wall beacons, that have permission to retrieve alerts directly from IPAWS and deliver the alerts to their customer base; and • Future Systems, including computer gaming systems, digital signs, Internet search engines, social sharing websites, wireless device applications, smart home technologies, and others that are or could use IPAWS.
In order to access IPAWS, grant recipients should select equipment and applications that adhere to both the Common Alerting Protocol (CAP) and IPAWS CAP Profile standards, as well as meet the IPAWS minimum critical capabilities. Alert and warning software and equipment is developed, produced, and distributed by various vendors. While the Federal Government does not endorse any specific vendor, piece of software, or equipment, grant recipients should confirm vendors meet CAP and IPAWS CAP Profile standards, provide training and support services, include basic security measures (e.g., firewalls, anti-virus tools, anti-spyware tools), implement strong access controls requiring authentication of users, and connect to the IPAWS Training and Demonstration environment. A key consideration is access to the FY 2020 SAFECOM Guidance on Emergency Communications Grants B-15
service through jammed or damaged communications channels during a real emergency. Recipients should also consider factors affecting continuity of operations, such as support of remote employees, mobile alerting capabilities, and contingent operations in disruptive circumstances.
To maintain AWN issuance proficiencies, agencies sending alerts should conduct trainings, exercises, and tests of systems on a regular basis. Lessons observed from these activities and incidents should be evaluated, documented, and incorporated into future operations. Alert originators should also work to minimize issuance delays, from the point of a hazard’s detection to dissemination, by creating message templates, expediting information sharing, identifying and establishing triggers, and avoiding ad-hoc decision making.
For continued access to IPAWS, and to increase user proficiency and reduce alerting errors, the IPAWS Program Management Office requires authorized Alerting Authorities to demonstrate their ability to compose and send a message through the IPAWS-OPEN system at regular intervals. Such demonstration must be performed monthly through generation of a successful message sent through the IPAWS-OPEN Training and Demonstration environment (IPAWS LAB Cloud).
Agencies are encouraged to coordinate with regional partners and submit applications that promote regional (e.g., multi-jurisdictional, cross-state, cross-border) collaboration and cost-effective measures. AWN grant funds should focus on eligible public alert and warning activities to include, but not limited to the purchase, training, exercising, replacement, and maintenance (e.g., annual license, subscription fees, upgrades) of alert and warning systems, software, and equipment.
Table B-7. AWN Standards and Resources
Organizations Standards and Resources
Common Alerting
Protocol (CAP)
The CAP standard is an open, non-proprietary digital format for exchanging emergency alerts that was developed by Organization for the Advancement of Structured Information Standards (OASIS). CAP allows a consistent alert message to be disseminated simultaneously over many different dissemination mechanisms. The CAP format is compatible with emerging technologies, such as web services, as well as existing formats including the Specific Area Message Encoding (SAME) used for the United States’ NOAA Weather Radio and the EAS, while offering enhanced capabilities including images, maps, and video.
OASIS FEMA worked with OASIS to develop a standardized international technical data profile that defines a specific way of using the standard for the purposes of IPAWS.
The CAP standard and supplemental IPAWS CAP Profile ensure compatibility with existing warning systems. Latest CAP: https://www.oasisopen.org/committees/tc_home.php?wg_abbrev=emergency#tc-tools.
FEMA Integrated
Public Alert and
Warning System
(IPAWS)
The IPAWS Program Management Office (PMO) does not endorse any specific vendor, piece of software, or equipment. Test results for any alert and warning software or equipment tested at the IPAWS Lab can be made available to assist agencies in making procurement decisions by contacting the IPAWS PMO at [email protected].
Public Safety
Communications
Ten Keys to
Improving
Emergency
Alerts, Warnings &
Notifications
This document provides organizations a series of governance, coordination, planning, cybersecurity, and resiliency best practices to help ensure the successful implementation of their emergency AWN systems and programs. Government and non-government emergency managers, alert originators, system administrators, system operators, and managers can leverage this foundational guidance to deliver timely and actionable messaging during the critical moments of an incident when coordinated communications—down to the second—can save lives.
FY 2020 SAFECOM Guidance on Emergency Communications Grants B-16
Grant recipients using funds to cover costs associated with 911, Enhanced 911 (E911), or Next Generation 911 (NG911) should rely on guidance from the National 911 Program:
911 Systems • Read the NG911 Standards Identification and Review and select a Standard Development Organization’s standards
• Consult with the National 911 Program Office regarding any updated standards • Select IP-enabled 911 open standards equipment and software The National 911 Program, administrated by the Department of Transportation National Highway Traffic Safety Administration (NHTSA), provides federal leadership and coordination in supporting and promoting optimal 911 services. This federal home for 911 plays a critical role by coordinating federal efforts that support 911 services across the Nation. The Implementation Coordination Office, jointly operated by the NHTSA and NTIA, administers a grant program, specifically for the benefit of 911 emergency communication centers (ECCs)/public safety answering points (PSAPs).
NG911 will seamlessly connect ECCs/PSAPs and allow for the transmission and reception of multimedia type data (e.g., text messages, pictures, and video). As NG911 standards continue to evolve, applicants should consult the NG911 Standards Identification and Review to ensure that solutions developed or procured meet industry guidelines and standards. Applicants should consider the following when planning and implementing NG911:
• Strive for IP-enabled NG911 open standards and understand future technology trends to encourage system interoperability and emergency data sharing • Establish collaborative relationships and policy mechanisms that facilitate the ongoing coordination required to plan, deploy, operate, and maintain NG911 systems • Determine the responsible entity(ies) and mechanisms for geospatial data acquisition, reconciliation, and synchronization that are required for NG911 • Establish system access, security controls, and comprehensive cybersecurity plans to protect and manage access to NG911
• Ensure formalized governance models are in place to aid in the transition from legacy 911 to NG911 • Develop and implement sustainable funding models that support the planning, design, deployment, and ongoing operation of NG911
• Develop contract language that ensures the accountability of contractors in building, testing, deploying, operating, and maintaining interoperable and secure NG911 systems FY 2020 SAFECOM Guidance on Emergency Communications Grants B-17
Table B-8. NG911 Standards and Resources
Organizations Standards and Resources
National 911
Program Office
The National 911 Program also provides the 911 community with a collection of documents, website links and other resources generated by both the program and other industry experts. These vetted resources address topics including emerging emergency communications technologies, wireless deployment, E911 location accuracy, cybersecurity, FirstNet, NG911, governance and 911 legislation, and are located in the Document and Tools section of the National 911 Program’s website.
NG911 Maturity State
Self-Assessment
Tool
This Self-Assessment Tool helps ECC/PSAP administrators and oversight personnel evaluate a system’s NG911 maturity state and understand the next steps necessary to continue deployment. It contains a detailed, easy-to-use NG911 readiness checklist that establishes common terminology and identifies key milestones to help 911 call centers understand the multi-year NG911 implementation process. The tool is a downloadable Microsoft Excel file, which ensures that collected results are only shared with the agency completing the assessment. The tool translates the answers from ECC/PSAP personnel into one of six maturity states: Legacy, Foundational, Translational, Intermediate, Jurisdictional End State, or National End State. Adopting and sharing the tool’s terminology allows for improved communication—with vendors, industry colleagues, elected officials, and others—at the user’s discretion. 911 Grant Program The Middle Class Tax Relief and Job Creation Act of 2012 authorized $115 million for a targeted 911 Grant Program administered by the Departments of Transportation and Commerce. Visit https://www.911.gov/project_911grantprogram.html for information.
Other federal programs fund 911; for a list of federal grant and loan programs that may allow 911 activities, visit: https://www.911.gov/federal_grants_opportunities.html.
National Emergency
Number Association
(NENA) Security for
NG911 Standard
Standards of note for NG911 networks include NENA-STA-010: Detailed Functional and Interface Specification for the NENA i3 Solution; NENA 75-001: NENA Security for NG911 Standard (NG-SEC); NENA 75-502: NG-SEC Audit Checklist; NENA 04- 503: Network/System Access Security Information Document, and NENA-INF-015.1- 2016: NG911 Security Information Document. http://www.nena.org/.
NG911 Standards
Identification and
Review
Collection of resources from all major standards bodies that address cybersecurity when planning for NG911 deployments:
https://www.911.gov/project_standardsforenhancedandnextgeneration911.html.
FY 2020 SAFECOM Guidance on Emergency Communications Grants B-18
Agencies should perform an evaluation of who the organization most often Data Exchange
and
communicates with, and what types of information are commonly exchanged Grant recipients using federal funds for data exchange solutions should ensure the solutions comply with OASIS EDXL suite of data messaging standards and NIEM Information framework
Sharing
Environments
For any grant funding software-based patient tracking products, the product is strongly encouraged to comply with OASIS EDXL-TEP, Bi-directional Transformation of OASIS EDXL-TEP (Tracking of Emergency Patients) v1.1, and HL7 v2.7.1 Specification Version
Data exchange and information sharing solutions are as fundamental as a digital data “snapshot” transferred over electronic media, or as tailored as custom-interface applications that allow proprietary applications to be linked. Challenges for effective information exchange include increasing types of data being exchanged, such as geographic information systems, evacuee or patient tracking, biometrics, accident and crash telematics, Computer-Aided Dispatch, Automatic Vehicle Location, and more. To communicate seamlessly with the increasingly interconnected systems of the broader community, agencies should consider standards-based information exchange models.
The National Information Exchange Model (NIEM) is a framework for exchanging information that provides common terminology for users and a repeatable, reusable process for developing information exchange requirements. NIEM was established by the Departments of Justice and Homeland Security in 2005 to unite stakeholders from federal, state, local, tribal, and territorial governments and the private sector, to develop and deploy a national model for information sharing and the organizational structure to govern it. Today, all 50 states and many federal agencies are using or considering NIEM, including adoption by the Departments of Agriculture, Defense, Health and Human Services, and Transportation.
NIEM allows disparate systems to share, exchange, accept, and translate information in an efficient manner that all users can understand.
In addition to the NIEM framework, agencies should reference the Global Reference Architecture (GRA) and the OASIS Emergency Data eXchange Language (EDXL) suite of data messaging standards.
Applicable standards include the CAP; distribution element; hospital availability exchange; resources messaging; reference information model; situation reporting; and tracking emergency patients. • Global Reference Architecture provides guidance for agencies to develop and establish a serviceoriented architecture for public safety information sharing. The GRA incorporates and reuses appropriate subsets of the NIEM, as well as other models such as the Global Federated Identity and Privilege Management (GFIPM) sponsored by the Departments of Justice and Homeland Security. The GRA provides practitioners with overarching guidance that demonstrates how federal initiatives, including NIEM and GFIPM, work together and how to accelerate the planning process. Agencies can use this GRA tool to develop a well-conceived, formal approach to designing information sharing solutions and systems. A key benefit of a reference architecture is it helps promote consistent thinking and approaches among the people who use it, even if they have not shared information with each other.
• OASIS EDXL suite of data messaging standards facilitates information sharing among public safety agencies. Grant-funded systems, developmental activities, or services related to emergency response information sharing should comply with the following OASIS and HL-7 standards:
"OASIS EDXL-TEP" and Bi-directional Transformation of OASIS EDXL-TEP (Tracking of Emergency Patients) v1.1 and HL7 v2.7.1 Specification Version and OASIS EDXL suite of data messaging standards. Compliance should include the following OASIS EDXL standards:
o Common Alerting Protocol, version 1.2 or latest version o Distribution Element (DE), version 1.0 or latest version
FY 2020 SAFECOM Guidance on Emergency Communications Grants o Hospital AVailability Exchange (HAVE), version 1.0 or latest version o Resource Messaging (RM) standards, version 1.0 or latest version In efforts to develop an Information Sharing Framework (ISF) to support public safety telecommunications, the SAFECOM and National Council of Statewide Interoperability Coordinators (NCSWIC) established the Information Sharing Framework Task Force comprised of information technology and communications subject matter experts from public safety agencies across the country. This task force is developing an ISF to ensure effectiveness of new products and technologies as agencies transition to mobile and fully interconnected environments.
To begin using the functional components of the ISF integration layer, public safety agencies should ask the following high-level operational questions:
• What is the content?
• What is the data source?
• Who owns the data?
• Who needs it?
• Over what path?
• Over what application?
A few of the widely used exchange models are provided as part of this appendix; however, an evaluation of who the organization most often communicates with, and what types of information are commonly exchanged, is recommended in selecting an ideal data exchange and information sharing solution. In the future, this evaluation will be assisted by the SAFECOM/NCSWIC ISF document, anticipated for publication in 2020. Additional ISF information will be incorporated in the FY 2021 SAFECOM Guidance on Emergency Communications Grants.
Table B-9. Data Exchange Standards and Resources
Organizations Standards and Resources
NIEM Applicants are encouraged to reference the NIEM website to develop a greater understanding of data exchange functions and processes.
GRA Many Department of Justice grant solicitations require its grant recipients to comply with the GRA, specifically the Global Standards Package, which describes a full information sharing technology standards implementation suite that addresses data standardization, messaging architecture, security, and privacy requirements. For additional information, including technical assistance and training opportunities, visit the Office of Justice Programs website at: https://it.ojp.gov/initiatives/gra.
OASIS OASIS Emergency Management Technical Committee (EM-TC) creates incident- and emergency-related standards for data interoperability: Common Alerting Protocol; Emergency Data Exchange Language Distribution Element (EDXL-DE); Emergency Data Exchange Language Resource Messaging (EDXL-RM); Emergency Data Exchange Language – Tracking of Emergency Clients (EDXL-TEC). https://www.oasis-open.org/.
Information Sharing The Information Sharing Assessment Tool, developed by DHS with the guidance of Assessment Tool local, state, and federal public safety practitioners, is a tool for public safety officials and first responders to identify their own information sharing capabilities and gaps. It aims to empower communities to develop an action plan to address their most pressing information-sharing gaps; publicize their progress and achievements; and facilitate inter-agency and cross-discipline information sharing.
B-19
FY 2020 SAFECOM Guidance on Emergency Communications Grants C-1
Appendix C – Emergency Communications Resources
This appendix provides links to references in the SAFECOM Guidance and additional resources to help grant applicants develop emergency communications projects and complete federal grant applications. Visit the SAFECOM website (https://www.dhs.gov/safecom) for additional resources. 911 / Next Generation 911 (NG911)
• National 911 Program Website: https://www.911.gov/
o 911 Grant Program: https://www.911.gov/project_911grantprogram.html o NG911 Standards Identification and Review: https://www.911.gov/documents_tools.html o NG911 Self-Assessment Tool: https://www.911.gov/project_ng911tool.html o Webinars: https://www.911.gov/webinars.html
o Federal Funding Programs for 911: https://www.911.gov/federal_grants_opportunities.html • National Association of State 911 Administrators: http://www.nasna911.org and http://www.nasna911.org/state-911-contacts
• National Emergency Number Association: https://www.nena.org • NG911 NOW Coalition: http://www.ng911now.org/
Cybersecurity
• See Appendix B in the SAFECOM Guidance
• NIST Framework for Improving Critical Infrastructure Cybersecurity: https://www.nist.gov/cyberframework • CISA Cyber Resilience Review: https://www.us-cert.gov/ccubedvp/cybersecurity-framework Department of Justice (DOJ) Law Enforcement
• Law Enforcement Tech Guide for Communications Interoperability: http://ric-zaiinc.com/ric.php?page=detail&id=COPS-W0714 • Law Enforcement Tech Guide Resources for Technology Project Management: http://ric-zaiinc.com/ric.php?page=detail&id=COPS-CD040 Cybersecurity and Infrastructure Security Agency (CISA) • CISA Website: https://www.cisa.gov/
• Contact Information: [email protected]
• Identity, Credential, and Access Management Resources and Trustmark Framework:
https://www.dhs.gov/safecom/icam-resources
• National Emergency Communications Plan: https://www.cisa.gov/necp • National Interoperability Field Operations Guide: https://www.dhs.gov/safecom/field-operations-guides • Priority Services Programs:
o Government Emergency Telecommunications Service: https://www.cisa.gov/government-emergencytelecommunications-service-gets o Wireless Priority Service: https://www.cisa.gov/wireless-priority-service-wps o Telecommunications Service Priority: https://www.cisa.gov/telecommunications-service-priority-tsp • Technical Assistance and Training Catalogs: https://www.cisa.gov/cisa/interoperable-communicationstechnical-assistance-program, https://www.dhs.gov/safecom/public-safety-software-tools, and https://www.dhs.gov/training-technical-assistance
Federal Communications Commission (FCC)
• FCC Public Safety and Homeland Security Bureau: https://www.fcc.gov/public-safety-and-homeland-security • Contact Information: [email protected]
• FCC Fee Filing Guide for the Wireless Telecommunications Bureau: https://www.fcc.gov/licensingdatabases/fees/application-processing-fees FY 2020 SAFECOM Guidance on Emergency Communications Grants C-2
• FCC Narrowbanding Website: https://www.fcc.gov/narrowbanding-overview • Communications Security Reliability and Interoperability Council:
https://www.fcc.gov/encyclopedia/communications-security-reliability-and-interoperability-council-v • Task Force on Optimal Public Safety Answering Point Architecture: https://www.fcc.gov/encyclopedia/taskforce-optimal-public-safety-answering-point-architecture-tfopa • FCC 700 MHz Public Safety Broadband Spectrum Guidance:
https://apps.fcc.gov/edocs_public/attachmatch/FCC-14-172A1.pdf • FCC 800 MHz Transition: http://transition.fcc.gov/pshs/public-safety-spectrum/800-MHz/ o 800 MHz Transition Administrator Website: http://www.800ta.org/ o 800 MHz Transition Administrator Contact: [email protected] • Middle Class Tax Relief and Job Creation Act of 2012 states T-Band relocation must take place no later than two years after the auction is complete. The Act requires that the auction begin by 2021; however, the deadline for relocation depends on how long the auction takes. For more information, see:
http://www.gpo.gov/fdsys/pkg/BILLS-112hr3630enr/pdf/BILLS-112hr3630enr.pdf • Narrowbanding and T-Band Guidance
o SAFECOM Guidance, Section 3.3
o FCC Public Safety T-Band Fact Sheet: https://www.fcc.gov/file/14462/download o Guidance for licensees for FCC’s narrowband operation requirement:
https://www.fcc.gov/narrowbanding-overview
o Information on Frequency Coordinators:
o Contact Information: [email protected]
Federal Emergency Management Agency (FEMA)
• FEMA Grants Website: https://www.fema.gov/grants
o Authorized Equipment List: http://www.fema.gov/authorized-equipment-list o Information Bulletins: https://www.fema.gov/grants/grant-programs-directorate-information-bulletins o Preparedness Grants Manual: https://www.fema.gov/media-library/assets/documents/178291 • Comprehensive Preparedness Guide 201: https://www.fema.gov/media-library/assets/documents/165308 • Environmental Planning and Historical Preservation (EHP): SAFECOM Guidance, Section 4.5 - Additional Requirements and Recommendations for Equipment Purchases o For questions on EHP for DHS/FEMA grants, contact: [email protected] o For information on federal EHP requirements, see the Council on Environmental Quality Regulations, 40 CFR Part 1500-1508: https://energy.gov/sites/prod/files/NEPA-40CFR1500_1508.pdf • Integrated Public Alert and Warning System (IPAWS) Program Office: https://www.fema.gov/integratedpublic-alert-warning-system o Alerting Authorities and State, Local, Tribal, and Territorial Users: https://www.fema.gov/integrated-publicalert-warning-system-authorities o Common Alerting Protocol: https://www.fema.gov/common-alerting-protocol o Information Materials: https://www.fema.gov/informational-materials o IPAWS Components: https://www.fema.gov/ipaws-components o IPAWS Modernization Act of 2015: https://www.congress.gov/bill/114th-congress/senate-bill/1180 • Presidential Policy Directive–8: https://www.dhs.gov/presidential-policy-directive-8-national-preparedness and https://www.fema.gov/learn-about-presidential-policy-directive-8 • National Incident Management System (NIMS): https://www.fema.gov/national-incident-management-system o NIMS National Standard Curriculum Training Development Guidance: https://www.fema.gov/nims-training o Communications-Specific Tabletop Exercise Methodology: https://www.dhs.gov/safecom/resources-library • National Preparedness Goal: https://www.fema.gov/national-preparedness-goal • National Preparedness System: https://www.fema.gov/national-preparedness-system • Stakeholder Preparedness Review: https://www.fema.gov/stakeholder-preparedness-review • State Administrative Agency Contact List: https://www.fema.gov/media-library/assets/documents/28689 FY 2020 SAFECOM Guidance on Emergency Communications Grants C-3
• State Homeland Security Director Office Information: https://www.dhs.gov/state-homeland-security-contacts • Threat and Hazard Identification and Risk Assessment: https://www.fema.gov/threat-and-hazardidentification-and-risk-assessment • Training: https://www.fema.gov/training and https://www.firstrespondertraining.gov o Homeland Security Exercise and Evaluation Program: https://www.fema.gov/medialibrary/assets/documents/32326 o Incident Command System Resource Center: http://training.fema.gov/EMIWeb/IS/ICSResource/index.htm Federal Grants Information and Listings
• Office of Management and Budget Circulars, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards: https://www.govinfo.gov/app/details/CFR-2014-title2-vol1/CFR2014-title2-vol1-part200 • Grants.gov Website: https://www.grants.gov
• FEMA Grants: https://www.fema.gov/grants
• SAFECOM compiled list of annual federal financial assistance funding emergency communications:
https://www.dhs.gov/safecom/funding
First Responder Network Authority (FirstNet Authority) / Nationwide Public Safety Broadband Network • FirstNet Authority Website: https://www.firstnet.gov/ • FirstNet Authority Contact Information: [email protected] • NTIA Public Safety Website: http://www.ntia.doc.gov/category/public-safety • Middle Class Tax Relief and Job Creation Act: http://www.gpo.gov/fdsys/pkg/PLAW-112publ96/pdf/PLAW112publ96.pdf National Public Safety Telecommunications Council (NPSTC): http://www.npstc.org/ • Overview of T-Band issues: http://www.npstc.org/TBand.jsp SAFECOM / National Council of Statewide Interoperability Coordinators (NCSWIC) • Emergency Communications System Lifecycle Planning Guide: https://www.dhs.gov/safecom/funding • Governance Guide for State, Local, Tribal, and Territorial Emergency Communications Officials:
https://www.dhs.gov/safecom/governance
• Interoperability Planning for Wireless Broadband: https://www.dhs.gov/safecom/resources-library • Land Mobile Radio (LMR) Trio – LMR 101, LMR for Decision Makers, and LMR for Project Managers:
https://www.dhs.gov/safecom/funding
• NG911 Self-Assessment Tool: https://www.911.gov/project_ng911tool.html • Public Safety Communications Evolution Brochure: https://www.dhs.gov/safecom/resources-library • Public Safety Communications: Ten Keys to Improving Emergency Alerts, Warnings & Notifications:
https://www.dhs.gov/publication/alerts-and-warnings
• Public Safety Communications Resiliency: Ten Keys to Obtaining a Resilient Local Access Network:
https://www.dhs.gov/publication/communications-resiliency • Public Safety Communications Network Resiliency Self-Assessment Guidebook:
https://www.dhs.gov/publication/communications-resiliency • Regional Interoperability Communications Plan Template: https://www.dhs.gov/safecom/resources-library • SAFECOM Member List: https://www.dhs.gov/safecom/membership • Statewide Interoperability Coordinator (SWIC): See SAFECOM Guidance, Sections 3.2 and 4.2 • Statewide Communication Interoperability Plan (SCIP): See SAFECOM Guidance, Sections 2.2 and 4.2 o CISA SCIP Website: https://www.cisa.gov/statewide-communication-interoperability-plans o To find your SCIP, please contact your SWIC or SCIP Point of Contact. Contact information for SWICs can be found on the NCSWIC membership page: https://www.dhs.gov/safecom/ncswic-membership FY 2020 SAFECOM Guidance on Emergency Communications Grants C-4
Standards
• SAFECOM Guidance on Technology and Equipment Standards: SAFECOM Guidance, Section 4.5 and Appendix B
• Association of Public-Safety Communications Officials standards: https://www.apcointl.org/standards.html • Data Exchange and Information Sharing Environment: See Appendix B in the SAFECOM Guidance o National Information Exchange Model: https://www.niem.gov/Pages/default.aspx o OASIS, Standards for Data-Related Investments: http://www.oasis-open.org o Information Sharing Assessment Tool: https://www.dhs.gov/science-and-technology/isat • Long-term evolution (LTE) for Public Safety Broadband: See Appendix B in the SAFECOM Guidance o 3GPP RAN5 Mobile Terminal Conformance Testing: http://www.3gpp.org/specifications-groups/ranplenary/ran5-mobile-terminal-conformance-testing • NIST List of Certified Devices: https://www.nist.gov/ctl/pscr/process-document-nist-list-certified-devices • Project 25 (P25) Standards for Land Mobile Radio: http://www.tiaonline.org/all-standards/committees/tr-8 o P25 Standards for Government Entities: http://www.tiaonline.org/all-standards/p25-downloads-application o P25 Technology Interest Group: http://www.project25.org/ o P25 Compliance Assessment Program: https://www.dhs.gov/science-and-technology/p25-cap o P25 Compliance Assessment Program list of approved radio equipment: https://www.dhs.gov/scienceand-technology/approved-grant-eligible-equipment FY 2020 SAFECOM Guidance on Emergency Communications Grants D-1
Appendix D – Compliance Requirements for DHS Grants
This appendix provides guidance for Department of Homeland Security (DHS) and Federal Emergency Management Agency (FEMA) preparedness grants. Recipients using DHS/FEMA funds for emergency communications activities must comply with the SAFECOM Guidance on Emergency Communications Grants (SAFECOM Guidance) in accordance with DHS Standard Terms and Conditions. Table D-1 provides a list of requirements for DHS/FEMA grants. For additional information, see relevant sections within the SAFECOM Guidance. DHS/FEMA recipients should also refer to the specific Notice of Funding Opportunity for all programmatic requirements that apply (https://www.fema.gov/grants).
Table D-1. SAFECOM Guidance Compliance Instructions for DHS Recipients Topics Requirements
National and
Statewide Plan
Alignment
Sections 2.2, 2.5,
3.1 •
•
•
Describe in applications how proposed projects will support national goals and objectives in the National Emergency Communications Plan (NECP).
Describe in applications how proposed projects will align with your state or territory’s Statewide Communication Interoperability Plan (SCIP) goals and objectives. To find your SCIP, contact your Statewide Interoperability Coordinator (SWIC) or SCIP Point of Contact. Contact information for SWICs can be found on the NCSWIC membership page:
https://www.dhs.gov/safecom/ncswic-membership.
Explain how proposed projects address or support communications resiliency.
Project
Coordination
Sections 2.1, 2.2,
2.4, 3.2, 3.3
•
•
•
•
List all participants involved in project planning to demonstrate engagement with the whole community in accordance with Presidential Policy Directive-8 and the NECP.
Develop regional, multi-jurisdictional, multi-disciplinary, and cross-border projects to promote greater interoperability across agencies, pool grant resources, facilitate assetsharing, and eliminate duplicate purchases.
Designate a full-time SWIC who has the authority and resources to actively improve interoperability with emergency management and response agencies across all levels of government, to include establishing statewide plans, policies, and procedures, and coordinating decisions on communications investments funded through federal grants.
Coordinate proposals with statewide emergency communications governance bodies and leaders (e.g., State Interoperability Executive Committee, SWIC, 911 Administrator).
National
Incident
Management
System (NIMS)
Sections 3.4, 4.3,
4.4 •
•
NIMS Implementation Objectives clarify the specific NIMS implementation criteria to be eligible for FEMA preparedness grants (see: https://www.fema.gov/implementationguidance-and-reporting). Some grants may have additional NIMS training or personnel credentialing criteria (see the applicable Notice of Funding Opportunity for details).
States, territories, and tribal grant recipients report NIMS implementation annually in the Stakeholder Preparedness Review (SPR). States/territories and tribal grant recipients must submit their annual SPR through the Unified Reporting Tool (URT) and email a copy of the URT submission to their respective DHS/FEMA Regional Federal Preparedness Coordinator and copy [email protected]. SPR submissions are due no later than December 31st each year.
Spectrum
Licensing
Section 3.3
• If project requires new spectrum license, consult the appropriate statewide coordinator (e.g., SWIC), the Federal Communications Commission, and/or the FirstNet Authority to ensure the recipient will have authority to operate in the desired spectrum. Spectrum consultation should begin prior to application submission or during early phases of an approved project. A spectrum license must be in place before associated equipment can be purchased.
FY 2020 SAFECOM Guidance on Emergency Communications Grants Topics Requirements
Planning and • Update and submit the SPR and Threat and Hazard Identification and Risk Assessment Organization (THIRA). The Comprehensive Preparedness Guide 201 provides a three-step process for Sections 2.2, 3.4, conducting a THIRA/SPR. Follow THIRA/SPR submission instructions in program
4.2 •
guidance.
Complete and submit the Nationwide Cybersecurity Review to benchmark and measure progress towards improving cybersecurity posture.
Training
Sections 2.3, 4.3 • Describe in applications how training projects support the NIMS Training Program, are consistent with NECP priorities, and address gaps identified through your state or territory’s SCIP, After-Action Reports, and other assessments.
Exercises • Include participants from multiple jurisdictions, disciplines, and levels of government and Section 2.3, 4.4
•
private sector entities, as appropriate. For additional FEMA exercise guidance, see https://www.fema.gov/exercise.
Manage and execute exercises in accordance with the Homeland Security Exercise and Evaluation Program.
Land Mobile • LMR systems are designed to meet public safety’s unique mission critical requirements Radio (LMR) and support time-sensitive, lifesaving tasks, including rapid voice call-setup, group calling Equipment capabilities, high-quality audio, and guaranteed priority access to the end-user. For the Sections 2.5, 4.5, foreseeable future, the public safety community is expected to follow a multi-path 5, Appendix B
•
approach to network infrastructure use and development of advanced technologies.
Recipients should sustain current LMR capabilities during deployment of advanced technologies in accordance with the NECP.
Select Project 25 (P25) standards-based equipment for LMR mission critical voice communications. See the DHS Authorized Equipment List to determine allowable equipment types for DHS/FEMA programs, and the P25 Compliance Assessment Program Approved Equipment List. If proposal includes any non-P25 LMR equipment, recipients must apply for prior approval.
Next Generation • NG911 is an Internet Protocol (IP)-based system that allows digital information (e.g., 911 (NG911) voice, photos, videos, text messages) to flow seamlessly from the public through the 911 Systems network and on to emergency responders. If proposal includes NG911 systems, review Sections 2.5, 4.5, the NG911 Standards Identification and Review and select IP-enabled 911 open 5, Appendix B standards equipment and software. For additional information, consult the National 911 Program Office at https://www.911.gov/.
Public Safety • Consult with applicable governing bodies and leaders for the latest guidance from the Broadband FirstNet Authority, planning for public safety broadband network activities, and identifying Sections 2.5, 4.5, the authority to operate on public safety spectrum. For additional information, refer to 5, Appendix B https://www.firstnet.gov/.
Alerts,
Warnings, and
Notifications
Sections 2.5, 4.5,
5, Appendix B
• The Integrated Public Alert and Warning System (IPAWS) is a modernization and integration of the Nation’s alert and warning infrastructure. Federal, state, local, tribal, and territorial alerting authorities can use IPAWS and integrate local systems that use Common Alerting Protocol standards with the IPAWS infrastructure. IPAWS provides public safety officials with an effective way to alert and warn the public about serious emergencies using the Emergency Alert System, Wireless Emergency Alerts, the National Oceanic and Atmospheric Administration Weather Radio, and other public alerting systems from a single interface. If proposal includes alerts and warnings, review IPAWS informational materials and Common Alerting Protocol standard at https://www.fema.gov/informational-materials.
D-2
CALIFORNIA GOVERNOR’S OFFICE OF EMERGENCY SERVICES
FY 2020 State Homeland Security Grant Program
Grant Number #2020-0095 CalOES ID# 107-00000
Subgrantee name: ____________________________________ Project: _________________
REQUEST FOR SOLE SOURCE PROCUREMENT AUTHORIZATION
1. Project name: _________________________ Project Budget: $__________________
2. Describe the project and/or activity that will be provided by the proposed sole source vendor/contractor.
3. Describe your organization’s standard procedures when sole source contracting is considered, including the conditions under which a sole source contract is allowed, and any other applicable criteria (i.e. approval requirements, monetary thresholds, etc.).
4. Indicate which of the following circumstances resulted in your organization’s need to enter into a sole source contract.
a. Item/service is only available from one source (Describe the process used to make that determination. Please provide details.)
b. A public urgency or emergency will not permit a delay resulting from competitive solicitation. According to the US Department of Homeland Security/FEMA, “Time constraints will not be considered a factor if the subgrantee has not sought competitive bids in a timely manner.” (Describe the urgency or emergency. Please provide details) c. After solicitation of a number of sources, competition was determined inadequate. (Describe the solicitation process that determined competition was inadequate. Please provide details, and attach any relevant supporting material, Request for Proposal, etc.)
5. Did your organization confirm that the contractor/vendor is not debarred or suspended?
6. Will your organization be able to complete all activities associated with the sole source contract by the end of the grant performance period?
7. Has your organization determined the costs are reasonable?
8. Please attach a copy of the cost benefit analysis prepared for this procurement.
Submitted by_________________________ __________________________ Date:_____________ (Name) (Signature)
TULARE COUNTY DEPARTMENTS
BUDGET AND PAYMENT
INFORMATION
You will need to adjust your Department’s budget when you receive your Homeland Security Grant Award Letter IF object line 9610 OR 9800 (whichever pertains to your agency or unit) is not open.
Please see the attached Board Agenda Item regarding FY 2020 State Homeland Security Grant Acceptance and its accompanying AUD308 for more information.
IF your Department is within Tulare County HHSA, then you will need to use the following object lines:
FUND-AGNY-UNIT-OBJ
001-142-xxxx-9800 (This is the JV entry for you)
xxxx=Your UNIT number
001-142-6082-9700 (This is the Offset JV entry for OES) All Journal Vouchers (JV’s) between County Departments beginning with the same Fund Line of 001 must use the following object lines:
FUND-AGNY-UNIT-OBJ
001-xxx-xxxx-9610 (This is the JV entry for you)
xxx=Your AGENCY number.
xxxx=Your UNIT number
001-142-6082-9510 (This is the Offset JV entry for OES) 1 Subaward Agreement Regarding FY 2020 State Homeland Security Grant Programs Funding for Equipment, Planning, Administration, Training and Exercises THIS AGREEMENT is entered into by and between the County of Tulare (“COUNTY”) and City of Porterville (“SUBRECIPIENT”), referred to individually herein as “Party” or collectively as “Parties,” on the following terms and conditions:
WHEREAS, the Fiscal Year 2020 (“FY 2020”) California State Homeland Security Grant Program (“SHSGP”) provides funding through Federal grants from the Department of Homeland Security to enhance the capabilities of state and local first responders by allowing the purchase of advanced types of equipment, as well as addressing other critical homeland security needs, including administration, planning, training, and exercise-related costs;
WHEREAS, COUNTY applied to the California Governor’s Office of Emergency Services (“CalOES”) for a FY 2020 SHSGP grant;
WHEREAS, as part of its grant application, COUNTY requested sufficient funds to support certain activity(ies) or program(s) planned by SUBRECIPIENT that may be eligible for SHSGP grant funds; WHEREAS, COUNTY was awarded FY 2020 SHSGP grant funding; and COUNTY, upon recommendation of the local Approval Authority designated in the SHSGP Guidelines, determined to allocate some of this funding to support SUBRECIPIENT’S eligible program(s) or activity(ies).
NOW, THEREFORE, for good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, and intending to be legally bound hereby, COUNTY and SUBRECIPIENT hereby agree as follows:
1. GRANT SUBAWARD. Subject to the terms, conditions, and other limitations specified herein, COUNTY intends to subaward to SUBRECIPIENT a portion of its FY 2020 SHSGP Grant for the following program and/or activity:
Department/Agency: Porterville Fire Department
Program/Activity: (1) Bauer SCBA Cylinder Air Fill Station Details about the specific program or activity authorized, the amounts allocated to the specified program or activity, and the anticipated performance and disbursement timelines shall be confirmed by subsequent award letter(s) from COUNTY (“Award Letter(s)”) in accordance with this Agreement.
SUBRECIPIENT agrees not to expend any anticipated FY 2020 SHSGP grant funds until after it has received [an] Award Letter(s) authorizing the specific activity or program, and confirming the award amount. Award Letter(s) may include attachments, which are considered to be integral parts of the Award Letter(s). Unless SUBRECIPIENT notifies COUNTY before it begins spending the funds authorized in a FY 20120 SHSGP Award Letter that it declines some or all of the program, activity, and/or funds outlined in the Award Letter, SUBRECIPIENT will be deemed to have accepted all of the terms and conditions specified in the Award Letter(s), including any applicable attachments.
COUNTY reserves the exclusive right to determine the method and timing of disbursement of SHSGP funds to SUBRECIPIENT. Furthermore, and in addition to all other rights provided to COUNTY under this Agreement or the law, COUNTY reserves the right to, issue revised Award Letter(s) to modify 2 SUBRECIPIENT’s authorized program, activity, award amounts, and/or performance periods, in accordance with the recommendations of the Local Approval Authority, the changing needs of SUBRECIPIENT and/or the likelihood of SUBRECIPIENT expending its subaward; however, such modifications will only be made after consultation with SUBRECIPIENT, and in accordance with the recommendations of the Local Approval Authority.
2. PERFORMANCE PERIOD. SUBRECIPIENT’s Performance Period for all activities covered by the terms of this Agreement shall commence on October 1, 20120. Unless COUNTY specifies otherwise in SUBRECIPIENT’s Award Letter(s), SUBRECIPIENT’s Performance Period for all activities covered by the terms of this Agreement shall continue until whichever of the following dates or events occurs first: (i) April 30, 2022, or (ii) until otherwise terminated under the provisions of this Agreement. Only activities performed during the County-specified FY 2020 SHSGP Performance Period are eligible for funding/reimbursement pursuant to this Agreement.
3. GRANT REQUIREMENTS AND ASSURANCES. The SUBRECIPIENT hereby agrees to review, adhere to, and comply with all COUNTY, state, and federal grant award requirements. SUBRECIPIENT acknowledges that COUNTY was required to accept and agree to the “CalOES Standard Assurances” (attached as Exhibit A, and incorporated by reference herein), and that COUNTY may be required to impose some or all of these assurances on all of its subrecipients, at all levels. Accordingly, SUBRECIPIENT specifically accepts, agrees to, and will abide by the CalOES Standard Assurances, with the understanding that everywhere it references “Applicant” or “subrecipient” in Exhibit A shall be read to refer to SUBRECIPIENT. The CalOES Standard Assurances shall be binding on the SUBRECIPIENT, as well as its successors, transferees, contractors, consultants, etc. SUBRECIPIENT acknowledges that failure to comply with any of the assurances may result in suspension, termination, or reduction of grant funds.
Some of the requirements that SUBRECIPIENT hereby agrees to comply with appear in the following documents:
(a) Applicable Federal Regulations, including: (i) Title 2, Part 200 of the Code of Federal Regulations (CFR) (which contains, among other items, Government cost principles, uniform administrative requirements and audit requirements for Federal grant programs), and (ii) updates issued by the Office of Management and Budget (OMB) on http://www.whitehouse.gov/omb/;
(b) Federal Program Notice of Funding Opportunity (NOFO); (c) California Supplement to the NOFO; and
(d) Federal and State Grant Program Guidelines.
By signing this Agreement, SUBRECIPIENT specifically makes the applicable certifications in Exhibit A, including the Lobbying and Political Activities and Debarment and Suspension Certifications (Paragraphs 3 and 4 of Exhibit A, respectively), as evidenced by the signature of SUBRECIPIENT’s authorized agent.
4. FEDERALLY-FUNDED SERVICES. Because this grant subaward involves the provision of federal funds to SUBRECIPIENT, the terms and conditions outlined and incorporated in Exhibit B, “FederallyFunded Services,” will apply to this Agreement, and are incorporated herein by reference.
5. DISPOSAL OR DISPOSITION OF PROPERTY. SUBRECIPIENT acknowledges that pursuant to 2 CFR section 200.316, any real property, equipment, and intangible property that are acquired orimproved with any SHSGP award must be held in trust by SUBRECIPIENT as trustee for the beneficiaries of the project 3 or program under which the property was acquired or improved. SUBRECIPIENT may be required by COUNTY, CalOES, or the federal government to record liens or other appropriate notices of record to indicate that personal or real property has been acquired or improved with the SHSGP award and that use and disposition conditions apply to the property.
Furthermore, SUBRECIPIENT agrees that when the equipment or supplies acquired with funds from this subaward are no longer needed for the original activity or program, or for other SUBRECIPIENT activities supported by the Department of Homeland Security (DHS)/ Federal Emergency Management Agency (FEMA), SUBRECIPIENT must notify COUNTY to request instructions on proper disposition of the equipment or supplies. SUBRECIPIENT is not permitted to sell, assign, or otherwise transfer title to (or any other interest in) equipment or supplies purchased with SHSGP funds except as permitted by 2 CFR Part 200. Furthermore, SUBRECIPIENT must obtain the express written permission of COUNTY for disposition of property that may have a current per unit fair market value of $5,000 or more. Though not exclusive or exhaustive, additional information regarding disposition of property acquired with SHSGP funds can be found at 2 CFR Part 200, sections 200.313 through 200.316.
6. SUBAWARDS AND CONTRACTS. With the understanding that not all provisions may be applicable to subawardees, SUBRECIPIENT agrees to include all of the commitments specified in Exhibit A, and any other commitments or requirements included in this Agreement that expressly so designate, in the award documents it issues for all subawards at all tiers, including contracts under grants and cooperative agreements and subcontracts. SUBRECIPIENT further agrees that it will include the commitments in Exhibit A in all contracts paid for in full or part with FY 2020 SGHSGP funds.
7. DESIGNATED COUNTY AUTHORIZED AGENT. Only those individuals designated by resolution of the Tulare County Board of Supervisors as Authorized Agents for FY 2020 SHSGP (“COUNTY Authorized Agents”) are authorized to sign FY 2020 SHSGP Award Letters on behalf of COUNTY, or to suspend performance in accordance with Paragraph 16(d), below. All other notices from COUNTY may come from other COUNTY personnel.
8. PROOF OF SUBRECIPIENT AUTHORITY. Before this Agreement will be approved by COUNTY, SUBRECIPIENT must provide to COUNTY written authorization (in the form of a resolution, or some other format specifically authorized by COUNTY) from the city council, governing board, or authorized body in support of this project. This written authorization must specify that the SUBRECIPIENT and the city council, governing board, or authorized body agree:
(a) To provide all matching funds required for the grant project and that any cash match will be appropriated as required;
(b) Any liability arising out of performance of this Agreement shall be the responsibility of the SUBRECIPIENT and the city council, governing board, or authorized body; (c) Grant funds shall not be used to supplant expenditures controlled by the city council, governing board, or authorized body;
(d) SUBRECIPIENT is authorized by the city council, governing board, or authorized body to apply for federal assistance, and the institutional, managerial, and financial capability (including funds sufficient to pay the non-federal share of project cost, if any_ to ensure proper planning, management, and completion of the project described in this application; and (e) Official executing this Agreement is authorized by the SUBRECIPIENT.
9. DISALLOWANCE AND OFFSET. If, pursuant to this Agreement, SUBRECIPIENT requests or 4 receives payment from COUNTY for programs, activities, or equipment, the reimbursement for which is later disallowed by the State of California or the United States Government, SUBRECIPIENT shall promptly refund the disallowed amount to COUNTY upon COUNTY’s request. At its option, and to the fullest extent permitted by law, COUNTY may offset the amount disallowed from any payment due or to become due to SUBRECIPIENT under this Agreement or any other agreement between SUBRECIPIENT or COUNTY.
Furthermore, if any of COUNTY’s FY 20120 SHSGP grant funding is reduced, modified, or eliminated for any reason, COUNTY reserves the right to reduce, modify, or eliminate any or all of this FY 2020 SHSGP grant subaward to SUBRECIPIENT. SUBRECIPIENT agrees to promptly return any amounts requested by COUNTY in accordance with this provision. At its option, COUNTY may offset the amount to be returned by SUBRECIPIENT from any payment due or to become due to SUBRECIPIENT under this Agreement or any other agreement between SUBRECIPIENT and COUNTY.
10. MONITORING AND REPORTS. SUBRECIPIENT is responsible for oversight of the operations of the FY 2020 SHSGP supported activities. SUBRECPIENT must monitor its activities to ensure compliance with applicable Federal requirements and achievement of specific performance expectations.
SUBRECIPIENT’s monitoring must cover each program, function or activity supported by FY 2020 SHSGP funding.
SUBRECIPIENT agrees to provide ongoing performance and financial reports regarding any and all of SUBRECIPIENT’s programs and activities funded with FY 2020 SHSGP funding. At a minimum, these reports will be due on an annual basis, but COUNTY reserves the right to request more frequent reporting.
Within 90 days of completion or termination of FY 2020 SHSGP funded subawards, SUBRECIPIENT is also expected to provide a final performance report and a final expenditure report in a format acceptable to COUNTY, State and the Federal government. SUBRECIPIENT will be notified of any additional required reports by separate Award Letter(s) or notice(s) from COUNTY.
11. MANDATORY DISCLOSURES. Pursuant to 2 CFR section 200.113, SUBRECIPIENT must disclose, in a timely manner, and in writing to COUNTY and ultimately to the federal awarding agency, all violations of Federal criminal law involving fraud, bribery, or gratuity violations potentially affecting this subaward.
Pursuant to the terms and conditions outlined in Appendix XII to 2 CFR Part 200 (“Award Term and Condition for Recipient Integrity and Performance Matters”), SUBRECIPIENT may also be also required to report certain civil, criminal, or administrative proceedings to SAM. Failure to make required disclosures can result in any of the remedies described in 2 CFR section 200.338, “Remedies for noncompliance,” including suspension or debarment.
12. SUBMITTING FALSE CLAIMS. Under applicable federal and state law, if SUBRECIPIENT submits a false claim to COUNTY under this Agreement, then SUBRECIPIENT will be liable to COUNTY for the statutory penalties set forth in those statutes, including, but not limited to statutory fines, treble damages, costs, and attorneys’ fees. SUBRECIPIENT will be deemed to have submitted a false claim to COUNTY if SUBRECIPIENT:
(a) Knowingly presents or causes to be presented to COUNTY a false claim or request for payment or approval;
(b) Knowingly makes, uses, or causes to be made or used a false record or statement to get a false claim paid or approved by COUNTY;
(c) Conspires to defraud COUNTY, State, or the Federal Government by getting a false claim allowed or paid by COUNTY
5 (d) Knowingly makes, uses, or causes to be made or used a false record or statement to conceal, avoid, or decrease an obligation to pay or transmit money or property to COUNTY; or (e) Is a beneficiary of an inadvertent submission of a false claim to COUNTY, later discovers the falsity of the claim, and fails to disclose the false claim to COUNTY within a reasonable time after discovery of the false claim.
13. INSURANCE. SUBRECIPIENT certifies it is insured or self-insured for general liability exposures with limits of no less than $1 million per occurrence. SUBRECIPIENT certifies it is insured or self-insured for workers’ compensation and maintains statutory limits. SUBRECIPIENT agrees that coverage limits specified within the Agreement will not be used to reduce limits of coverage from SUBRECIPIENT’S full policy limits. Insurance Policies will not be used to limit liability or to limit the indemnification provisions and requirements of this Agreement or act in any way to reduce available coverage and limits from the insurer. Failure to maintain or renew coverage may be a material breach of this Agreement.
14. LIABILITY OF COUNTY. COUNTY’s payment obligations to SUBRECIPIENT for FY 2020 SHSGP funds are limited by all provisions and other requirements specified in this Agreement. Notwithstanding any other provision of this Agreement, in no event shall COUNTY be liable, regardless of whether any claim is based on contract or tort, for any special, consequential, indirect, or incidental damages arising out of or in connection with this Agreement, including, but not limited to, lost profits, equipment purchased, or activities performed in connection with this Agreement.
15. HOLD HARMLESS, INDEMNIFICATION, AND DEFENSE.
(a) To the fullest extent permitted by law, SUBRECIPIENT must indemnify, defend (at SUBRECIPIENT'S sole cost and expense and with legal counsel approved by COUNTY, which approval may not be unreasonably withheld), protect, and hold harmless COUNTY, all subsidiaries, divisions and affiliated agencies of COUNTY, and all of their representatives, partners, designees, officers, directors, employees, consultants, agents, successors and assigns, (each, an “Indemnified Party” and collectively, the "Indemnified Parties"), from and against all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorneys' fees, disbursements and court costs, and all other professional expert or consultants' fees and costs and COUNTY general and administrative expenses) of every kind and nature whatsoever (individually, a "Claim"; collectively, "Claims") which may arise out of, pertain to, or relate (directly or indirectly) to the negligence, recklessness, or misconduct of SUBRECIPIENT with respect to any activities and/or programs performed, training provided, or items purchased or used under or in relation to this Agreement (including, without limitation, the acts, errors, and/or omissions of SUBRECIPIENT, its principals, officers, agents, employees, vendors, suppliers, consultants, sub-consultants, contractors, anyone employed directly or indirectly by any of them, or for whose acts they may be liable, or any or all of them).
SUBRECIPIENT’S obligation to indemnify applies unless it is finally adjudicated that the liability was caused by the sole active negligence or sole willful misconduct of an Indemnified Party. If it is finally adjudicated that liability is caused by the comparative active negligence or willful misconduct of an Indemnified Party, then SUBRECIPIENT’S indemnification obligation shall be reduced in proportion to the established comparative liability.
(b) The duty to defend is a separate and distinct obligation from SUBRECIPIENT’S duty to indemnify. SUBRECIPIENT shall be obligated to defend, in all legal, equitable, administrative, or special proceedings, the Indemnified Parties immediately upon tender to SUBRECIPIENT of the Claim in any form or at any stage of an action or proceeding, whether or not liability is established. Payment to 6 SUBRECIPIENT by any Indemnified Party or the payment or advance of defense costs by any Indemnified Party cannot be a condition precedent to enforcing the Indemnified Party's rights to defense or indemnification under this Agreement. An allegation or determination that persons other than SUBRECIPIENT are responsible for the Claim does not relieve SUBRECIPIENT from its separate and distinct obligation to defend under this section. The obligation to defend extends through final judgment, including exhaustion of any appeals. The defense obligation includes an obligation to provide independent defense counsel if SUBRECIPIENT asserts that liability is caused in whole or in part by the negligence or willful misconduct of an Indemnified Party. If it is finally adjudicated that liability was caused by the comparative active negligence or willful misconduct of an Indemnified Party, then SUBRECIPIENT may submit a claim to the COUNTY for reimbursement of reasonable attorneys’ fees and defense costs in proportion to the established comparative liability of the Indemnified Party. SUBRECIPIENT'S indemnification obligations under this Agreement will survive the expiration or earlier termination of this Agreement until action against the Indemnified Parties for the matter indemnified is fully and finally barred by the applicable statute of limitations or statute of repose. SUBRECIPIENT'S liability for indemnification under this Agreement is in addition to any liability SUBRECIPIENT may have to COUNTY for a breach by SUBRECIPIENT of any of the provisions of this Agreement. Under no circumstances may the insurance requirements and limits set forth in this Agreement be construed to limit SUBRECIPIENT'S indemnification obligation or other liability under this Agreement. The terms of this Agreement are contractual and the result of negotiation between the Parties. (c) SUBRECIPIENT must indemnify and hold COUNTY harmless from all loss and liability, including attorneys’ fees, court costs and all other litigation expenses, for any infringement of the patent rights, copyright, trade secret or any other proprietary right or trademark, and all other intellectual property claims of any person or persons in consequence of the use by COUNTY, or any of its officers or agents, of articles or services to be supplied in the performance of this Agreement.
16. TERMINATION
(a) Without Cause (For Convenience): Either Party may terminate this Agreement for convenience by giving thirty (30) days’ prior written notice to the other Party of its intention to terminate pursuant to this provision, specifying the date of termination. COUNTY will not pay lost anticipated profits or other economic loss resulting from termination of this Agreement. After receiving a notice of termination for convenience from SUBRECIPIENT, and prior to the effective date of termination, COUNTY may, in its sole discretion, continue to disburse grant funding to SUBRECIPIENT for the programs or activities permitted under this Agreement and specified in the effective Award Letter(s); however, COUNTY specifically reserves the right to cancel or modify some of the programs or activities specified in the Award Letter if it seems infeasible for SUBRECIPIENT to complete its work before the termination of the contract. Any funding disbursed to SUBRECIPIENT but not yet spent at the time the Agreement is terminated must be returned to COUNTY. All such disbursements continue to be subject to the restrictions otherwise provided in this Agreement or by law.
COUNTY will not impose sanctions on SUBRECIPIENT for a termination for convenience. (b) With Cause: Either party may terminate this Agreement immediately, by written notice to the other Party, should the other Party:
(1) be adjudged a bankrupt, or
(2) become insolvent or have a receiver appointed, or
(3) make a general assignment for the benefit of creditors, or (4) suffer any judgment which remains unsatisfied for 30 days, and which would 7 substantively impair the ability of the judgment debtor to perform under this Agreement.
COUNTY also reserves the right to immediately suspend and/or to terminate this Agreement, for cause, upon discovery of a material breach by SUBRECIPIENT. A material breach includes, but is not limited to, (i) SUBRECIPIENT’s failure to comply with the terms and conditions of this Agreement or of any Award Letter(s) issued by COUNTY; (ii) a material misrepresentation by SUBRECIPIENT to COUNTY in relation to this grant program; or (iii) failure to comply with all applicable laws or regulations. COUNTY will provide written notice of the material breach and its determination to either suspend or terminate the contract, specifying the date of termination. At COUNTY’s sole discretion, COUNTY may provide SUBRECIPIENT with a reasonable period of time to cure the breach. If COUNTY terminates this Agreement for cause, COUNTY reserves the right to reduce, modify, or eliminate any or all of this subaward and any other outstanding SHSGP subawards to SUBRECIPIENT. Upon demand by COUNTY, SUBRECIPIENT agrees to immediately return FY 2020 SHSGP funding that has been disbursed to SUBRECIPIENT and which remains in SUBRECIPIENT’s possession at the time this Agreement is terminated. In addition, the payment of any grant funds that have yet to be disbursed for work already completed by SUBRECIPIENT under this Agreement remains subject to the restrictions on payments otherwise provided in this Agreement and by law, and is further conditioned on COUNTY’s confirmation of SUBRECIPIENT’s satisfactory completion of the activities or programs specified in this Agreement and any related Award Letter(s).
COUNTY will not pay lost anticipated profits or other economic loss, nor will the County pay compensation or make reimbursement to cure any breach arising out of or resulting from such termination for cause. If this Agreement is terminated for cause, COUNTY may impose sanctions, including possible rejection of future proposals based on specific causes of non-performance. Furthermore, if this Agreement is terminated for SUBRECIPIENT’s failure to comply with applicable federal statutes or regulations, including those specifically incorporated into this Agreement by reference, SUBRECIPIENT is advised that the COUNTY’s termination decision may be considered in evaluating future applications for federal grant awards.
(c) Effects of Completion or Termination: Expiration, completion, or termination of this Agreement shall not terminate any of SUBRECIPIENT’s obligations to indemnify, defend, or hold harmless; to maintain and make available any records pertaining to the Agreement; to cooperate with any audit; to be subject to offset; to make any reports of pre-termination contract activities; to honor its obligations related to the disposal or disposition of property purchased with SHSGP funding; to comply with the continuing applicable obligations contained in Exhibit A; or to comply with any other continuing or closeout obligations required by this Agreement or by federal or state law or regulation, including those specified in 2 CFR Part 200. Where SUBRECIPIENT’s activities or programs have been terminated by the COUNTY for cause, said termination will not affect any rights of the COUNTY to recover damages from or against SUBRECIPIENT.
(d) Suspension of Performance: Independent of any right to terminate this Agreement, COUNTY Authorized Agents may immediately suspend performance by SUBRECIPIENT, in whole or in part, in response to health, safety or financial emergency, a change in SHSGP grant funding to COUNTY, or a failure or refusal by SUBRECIPIENT to comply with the provisions of this Agreement, until such time as the cause for suspension is resolved, or a notice of termination becomes effective.
17. RECORDS. SUBRECIPIENT shall maintain complete and accurate records with respect to the activities, programs, and/or purchases funded by or related to FY 20120 SHSGP funding and/or this Agreement, including all records relating to procurement of goods and services. In addition, SUBRECIPIENT shall maintain complete and accurate records with respect to any payments to employees, 8 subawardees, contractors, or subcontractors. All such records shall be prepared in accordance with generally accepted accounting procedures and any applicable procedures required by the COUNTY or the federal or state government. All applicable records shall be clearly identified, maintained on site, and be kept readily accessible.
SUBRECIPIENT further agrees to make all such records available to federal, state, and COUNTY government representatives, as further specified in Exhibit A, Paragraph 9 and Exhibit B, Paragraph 10.
SUBRECIPIENT shall ensure that members of the public also have access to such records upon request, in accordance with the Freedom of Information Act and the California Public Records Act. SUBRECIPIENT specifically agrees to require any subrecipients, contractors, successors, transferees, and assignees to acknowledge and agree to comply with all of these record keeping and access requirements.
Failure to comply with these requirements may result in suspension of payments under the grant, termination of the grant, or both. SUBRECIPIENT may be ineligible for award of any future grants if COUNTY or Cal OES determines that any of the following has occurred: (1) the recipient has made false certification, or (2) violates the certification by failing to carry out the requirements as noted above.
18. NOTICES. Except as may be otherwise required by law, any notice to be given must be written and must be either personally delivered, sent by facsimile transmission, or sent by first class mail, postage prepaid and addressed as follows:
COUNTY: With a Copy To:
Andrew Lockman
Emergency Services Manager
Tulare County HHSA/Office of Emergency
Services
COUNTY ADMINISTRATIVE OFFICER
2800 W. Burrel Ave.
Visalia, CA 93291
5957 S Mooney Blvd
Visalia, CA 93277
Phone No.: (559) 624-7498
Fax No.: (559) 624-7499
Phone No.: (559) 636-5005
Fax No.: (559) 733-6318
SUBRECIPIENT:
David LaPere
Fire Chief
40 W. Cleveland Ave
Porterville, CA 93257
Phone No.: (559) 782-7526
Fax No.: (559) 791-7834
Notice personally delivered is effective when delivered. Notice sent by facsimile transmission is deemed to be received upon successful transmission. Notice sent by first class mail shall be deemed received on the fifth (5th) day after the date of mailing. Either party may change the above address by giving written notice pursuant to this paragraph.
19. CONFLICTS WITH LAWS OR REGULATIONS/ SEVERABILITY. This Agreement is subject to all applicable laws and regulations. If any provision of this Agreement is found by any court or other legal authority, or is agreed by the parties, to be in conflict with any code or regulation governing its subject, the conflicting provision shall be considered null and void. If the effect of nullifying any conflicting 9 provision is such that a material benefit of the Agreement to either party is lost, the Agreement may be terminated at the option of the affected party, and some or all of the grant money may need to be returned to COUNTY. Such a termination will be treated as a termination for cause, in accordance with Paragraph 16 above. In all other cases, the remainder of the Agreement shall continue in full force and effect.
20. MODIFICATION. No part of this Agreement may be modified without the written consent of both Parties.
21. EXHIBITS AND RECITALS. The Recitals and the Exhibits to this Agreement are fully incorporated into and are integral parts of this Agreement.
22. GOVERNING LAW. This Agreement shall be interpreted and governed under the laws of the State of California without reference to California conflicts of law principles. The Parties agree that this contract is made in and shall be performed in Tulare County, California.
23. FURTHER ASSURANCES. Each Party will execute any additional documents and perform any further acts which may be reasonably required to effect the purposes of this Agreement.
24. NO THIRD PARTY BENEFICIARIES. Unless specifically set forth, the Parties to this Agreement do not intend to provide any other party with any benefit or enforceable legal or equitable right or remedy.
25. WAIVERS. The failure of either Party to insist on strict compliance with any provision of this Agreement shall not be considered a waiver of any right to do so, whether for that breach or any subsequent breach. The acceptance by either Party of either performance or payment shall not be considered to be a waiver of any preceding breach of the Agreement by the other Party.
26. HEADINGS. Section headings are provided for organizational purposes only and do not in any manner affect the scope, meaning or intent of the provisions under the headings.
27. ORDER OF PRECEDENCE. In the event of any conflict or inconsistency between or among the body of the Agreement and any Award Letter or other communication between COUNTY and SUBRECIPIENT, then the terms and conditions of the body of this Agreement shall prevail.
28. ASSIGNMENT. This Agreement is entered into by COUNTY in reliance on the identity and representations made by SUBRECIPIENT, and no part of this Agreement or this subaward (including any equipment purchased with the subaward) may be assigned, transferred, or sold by SUBRECIPIENT without the prior written consent of COUNTY, which consent COUNTY may grant, delay, deny, or condition in its absolute discretion. Any FY 2020 SHSGP funds provided to SUBRECIPIENT and not yet expended at the time of any attempted unauthorized assignment or transfer will be forfeit to COUNTY at the time of attempted assignment or transfer. Furthermore, the voluntary or involuntary assignment of this Agreement to a receiver or trustee in bankruptcy, will constitute a material breach and will automatically terminate this Agreement without advance notice or opportunity to cure.
29. COMPLIANCE WITH LAWS. SUBRECIPIENT shall comply with all applicable laws, ordinances, rules, and regulations and obtain and keep current all permits, licenses and/or approvals required by law to perform the activities or services, or to purchase any equipment, specified in this Agreement. 10 30. CONFLICT OF INTEREST
(a) SUBRECIPIENT agrees to, at all times during the performance of this Agreement, comply with the law of the State of California regarding conflicts of interests and appearance of conflicts of interests, including, but not limited to Government Code Section 1090 et seq., and the Political Reform Act, Government Code Section 81000 et seq. and regulations promulgated pursuant thereto by the California Fair Political Practices Commission. The statutes, regulations and laws previously referenced include, but are not limited to, prohibitions against any public officer or employee, including SUBRECIPIENT, from making any decision on behalf of COUNTY in which such officer, employee or consultant/contractor has a direct or indirect financial interest. A violation can occur if the public officer, employee or consultant/contractor participates in or influences any COUNTY decision which has the potential to confer any pecuniary benefit on SUBRECIPIENT or any business firm in which SUBRECIPIENT has an interest, with certain narrow exceptions.
(b) SUBRECIPIENT agrees that if any facts come to its attention which raise any questions as to the applicability of conflicts of interest laws, it will immediately inform the COUNTY designated representative and provide all information needed for resolution of this question.
31. COUNTERPARTS. The Parties may sign this Agreement in counterparts, each of which is an original and all of which taken together form one single document.
32. CERTIFICATION AND ACKNOWLEDGEMENT: The undersigned represents that he/she is authorized to enter into this Agreement for and on behalf of the SUBRECIPIENT. As the duly authorized representative of the SUBRECIPIENT, the undersigned hereby certifies that the SUBRECIPIENT has the legal authority to apply for County, State, and Federal assistance and the institutional, managerial and financial capability (including funds sufficient to pay any non-Federal share of project cost) to ensure proper planning, management and completion of the project described in the FY 2019 SHSGP application, within the prescribed timelines.
The undersigned further acknowledges that the SUBRECIPIENT is responsible for reviewing and adhering to all COUNTY, state, and federal grant award requirements. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]
11 IN WITNESS WHEREOF, the Parties have executed this Agreement as of the day and year signed by the last Party below.
CITY OF PORTERVILLE
ATTEST:
By:________________________________
Approved as to form:
By: _______________________________
By: ________________________________
Mayor
Date: ______________________________
COUNTY OF TULARE
ATTEST: JASON T. BRITT
County Administrative Officer/
Clerk of the Board of Supervisors
By:________________________________
Deputy
Approved as to form: County Counsel
By: _______________________________
Deputy, Matter No. 20191550.
By: ________________________________
Chairman, Board of Supervisors
Date: ______________________________
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Federally-Funded Services
(Pursuant to Appendix II, 2 CFR Part 200)
(1) Equal Employment Opportunity. Except as otherwise provided under 41 CFR Part 60, if this Agreement meets the definition of ‘‘federally assisted construction contract’’ in 41 CFR Part 60–1.3, then during the performance of this Agreement, the SUBRECIPIENT agrees as follows: (1) The SUBRECIPIENT will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The SUBRECIPIENT will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, or national origin. Such action shall include, but not be limited to the following: Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The SUBRECIPIENT agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.(2) The SUBRECIPIENT will, in all solicitations or advertisements for employees placed by or on behalf of the SUBRECIPIENT, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, or national origin.(3) The SUBRECIPIENT will not discharge or in any other manner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or is consistent with the SUBRECIPIENT’S legal duty to furnish information.(4) The SUBRECIPIENT will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the SUBRECIPIENT’S commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.(5) The SUBRECIPIENT will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.(6) The SUBRECIPIENT will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders.(7) In the event of the SUBRECIPIENT’S noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this Agreement may be canceled, terminated, or suspended in whole or in part and the SUBRECIPIENT may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law.(8) The SUBRECIPIENT will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (8) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The SUBRECIPIENT will take such action with respect to any subcontract or purchase order as the COUNTY may direct as a means of enforcing such provisions, including sanctions for noncompliance: Provided, however, that in the event SUBRECIPIENT becomes involved in, or is threatened with, litigation with a sub-contractor or vendor as a result of such direction
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by the COUNTY, then the SUBRECIPIENT may request the United States to enter into such litigation to protect the interests of the United States. The COUNTY further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in federally assisted construction work.
The COUNTY agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such information as they may require for the supervision of such compliance, and that it will otherwise assist the administering agency in the discharge of the agency's primary responsibility for securing compliance. The COUNTY further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, with a contractor debarred from, or who has not demonstrated eligibility for, Government contracts and federally assisted construction contracts pursuant to the Executive Order and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D of the Executive Order. In addition, the COUNTY agrees that if it fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions: Cancel, terminate, or suspend in whole or in part this grant (contract, loan, insurance, guarantee); refrain from extending any further assistance to the COUNTY under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from the COUNTY; and refer the case to the Department of Justice for appropriate legal proceedings.
The SUBRECIPIENT and each of its subcontractors shall include this equal opportunity clause in each of its subcontracts.
(2) Davis-Bacon Act, as amended (40 U.S.C. 3141–3148). If this Agreement involves payment for construction services in excess of $2,000, then the SUBRECIPIENT must comply with the Davis-Bacon Act (40 U.S.C. 3141–3144, and 3146–3148) as supplemented by Department of Labor regulations (29 CFR Part 5, ‘‘Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction’’). In accordance with the Davis-Bacon Act, the SUBRECIPIENT is required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the U.S. Secretary of Labor. In addition, the SUBRECIPIENT is required to pay wages not less than once a week. The COUNTY must provide SUBRECIPIENT with a copy of the current prevailing wage determination issued by the U.S. Department of Labor with respect to the services to be provided under the subject Agreement. The SUBRECIPIENT’S execution of the subject Agreement constitutes the SUBRECIPIENT’S acceptance of the wage determination. The COUNTY must report all suspected or reported violations to the Federal awarding agency. (3) Copeland ‘‘Anti- Kickback’’ Act (40 U.S.C. 3145). SUBRECIPIENT must comply with the Copeland ‘‘Anti- Kickback’’ Act (40 U.S.C. 3145), as supplemented by Department of Labor regulations (29 CFR Part 3, ‘‘Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States’’). Under the Copeland ‘‘Anti- Kickback’’ Act, the SUBRECIPIENT and all subcontractors are prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. The COUNTY must report all suspected or reported violations to the Federal awarding agency.
(4) Contract Work Hours and Safety Standards Act (40 U.S.C. 3701–3708). If this Agreement
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involves payments for services in excess of $100,000 that include the employment of mechanics or laborers, then the SUBRECIPIENT must comply with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 CFR Part 5). Under 40 U.S.C. 3702 of the Act, the SUBRECIPIENT is required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence.
(5) Rights to Inventions Made Under a Contract or Agreement. If the Federal award supporting payments for services under this Agreement meetsthe definition of ‘‘funding agreement’’ under 37 CFR § 401.2 (a) and the Agreement is with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that ‘‘funding agreement,’’ then the COUNTY and the SUBRECIPIENT must comply with the requirements of 37 CFR Part 401, ‘‘Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements,’’ and any implementing regulations issued by the awarding agency. (6) Clean Air Act (42 U.S.C. 7401–7671q.) and the Federal Water Pollution Control Act (33 U.S.C. 1251–1387), as amended. If this Agreement involves payments for services in excess of $150,000, then the SUBRECIPIENT must comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401–7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251–1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA).
(7) Debarment and Suspension (Executive Orders 12549 and 12689). By execution of this Agreement, SUBRECIPIENT certifies to the COUNTY that it is not a party listed on the government-wide exclusions list in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), ‘‘Debarment and Suspension,’’ and is not debarred, suspended, or otherwise excluded from the award of a federally-supported contract under statutory or regulatory authority other than Executive Order 12549.
(8) Byrd Anti-Lobbying Amendment (31 U.S.C. 1352). If this Agreement involves payments for services in excess of $100,000, then by execution of this Agreement, the SUBRECIPIENT certifies to the COUNTY that it will not and has not used Federally-appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. The SUBRECIPIENT must also disclose to the COUNTY in writing any lobbying with non-Federal funds that takes place in connection with obtaining any Federal award.
(9) Procurement of recovered materials. Pursuant to 2 CFR § 200.322, COUNTY and SUBRECIPIENT must comply with section 6002 of the Federal Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR part 247 that
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contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines.
(10) Records Retention and Access. Pursuant to 2 CFR §§ 200.333 through 200.337, the following provisions regarding Records Retention and Access will apply to this Agreement:
(a) Retention requirements for records. SUBRECIPIENT must retain all financial records, supporting documents, statistical records, and all other of its records pertinent to this Agreement for a period of three years from the date of submission of the final expenditure report or, for Federal awards that are renewed quarterly or annually, from the date of the submission of the quarterly or annual financial report, respectively, as reported to the Federal awarding agency or COUNTY. The only exceptions to the 3 year limit are the following:
(i) If any litigation, claim, or audit is started before the expiration of the 3-year period, then the records must be retained until all litigation, claims, or audit findings involving the records have been resolved and final action taken.
(ii) When the SUBRECIPIENT is notified in writing by the COUNTY or Federal awarding agency, cognizant agency for audit, oversight agency for audit, or cognizant agency for indirect costs to extend the retention period.
(iii) Records for real property and equipment acquired with Federal funds must be retained for 3 years after final disposition.
(iv) When records are transferred to or maintained by the COUNTY, or Federal awarding agency, the 3-year retention requirement is not applicable to the SUBRECIPIENT. (v) Records for program income transactions after the period of performance. In some cases recipients must report program income after the period of performance. Where there is such a requirement, the retention period for the records pertaining to the earning of the program income starts from the end of the SUBRECIPIENT’S fiscal year in which the program income is earned. (vi) Indirect cost rate proposals and cost allocations plans. This paragraph applies to the following types of documents and their supporting records: indirect cost rate computations or proposals, cost allocation plans, and any similar accounting computations of the rate at which a particular group of costs is chargeable (such as computer usage chargeback rates or composite fringe benefit rates).
1. If submitted for negotiation. If the proposal, plan, or other computation is required to be submitted to the COUNTY or the Federal Government to form the basis for negotiation of the rate, then the 3-year retention period for its supporting records starts from the date of such submission.
2. If not submitted for negotiation. If the proposal, plan, or other computation is not required to be submitted to the COUNTY or Federal Government for negotiation purposes, then the 3- year retention period for the proposal, plan, or computation and its supporting records starts from the end of the fiscal year (or other accounting period) covered by the proposal, plan, or other computation. (b) Methods for collection, transmission and storage of information. In accordance with the May 2013 Executive Order on Making Open and Machine Readable the New Default for Government Information, the Federal awarding agency and the SUBRECIPIENT should, whenever practicable, collect, transmit, and store Federal award-related information in open and machine readable formats rather than in closed formats or on paper. The Federal awarding agency or COUNTY must always provide or accept paper versions of Federal award-related information to and from the SUBRECIPIENT upon request. If paper copies are submitted, the Federal awarding agency or COUNTY must not require more than an
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original and two copies. When original records are electronic and cannot be altered, there is no need to create and retain paper copies. When original records are paper, electronic versions may be substituted through the use of duplication or other forms of electronic media provided that they are subject to periodic quality control reviews, provide reasonable safeguards against alteration, and remain readable. (c) Access to records.
(i) Records of SUBRECIPIENT. The Federal awarding agency, Inspectors General, the Comptroller General of the United States, the State of California, and the COUNTY, or any of their authorized representatives, must have the right of access to any documents, papers, or other records of the SUBRECIPIENT which are pertinent to the Federal award, in order to make audits, examinations, excerpts, and transcripts. The right also includes timely and reasonable access to the SUBRECIPIENT’S personnel for the purpose of interview and discussion related to such documents. (ii) Only under extraordinary and rare circumstances would such access include review of the true name of victims of a crime. Routine monitoring cannot be considered extraordinary and rare circumstances that would necessitate access to this information. When access to the true name of victims of a crime is necessary, appropriate steps to protect this sensitive information must be taken by both the SUBRECIPIENT and the Federal awarding agency or COUNTY. Any such access, other than under a court order or subpoena pursuant to a bona fide confidential investigation, must be approved by the head of the Federal awarding agency or delegate.
(iii) Expiration of right of access. The rights of access in this section are not limited to the required retention period but last as long as the records are retained. Federal awarding agencies and COUNTY must not impose any other access requirements upon SUBRECIPIENT.
Item No. 7.
CITY COUNCIL AGENDA – NOVEMBER 15, 2022
SUBJECT: Authorization to Execute Cooperative Agreement - Avenue 152 (Olive Avenue) Bridge
SOURCE: Engineering and Project Management
COMMENT: The Circulation Element of the 2030 General Plan for the City of Porterville and the Porterville Area Community Plan, a component of Tulare County's 2030 General Plan, identify the widening of the Avenue 152 (Olive Avenue) corridor from two lanes to four lanes between the Firant-Kern Canal and Westwood Street as a means to increase mobility, reduce congestion, and improve traffic flow. The existing two-lane bridge on Avenue 152 over the Tule River was determined to be structurally deficient and qualifies to receive federal Highway Bridge Program (HBP) funding for a new two-lane bridge, with oversight by the California Department of Transportation (Caltrans). The City of Porterville (City) and the County of Tulare (County) propose to replace the existing bridge with a new four-lane structure (two lanes in each direction) and to reconstruct the bridge approach roadways, as needed, along Avenue 152 (Olive Avenue) between the Friant-Kern Canal and S. Westwood Street with the funding for the additional costs of the larger bridge being shared between the City and the County; the additional work is non-federally participating costs.
Funding for the non-federally participating costs (including preliminary engineering, right-of-way, and construction phases) in excess of a two-lane bridge replacement will be provided by the Tulare County Association of Governments (TCAG), acting as the local Transportation Authority under a separate Measure R Program Supplement entered into between TCAG and the County. The City's share of the additional work, via funding provided by TCAG with Measure R funds, includes an initial dedication of $500,000 for the preliminary engineering phase and $5,000,000 for the construction phase of the project with the County coordinating all project reimbursement directly with TCAG.
The Cooperative Agreement for this project provides the framework for the collaboration between the City and the County defining terms, conditions, and responsibilities of each party for the design and construction of the project with the County serving as lead.
RECOMMENDATION: That the City Council:
1. Approve the Cooperative Agreement for the Avenue 152 (Olive Avenue) Tule River Bridge Project;
Item No. 7.
2. Authorize the City Manager to sign said Agreement; and
3. Direct the Engineering & Project Management Director to send the signed agreement to Tulare County for final execution.
ATTACHMENTS: 1. Cooperative Agreement
Appropriated/Funded:
Review By:
Department Director:
Javier Sanchez, Engineering & Project Management Director Final Approver: John Lollis, City Manager
Tulare County Agreement No. __________________
COOPERATIVE AGREEMENT
for
AVENUE 152 OVER TULE RIVER BRIDGE PROJECT
This Cooperative Agreement ("AGREEMENT") is made and entered into this _________ day of ________________, 2022 by and between the COUNTY OF TULARE (hereinafter referred to as “COUNTY”), and the CITY OF PORTERVILLE (hereinafter referred to as “CITY”) for the Avenue 152 (Olive Avenue) over Tule River Bridge Project (herein referred to as “PROJECT”). An individual signatory agency in this AGREEMENT is referred to as “PARTY.” Collectively, the signatory agencies in this AGREEMENT are referred to as “PARTIES.”
RECITALS
WHEREAS, the Circulation Element of the CITY’S 2030 General Plan and the Porterville Area Community Plan, a component of the COUNTY’S 2030 General Plan, identify the widening of the Avenue 152 (Olive Avenue) corridor from two lanes to four lanes between the Friant-Kern Canal and Westwood Street; and
WHEREAS, PARTIES recognize the need to widen the Avenue 152 (Olive Avenue) corridor to increase mobility, reduce congestion, and improve traffic flow; and WHEREAS, the existing two-lane bridge on Avenue 152 over the Tule River was determined to be structurally deficient and qualifies to receive Federal Highway Bridge Program (HBP) funding for a new two-lane bridge, with oversight by the California Department of Transportation (Caltrans); and
WHEREAS, PARTIES propose to replace the existing bridge on Avenue 152 over the Tule River with a new four-lane structure (2 lanes in each direction) and to reconstruct the bridge approach roadways, as needed, along Avenue 152 (Olive Avenue) between the Friant-Kern Canal and South Westwood Street; and
WHEREAS, PROJECT is of general interest to PARTIES and a portion of PROJECT is within each PARTIES’ geographic boundaries; and
WHEREAS, COUNTY is the lead agency for the PROJECT; and WHEAREAS, Avenue 152 (Olive Avenue) West of Road 222 (North Elderwood Street) is located within COUNTY’S JURSIDICTION (limits shown on “Exhibit A”); and WHEREAS, Avenue 152 (Olive Avenue) east of Road 222 (North Elderwood Street) is located within CITY’S JURISDICTION (limits shown on “Exhibit A”); and Tulare County Agreement No. __________________
WHEREAS, in November of 2006, COUNTY voters approved Measure R, a ½ cent sales tax that addresses the major regional, local, and transit/bike/environmental report transportation needs in COUNTY; and
WHEREAS, funding for non-federally participating PROJECT costs (including Preliminary Engineering, Right-of-Way and Construction phases) in excess of a two-lane bridge replacement (as approved by Caltrans), will be provided by the Tulare County Association of Governments (herein referred to as “TCAG”) acting as the local Transportation Authority under a separate Measure R Program Supplement entered into between TCAG and COUNTY; and WHEREAS, it is recognized that the CITY, via funding provided by TCAG, has agreed to dedicate an initial funding amount of $500,000 (five hundred thousand dollars) for the PRELIMINARY ENGINEERING phase and $5,000,000 (five million dollars) for the CONSTRUCTION phase of the PROJECT and COUNTY will coordinate all PROJECT reimbursement (including the need for additional funds) directly with TCAG via said independent Measure R Program Supplement; and
WHEREAS, COUNTY is willing to lead the design and construction management of PROJECT; and
WHEREAS, PROJECT is scheduled for construction in fiscal year 2029/2030 and CITY will continue to operate and maintain the roadway system within CITY’S JURISDICTION upon PROJECT completion; and
WHEREAS, this AGREEMENT provides the framework for the collaboration between COUNTY and CITY defining the terms, conditions, and responsibilities of each PARTY for the design and construction of PROJECT; and
WHEREAS, PARTIES are authorized to enter into this AGREEMENT per the California Government Code sections 6500 and 23004, et seq., and the California Streets and Highways Code sections 1685 and 1803; and
NOW, THEREFORE, it is mutually understood and agreed by PARTIES as follows:
ARTICLE 1. DEFINITIONS
A. CEQA (California Environmental Quality Act) is the act (California Public Resources Code, sections 21000 et seq.) that requires state and local agencies to identify the significant environmental impacts of their actions and to avoid or mitigate those significant impacts, if feasible.
B. CONSTRUCTION, as referred to in this AGREEMENT, is the project phase of completing the construction of PROJECT. Work includes, but is not limited to, Tulare County Agreement No. __________________
construction contract administration, construction inspection, materials testing, construction survey, traffic detour, construction engineering, utility relocation, changes and modifications of plans and specifications for PROJECT necessitated by unforeseen or unforeseeable field conditions encountered during construction of PROJECT, construction contingencies, and all other necessary work after advertisement of PROJECT for construction bids to cause PROJECT to be constructed in accordance with said plans and specifications approved by PARTIES.
C. IMPLEMENTING AGENCY, as referred to in this AGREEMENT, is defined as the PARTY responsible for managing the scope, cost, and schedule of a project phase to ensure completion of said phase.
D. JURISDICTION, as referred to in this AGREEMENT, is defined as the area within the geographic boundary of CITY and the unincorporated areas of COUNTY.
E. NEPA (National Environmental Policy Act) is the act that requires federal agencies to assess the environmental effects of their proposed actions prior to making decisions.
F. NOTICE OF COMPLETION, as referred to in this AGREEMENT, is defined as COUNTY acceptance of construction work for the PROJECT.
G. PRELIMINARY ENGINEERING, as referred to in this AGREEMENT, is the project phase consisting of the preparation of plans, specifications, and cost estimates for PROJECT. Work includes, but is not limited to, topographic survey, environmental surveys and document preparation, hydraulics analysis, soils report, traffic index and geometric investigations, civil and structural design, utility engineering, and all other necessary work prior to advertisement of PROJECT for construction bids.
H. RIGHT-OF-WAY, as referred to in this AGREEMENT, is defined as the project phase of acquiring real property interests for PROJECT.
ARTICLE 2. COMPLETE AGREEMENT
A. This AGREEMENT, including any attachments incorporated herein and made applicable by reference, constitutes the complete and exclusive statement of the term(s) and condition(s) of this AGREEMENT between PARTIES and supersedes all prior representations, understandings, and communications between the PARTIES relating to the subject matter of this AGREEMENT. The invalidity in whole or in part of any term and condition of this AGREEMENT shall not affect the validity of other term(s) and condition(s) of this AGREEMENT. The above referenced Recitals are true and correct and incorporated herein by reference.
Tulare County Agreement No. __________________
B. COUNTY’s failure to insist on any instance(s) of CITY’S performance of any term(s) or condition(s) of this AGREEMENT shall not be construed as a waiver or relinquishment of COUNTY’S right to such performance or to future performance of such term(s) and condition(s), and CITY’S obligation in respect thereto shall continue in full force and effect. Changes to any portion of this AGREEMENT shall not be binding upon COUNTY except when specifically confirmed in writing by an authorized representative of COUNTY by way of a written amendment to this AGREEMENT and issued in accordance with the provisions of this AGREEMENT.
C. CITY’S failure to insist on any instance(s) of COUNTY’S performance of any term(s) or condition(s) of this AGREEMENT shall not be construed as a waiver or relinquishment of CITY’S right to such performance or to future performance of such term(s) or condition(s), and COUNTY’S obligation in respect thereto shall continue in full force and effect.
Changes to any portion of this AGREEMENT shall not be binding upon CITY except when specifically confirmed in writing by an authorized representative of CITY by way of a written amendment to this AGREEMENT and issued in accordance with the provisions of this AGREEMENT.
ARTICLE 3. SCOPE OF AGREEMENT
This AGREEMENT specifies the roles and responsibilities of the PARTIES as they pertain to the subjects and projects addressed herein. PARTIES agree to cooperate and coordinate with the other in all activities covered by this AGREEMENT and any amendments to this AGREEMENT. CITY authorizes the design and construction management of the Project to be delegated to the COUNTY.
ARTICLE 4. RESPONSIBILITIES
A. Environmental Findings and Approvals/Permits
a. COUNTY is the CEQA Lead Agency and Caltrans is the NEPA Lead Agency for the PROJECT.
b. COUNTY will determine the type of CEQA documentation and NEPA documentation (per the approval of Caltrans) needed and will cause that documentation to be prepared in accordance with CEQA and NEPA Requirements. c. COUNTY will ensure that qualified personnel remain available to help resolve environmental issues and perform any necessary work to ensure that the PROJECT remains in environmental compliance.
Tulare County Agreement No. __________________
d. CITY will review, comment, and concur on all environmental documentation (including, but not limited to, studies, reports, public notices and public meeting materials, determinations, administrative drafts, final environmental documents, and revalidation) at appropriate stages of development prior to approval and public availability.
e. If COUNTY makes any changes to the environmental documentation, COUNTY will allow CITY to review, comment, and concur on those changes prior to the COUNTY’S (or Caltrans) approval at appropriate stages of development prior to public availability.
f. If COUNTY makes any changes to environmental-related public notices (if any), then the COUNTY will allow CITY to review, comment, and concur on those changes prior to publication and circulation.
g. COUNTY will attend all environmental-related public meetings (if any). h. COUNTY is responsible for coordinating, obtaining, implementing, renewing, and/or amending the PROJECT’s permits, agreements, and/or approvals whether they are identified in the PROJECT’s scope of work or become necessary while completing the PROJECT.
B. Preliminary Engineering
a. COUNTY is the PRELIMINARY ENGINEERING IMPLEMENTING AGENCY. b. CITY will make available to COUNTY all necessary CITY regulations, policies, procedures, manuals, standards, plans, and specifications required for the construction of PROJECT when requested by COUNTY.
c. COUNTY will prepare Utility Conflict Maps identifying the accommodation, protection, relocation, or removal of any existing utility that conflict with construction of the PROJECT.
d. COUNTY will determine the cost to positively identify and locate, accommodate, protect, relocate, or remove any utility facilities whether inside or outside the PARTIES’ rights-of-way in accordance with federal and California laws and regulations.
e. CITY will delegate authority to COUNTY to act on behalf of CITY on all utility relocation related matters.
Tulare County Agreement No. __________________
f. Any necessary CITY reviews of project studies, submittals, etc., shall be completed within 14 days of COUNTY submittal. If a response is not received within this time, CITY will be deemed to have completed its review.
C. Right-of-Way
a. COUNTY is the RIGHT-OF-WAY IMPLEMENTING AGENCY.
b. As RIGHT-OF-WAY IMPLEMENTING AGENCY, COUNTY is responsible for all RIGHT-OF-WAY work except those activities and responsibilities that are assigned to CITY.
c. The selection of personnel performing RIGHT-OF-WAY work will be in accordance with federal and California laws and regulations. d. If COUNTY acquires any RIGHT-OF-WAY within CITY’S JURISDICTION, COUNTY will first acquire it in its own name. Title to the RIGHT-OF-WAY within CITY’S JURISDICTION will ultimately be vested in the CITY. CITY’S acceptance of title will occur after RIGHT-OF-WAY certification for the PROJECT is completed.
e. RIGHT-OF-WAY conveyances must be completed within 180 days after filing of the NOTICE OF COMPLETION unless PARTIES mutually agree to other arrangements in writing.
D. Construction
a. COUNTY is the CONSTRUCTION IMPLEMENTING AGENCY.
b. COUNTY will advertise, open bids, award, and approve the construction contract in accordance with the California Public Contract Code, California Labor Code, and Federal guidelines.
c. COUNTY will not advertise the construction contract for PROJECT until CITY accepts the final plans, specifications, and estimate packages. d. CITY will grant to COUNTY, at no cost to the COUNTY, permission to occupy or use public roads in CITY and any temporary RIGHT-OF-WAY that CITY owns or has an easement for, that is necessary for the construction of PROJECT. e. COUNTY will implement changes to the construction contract through change orders.
Tulare County Agreement No. __________________
f. COUNTY will require the construction contractor to furnish payment and performance bonds naming COUNTY as obligee, and CITY as additional obligee, and to carry liability insurance in accordance with the PROJECT’s specifications. g. Upon completion of PROJECT, CITY will operate and maintain in good condition and at CITY’S expense, all improvements constructed as part of PROJECT within CITY’S JURISDICTION.
h. COUNTY will file the NOTICE OF COMPLETION upon PROJECT’S written acceptance by CITY and approval by COUNTY Board of Supervisors.
ARTICLE 5. FUNDING
A. CITY hereby acknowledges that all non-federally participating PROJECT costs (including Preliminary Engineering, Right-of-Way, and Construction phases, as well as aesthetic features requested by the CITY) for the ultimate 4-lane bridge replacement beyond the Caltrans’ approved scope for a 2-lane bridge replacement, will be funded by TCAG via a separate Measure R Program Supplement between COUNTY and TCAG. TCAG has established an initial funding amount of $500,000 (five hundred thousand dollars) for the PRELIMINARY ENGINEERING phase and $5,000,000 (five million dollars) for the CONSTRUCTION phase of PROJECT. If the initial fund allocations are not sufficient to cover all non-federally participating PROJECT costs (due to cost increases or Caltrans’ determination of costs to be non-participating), CITY acknowledges that COUNTY and TCAG will collaborate to secure additional funds needed to cover the funding shortfall.
Construction is anticipated to start in fiscal year 2029/2030.
B. COUNTY shall invoice TCAG for cost share of non-federally participating items of work.
ARTICLE 6. NO RIGHTS IN THIRD PARTIES
Nothing in the provisions of this AGREEMENT is intended to create duties or obligations to or rights in third parties that are not parties to this AGREEMENT or to affect the legal liability of either party to the AGREEMENT by imposing any standard of care with respect to the maintenance of the CITY's property different from the standard of care imposed by law.
ARTICLE 7. INDEMNIFICATION
A. Neither COUNTY nor any officer or employee thereof is responsible for any damage or liability occurring by reason of anything done or omitted to be done by CITY under or in connection with any work, authority, or jurisdiction delegated to CITY under this AGREEMENT. It is understood and agreed that, pursuant to Government Code Section Tulare County Agreement No. __________________
895.4, CITY shall fully indemnify and save harmless COUNTY and its officers and employees from all claims, suits or actions of every name, kind and description brought for or on account of injury (as defined by Government Code section 810.8) occurring by reason of anything done or omitted to be done by CITY under or in connection with any work, authority, or jurisdiction delegated to CITY under this AGREEMENT.
B. Neither CITY nor any officer or employee thereof is responsible for any damage or liability occurring by reason of anything done or omitted to be done by COUNTY under or in connection with any work, authority or jurisdiction delegated to COUNTY under this AGREEMENT. It is understood and agreed that, pursuant to Government Code Section 895.4, COUNTY shall fully indemnify and save harmless CITY and its officers and employees from all claims, suits, or actions of every name, kind and description brought for or on account of injury (as defined by Government Code section 810.8) occurring by reason of anything done or omitted to be done by COUNTY under or in connection with any work, authority, or jurisdiction delegated to COUNTY under this AGREEMENT.
ARTICLE 8. TERMINATION
This AGREEMENT shall terminate upon filing of the Notice of Completion, payment of final invoice, and transfer of CITY’s RIGHT-OF-WAY to COUNTY, unless the PARTIES agree through an amendment to this AGREEMENT to an extension of time.
ARTICLE 9. SEVERABILITY AND CONSTRUCTION
If any provision of this AGREEMENT is held to be illegal, invalid, or unenforceable under present or future laws, such provisions shall be fully severable. This AGREEMENT shall be construed and enforced as though such illegal, invalid, or unenforceable provision had never comprised a part of this AGREEMENT and the remaining provisions of this AGREEMENT shall remain in full force and effect.
ARTICLE 10. VENUE
This AGREEMENT shall be construed in accordance with the laws of the State of California without consideration of conflict of law principles. PARTIES agree to submit themselves to the JURISDICTION of the court venue in COUNTY in any action relating to this AGREEMENT or the enforcement of interpretation thereof.
Tulare County Agreement No. __________________
IN WITNESS WHEREOF, the undersigned PARTIES have executed this AGREEMENT on the day and year first written above:
CITY OF PORTERVILLE
Date_______________ By__________________________________ John D. Lollis – City Manager
ATTEST: Patrice Hildreth
Chief Deputy City Clerk
of the City of Porterville
By__________________________________
Approved as to Form:
City Attorney
By__________________________________
COUNTY OF TULARE
Date_______________ By__________________________________ Chair, Board of Supervisors
ATTEST: JASON T. BRITT
County Administrative Officer/Clerk of the Board
of Supervisors of the County of Tulare
By__________________________________
Deputy Clerk
Approved as to Form:
County Counsel
By__________________________________
Deputy
Matter #
Item No. 8.
CITY COUNCIL AGENDA – NOVEMBER 15, 2022
SUBJECT: Adoption of a Conflict of Interest Policy for Design-Build Projects SOURCE: Engineering and Project Management
COMMENT: California Public Contract Code Section 22160 authorizes local agencies to procure design-build contractors for the construction of a building or buildings and improvements directly related to the construction of a building or buildings, regional and local sanitation wastewater treatment facilities, park and recreational facilities, regional and local solid waste facilities, regional and local water recycling facilities, or fire protection facilities, in excess of one million dollars ($1,000,000), by awarding the contract either to the low bid or for the best value, provided that the project is not on the State highway system.
Staff has developed guidelines for a standard conflict of interest policy, as required by the above mentioned code section and consistent with applicable law, regarding the ability of a person or entity that performs services for the local agency relating to the solicitation of a design-build project, to submit a proposal as a design-build entity, or to join a design-build team.
The use of the design-build method of project delivery for the allowed types of construction projects in excess of one million dollars ($1,000,000) shall be utilized with City Council approval on a case by case basis when it is determined to be in the best interest of the City.
RECOMMENDATION: That the City Council:
1. Approve the Conflict of Interest Policy for Design-Build Projects as developed by staff and adopt the Resolution for said policy; and
2. Authorize the City Clerk to record the attached Resolution.
ATTACHMENTS: 1. Draft Resolution
2. Exhibit A
Appropriated/Funded:
Review By:
Department Director:
Javier Sanchez, Engineering & Project Management Director Final Approver: John Lollis, City Manager
Item No. 8.
RESOLUTION NO. _____ - 2022
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF PORTERVILLE
ADOPTING A CONFLICT OF INTEREST POLICY FOR THE DESIGN-BUILD
METHOD OF PROJECT DELIVERY
WHEREAS, the California Legislature has found and declared that various agencies authorized to use the design-build method of project delivery, using a best value procurement methodology, have reported benefits from such projects, including reduced project costs, expedited project completion, and design features that are not achievable through the traditional design-bid-build method; and
WHEREAS, the California Legislature has provided general authorization for certain local agencies to use design-build for certain projects by enacting Public Contract Code Section 22160 et seq.; and
WHEREAS, California Public Contract Code Section 22160 et seq. authorizes local agencies, with the approval of the governing body, to procure design-build contracts for the construction of a building or buildings and improvements directly related to the construction of a building or buildings, regional and local sanitation wastewater treatment facilities, park and recreational facilities, regional and local solid waste facilities, regional and local water recycling facilities, or fire protection facilities, in excess of one million dollars ($1,000,000), by awarding the contract either to the low bid or for the best value, provided that the project is not on the state highway system; and
WHEREAS, California Public Contract Code Section 22160 et seq. contains a requirement that each local agency entering into design-build contracts authorized under Public Contract Code Section 22160 et seq. shall develop guidelines for a standard organizational conflict of interest policy, consistent with applicable law, regarding the ability of a person or entity that performs services for the local agency relating to the solicitation of a design-build project, to submit a proposal as a design-build entity, or to join a design-build team; and WHEREAS, the City of Porterville, as a charter city in the State of California, is not bound by the enactment of California Public Contract Code Section 22160 et seq. but has determined that the provisions set forth in California Public Contract Code Section 22160 et seq. are in the best interest of the City of Porterville with regards to the utilization of the design-build method for some of the City of Porterville's construction projects; and WHEREAS, the Council of the City of Porterville desires to establish guidelines for a conflict of interest policy pursuant to California Public Contract Section 22162 for the utilization of the design-build method for the delivery of construction projects.
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Porterville hereby finds and determines that the use of the design-build method of project delivery, using a best value procurement methodology, for the construction of projects in excess of one million dollars ($1,000,000), with Council approval, on a case by case basis, is in the best interest of the City of Porterville.
BE IT FURTHER RESOLVED that the Council of the City of Porterville hereby approves and adopts the Design-Build Conflict of Interest Policy that is attached hereto as Exhibit A and is incorporated herein by this reference.
PASSED, APPROVED and ADOPTED this 15th day of November, 2022.
Martha A. Flores, Mayor
ATTEST:
John D. Lollis, City Clerk
By:
Patrice Hildreth, Chief Deputy City Clerk
Exhibit A
City of Porterville
Design-Build Conflict of Interest Policy
for
Construction Projects
Purpose
The purpose of this policy is to establish guidelines, as required under California Public Contract Code Section 22162, for a standard organizational conflict of interest policy, regarding the ability of a person or entity to submit a proposal to the City of Porterville (hereinafter referred to as "City"), or an entity acting under the authority of the City, as a design-build entity or to join a design-build team (hereinafter referred to as "Proposer") for a construction project authorized by the City of Council of the City of Porterville as a design-build project (hereinafter referred to as "Project") procured pursuant to California Public Contract Code Section 22160 et seq. A person or entity's failure to comply with these standards of conduct may result in potential liability to that person or entity and may preclude the person or entity from participation in the Project.
This conflict of interest policy is intended to accomplish the following goals:
1) Promote integrity, transparency, competitiveness and fairness in the City's procurements and contracts for a Project;
2) Prevent Proposers from obtaining or appearing to obtain an unfair competitive advantage with respect to the City's procurements and contracts for a Project;
3) Provide guidance to enable Proposers to make informed decisions while conducting business with the City related to the City's Projects; and
4) Protect the validity of the City's contracts, confidential and sensitive information concerning the City's Projects, and other City interests related to the City's Projects.
The City recognizes that its goals must be balanced against the need to not unnecessarily restrict the pool of potential Proposers available to participate in the City's procurements and contracts for the City's Projects. This conflict of interest policy neither purports to address every situation that may arise in the context of the City's procurements and contracts for the City's Projects, nor to mandate a particular decision by the City. The City retains the ultimate and sole discretion to determine on a case-by-case basis whether a conflict of interest exists and what actions may be appropriate to avoid, neutralize or mitigate any actual or potential conflict of interest or the appearance of any such conflict of interest.
Policy
A. Definitions.
Unless otherwise stated, the following terms shall have the following meaning:
1) "Design-Build" shall mean the Project delivery process in which both the design and the construction of the Project are procured from a single entity. 2) "Design-Build Entity" means a corporation, limited liability company, partnership, joint venture, or other legal entity that is able to provide appropriately licensed contracting, architectural, and engineering services as needed pursuant to a Design-Built contract.
3) "Design-Build Project" shall mean the particular Project the design and construction of which is being considered under this Policy. 4) "Design-Build Team" shall mean a Design-Build Entity and the individuals and other entities identified by the Design-Build Entity as members of its team. Members of a Design-Build Team include the general contractor and, if utilized in the design of the project, all electrical, mechanical, and plumbing contractors.
5) "Project Party" shall mean the persons or entities working with the City on the Design-Build Project, if any.
6) "Proposer" shall mean the prime consultant or prime contractor, and any subconsultants and subcontractors performing services for the prime consultant or prime contractor, that seeks to submit a proposal to the City as a Design-Build Entity or to join a Design-Build Team.
B. Organizational Conflicts of Interest.
1) A Proposer may not have any organizational conflicts of interest. 2) "Organizational conflicts of interest" are circumstances arising out of a consultant's or contractor's existing or past activities, business or financial interests, familial relationships, and/or organizational structure (e.g., parent entities and their subsidiaries and affiliates) that results in (i) the impairment or potential impairment of a consultant's or contractor's ability to render impartial assistance or advice to the City or of its objectivity in performing work for the City; (ii) an unfair competitive advantage for any Proposer with respect to a City procurement; or (iii) a perception or appearance of impropriety with respect to any of the County's procurements or contracts or a perception or appearance of unfair competitive advantage with respect to a procurement by the City (regardless of whether any such perception is accurate). 3) An organizational conflict of interest exists in the following instances:
a. A Proposer is the City's general engineering or architectural consultant to the Design-Build Project, except that a
subconsultant to the general engineering or architectural consultant that has not yet performed work on the contract to provide services for the Design-Build Project may participate as a proposer or join a Design-Build Team if it terminates the agreement to provide work and provides no work for the City's general engineering or architectural consultant on the DesignBuild Project. b. A Proposer has assisted or is assisting the City in the management of the Design-Build Project, including the
preparation of the request for proposals, evaluation criteria, or any other aspect of the procurement.
c. A Proposer has conducted preliminary design services for the Design-Build Project, such as conceptual layouts, preliminary design, or preparation of bridging documents.
d. A Proposer performed design work related to the Design-Build Project for other stakeholders in the Design-Build Project. e. A Proposer performed design work on a previous contract that specifically excludes it from participating as a proposer or joining a Design-Build Team for the Design-Build Project. f. A Proposer is under contract with any other entity or stakeholder to perform oversight of the Design-Build Project. g. A Proposer has obtained advice from, or discussed any aspect relating to the Design-Build Project or procurement of the Design-Build Project with, any person or entity with an organizational conflict of interest, including, but not limited to, the consultants of any entity that have provided technical support on the Design-Build Project.
h. Any circumstances that would violate California Government Code Section 1090, et seq.
C. Obligations of Proposers.
1) Proposers shall make a full written disclosure to the City of the facts and circumstances regarding an organizational conflict of interest or a potential organizational conflict of interest, and shall have a continuing obligation to do so until they are no longer Proposers.
2) Proposers shall disclose all relevant facts relating to past, present or planned interests of the Proposer's Design-Build Team (including the Proposer, Proposer's proposed consultants and subconsultants and subcontractors and their respective directors and key personnel) that may result in, or could be viewed as, an organizational conflict of interest in connection with any Design-Build Project procurement, including present or planned contractual or employment relationships with any current City employee. 3) Proposers shall disclose in the response documents to a Design-Build request for qualifications and request for proposals, all the work performed in relation to the particular proposed Design-Build Project. 4) If a Proposer determines that a conflict of interest or potential conflict of interest exists, it must disclose the conflict or potential conflict of interest to the City. The disclosure may not necessarily disqualify a Proposer from being awarded a contract. The Proposer shall propose measures to avoid, neutralize, or mitigate all conflicts or potential conflicts. The City, in its sole discretion, shall determine whether the proposed measures are sufficient to overcome the conflict or potential conflict and whether the Proposer may continue with the procurement process. The City has the right to cancel or amend a resulting Design-Build Project contract if the successful Proposer failed to disclose a conflict or potential conflict that it knew or should have known about, or if the Proposer provided information in its disclosure that is false or misleading. 5) For other conflicts or potential conflicts not mentioned specifically above, such as conflicts involving employees changing companies, mergers and acquisitions of firms, property ownership, business arrangements, and financial interests, a Proposer shall disclose and address any organizational conflicts of interest or potential organizational conflicts of interest when participating in or joining a Design-Build Team. The City will determine if a conflict of interest exists.
D. Obligations After Contract Award.
The successful Proposer to whom a contract is awarded ("Contractor") has an ongoing obligation to monitor and disclose its conflicts or potential conflicts of interest. The City has the right to ongoing enforcement of this policy. If an organizational conflict of interest is discovered after contract award, the Contractor must make an immediate and full written disclosure to the City that includes a description of the action that the Contractor has taken or proposes to take to avoid or mitigate the conflict. If an organizational conflict of interest is determined to exist and the Contractor was aware of an organizational conflict of interest prior to award of the contract and did not disclose the conflict, the City may terminate the contract. If a new conflict of interest arises after contract award, and Contractor's proposed measures to avoid or mitigate the conflict are determined by the City to be inadequate to protect the City, the City may terminate the contract. If the contract is terminated, the City assumes no obligations, responsibilities and liabilities to reimburse all or part of the costs incurred or alleged to have been incurred by Contractor and is entitled to pursue any available legal remedies.
E. Incorporation by Reference.
This policy shall be incorporated by reference into and included as part of all City Project requests for qualifications and requests for proposals, and all City Design-Build contracts.
Item No. 9.
CITY COUNCIL AGENDA – NOVEMBER 15, 2022
SUBJECT: Intent to Schedule a Public Hearing to Consider the Adjustment of Golf Course Fees
SOURCE: Parks and Leisure Services
COMMENT: The Porterville Municipal Golf Course is a 9-hole course owned by the City.
The golf course pro, Casey Butler, is contracted by the City to manage the course. Butler recently contacted staff to suggest analyzing some of the fees at the golf course which have been in place for over fifteen (15) years. In that time span, the minimum wage has doubled and many other operational expenses have increased. The golf course has just received, and is slated to receive, a few more significant capital improvements in the coming months. The golf course has just begun a golf cart lease program that is providing much higher quality carts, which has been a huge need of the course for some time now. Also,the parking lot has just been repaved, and the driving range netting and poles will be replaced. In addition, there are plans to address dry patches on a couple of fairways.
The recommendation by Butler is to increase the majority of fees $1, excluding all youth fees and the daily ticket surcharge fee. This increase is anticipated to be sufficient for several years to come. Here is a list of current and proposed fees:
Current Fee Proposed Fee
9 Holes $12 $13
Repeat 9/Twilights $7 $8
Cart 9 $11 $12
Cart 18 $20 $21
Cart Twilight $9 $10
Monthly Ticket Pass $70 $75
Family Pass $85 $90
Seniors Pass $60 $65
Youth Pass $35 $35
Daily Ticket Surcharge $1 $1
Item No. 9.
The Porterville Municipal Golf Course is unique in that it does not increase fees for weekend play, nor does it charge a per person rider fee for carts. An example of fees from a few other golf courses around the valley are as follows:
Tulare GC: 9 holes- $24 (weekends $27), 18 holes- $34 (weekends $40), Cart 9- $10 per rider, Cart 18- $18 per rider
Exeter GC: 9 holes- $14 (weekends $16), Cart- $8 per rider Airways GC: 9 holes- $22, 18 holes $26, Cart- $20
Riverside GC Fresno: 9 holes- $25 (weekends $27), 18 holes- $29 (weekends $39), Cart 9- $12 per rider, Cart 18- $17 per rider
At its meeting on November 3, 2022, the Parks and Leisure Services Commission voted unanimously to recommend the proposed fee increases presented by staff.
RECOMMENDATION: That the City Council schedule a Public Hearing for December 6, 2022, for consideration of the adjustment of Porterville Municipal Golf Course Fees.
ATTACHMENTS:
Appropriated/Funded:
Review By:
Department Director:
Donnie Moore, Parks and Leisure Services Director
Final Approver: John Lollis, City Manager
Item No. 10.
CITY COUNCIL AGENDA – NOVEMBER 15, 2022
SUBJECT: Request for Street Closure: 28th Annual Myers Christmas Memorial Tree Lighting - December 13, 2022
SOURCE: Administrative Services
COMMENT:
Myers Funeral Service and Crematory holds an Annual Christmas Memorial Tree Lighting ceremony at its location at 248 North "E" Street, with this year's service scheduled to take place on Tuesday, December 13, 2022. In conjunction with this event, and for the safety of those in attendance, Ernesto Alonzo, Funeral Director of Myers Funeral Service and Crematory, has requested the closure of "E" Street between Putnam and Cleveland Avenues, from 5:00 p.m. to 9:00 p.m. The ceremony is scheduled to be held in front of Myers Chapel on "E" Street at 7:00 p.m.
In addition to the street closure, Alonzo submitted an Assembly Permit for the estimated 500 people that is expected to attend this annual event. The Police Department has approved the Assembly Permit, which is attached for the City Council's reference, along with a copy of the required Certificate of Liability Insurance.
RECOMMENDATION: That the City Council approve the closure of "E" Street, between Putnam and Cleveland Avenues, on December 13, 2022, from 5:00 p.m. to 9:00 p.m., subject to the specified conditions.
ATTACHMENTS: 1. Myers Letter of Request: October 27, 2022
2. Assembly Permit
3. Certificate of Liability Insurance
Appropriated/Funded:
Review By:
Department Director:
Patrice Hildreth, Deputy City Manager
Final Approver: John Lollis, City Manager
Item No. 11.
CITY COUNCIL AGENDA – NOVEMBER 15, 2022
SUBJECT: Reaffirm Conditions of State Assembly Bill 361 to Continue Remote Attendance at Public Meetings
SOURCE: City Manager's Office
COMMENT:
During the prior eighteen (18) months, the City Council and its legislative bodies have conducted teleconferencing meetings as allowed pursuant to a series of Executive Orders, the most recent which expired on September 30, 2021 (Executive Order N-08-021, issued June 11, 2021), which waived all physical presence requirements under the Brown Act as a means of limiting the spread of COVID-19. Pursuant to adopted State law effective September 30, 2021, Assembly Bill 361 (AB 361), extends the authority of public agencies to conduct meetings by teleconference, including video conference, without compliance with all of the Brown Act's limitations on such meetings, which the status of emergency resulting from the COVID-19 pandemic and accompanying recommendations for social distancing remain in place. Consistent with AB 361, the Council must adopt a Resolution consistent with the Governor's State of Emergency, and must review and renew such Resolution every thirty (30) days thereafter. AB 361 will sunset on January 1, 2024. The Council last adopted its Resolution consistent with AB 361 at its meeting on November 1, 2022.
RECOMMENDATION: That the City Council consider adoption of the draft Resolution to continue allowing the option to participate in the City's public meetings remotely through the use of the teleconferencing provisions of AB 361.
ATTACHMENTS: 1. Draft Resolution
Appropriated/Funded:
Review By:
Department Director:
John Lollis, City Manager
Final Approver: John Lollis, City Manager
RESOLUTION _____-2022
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF PORTERVILLE
RATIFYING THE PROCLAMATION OF A STATE OF EMERGENCY BY ASSEMBLY BILL 361 ISSUED ON SEPTEMBER 16, 2021, AND AUTHORIZING REMOTE
TELECONFERENCE MEETINGS OF ALL LEGISLATIVE BODIES OF THE CITY OF PORTERVILLE FOR THE PERIOD OF THIRTY (30) DAYS PURSUANT TO BROWN
ACT PROVISIONS
WHEREAS, the City Council is committed to preserving and nurturing public access and participation in meetings of all City of Porterville legislative bodies; and, WHEREAS, all meetings of the City’s legislative bodies are open and public, as required by the Ralph M. Brown Act (Cal. Gov. Code 54950-54963), so that any member of the public may attend, participate, and watch the City’s legislative bodies conduct their business; and,
WHEREAS, the Brown Act, Government Code section 54953(e), makes provisions for remote teleconferencing participation in meetings by members of a legislative body, without compliance with the requirements of Government Code section 54953(b)(s), subject to the existence of certain conditions; and, WHEREAS, a required condition is that a state of emergency is declared by the Governor pursuant to Government Code section 8625, proclaiming the existence of conditions of disaster or of extreme peril to the safety of persons and property within the state caused by conditions as described in Government Code section 8558; and, WHEREAS, a proclamation is made when there is an actual incident, threat of disaster, or extreme period to the safety of persons and property within the jurisdictions that are within the City’s boundaries, caused by natural, technological, or humancaused disasters; and, WHEREAS, it is further required that State or local officials have imposed or recommended measures to promote social distancing, or, the legislative body meeting in person would present imminent risks to the health and safety of attendees; and, WHEREAS, a State of Emergency has been proclaimed by the Governor of the State of California; and,
WHEREAS, State and local officials continue to promote social distancing measures and City’s conference chambers limited capacity would present imminent risk to health and safety of attendees; and,
WHEREAS, as a consequence of the State emergency, the City does hereby find that the legislative bodies of the City shall conduct their meetings without compliance with paragraph three (3) of subdivision (b) of Government Code section 54953, as authorized by subdivision (e) of section 54953, and that such legislative bodies shall comply with the requirements to provide the public with access to the meetings as prescribed in paragraph two (2) of subdivision (c) of section 54953; and, WHEREAS, the City will give notice of the meeting and post agendas, as described, to allow members of the public to access the meeting and address the legislative body, to give notice of the means by which members of the public may access the meeting and offer public comment, including an opportunity for all persons to attend via a call-in option or an internet-based service option, and to conduct the meeting in a manner that protects the statutory and constitutional rights of the parties and the public appearing before the legislative body; and, WHEREAS, the legislative body will not take any further action on agenda items when there is a disruption which prevents the public agency from broadcasting the meeting, or in the event of a disruption within the local agency’s control which prevents members of the public from offering public comments, until public access is restored; and,
WHEREAS, the legislative body will not require public comments to be submitted in advance of the meeting and specifies that the legislative body must provide an opportunity for the public to address the legislative body and offer comment in real time; and,
WHEREAS, the legislative body will not close the public comment until the public comment period has elapsed or until a reasonable amount of time has elapsed as specified.
NOW, THEREFORE BE IT RESOLVED by the City Council of the City of Porterville as follows:
SECTION 1. Recitals. The Recitals set forth above are true and correct and are incorporated into this Resolution by this reference; and, SECTION 2. Ratification of Governor’s Proclamation of a State of Emergency.
The City hereby ratifies the Governor of the State of California’s Proclamation of March 2, 2020; and,
SECTION 3. Remote Teleconference Meetings. The City Manager and legislative bodies of City of Porterville are hereby authorized and directed to take all actions necessary to carry out the intent and purpose of this Resolution including, conducting open and public meetings in accordance with Government Code section 54953(e) and other applicable provisions of the Brown Act; and, SECTION 4. Effective Date of Resolutions. This Resolution shall take effect immediately upon its adoption and shall be effective until the earlier of December 15, 2022, or such time the Council adopts a subsequent Resolution in accordance with Government Code section 54953 (e)(3) to extend the time during which the legislative bodies of City of Porterville may continue to teleconference without compliance with paragraph (3) of subdivision (b) of section 54953.
PASSED, APPROVED, AND ADOPTED this 15th day of November, 2022.
Martha A. Flores, Mayor
ATTEST:
John D. Lollis, City Clerk
By:
Patrice Hildreth, Chief Deputy City Clerk
Item No. 12.
CITY COUNCIL AGENDA – NOVEMBER 15, 2022
SUBJECT: Status and Review of Local Emergency Drought
SOURCE: City Manager's Office
COMMENT:
At its meeting of May 5, 2015, the City Council took action to approve a Resolution Declaring a Drought Emergency in the City of Porterville. At its meeting of November 1, 2022, the Council reviewed the status of existence of local emergency, and acted to continue its Resolution of local emergency.
Governor Brown issued Executive Order B-29-15 on Wednesday, April 1, 2015, which established drought-related mandates and restrictions in addition to those already stipulated in previous Executive Orders B-26-14 and B-28-14. Of significance, the Governor directed the State Water Resources Control Board to impose restrictions to achieve a statewide twenty-five percent (25%) reduction in potable urban water usage through February 28, 2016, in comparison to the amount used in 2013, and with consideration given to per capita usage as a basis. The Governor further directed the Board to impose additional restrictions on commercial, industrial, and institutional properties with significant landscaping (cemeteries, golf courses, parks, schools, etc.), to also achieve a twenty-five (25%) reduction in potable water usage. Also of significance, the Board was directed to prohibit irrigation with potable water outside of newly constructed homes and buildings that is not delivered by drip or micro-spray systems.
On November 13, 2015, Governor Brown issued Executive Order B-36-15, which extends emergency conservation regulations through October 2016, if drought conditions persist through January 2016. On February 2, 2016, the State Water Resources Control Board adopted extended emergency water conservation regulations, to be in effect March 1 through October 31, 2016.
The City of Porterville benefited somewhat from the extended regulations as the City's water conservation rate has been reduced from thirty-two percent (32%) to twenty-six percent (26%), due to new water connections that have been made and population served (4%), as well as a new climate adjustment factor that was considered (2%).
On May 9, 2016, Governor Brown issued Executive Order B-37-16 ("Making Water Conservation a California Way of Life"), which directs the State Water Resources Control Board to establish new regulations making permanent the emergency conservation regulations. On May 18, 2016, the State Water Resources Control Board adopted a statewide water conservation approach that replaces the percentage reduction-based water conservation standard with a Item No. 12.
localized "stress test" approach that mandates urban water suppliers act immediately to ensure at least a three-year supply of water to their customers under continued drought conditions.
On April 7, 2017, Governor Brown issued Executive Order B-40-17, which ended the drought state of emergency in most of California, with the exception of Fresno, Kings, Tulare and Tuolumne counties where emergency water supply and reliability projects are continuing toward addressing diminishing groundwater supplies. The Order maintains monthly reporting requirements and prohibitions on wasteful practices.
On May 31, 2018, Governor Brown signed both AB 1668 (Friedman) and SB 606 (Hertzberg), which set permanent overall targets for indoor and outdoor water consumption. The legislation sets an initial limit for indoor water use of fifty-five (55) gallons per-person per-day in 2022, reducing to 52.5 gallons perperson per-day in 2025, and finally to fifty (50) gallons per-person per-day in 2030. The amount of residential outdoor use is yet-to-be determined, but will allow for varying regional climates. In addition, a standard for water loss due to leak rates in water system pipes will be established. As an urban water provider, the City will need to submit its plan for compliance for approval by the State Water Resources Control Board.
On March 5, 2021, Secretary Vilsack of the United States Department of Agriculture federally-designated Tulare County as a primary natural disaster area due to ongoing drought conditions. On April 21, 2021, Governor Newsom issued a State of Emergency Proclamation due to drought conditions, including Tulare County. On April 27, 2021, the Tulare County Board of Supervisors adopted a Resolution Proclaiming a Local Emergency due to severe drought conditions. On January 4, 2022, the State Water Resources Control Board adopted emergency regulations to supplement voluntary water conservation.
On March 28, 2022, Governor Newsom issued Executive Order N-7-22, that requires the state's largest water providers (including the City of Porterville) to put in place "Level 2" of water shortage contingency plans, which the City is currently in "Level 4." On June 10, 2022, the State Water Resources Control Board adopted emergency regulations to prohibit the watering of nonfunctional or purely decorative grass in commercial, industrial or institutional properties with potable water.
Initially within the city of Porterville, twenty-six (26) residences within the city were determined to have dry wells, for which City staff submitted a Mutual Aid Request to Tulare County OES to initiate the household tank program for identified properties within the city where wells are dry and challenged for permanent connection. The State has committed funding for non-profit agencies to continue drought-related activities, which Self-Help Enterprises has continued the household tank program locally, through State Cleanup and Abatement Account (CAA) emergency funds.
Representatives for the City, County, State (CalOES, DDW, DWR, and SWB) Item No. 12.
and non-profit partners continued to meet in support of the long-term permanent water connection project for the entire East Porterville area and the estimated 1,800 expected future connections. DWR identified 423 residential units in the East Porterville area (381 of which are in the City's Urban Development Boundary), that were served by the County's Household Tank Program and desired by the State to be connected to the City's water distribution system as soon as possible. DWR has completed a significant City waterline extension project to permanently connect those 423 residential units to the City's water system (considered Phase I of the project). To provide initial source water for the DWR extension project, CalOES desired to expeditiously connect the new well on Olive Avenue to the City's water system instead of being first equipped as a filling station. Given the new well has an estimated water production value of 800 gallons per minute, as well as a SWB assumed 1.5 gallons per minute per residence, the new well could effectively serve up to five hundred (500) single-family residential units. The City indicated its significant interest that the E. Vandalia Avenue area and its eighty (80) residential units be included in the water connection project, to which the State was agreeable.
Given CalOES has paid for the development of the new well, and its connection to the City's water system, the City will be required under "Drought Redundancy and Resiliency Provisions" to make available to the State up to three million gallons of water per month without charge for emergency purposes. On May 7, 2022, Tulare County OES notified the City that due to deteriorating conditions across the county involving small water systems dependent upon the Friant-Kern Canal that may result in the complete lack of water or "Do Not Drink" orders, the State and County may have to invoke the provision of water from the well.
To proceed with the connection of the new well to the City's water system and the 500 East Porterville and E. Vandalia Avenue residential units, the City Council approved modifications to the Draft Agreement between the City and County at its meeting on April 5, 2016, which the County Board of Supervisors subsequently approved at their meeting on May 10, 2016.
A Memorandum of Understanding between the State, County, and City on the East Porterville permanent water connection project was approved by the Council during a Special Meeting on Tuesday, June 21, 2016, and approved by the Board of Supervisors on Tuesday, June 28, 2016. With the approval of the MOU, the State began the permanent connection of approximately forty (40) homes that are located along existing City water mains. Subsequently, the State officially requested that the City approve the connection of an additional thirty (30) residences as part of the first immediate connections, for up to a total of seventy (70), which the Council approved at its meeting on August 2, 2016.
In regards to the new well's development and connection to the City's water distribution system, the Board of Supervisors awarded the contract for equipping and connecting the new well at its meeting on Tuesday, August 16, 2016, and construction activities commenced the week of October 10, 2016.
County staff had previously indicated that the well would be in service and Item No. 12.
connected to the City's system no later than December 2016, however, the well was operational and connected to the City's water distribution as of Friday, February 17, 2017. Given the delay in the well's completion and connection, DWR requested that the Council consider allowing the connection of residences as they become prepared for connection, to which the Council was receptive, and a Draft MOU Amendment was approved by the Council at its meeting on December 6, 2016, and subsequently approved by the Board of Supervisors at is meeting on December 20, 2016. City staff continued to work with County staff toward the transfer of the well's ownership from the County to the City, which at its meeting on April 20, 2021, the Council approved the draft Transfer Agreement subject to the City Attorney's final form.
As of Friday, March 31, 2017, the date the State established as the final day for property owners to complete the registration process to participate in the Statefunded connection program opportunity, of the 1,017 eligible developed residential properties identified by the State for connection, 722 completed the required Extra-Territorial Services Agreement, leaving 295 developed residential properties non-responsive to this unique connection program, twenty-three (23) of which were reported as having either dry or diminishing capacity wells. On February 6, 2018, the final residential connection was made of the approximate eligible eight hundred (800) residences in East Porterville to the City's water system.
City staff continues to coordinate with Self-Help Enterprises and State representatives toward the extension of water mains to serve all residential properties within City limits and the city's periphery that are currently participating in the County's Household Tank Program. The two main areas of focus are N. Cobb Street (northwest of State Route 65 and Pioneer Avenue), and S. Cloverleaf Street (southeast of State Route 65 and Olive Avenue). The State has maintained its commitment to grant-fund the necessary infrastructure and connection fees, providing an official funding letter to the City on January 18, 2018, which commits up to $2.81 million in funding until December 31, 2019. The authorization to advertise for bids for the water connection project was approved by the Council at its July 17th meeting, after which DWR reviewed the bid package for compliance and approved in December the package for advertisement. Council authorized award of the construction contract for approximately $1.82 million at its meeting on January 15, 2019.
City staff conducted a pre-construction public outreach meeting with the affected residents on the status of the project on Thursday, April 4, 2019.
Council authorized the agreement with Self-Help Enterprises Inc. to provide the private residential connections at its meeting on July 2, 2019, and construction work began on the project. At its meeting on October 1, 2019, the Council accepted the public works segment of the project in the installation of water mains as complete, with Self-Help and CSET continuing to collaborate on the completion of the individual private connections and abandonment of private wells. City staff has recently been made aware that there may be a couple of additional residences whose wells are dry that are located along existing City water mains or may require further extension of water mains.
Staff is coordinating with State staff on addressing these new isolated needs.
Item No. 12.
County OES and the State Division of Drinking Water (DDW) have reported to the City that the Central Mutual Water Company, located south of the city and south of Gibbons Avenue, has had its well run dry and desires an immediate emergency connection to the City's water system to serve the forty-one (41) connections currently without water. DDW is wishing to support a financial application to upgrade the small water system to City standards (new water lines, meters ,etc.), and to sponsor an Urban Development Boundary (UDB) Amendment application to Tulare County Local Agency Formation Commission (LAFCO), given this area is currently outside the City's UDB but within the City's Urban Area Boundary (UAB). Given several private wells have run dry in this area, DDW is also attempting to sponsor their connection to the City's water system. For source water capacity for the connections, DWR will include these new connections within the East Porterville water connection capacity development projects. At its Special meeting on August 30, 2019, the City Council directed staff to proceed with the immediate emergency connection of the Central water system, with the permanent connection of the system contingent upon an Agreement with DDW to the sponsorship conditions they have offered. At its meeting on October 1, 2019, the Council directed staff to proceed with the amendment of the UDB to facilitate annexation, which a public meeting with the affected residents was conducted on Wednesday, October 9, 2019. At its meeting on April 21, 2020, the Council conducted a Public Hearing and approved Resolutions of approval of the environmental determination and amendment to the UDB to facilitate annexation. At its meeting on June 1, 2021, the Council approved the State Water Board funding agreement for the development of a City-owned production well, distribution mains and water meters to serve each customer, as well as fire hydrants. On July 20, 2021, the City received notification from the State Water Board that the Akin/Central Water Consolidation Project funding agreement had been formally approved and executed.
DDW has also reported to the City that the Del Oro East Plano water system, located on Paul Street (southeast of the intersection of Plano Street and Worth Avenue), is experiencing problems with its existing well and have implemented severe water restrictions. The East Plano water system serves fourteen (14) residences and approximately forty-five (45) people. DDW is wishing to provide financial support to upgrade the small water system to City standards (new water lines, meters ,etc.), and for source water capacity for the connections, DDW would need to either pay appropriate fees and/or develop a capacity development project. The Council is aware that the Del Oro Grandview Gardens water system (north of W. North Grand Avenue) is also experiencing significant issues, and DDW may seek their future consolidation with the City's water system as well.
DDW has further reported to the City that the Beverly Grand Mutual Water Company water system, located north of West North Grand Avenue, is experiencing problems with its existing well and water quality issues, and desires its connection to the City's system to serve the thirty-one (31) residences the system serves. DDW is wishing to provide financial support to upgrade the Item No. 12.
small water system to City standards (new water lines, meters ,etc.), and for source water capacity for the connections, DDW has agreed to pay appropriate fees toward developing a capacity development project, which at its meeting of October 3, 2017, the Council approved a purchase agreement with Smee Homes, Inc. for the acquisition of property along the Tule River for the development of a new municipal well. At its meeting of October 1, 2019, the Council approved proceeding with the consolidation of the Beverly Grand water system.
RECOMMENDATION: That the City Council receive the report of status and review of the Declaration of Local Emergency and determine the need exists to continue said Declaration.
ATTACHMENTS: 1. City of Porterville Resolution Declaring Local Drought Emergency: May 5, 2015
2. United States Department of Agriculture Drought Natural Disaster Area Designation: March 5, 2021
3. State of California State of Emergency Proclamation: April 21, 2021
4. County of Tulare Drought Local Emergency Resolution:
April 27, 2021
5. State Water Resources Control Board: Emergency
Regulation - Water Conservation; January 4, 2022
6. Governor Newsom Executive Order N-7-22: March 28,
2022
7. State Water Resources Control Board: Emergency
Regulation - Water Conservation; June 10, 2022
8. State Water Resources Control Board Funding Agreement:
Akin/Central Water Consolidation Project
Appropriated/Funded:
Review By:
Department Director:
John Lollis, City Manager
Final Approver: John Lollis, City Manager
EXECUTIVE DEPARTMENT
STATE OF CALIFORNIA
State of Emergency Proclamation
WHEREAS climate change is intensifying the impacts of droughts on our communities, environment and economy, and California must therefore improve drought resiliency and prepare to respond to more frequent, prolonged, and intense dry periods; and
WHEREAS much of the West is experiencing severe to exceptional drought and California is in a second consecutive year of dry conditions, resulting in drought or near-drought throughout many portions of the State; and WHEREAS these drought conditions can result in degraded water quality, fallowing of productive farmland, setbacks to vulnerable and rural communities through job losses and longer-lasting recoveries, significant impacts to tribal, commercial, and recreational salmon fisheries, constraints on access to traditional lifeways, loss of aquatic and terrestrial biodiversity, and ecosystem impacts; and
WHEREAS drought conditions vary across the State and some watersheds, including the Russian River and Klamath Basin, are extremely dry and are facing substantial water supply and ecosystem challenges; and
WHEREAS it is necessary to expeditiously mitigate the effects of the drought conditions within the Russian River Watershed, located within Mendocino and Sonoma counties, to ensure the protection of health, safety, and the environment; and
WHEREAS experience in the last drought has demonstrated the value of preparing earlier for potential sustained dry conditions, the need to improve our monitoring and forecasting capabilities, and many other lessons that are captured in the Administration1s Report to the Legislature on the 2012-2016 Drought; and
WHEREAS the State and its many partners have strengthened drought resilience since the last drought including state investments in water management systems, implementation of the Sustainable Groundwater Management Act, establishment of the Safe and Affordable Fund for Equity and Resilience Program, development of the Administration's Water Resilience Portfolio, and continued water conservation by Californians whose current statewide urban water use is 16% lower than at the beginning of the last drought; and
WHEREAS state agencies have been actively responding to current drought conditions and preparing for the possibility of a third dry year including through convenings of the interagency drought team, which was established at my direction, to organize, focus, and track changing conditions, coordinate state agency responses, and work closely with partners across the State; and WHEREAS under the provisions of Government Code section 8558(b), I find that the conditions caused by the drought conditions, by reason of their magnitude, are or are likely to be beyond the control of the services, personnel, equipment, and facilities of any single local government and require the combined forces of a mutual aid region or regions to appropriately respond; and
WHEREAS under the provisions of Government Code section 8625(c), I find that local authority is inadequate to cope with the drought conditions; and WHEREAS to protect public health and safety, it is critical the State take certain immediate actions without undue delay to prepare for and mitigate the effects of, the drought conditions within the Russian River Watershed, and under the provisions of Government Code section 8571, I find that strict compliance with various statutes and regulations specified in this Proclamation would prevent, hinder, or delay the mitigation of the effects of the drought conditions of the Russian River Watershed, located within Mendocino and Sonoma counties.
NOW THEREFORE, I, GAVIN NEWSOM, Governor of the State of California, in accordance with the authority vested in me by the State Constitution and statutes, including the California Emergency Services Act, and in particular, section 8625, HEREBY PROCLAIM A STATE OF EMERGENCY to exist in Mendocino and Sonoma counties due to drought conditions in the Russian River Watershed.
IT IS HEREBY ORDERED THAT:
1. To further the success of California's water conservation efforts and increase our drought preparedness, state agencies shall partner with local water districts and utilities to make all Californians aware of drought, and encourage actions to reduce water usage by promoting the Department of Water Resources' Save Our Water campaign
(https://saveourwater.com) and other water conservation programs.
2. To continue coordination with partners across the State for the potential of prolonged drought impacts, the Department of Water Resources, the State Water Resources Control Board (Water Board), the Department of Fish and Wildlife, and the Department of Food and Agriculture shall work with regional and local governments, including groundwater sustainability agencies, to identify watersheds, communities, public water systems, and ecosystems that may require coordinated state and local actions to address issues stemming from continued dry conditions, to ensure that we can respond to water shortages and protect people, natural resources and economic activity.
3. To continue partnership and coordination with Californian Native American tribes, state agencies shall engage in consultation, collaboration, and communication with California Native American tribes to assist them in necessary preparation and response to drought conditions on tribal lands and potential impacts to cultural and traditional resources within ancestral lands.
4. To prioritize drought response and preparedness resources, the Department of Water Resources, the Water Board, the Department of Fish and Wildlife and the Department of Food and Agriculture, in consultation with the Department of Finance, shall:
a. Accelerate funding for water supply enhancement, water conservation, or species conservation projects.
b. Identify unspent funds that can be repurposed to enable projects to address drought impacts to people, ecosystems, and economic activities.
c. Recommend additional financial support for water resilience infrastructure projects and actions for potential inclusion in the upcoming May Revision.
5. To increase resilience of our water supplies during drought conditions, the Department of Water Resources shall:
a. Work with counties to encourage reporting of household water shortages, such as dry residential wells, on the website the Department maintains for that purpose, to enable tracking of drought impacts.
b. Work with counties, and groundwater sustainability agencies as appropriate, to help ensure that well drillers submit required groundwater well logs for newly constructed and deepened wells in a timely manner.
c. Work with agricultural water suppliers and agricultural water users to provide technical assistance, including implementation of efficient water management practices and use of technology such as the California Irrigation Management Information System.
d. Work with urban and agricultural water suppliers to encourage timely submittal by water districts and public posting of urban water management and water shortage contingency plans and
agricultural water management and drought plans.
e. Accelerate updating the land subsidence data it is providing to support implementation of the Sustainable Groundwater
Management Act.
6. To increase resilience of our water systems during drought conditions, the Water Board shall:
a. Use its authority, provide technical assistance, and where feasible provide financial assistance, to support regular reporting of drinking water supply well levels and reservoir water levels where the Water Board determines that there is risk of supply failure because of lowering groundwater levels or reservoir levels that may fall below public water system intakes.
b. Prioritize the permitting of public water systems that anticipate the need to activate additional supply wells where water quality is a concern and treatment installation needs to proceed to relieve a system's potential supply concerns.
c. Provide annual water demand data, information on water right priority, and other communications on water availability on its website.
d. Identify watersheds where current diversion data is insufficient to evaluate supply impacts caused by dry conditions, and take actions to ensure prompt submittal of missing data in those watersheds.
7. To address the acutely dry conditions in the Russian River Watershed, the Water Board shall consider:
a. Modifying requirements for reservoir releases or diversion limitations in that watershed to ensure adequate, minimal water supplies for critical purposes.
b. Adopting emergency regulations to curtail water diversions when water is not available at water rights holders' priority of right or to protect releases of stored water.
For purposes of carrying out this directive, Public Resources Code, Division 13 (commencing with section 21000) and regulations adopted pursuant to that Division are suspended in the counties of Mendocino and Sonoma to the extent necessary to address the impacts of the drought in the Russian River Watershed. The Water Board shall identify the projects eligible for the suspensions pursuant to this paragraph and maintain on its websites a list of the activities or approvals for which these provisions are suspended.
8. To ensure that equipment and services necessary for drought response in the Russian River Watershed can be procured quickly, the provisions of the Government Code and the Public Contract Code applicable to procurement, state contracts, and fleet assets, including, but not limited to, advertising and competitive bidding requirements, are hereby suspended to the extent necessary to address the effects of the drought in the Russian River Watershed, located within Mendocino and Sonoma counties. Approval of the Department of Finance is required prior to the execution of any contract entered into pursuant to this provision.
9. To increase the resilience of our natural habitats to protect vulnerable species during drought conditions, the Department of Fish and Wildlife shall:
a. Evaluate and take actions to protect terrestrial and aquatic species and, wherever possible, work with water users and other parties on voluntary measures to protect species.
b. Work to improve State hatcheries and increase water use efficiency on State wildlife areas and ecological reserves to maintain habitat for vulnerable species.
c. Respond to human-wildlife interactions related to ongoing dry conditions and increase public messaging and awareness. d. Work with commercial and recreational salmon fishing and tribal representatives to anticipate and develop strategies to mitigate and respond to salmon fishery impacts, with particular emphasis on addressing impacts to salmon fisheries in the Klamath Basin.
10.To support our agricultural economy and food security during drought conditions, the Department of Food and Agriculture shall:
a. Provide technical assistance to support conservation planning, onfarm water and energy conservation practices and technologies, including augmenting the State Water Efficiency and Enhancement Program.
b. Conduct an economic analysis of drought impacts to agriculture, including land use, jobs, and rural food economies, expanding on existing research done in the last drought to include thorough regional analysis especially in the Central Valley, and in the implementation of the Sustainable Groundwater Management Act and alternative land uses for fallowed land.
c. Maintain a web page with drought resources for farmers and ranchers, including the United States Department of Agriculture and other federal and state resources.
d. Work with federal agencies to assist Klamath Basin farmers and ranchers contending with reduced water supplies.
11.To ensure the potential impacts of drought on communities are anticipated and proactively addressed, the Department of Water Resources, in coordination with the Water Board, shall develop groundwater management principles and strategies to monitor, analyze, and minimize impacts to drinking water wells.
12.To provide critical information on the different drought conditions across the State, the Department of Water Resources, in consultation with the Department of Fish and Wildlife, the Department of Food and Agriculture, and the Water Board, shall develop a California Drought Monitor by December 31, 2021, as recommended in the Administration's Report to the Legislature on the 2012-2016 Drought.
13.To prepare for potential salinity issues in the Delta, the Department of Water Resources, in consultation with the Water Board, the Department of Fish and Wildlife, the Delta Stewardship Council, and the Central Valley Flood Protection Board, shall initiate actions necessary to prepare for and address potential Delta salinity issues during prolonged drought conditions.
14.To prepare for potential impacts of drought conditions on species, the Water Board and the Department of Fish and Wildlife shall work with federal agency partners to manage temperature conditions for the preservation of fish in the Sacramento River downstream of Shasta Dam while balancing water supply needs.
This Proclamation is not intended to, and does not, create any rights or benefits, substantive or procedural, enforceable at law or in equity, against the State of California, its agencies, departments, entities, officers, employees, or any other person.
I FURTHER DIRECT that as soon as hereafter possible, this Proclamation be filed in the Office of the Secretary of State and that widespread publicity and notice be given of this Proclamation.
IN WITNESS WHEREOF I have hereunto set
my hand and caused the Great Seal of the
State of alifornia t be affixed this 21st
day of ril 2021
ATTEST:
RESOLUTION PROCLAIMING A LOCAL EMERGENCY
BY THE BOARD OF SUPERVISORS
COUNTY OF TULARE, STATE OF CALIFORNIA
IN THE MATTER OF A
LOCAL EMERGENCY DUE TO )
SEVERE DROUGHT CONDITIONS)
RESOLUTION NO. 2021-0290
WHEREAS, California's most recent drought spanning from approximately 2012 to 2018 required the proclamation of a Local Emergency by the County of Tulare from February 2014 to November 2019, as well as a Governor's State of Emergency and the combined resources of multiple local, state, and federal agencies, commercial entities, and non-profit organizations to mitigate; and
WHEREAS, over 3,000 failed or dry wells - including private domestic, community, and agricultural wells - were reported to Tulare County from 2014 to 2017 as a result of the prior drought, causing significant health, safety, and economic issues for Tulare County residents and businesses; and
WHEREAS, well over $100 million in emergency relief and permanent infrastructure projects were expended to mitigate the effects of the prior drought; and WHEREAS, a hydrological year ("water year") runs from October 1 to September 30 of the following year; and
WHEREAS, the current water year beginning October 1, 2020 is, to date, the third-driest on record, with potential to become the driest on record without significant additional precipitation which is unlikely to occur during the traditionally dry months; and WHEREAS, the United States Drought Monitor shows that 94.51 % of Tulare County is currently experiencing "Extreme Drought" (D3) conditions and the remaining 5.49% is in "Severe Drought" (D2) conditions, and the County of Tulare anticipates that these conditions will progress to "Exceptional Drought" (D4) conditions as occurred in the prior drought based on the current Southern Sierra snowpack measured at only 15% of historical average for April 1st, drastically reduced surface water allocations on the State Water Project and Central Valley Project, and correspondingly low water levels in local reservoirs ; and WHEREAS, surface water supply constraints create a demonstrable and unsustainable increase in demand for groundwater which is likely to cause additional dry wells for community water systems, private domestic wells, and agricultural wells, creating economic hardships and conditions of extreme peril to the health and safety of individuals within Tulare County requiring the combined forces of all levels of government to mitigate; and WHEREAS, California Government Code section 8630 empowers the Board of Supervisors to proclaim the existence or threatened existence of a local emergency; and WHEREAS, Section 1-15-1005 of the Tulare County Ordinance Code defines "emergency" to include "the actual or threatened existence of conditions of disaster or of extreme peril to the safety of persons and property within [Tulare] County caused by such conditions as air pollution, fire, flood , storm , epidemic, riot, earthquake, or other conditions, ... which conditions are or are likely to be beyond the control of the services, personnel, equipment, and facilities of [Tulare] County, requiring the combined forces of other political subdivisions to combat"; and
NOW, THEREFORE, IT IS HEREBY PROCLAIMED that a local emergency now exists throughout said Tulare County due to drought which has created conditions of disaster and extreme peril to the safety of persons and property within the County, and that such conditions are or are likely to be beyond the control of the services, personnel , equipment, and/or facilities of this County, thus requiring the combined forces of other political subdivisions to combat; and IT IS FURTHER PROCLAIMED that this local emergency is proclaimed pursuant to the California Emergency Services Act, California Government Code §8550 et seq.; and IT IS REQUESTED that the Governor of the State of California find and proclaim Tulare County to be in a State of Emergency, and make available any and all material and financial support and resources necessary to combat the conditions of disaster, including but not limited to California Disaster Assistance Act funding for emergency protective measures and increased funding to relevant programs of the State Water Resources Control Board and Department of Water Resources ; and
IT IS FURTHER REQUESTED that the Governor waive and all regulations and statutes that may hinder response to this emergency; and
IT IS PROCLAIMED AND ORDERED that during the existence of said local emergency, the powers, functions, and duties of the emergency organization of Tulare County shall be those prescribed by State law, by ordinances and resolutions of Tulare County, and by the Tulare County Operational Area Emergency Operations Plan, as approved by the Board of Supervisors.
UPON MOTION OF SUPERVISOR MICARI, SECONDED BY SUPERVISOR
TOWNSEND, THE FOLLOWING WAS ADOPTED BY THE BOARD OF
SUPERVISORS, AT AN OFFICIAL MEETING HELD APRIL 27, 2021 , BY THE FOLLOWING VOTE:
AYES: SUPERVISORS MICARI , VANDERPOEL, SHUKLIAN, VALERO AND
TOWNSEND
NOES: NONE
ABSTAIN : NONE
ABSENT: NONE
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ATTEST:
BY:
JASON T. BRITT
COUNTY ADMINISTRATIVE OFFICER/
CLERK, BOARD OF SUPERVISORS
STATE WATER RESOURCES CONTROL BOARD
RESOLUTION NO. 2022-0002
TO ADOPT AN EMERGENCY REGULATION
TO SUPPLEMENT VOLUNTARY WATER CONSERVATION
WHEREAS:
1. On April 21, May 10, and July 8, 2021, Governor Newsom issued proclamations that a state of emergency exists in a total of 50 counties due to severe drought conditions and directed state agencies to take immediate action to preserve critical water supplies and mitigate the effects of drought and ensure the protection of health, safety, and the environment.
2. On October 19, 2021, Governor Newsom signed a proclamation extending the drought emergency statewide and further urging Californians to reduce their water use.
3. There is no guarantee that winter precipitation will alleviate the current drought conditions.
4. Many Californians have taken bold steps over the years to reduce water use; nevertheless, the severity of the current drought and uncertainty about Water Year 2022 require additional conservation actions from residents and businesses.
5. Water conservation is the easiest, most efficient, and most cost-effective way to quickly reduce water demand and extend supplies into the next year, providing flexibility for all California communities. Water saved is water available next year, giving water suppliers the flexibility to manage their systems efficiently. The more water that is conserved now, the less likely it is that a community will experience such dire circumstances or that water rationing will be required.
6. Most Californians use more water outdoors than indoors. In many areas, 50 percent or more of daily water use is for lawns and outdoor landscaping. Outdoor water use is generally discretionary, and many irrigated landscapes would not suffer greatly from receiving a decreased amount of water.
2 7. Public information and awareness are critical to achieving conservation goals, and the Save Our Water campaign (SaveOurWater.com), run jointly by the Department of Water Resources (DWR) and the Association of California Water Agencies, is an excellent resource for conservation information and messaging that is integral to effective drought response.
8. SaveWater.CA.Gov is an online tool designed to help save water in communities. This website lets anyone easily report water waste from their phone, tablet, or computer by simply selecting the type of water waste they see, typing in the address where the waste is occurring, and clicking send.
These reports are filed directly with the State Water Resources Control Board (State Water Board or Board) and relevant local water supplier.
9. Enforcement against water waste is a key tool in conservation programs.
When conservation becomes a social norm in a community, the need for enforcement is reduced or eliminated.
10. On October 19, 2021, the Governor suspended the environmental review required by the California Environmental Quality Act to allow State Water Board-adopted drought conservation emergency regulations and other actions to take place quickly to respond to emergency conditions.
11. Water Code section 1058.5 grants the State Water Board the authority to adopt emergency regulations in certain drought years in order to: “prevent the waste, unreasonable use, unreasonable method of use, or unreasonable method of diversion, of water, to promote water recycling or water conservation, to require curtailment of diversions when water is not available under the diverter’s priority of right, or in furtherance of any of the foregoing, to require reporting of diversion or use or the preparation of monitoring reports.”
12. On November 30, 2021, the State Water Board issued public notice that the State Water Board would consider the adoption of the regulation at the Board’s regularly scheduled January 4, 2022 public meeting, in accordance with applicable State laws and regulations. The State Water Board also distributed for public review and comment a Finding of Emergency that complies with State laws and regulations.
13. The emergency regulation sets a minimum standard that many communities are already doing more but not everyone is taking these lowcost, easy to implement actions that can save significant amounts of water during a drought emergency.
3 14. Disadvantaged communities may require assistance in increasing water conservation, and state and local agencies should look for opportunities to provide assistance in promoting water conservation, including but not limited to translation of regulation text and dissemination of water conservation announcements into languages spoken by at least 10 percent of the people who reside in a water supplier’s service area, such as in newspaper advertisements, bill inserts, website homepage, social media, and notices in public libraries.
15. The Board directs staff to consider the following in pursuing any enforcement of section 995, subdivision (b)(1)(A)-(F): before imposing monetary penalties, staff shall provide one or more warnings; monetary penalties must be based on an ability to pay determination, consider allowing a payment plan of at least 12 months, and shall not result in a tax lien; and Board enforcement shall not result in shutoff.
16. The Board encourages entities other than Board staff that consider any enforcement of this regulation to apply these same factors identified in resolved paragraph 15. Nothing in the regulation or in the enforcement provisions of the regulation precludes a local agency from exercising its authority to adopt more stringent conservation measures. Moreover, the Water Code does not impose a mandatory penalty for violations of the regulation adopted by this resolution, and local agencies retain their enforcement discretion in enforcing the regulation, to the extent authorized, and may develop their own progressive enforcement practices to encourage conservation.
THEREFORE BE IT RESOLVED THAT:
1. The State Water Board adopts California Code of Regulations, title 23, section 995, as appended to this resolution as an emergency regulation.
2. State Water Board staff will submit the regulation to the Office of Administrative Law (OAL) for final approval.
3. If, during the approval process, State Water Board staff, the State Water Board, or OAL determines that minor corrections to the language of the regulation or supporting documentation are needed for clarity or consistency, the State Water Board Executive Director or designee may make such changes.
4 4. This regulation shall remain in effect for one year after filing with the Secretary of State unless the State Water Board determines that it is no longer necessary due to changed conditions or unless the State Water Board renews the regulation due to continued drought conditions, as described in Water Code section 1058.5.
5. The State Water Board directs State Water Board staff to work with the Department of Water Resources and the Save Our Water campaign to disseminate information regarding the emergency regulations.
6. Nothing in the regulation or in the enforcement provisions of the regulation precludes a local agency from exercising its authority to adopt more stringent conservation measures. Local agencies are encouraged to develop their own progressive enforcement practices to promote conservation.
CERTIFICATION
The undersigned Clerk to the Board does hereby certify that the foregoing is a full, true, and correct copy of a resolution duly and regularly adopted at a meeting of the State Water Resources Control Board held on January 4, 2022.
AYE: Vice Chair Dorene D’Adamo
Board Member Sean Maguire
Board Member Laurel Firestone
Board Member Nichole Morgan
NAY: None
ABSENT: Chair E. Joaquin Esquivel
ABSTAIN: None
Jeanine Townsend
Clerk to the Board
5 ADOPTED TEXT OF EMERGENCY REGULATION
Title 23. Waters
Division 3. State Water Resources Control Board and Regional Water Quality Control Boards
Chapter 3.5. Urban Water Use Efficiency and Conservation Article 2. Prevention of Drought Wasteful Water Uses
§ 995. Wasteful and Unreasonable Water Uses.
(a) As used in this section:
(1) “Turf” has the same meaning as in section 491.
(2) “Incidental runoff” means unintended amounts (volume) of runoff, such as unintended, minimal overspray from sprinklers that escapes the area of intended use.
Water leaving an intended use area is not considered incidental if it is part of the facility or system design, if it is due to excessive application, if it is due to intentional overflow or application, or if it is due to negligence.
(b)(1) To prevent the unreasonable use of water and to promote water conservation, the use of water is prohibited as identified in this subdivision for the following actions:
(A) The application of potable water to outdoor landscapes in a manner that causes more than incidental runoff such that water flows onto adjacent property, non-irrigated areas, private and public walkways, roadways, parking lots, or structures;
(B) The use of a hose that dispenses water to wash a motor vehicle, except where the hose is fitted with a shut-off nozzle or device attached to it that causes it to cease dispensing water immediately when not in use; (C) The use of potable water for washing sidewalks, driveways, buildings, structures, patios, parking lots, or other hard surfaced areas, except in cases where health and safety are at risk;
(D) The use of potable water for street cleaning or construction site preparation purposes, unless no other method can be used or as needed to protect the health and safety of the public;
(E) The use of potable water for decorative fountains or the filling or topping-off of decorative lakes or ponds, with exceptions for those decorative fountains, lakes, or ponds that use pumps to recirculate water and only require refilling to replace evaporative losses;
(F) The application of water to irrigate turf and ornamental landscapes during and within 48 hours after measurable rainfall of at least one fourth of one inch of rain.
In determining whether measurable rainfall of at least fourth of one inch of rain occurred in a given area, enforcement may be based on records of the National Weather Service, the closest CIMIS station to the parcel, or any other reliable source of rainfall data available to the entity undertaking enforcement of this subdivision; and
(G) The use of potable water for irrigation of ornamental turf on public street medians.
6 (2) Notwithstanding subdivision (b)(1), the use of water is not prohibited by this section to the extent necessary to address an immediate health and safety need. This may include, but is not limited to, the use of potable water in a fountain or water feature when required to be potable because human contact is expected to occur. (c)(1) To prevent the unreasonable use of water and to promote water conservation, any homeowners’ association or community service organization or similar entity is prohibited from:
(A) Taking or threatening to take any action to enforce any provision of the governing documents or architectural or landscaping guidelines or policies of a common interest development where that provision is void or unenforceable under section 4735, subdivisions (a) and (b) of the Civil Code; (B) Imposing or threatening to impose a fine, assessment, or other monetary penalty against any owner of a separate interest for reducing or eliminating the watering of vegetation or lawns during a declared drought emergency, as described in section 4735, subdivision (c) of the Civil Code; or (C) Requiring an owner of a separate interest upon which water-efficient landscaping measures have been installed in response to a declared drought emergency, as described in section 4735, subdivisions (c) and (d) of the Civil Code, to reverse or remove the water-efficient landscaping measures upon the conclusion of the state of emergency.
(2) As used in this subdivision:
(A) “Architectural or landscaping guidelines or policies” includes any formal or informal rules other than the governing documents of a common interest development.
(B) “Homeowners’ association” means an “association” as defined in section 4080 of the Civil Code.
(C) “Common interest development” has the same meaning as in section 4100 of the Civil Code.
(D) “Community service organization or similar entity” has the same meaning as in section 4110 of the Civil Code.
(E) “Governing documents” has the same meaning as in section 4150 of the Civil Code.
(F) “Separate interest” has the same meaning as in section 4185 of the Civil Code.
(3) If a disciplinary proceeding or other proceeding to enforce a rule in violation of subdivision (c)(1) is initiated, each day the proceeding remains pending shall constitute a separate violation of this regulation.
(d) To prevent the unreasonable use of water and to promote water conservation, any city, county, or city and county is prohibited from imposing a fine under any local maintenance ordinance or other relevant ordinance as prohibited by section 8627.7 of the Government Code.
7 (e) The taking of any action prohibited in subdivision (b), (c) or (d) is an infraction punishable by a fine of up to five hundred dollars ($500) for each day in which the violation occurs. The fine for the infraction is in addition to, and does not supersede or limit, any other remedies, civil or criminal.
(f) A decision or order issued under this section by the Board or an officer or employee of the Board is subject to reconsideration under article 2 (commencing with section 1122) of chapter 4 of part 1 of division 2 of the Water Code.
Authority: Section 1058.5, Water Code.
References: Article X, Section 2, California Constitution; Sections 4080, 4100, 4110, 4150, 4185, and 4735, Civil Code; Section 8627.7, Government Code; Sections 102, 104, 105, 275, 350, 491, and 1122, Water Code; Light v. State Water Resources Control Board (2014) 226 Cal.App.4th 1463; Stanford Vina Ranch Irrigation Co. v. State of California (2020) 50 Cal.App.5th 976.
EXECUTIVE DEPARTMENT
STATE OF CALIFORNIA
EXECUTIVE ORDER N-7-22
WHEREAS on April 12, 202 l, May l 0, 2021, July 8, 202 l, and October 19, 2021, I proclaimed states of emergency that continue today and exist across all the counties of California, due to extreme and expanding drought conditions; and
WHEREAS climate change continues to intensify the impacts of droughts on our communities, environment, and economy, and California is in a third consecutive year of dry conditions, resulting in continuing drought in all parts of the State; and
WHEREAS the 21st century to date has been characterized by record warmth and predominantly dry conditions, and the 2021 meteorological summer in California and the rest of the western United States was the hottest on record; and
WHEREAS since my October 19, 2021 Proclamation, early rains in October and December 2021 gave way to the driest January and February in recorded history for the watersheds that provide much of California's water supply; and WHEREAS the ongoing drought will have significant, immediate impacts on communities with vulnerable water supplies, farms that rely on irrigation to grow food and fiber, and fish and wildlife that rely on stream flows and cool water; and
WHEREAS the two largest reservoirs of the Central Valley Project, which supplies water to farms and communities in the Central Valley and the Santa Clara Valley and provides critical cold-water habitat for salmon and other anadromous fish, have water storage levels that are approximately l .1 million acre-feet below last year's low levels on this date; and WHEREAS the record-breaking dry period in January and February and the absence of significant rains in March have required the Department of Water Resources to reduce anticipated deliveries from the State Water Project to 5 percent of requested supplies; and
WHEREAS delivery of water by bottle or truck is necessary to protect human safety and public health in those places where water supplies are disrupted; and
WHEREAS groundwater use accounts for 41 percent of the State's total water supply on an average annual basis but as much as 58 percent in a critically dry year, and approximately 85 percent of public water systems rely on groundwater as their primary supply; and
WHEREAS coordination between local entities that approve permits for new groundwater wells and local groundwater sustainability agencies is important to achieving sustainable levels of groundwater in critically overdrafted basins; and
WHEREAS the duration of the drought, especially following a multiyear drought that abated only five years ago, underscores the need for California to redouble near-, medium-, and long-term efforts to adapt its water management and delivery systems to a changing climate, shifting precipitation patterns, and water scarcity; and
WHEREAS the most consequential, immediate action Californians can take to extend available supplies is to voluntarily reduce their water use by 15 percent from their 2020 levels by implementing the commonsense measures identified in operative paragraph 1 of Executive Order N-10-21 (July 8, 2021 ); and
WHEREAS to protect public health and safety, it is critical the State take certain immediate actions without undue delay to prepare for and mitigate the effects of the drought conditions, and under Government Code section 8571, I find that strict compliance with various statutes and regulations specified in this Proclamation would prevent, hinder, or delay the mitigation of the effects of the drought conditions.
NOW, THEREFORE, I, GAVIN NEWSOM, Governor of the State of California, in accordance with the authority vested in me by the State Constitution and statutes, including the California Emergency Services Act, and in particular, Government Code sections 8567, 8571, and 8627, do hereby issue the following Order to become effective immediately:
IT IS HEREBY ORDERED THAT:
1. The orders and provisions contained in my April 21, 2021, May 10, 2021, July 8, 2021, and October 19, 2021 Proclamations remain in fu ll force and effect, except as modified by those Proclamations and herein.
State agencies shall continue to implement all directions from those Proclamations and accelerate implementation where feasible.
2. To help the State achieve its conservation goals and ensure sufficient water for essential indoor and outdoor use, I call on all Californians to strive to limit summertime water use and to use water more efficiently indoors and out. The statewide Save Our Water conservation campaign at SaveOurWater.com provides simple ways for Californians to reduce water use in their everyday lives. Furthermore, I encourage Californians to understand and track the amount of water they use and measure their progress toward their conservation goals.
3. By May 25, .2022, the State Water Resources Control Board (Water Board) shall consider adopting emergency regulations that include all of the following:
a. A requirement that each urban water supplier, as defined in section 10617 of the Water Code, shall submit to the Department of Water Resources a preliminary annual water supply and demand assessment consistent with section 10632.1 of the Water Code no later than June 1, 2022, and submit a final annual water supply and demand assessment to the Department of Water Resources no later than the deadline set by section 10632.1 of the Water Code;
b. A requirement that each urban water supplier that has submitted a water shortage contingency plan to the
Department of Water Resources implement, at a minimum, the shortage response actions adopted under section 10632 of the Water Code for a shortage level of up to twenty percent (Level 2), by a date to be set by the Water Board; and
c. A requirement that each urban water supplier that has not submitted a water shortage contingency plan to the
Department of Water Resources implement, at a minimum,
shortage response actions established by the Water Board, which shall take into consideration model actions that the Department of Water Resources shall develop for urban water supplier water shortage contingency planning for Level 2, by a date to be set by the Water Board.
To further conserve water and improve drought resiliency if the drought lasts beyond this year, I encourage urban water suppliers to conserve more than required by the emergency regulations described in this paragraph and to voluntarily activate more stringent local requirements based on a shortage level of up to thirty percent (Level 3).
4. To promote water conservation, the Department of Water Resources shall consult with leaders in the commercial, industrial, and institutional sectors to develop strategies for improving water conservation, including direct technical assistance, financial assistance, and other approaches. By May 25, 2022, the Water Board shall consider adopting emergency regulations defining "non-functional turf" (that is, a definition of turf that is ornamental and not otherwise used for human recreation purposes such as school fields, sports fields, and parks) and banning irrigation of non-functional turf in the commercial, industrial, and institutional sectors except as it may be required to ensure the health of trees and other perennial non-turf plantings.
5. In order to maximize the efficient use of water and to preserve water supplies critical to human health and safety and the environment, Public Resources Code, Division 13 (commencing with section 21000) and regulations adopted pursuant to that Division are hereby suspended, with respect to the directives in paragraphs 3 and 4 of this Order and any other projects and activities for the purpose of water conservation to the extent necessary to address the impacts of the drought, and any permits necessary to carry out such projects or activities. Entities that desire to conduct activities under this suspension, other than the directives in paragraphs 3 and 4 of this Order, shall first request that the Secretary of the Natural Resources Agency make a determination that the proposed activities are eligible to be conducted under this suspension. The Secretary shall use sound discretion in applying this Executive Order to ensure that the suspension serves the purpose of accelerating conservation projects that are necessary to address impacts of the drought, while at the same time protecting public health and the environment. The entities implementing these directives or conducting activities under this suspension shall maintain on their websites a list of all activities or approvals for which these provisions are suspended.
6. To support voluntary approaches to improve fish habitat that would require change petitions under Water Code section 1707 and either Water Code sections 1425 through 1432 or Water Code sections 1725 through 1732, and where the primary purpose is to improve conditions for fish, the Water Board shall expeditiously consider petitions that add a fish and wildlife beneficial use or point of diversion and place of storage to improve conditions for anadromous fish. California Code of Regulations, title 23, section 1064, subdivisions ( a) ( 1) (A) (i)-(ii) are suspended with respect to any petition that is subject to this paragraph.
7. To facilitate the hauling of water for domestic use by local communities and domestic water users threatened with the loss of water supply or degraded water quality resulting from drought, any ordinance, regulation, prohibition, policy, or requirement of any kind adopted by a public agency that prohibits the hauling of water out of the water's basin of origin or a public agency's jurisdiction is hereby suspended. The suspension authorized pursuant to this paragraph shall be limited to the hauling of water by truck or bottle to be used for human consumption, cooking, or sanitation in communities or residences threatened with the loss of affordable safe drinking water.
Nothing in this paragraph limits any public health or safety requirement to ensure the safety of hauled water.
8. The Water Board shall expand inspections to determine whether illegal diversions or wasteful or unreasonable use of water are occurring and bring enforcement actions against illegal diverters and those engaging in the wasteful and unreasonable use of water. When access is not granted by a property owner, the Water Board may obtain an inspection warrant pursuant to the procedures set forth in Title 13 (commencing with section 1822.50) of Part 3 of the Code of Civil Procedure for the purposes of conducting an inspection pursuant to this directive.
9. To protect health, safety, and the environment during this drought emergency, a county, city, or other public agency shall not:
a. Approve a permit for a new groundwater well or for alteration of an existing well in a basin subject to the Sustainable
Groundwater Management Act and classified as medium- or high-priority without first obtaining written verification from a Groundwater Sustainability Agency managing the basin or area of the basin where the well is proposed to be located that groundwater extraction by the proposed well would not be inconsistent with any sustainable groundwater management program established in any applicable Groundwater
Sustainability Plan adopted by that Groundwater Sustainability Agency and would not decrease the likelihood of achieving a sustainability goal for the basin covered by such a plan; or b. Issue a permit for a new groundwater well or for alteration of an existing well without first determining that extraction of groundwater from the proposed well is (1) not likely to interfere with the production and functioning of existing nearby wells, and (2) not likely to cause subsidence that would adversely impact or damage nearby infrastructure.
This paragraph shall not apply to permits for wells that will provide less than two acre-feet per year of groundwater for individual domestic users, or that will exclusively provide groundwater to public water supply systems as defined in section 116275 of the Health and Safety Code.
10. To address household or small community drinking water shortages dependent upon groundwater wells that have failed due to drought conditions, the Department of Water Resources shall work with other state agencies to investigate expedited regulatory pathways to modify, repair, or reconstruct failed household or small community or public supply wells, while recognizing the need to ensure the sustainability of such wells as provided for in paragraph 9.
11. State agencies shall collaborate with tribes and federal, regional, and local agencies on actions related to promoting groundwater recharge and increasing storage.
12. To help advance groundwater recharge projects, and to demonstrate the feasibility of projects that can use available high water flows to recharge local groundwater while minimizing flood risks, the Water Board and Regional Water Quality Control Boards shall prioritize water right permits, water quality certifications, waste discharge requirements, and conditional waivers of waste discharge requirements to accelerate approvals for projects that enhance the ability of a local or state agency to capture high precipitation events for local storage or recharge, consistent with water right priorities and protections for fish and wildlife. For the purposes of carrying out this paragraph, Division 13 (commencing with section 21000) of the Public Resources Code and regulations adopted pursuant to that Division, and Chapter 3 ( commencing with section 85225) of Part 3 of Division 35 of the Water Code and regulations adopted pursuant thereto are hereby suspended to the extent necessary to address the impacts of the drought. This suspension applies to (a) any actions taken by state agencies, (b) any actions taken by local agencies where the state agency with primary responsibility for the implementation of the directives concurs that local action is required, and (c) permits necessary to carry out actions under (a) or (b). The entities implementing these directives shall maintain on their websites a list of all activities or approvals for which these provisions are suspended.
13. With respect to recharge projects under either Flood-Managed Aquifer Recharge or the Department of Water Resources Sustainable Groundwater Management Grant Program occurring on open and working lands to replenish and store water in groundwater basins that will help mitigate groundwater conditions impacted by drought, for any (a) actions taken by state agencies, (b) actions taken by a local agency where the Department of Water Resources concurs that local action is required, and (c) permits necessary to carry out actions under (a) or (b), Public Resources Code, Division 13 (commencing with section 21000) and regulations adopted pursuant to that Division are hereby suspended to the extent necessary to address the impacts of the drought. The entities implementing these directives shall maintain on their websites a list of all activities or approvals for which these provisions are suspended.
14. To increase resilience of.state water supplies during prolonged drought conditions, the Department of Water Resources shall prepare for the potential creation and implementation of a multi-year transfer program pilot project for the purpose of acquiring water from willing partners and storing and conveying water to areas of need.
15. By April 15, 2022, state agencies shall submit to the Department of Finance for my consideration proposals to mitigate the worsening effects of severe drought, including emergency assistance to communities and households and others facing water shortages as a result of the drought, facilitation of groundwater recharge and wastewater recycling, improvements in water use efficiency, protection of fish and wildlife, mitigation of drought-related economic or water-supply disruption, and other potential investments to support short- and long-term drought response.
IT IS FURTHER ORDERED that as soon as hereafter possible, this Order be filed in the Office of the Secretary of State and that widespread publicity and notice be given of this Order.
This Order is not intended to, and does not, create any rights or benefits, substantive or procedural, enforceable at law or in equity, against the State of California, its agencies, departments, entities, officers, employees, or any other person.
IN WITNESS WHEREOF I have hereunto set
my hand and caused the Great Seal of the
State of California to be affixed this 28th
day of March 2022.
I I
,:, .
l · I'
t (.1 I
l~~-~-- GAVIN NEWSOM
Governor of California
ATTEST:
SHIRLEY N. WEBER, PH.D.
Secretary of State
State of California
Office of Administrative Law
In re:
State Water Resources Control Board
NOTICE OF APPROVAL OF EMERGENCY
REGULATORY ACTION
Regulatory Action:
Title 23, California Code of Regulations
Adopt sections: 996
Amend sections:
Repeal sections:
Government Code Sections 11346.1 and
11349.6
OAL Matter Number: 2022-0606-03
OAS Makter Type: Emergency (E)
This emergency action by the State Water Resources Control Board adopts a new regulation which .requires urban water suppliers to submit preliminary supply and demand assessments to the Department of Water Resources and to implement Level 2 demand reduction actions (actions intended to result in a 10 to 20 percent savings).
The regulation bans the irrigation of non-functional turf with potable water in commercial, industrial, and institutional. sectors and establishes that such irrigation is an infraction punishable by a fine of up to five hundred dollars for each day in which. the violation occurs pursuant to Water Code section 1058.5(d).
OAL approves this emergency regulatory action pursuant to sections 11346.1 and 11349.6 of the Government Gode. Pursuant to Water Code section 1058.5(b}, the Finding of Emergency in this matter was exempt from Office of Administrative Law Review.
This emergency regulatory action is effective on 6/10/2022 and, pursuant to Water Cade section 1058.5(c), will expire on 6/1 Q/2023. The Certificate of Compliance far this action is due no later than 6/9/2023.
Date: June 10, 2022 ~ ~~„~, ~~-,
Dale Mentink`
Assistant Chief Counsel
For: Kenneth J. Pogue
Director
Original: Eileen Sobeck, Executive
Director
Copy: Garrett Lenahan
STATE OF CALIFORNIA—OPfICEOFADMINiSTRA E~nw
NOTICE PUBLIC/~TIOIV For use by Secretary of State only ~n,
sr~.aootRev.ionor9l ~
~f1L FILE N07ICE FILE NUMBER REGULATORY ACTION NUMBEgR~ g~ ~g EMER~GEi NyC~Y NUMBER N1Jt~/I$~f~'a" ~~ e~
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NOTICE REGULATIONS
AGENCY WITH RULEMAKING AUTHORITY
State Water AGENCY FILE NUMBER (if any) Resources Control Board A. PUBLICATION OF NOTICE (Complete for publication in Notice Register)
1. SUBJECT OF NOTICE TITLES) FIRST SECTION AFFECTED 2. REQUESTED PUBLICATION DATE
3. NOTICE TYPE - 4. AGENCY CONTACT PERSON TELEPHONE NUMBER FAX NUMBER (Optional) ❑ Notice re Proposed ("—►
Re ulato tither `Action L_~
OAL USE ACTION ON PRppgSFD NOTICE
~~~Y HPP~oveaas
NOTICE. R_FGISTER NUMBER '. Pl!BUCATlpN bATE APp~cvyas t" DisapProvh~+~ S~bnnroea ~ MorliheU ~ Witharawn B. SUBMISSION OF REGULATIONS (Complete when submitting regulations) 1a. SUBJECT OF REGULATION{S) ib. ALL PREVIOUS RELATED OAL REGULATORY ACTION NUMBERS) Water Demand Reduction Emergency Regulation
2. SPECIFY CALIFORNIA CODE Of REGULATIONS TITLES) AND SECTIONS) (including title 26, if toxics related) SECTIONS} AFFECTED A°oPT
{List all section number{s) 996
`individually. Attach aMeNo
_~cidi~a~al:_sF~eeh_6f~reeded.} __~_._ _--- ____ _._ ----_ ____ -- TITLE(S) REPEAL 23 3. TYPE OF FILING
Code
Regular
§11346)
Rulemaking {Gov. ❑Certificate of Compliance: The agency officer named ~ Emergency Readopt ~ Changes Without below certifies that this agency complied with the (Gov. Code, §11346.1 (h}) Regulatory Effect {CaL Resubmittal of disapproved provisions of Gov. Code §§11346.2-11347.3 either Code Regs., title 1, §100} or withdrawn nonemergency before the emergency regulation was adopted or filing (Gov. Code §§11349.3, within the time period required by statute. 11349.4) ❑File &Print ~ Print Oniy
§11346.1(b))
Emergency (Gov. Code, ~
emergency
Resubmittal
filing
of disapproved
(Gov. Code,
or
§11346.1)
withdrawn o ocher {sPe~~~> Wafer Code Section 1058.5
4. ALL BEGINNING AND ENDING DATES OF AVAILABILITY OF MODIFIED REGULATIONS AND/OR MATERIAL ADDED TO THE RULEMAKING FILE (Cal. Code Regs. line 1, §44 and Gov. Code §11347.1)
5. EFFECTIVE DATE OF CHANGES (Gov. Code, §§ 11343.4, 11346.1(d}; Cai. Code Regs., title 1, §100 ) Effective January 1, April 1, July 1, or x Effective on filing with §100 Changes Without Effective other October 1 (Gov. Code §11343.4(a)) ❑Secretary of State ❑Regulatory Effect ❑(Specify)
6. CHECK IF THESE REGULATIONS REQUIRE NOTICE T0, OR REVIEW, CONSULTATION, APPROVAL OR CONCURRENCE BY, ANOTHER AGENCY OR ENTITY Department of Fnance (Form STD. 399) {SAM §6660) ~ Fair Political Practices Commission ~ State Fire Marshal Other {Specify)
7. CONTACT PERSON TELEPHONE NUMBER FAX NUMBER {Optional) E-MAIL ADdRESS (Optional) Garrett Lenahan 916 341-5179
8. (certify
of the regulation{s)
that the attached
identified
copy
on
of the regulations) is a true and correct copy For use by Office of Administrative Law (OAL) only this form, that the information specified on this form is true and correct, and #hat I am the head of the agency taking this action, or a designee of the head of the agency, and am authori2ed to make this certification.
SIGNATURE OF AGENCY HEAD OR DESIGNEE PATE
Eric Oppenheimer °'g J.~te:20]IA6➢614:24:44 7a1ySgnedbyEncOp°~ibe -0]'00'1nef 6/612022
TYPED NAME AND TITLE OF SIGNATORY
Eric Oppenheimer, Chief Deputy Director, State Water Resources Control Board
ADOPTED EMERGENCY REGULATION TEXT
Title 23. Waters
Division 3. State Water Resources Control Board and Regional Water Quality Control Boards
Chapter 3.5. Urban Water Use Efficiency and Conservation Article. 2. Prevention of Drought Wasteful Water Uses
996. Urban Drought Response Actions
~a) As used in this section:
(1) "Commercial, industrial and institutionaP' refers to commercial water users, industrial water users, and .institutional water users as respectively defined in Water Code, section 10608:12. subdivisions (e), {i ,and (j), and includes homeowners' associations, common interest developments, community service organizations, and other similar entities but does not include the residences of these entities' members or separate interests. ~2) "Common interest development' has the same meaning as in section 4100 of the Civil Code.
~3) "Community service organization or similar entity" has the same meaning as in :section 4110 of the Civi( Code.
~4) "Homeowners' association" means an "association" as defined in section 4080 of the Civil Code.
(5} "Non-functional turf" means turf that is solely ornamental and not rec~ularly used for human recreational purposes or for civic or community events. Non-functional turf does not include sports fields and turF that is regularly used for human recreational purposes or for civic or community events.
(6} "Plant factor" has the same meaninct as in section 491. ~7) "Separate interest" has the same meaning as in section 4185 of the Civil Code. (8) "Turf" has the same meaning as in section 491.
(9} "Urban water supplier" has the same meaning as Water Code section 10617. (10) "Water shortage contingenc rLplan" means the plan required by Water Cade section 10632.
(b) Each urban water supplier shall submit to the Department of Water Resources a preliminary annual water su~ply and demand assessment consistent with section 10632.1 of the Water Cade no later than June 1 2022 or the effective date of this section whichever comes later, and submit a final annual water supply and demand assessment to the Department of Water Resources no later than the deadline set by section 10632.1 of the Water Code.
(i) The supplier's annual water supply and demand assessment submitted to the Department of Water`Resources demonstrates an ability to maintain reliable suppix until September 30, 2023.
Department of Water Resources.
(iii) The supplier's average number of gallons of water used per person per day by to twenty (20) gercent (Level ~, implement at a minimum the following actions:
(1) Initiate a public information and outreach campaign for water conservation and promptly and effectively reach the supplier's customers, using efforts such as ema papermail, bill inserts, customer app notifications, news articles, websites, comma events radio and television billboards and social media. potable water befinreen the hours of 10:00 a.m. and 6:00 p.m.
Level 2~
(2 Notwithstanding subdivision (c)(1), urban water suppliers shall not be required to implement new residential connection moratoria pursuant to this section. residential customers for the year 2020 is below 55 gallons, as reported to the Board in the :Electronic Annual Report.
has authority to enforce, as infractions, the prohibitions in section 995 and takes enforcement against violations.
(e) t1) To prevent the unreasonable use of water and to promote water conservation, the use: of potable water is prohibited for the irrigation of non-functional turf at commercial, industrial and institutional sites.
(2~ Notwithstanding subdivision (e)(1~, the use of water is not prohibited by this section to the extent necessary to ensure the health of trees and other perennial non-turf plantings or to the extent necessary to address an immediate health and safety need. (3) Notwithstanding subdivision (e)(1 ~, an urban water supplier may approve a request for continued irrigation of non-functional turFwhere the user certifies that the turf is a low water use plant with a plant factor of 0.3 or less, and demonstrates the actual use is less than 40% of reference evapotranspiration.
criminal
(g) A decision or order issued under this section ~ the Board, or an officer or employee the Board, is subject to reconsideration under article 2 (commencing with section 1122) c chapter 4 of part 1 of division 2 of the Water Code.
Authority: Section 105$.5, Water Code.
References: Article X Section 2 California Constitution' Sections 4080 4100 4110 and 4185 Civil Gode~ Section 8627.7 Government Code' Sections 102 104 105 275 350
3.77, 491, 1058.5, 1122. 10608.12, 10617, 10632, and 10632.1, Water Code; Lic~hf v. Sf~ Water Resources Control Board (2Q14) 226 Cal.App.4th 1463; Stanford Vina Ranch lrrigation Co. v. State of California (20201 50 Cal.App.5th 976
DRINKING WATER CONSTRUCTION
LOAN
AGREEMENT NO. SWRCB0000000000D2002017
by and between
CITY OF PORTERVILLE (“Recipient”)
and
CALIFORNIA STATE WATER RESOURCES CONTROL BOARD (“State Water Board”) for the purpose of the
AKIN/CENTRAL WATER CONSOLIDATION PROJECT
5410010-018C AND 5400655-001C (“Project”)
• Section 116760 et seq. of the Health and Safety Code and Resolution Nos. 2019-0065 and 2020- 0022.
PROJECT FUNDING AMOUNT: $4,787,664
PRINCIPAL FORGIVENESS COMPONENT: $4,787,664
ESTIMATED REASONABLE PROJECT COST: $4,787,664
ELIGIBLE WORK START DATE: JULY 1, 2016
ELIGIBLE CONSTRUCTION START DATE: SEPTEMBER 22, 2020
CONSTRUCTION COMPLETION DATE: OCTOBER 1, 2023
FINAL REIMBURSEMENT REQUEST DATE: APRIL 1, 2024
RECORDS RETENTION END DATE: OCTOBER 1, 2059
City of Porterville
Project No.: 5410010-018C/ 5400655-001C
Agreement No.: SWRCB0000000000D2002017