San Mateo City Council
March 18, 2024

CITY OF SAN MATEO
City Council Regular Meeting
March 18, 2024
7:00 PM
City Hall Council Chamber 330 W.
20th Avenue San Mateo CA 94403
Entrance is on O’Farrell Street

COUNCIL MEMBERS
Lisa Diaz Nash, Mayor
Rob Newsom Jr., Deputy Mayor
Rich Hedges
Amourence Lee
Adam Loraine

AGENDA
THIS MEETING CAN BE ATTENDED IN PERSON OR REMOTE BY JOINING ZOOM – SEE CODES BELOW.

PUBLIC COMMENTS WILL BE ACCEPTED BOTH IN PERSON AND REMOTEL Y.

SEE END OF AGENDA FOR OPTIONS AND INSTRUCTIONS ON HOW TO PARTICIPATE IN THE MEETING.

To join via Zoom – click here:

Monday, March 18, 2024
To join via telephone: (408) 638-0968
Webinar ID: 852 4302 1524 Passcode: 837584
The City Council meeting will conclude by 11:00 p.m. unless otherwise extended by council vote.

Any unheard items will automatically move forward to the next regular meeting.

Council Member Rich Hedges will teleconference into this meeting from:
2405 Klanianaole Avenue – PH-11 Hilo, Hawaii 96720

CALL TO ORDER
Pledge of Allegiance
Roll Call
AB 2449 Requests and Considerations for Meeting Participation by Teleconference due to Just Cause or Emergency Circumstances

CEREMONIAL

1. Mayor’s Quarterly Hero Award – Gloria Brown

2. Hillsdale High School Peace Pantry and Empowerment Through Action Programs - Presentation

3. Crossing Guard Appreciation Month - Recognition

4. Ramadan Mubarak - Observance

CONSENT CALENDAR
All matters listed under the Consent Calendar are considered by the Council to be routine and will be enacted by one motion without discussion. If discussion is desired, that item may be removed and considered separately.

5. Organized Retail Theft Prevention Grant Program – Memorandum of Understanding and Related Actions Approve: (1) a Memorandum of Understanding (MOU) with the cities of Daly City and San Bruno to administer a multi-agency Board of State and Community Corrections grant to combat organized retail theft; and authorize the Chief of Police to execute the MOU in substantially the form presented, and any other necessary documents related to grant activity; (2) Amendment No.1 to the Agreement with the Flock Group Inc., for the purchase of 15

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additional automated license plate readers for the three-year grant term in the amount of $138,950, for a new cumulative agreement amount not to exceed $640,300; and adopt a Resolution to (a) authorize the addition of

1.00 Full-Time Equivalent Community Service Officer position for the three-year duration of the grant period; (b) approve the purchase of 2 surveillance trailers from Mobile Pro Systems in the amount of $114,700 with the use of an alternative purchasing procedure and (c) amend the adopted Fiscal Year 2023-24 budget to appropriate $1,533,802 to the Police Grants Fund.

CEQA: This action is not a project subject to CEQA, because it can be seen with certainty that it will not cause a physical change in the environment. (Public Resources Code Section 21065.)

6. Compost Broker Program – Amendment
Approve Amendment No. 2 to the Compost Broker Program Agreement with San Mateo Resource Conservation District to increase the agreement in the amount of $90,839.54, for a new Agreement total of $164,055.80; update payment rates; amend the scope of services; extend the term to May 1, 2026; and authorize the Director of Public Works to execute the amendment in substantially the form presented.

CEQA: Approval of Amendment No. 2 to the Compost Broker Program between the City and SMRCD is exempt from the California Environmental Quality Act (CEQA). This is because it can be seen with certainty that there is no possibility that the procurement of additional compost to help meet the City’s annual recycled organic waste product procurement target would have a significant effect on the environment. (CEQA Guidelines Section 15061(b)(3).)

7. Wastewater Treatment Plant Upgrade and Expansion Project – Agreement Approve a Right-of-Entry Agreement with the City of Hollister, at no cost, allowing the City to enter onto the City of Hollister’s Wastewater Treatment Plant property for the purpose of obtaining sludge to support startup of the City of San Mateo’s new wastewater treatment plant; and authorize the Public Works Director to execute the Agreement in substantially the form presented and to execute any necessary no-cost amendments.

CEQA: The City prepared a Final Programmatic Environmental Impact Report (Final PEIR) in accordance with the California Environmental Quality Act (CEQA) (SCH No. 2015032006). Council on June 6, 2016, certified the PEIR. In accordance with CEQA, the Final PEIR serves as the primary environmental compliance document for the implementation of the Clean Water Program. The City prepared Addenda to the Final PEIR that was approved on July 16, 2018 (Addendum 1) and April 15, 2019 (Addendum 2). This work is within the scope of the Project evaluated in the PEIR and Addendum.

8. Senior Get Around Transportation Program Agreement – Amendment Approve Amendment No. 1 to the Agreement with Serra Yellow Cab, Inc. in the amount of $75,000, for a new contract total of $225,000, for the Senior Get Around Transportation Program for Fiscal Year 2023-24; and authorize the Director of Parks and Recreation to execute the amendment in substantially the form presented.

CEQA: This amendment is not a project subject to CEQA, because it is an organizational or administrative activity that will not result in direct or indirect physical changes in the environment. (CEQA Guidelines Section 15378(b) (5).)

9. General Plan, Housing Element, and Housing Successor Agency – 2023 Annual Progress Reports Accept the 2023 Annual Progress Reports for the General Plan, Housing Element, and Housing Successor Agency, and direct the Community Development Director to file the reports with the State.

CEQA: This Annual Progress Reports on the General Plan, Housing Element and Housing Successor Agency is not a project subject to CEQA, because it is an organizational or administrative activity that will not result in direct or

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indirect physical changes in the environment. (CEQA Guidelines Section 15378(b)(5).)

10. Wastewater Treatment Plant Immediate Action Project, Package II – Appropriation and Amendment Adopt a Resolution to authorize an appropriation of funds in the amount of $349,000 from the Sewer Fund Reserves for the Wastewater Treatment Plant Immediate Action Projects, Package II Project, revising the total project budget to an amount of $14,695,372; approve Amendment No. 13 to the agreement with Stantec Consulting Services, Inc. to provide professional design and engineering services during construction for the Project, increasing the contract value by $399,000, for a revised total agreement amount not-to-exceed $2,126,403.46, and extend the term of the agreement through September 30, 2024; and authorize the Public Works Director to execute Amendment No. 13 in substantially the form presented and approve future amendments within the approved amount.

CEQA: The work addressed by this administrative report is being undertaken to support the Clean Water Program.

This project is subject to the requirements of the California Environmental Quality Act (CEQA), the general components of which are included as part of the Final Programmatic Environmental Impact Report (Final PEIR) (SCH No. 201532006) that was prepared for the Clean Water Program. The Final PEIR was certified by City Council on June 6, 2016.

11. Peninsula Clean Energy Solar and Storage on Public Buildings Program – Power Purchase Agreement Approve an agreement with Peninsula Clean Energy (PCE) for a Power Purchase Agreement (PPA) to procure, install, operate and maintain a solar photovoltaic system at the Beresford Park parking lot; approve an Interconnection Agreement with PG&E to connect to and operate the solar photovoltaic system in parallel with PG&E’s electric system; and authorize the City Manager to execute the agreements in substantially the form presented and to execute any amendments necessary to implement the solar photovoltaic system.

CEQA: This agreement is exempt from CEQA as an “existing facility”, because it consists of the operation, repair, maintenance, permitting, leasing, licensing, or minor alteration of existing public or private structures, facilities, mechanical equipment, or topographical features, involving negligible or no expansion of existing or former use. (CEQA Guidelines Section 15301.)

12. Fiscal Year 2022-23 Annual Comprehensive Financial Report - Acceptance Accept the Annual Comprehensive Financial Report for the fiscal year ended June 30, 2023.

CEQA: This report is not a project subject to CEQA, because it is an organizational or administrative activity that will not result in direct or indirect physical changes in the environment. (CEQA Guidelines Section 15378(b)(5).) In addition, this report is not a project subject to CEQA, in that it consists of a government fiscal activity which does not involve any commitment to any specific project which may result in a potentially significant physical impact on the environment. (CEQA Guidelines Section 15378(b)(4).)

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13. Boards and Commissions – Confirm Reappointments and Establish Annual Appointment Subcommittees Appointments as follows, all terms through June 10, 2028: Alli Fitzgerald (Community Relations Commission), Wendy McCall (Library Board), Sandy Shepler (Measure S Oversight Committee) to a first full term; Jerold Nugent (Community Relations Commission), Tony Villanueva (Personnel Board), and Ellen Wang (Senior Citizens Commission) to a second full term. Establish Appointment Subcommittees with Mayor Diaz Nash and the Commission Liaison to interview for vacancies on the Community Relations Commission, Senior Citizens Commission, Sustainability and Infrastructure Commission, Park and Recreation Commission, Planning Commission, Library Board, Personnel Board, and Measure S Oversight Committee.

CEQA: This action is not a project subject to CEQA, because it is an organizational or administrative activity that will not result in direct or indirect physical changes in the environment. (CEQA Guidelines Section 15378(b)(5).)

PUBLIC COMMENT
Members of the public wishing to comment on any item not appearing on the agenda may address the City Council at this time. State law prevents Council from taking action on any matter not on the agenda; your comments may be referred to staff for follow up.

Public comment is limited to a total of 15 minutes; however, an opportunity for additional public comment may be provided later in the agenda.

PUBLIC HEARING
City Council action on the following public hearing(s) represents a final decision concluding all administrative proceedings. Judicial review may be had only if a petition is filed with the Court not later than the 90th day following the date the decision is made.

Judicial review of environmental determinations may be subject to a time period for litigation as short as 30 days following the date the decision is made.

14. 2024 Solid Waste Collection Rates – Increase
Adopt a Resolution to establish maximum rates for solid waste, recycling, and organics collection for rate year 2024; and adopt a resolution authorizing the Finance Director to appropriate $1,000,000 from the Solid Waste Fund unassigned fund balance and remit to Recology to reduce the City’s balancing account deficit by September 30, 2024.

CEQA: This action by the City in setting the maximum rates to be charged by Recology San Mateo County relates to funding an on- going solid waste collection service and is not a project subject to CEQA, because it is a government fiscal activity which does not involve any commitment to any specific project which may result in a potentially significant physical impact on the environment. (CEQA Guidelines Section 15378(b)(4).)

15. General Plan Amendment to Adopt Strive San Mateo General Plan 2040 Adopt a Resolution to certify the General Plan’s Final Environmental Impact Report (EIR) and adopt a resolution adopting Strive San Mateo General Plan 2040 and the Climate Action Plan Technical Update, based on the listed findings.

CEQA: As outlined above, an EIR has been prepared for General Plan 2040 to meet CEQA requirements. Since the EIR identified significant impacts that could not be fully mitigated, a Statement of Overriding Considerations is included as part of the resolution certifying the Final EIR..

OLD BUSINESS

16. City Council Priority List – Review Draft Priorities and Overall Updates Review and provide direction on the proposed work plan and resource requirements for the draft City Council fiscal year 2024-25 priorities.

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CEQA: This discussion is not a project subject to CEQA, because it is a government fiscal activity which does not involve any commitment to any specific project which may result in a potentially significant physical impact on the environment. (CEQA Guidelines Section 15378(b)(4).)

REPORTS AND ANNOUNCEMENTS
City Manager, City Attorney and Council Members report on their various assignments and liaison roles and Council requests for scheduling future items.

ADJOURNMENT
----------------------------------------------------------------------------------------------------------------------------- AGENDAS:

Agendas and material are posted on the City’s website on the Friday preceding each Council Meeting and can be viewed on the City's website at
www.cityofsanmateo.org
. Any supplemental material distributed to the Council after the posting of the agenda will be made part of the official record.

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PUBLIC COMMENTS/REQUEST TO SPEAK
Prior to the Meeting
Send comments to:
[email protected]
until 4 p.m. the day of the meeting.

During the meeting
By Zoom:

Click the link at the top of the agenda and you’ll be added to the meeting. All attendees are muted by default. When the item of interest is open for consideration, select the “Raise Your Hand” icon and you will be called on at the appropriate time.

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Call (408) 638-0968 and enter the conference ID found at the top of the meeting agenda. When the item of interest is open for consideration, select *9 to raise your hand. When called upon, press *6 to unmute, state your name and provide your comments.

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At the meeting complete a “Request to Speak” form, submit a request at the speaker kiosk or scan the QR code.

ACCESSIBILITY:

In compliance with the Americans with Disabilities Act, those with disabilities requiring special accommodations to participate in this meeting may contact the City Clerk’s Office at (650) 522-7040 or [email protected]
. Notification 48 hours prior to the meeting will
enable the City to make reasonable arrangements to ensure accessibility to this meeting.

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CITY OF SAN MATEO
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CITY OF SAN MATEO
Agenda Report
City Hall
330 W. 20th Avenue
San Mateo CA 94403
www.cityofsanmateo.org
Agenda Number: 5 Section Name: CONSENT CALENDAR Account Number: 20-5150 File ID: 24-8392 TO: City Council
FROM: Alex Khojikian, City Manager
PREPARED BY: Police Department
MEETING DATE: March 18, 2024
SUBJECT:

Organized Retail Theft Prevention Grant Program – Memorandum of Understanding and Related Actions RECOMMENDATIONS:

Approve: (1) a Memorandum of Understanding (MOU) with the cities of Daly City and San Bruno to administer a multi- agency Board of State and Community Corrections grant to combat organized retail theft; and authorize the Chief of Police to execute the MOU in substantially the form presented, and any other necessary documents related to grant activity; (2) Amendment No.1 to the Agreement with the Flock Group Inc., for the purchase of 15 additional automated license plate readers for the three-year grant term in the amount of $138,950, for a new cumulative agreement amount not to exceed $640,300; and adopt a Resolution to (a) authorize the addition of 1.00 Full-Time Equivalent Community Service Officer position for the three-year duration of the grant period; (b) approve the purchase of 2 surveillance trailers from Mobile Pro Systems in the amount of $114,700 with the use of an alternative purchasing procedure and (c) amend the adopted Fiscal Year 2023-24 budget to appropriate $1,533,802 to the Police Grants Fund.

BACKGROUND:

Organized Retail Theft (ORT) is a significant issue for the City of San Mateo. To help combat the problem of ORT, in 2023, the Police Department, in collaboration with the Cities of Daly City and San Bruno, applied for a grant offered by the California Board of State and Community Corrections (BSCC), titled Organized Retail Theft Prevention Grant Program. For the application, Daly City was the lead applicant and San Bruno and San Mateo were sub-applicants. The grant application was successful, and Daly City received the grant award and will take primary responsibility for administering the grant with the Police Departments of San Bruno and San Mateo.

The total grant award for the San Mateo Police Department is $1,533,802, and it is to be expended over the course of the three-year grant term, concluding in Fiscal Year 2027. The grant funding will provide for a number of expenditures, including the purchase of equipment, overtime for enforcement operations, community education and engagement outreach efforts, and the salary and benefits for 1.00 Full-Time Equivalent (FTE) Community Service Officer (CSO).

Memorandum of Understanding
To provide structure and outline to the administration of the grant program and relationship between the three police departments, the three cities wish to adopt a memorandum of understanding (MOU). The Daly City Police Department will handle all grant administration duties with the BSCC. The San Mateo Police Department will incur expenses in furtherance of grant objectives and subsequently invoice Daly City for reimbursements. Daly City will in turn invoice the BSCC. The proposed MOU outlines the service details of this relationship, and its terms will run from October 1, 2023, until June 1, 2027. Grant and program project activity will end on December 31, 2026, and the time period between then and June 1, 2027, will allow for the completion of required grant evaluation reports and financial audits only. It is the City’s policy that City Council approve inter-governmental agency agreements.

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CITY OF SAN MATEO
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Community Service Officer position
The CSO funded through this grant will have a primary focus on educating the San Mateo community about the risk of ORT, investigating ORT cases, working with retailers and other community members on ways to reduce ORT, improve information sharing, and increase enforcement efficiency. The grant also funds the purchase and outfitting of a vehicle for the CSO.

The Police Department plans to staff the CSO position to focus on these grant activities, concluding in December 2026.

The addition of this position, as well as the related vehicle, will have a net-zero budget impact as the costs will be fully offset by grant reimbursement.

Automated License Plate Readers
The Police Department already leverages automated license plate reader (ALPR) technology to enhance public safety in San Mateo, through an existing service agreement with Flock Group Inc. The ORT grant funds the purchase of 15 additional cameras, which will be deployed throughout the city based on a data-informed approach to maximizing crime detection and investigative capabilities.

The existing service agreement with Flock Group Inc., will be amended to include the 15 additional ALPR cameras for a three-year term at a total cost of $138,950. This will have a net-zero budget impact as the cost of the new cameras will be fully offset by grant reimbursement, and the cost for future years will be incorporated into future Business Plans.

Data Integration and Investigative Technology System
The grant provides for the Police Department to implement a data integration and investigative technology system, C3AI, through the partnership with the Daly City Police Department. C3AI will allow the Police Department to greatly increase efficiency by allowing improved data integration across pre-existing data sources. It will allow Police Department investigators to access already available sources of data in one place, increasing both efficiency and effectiveness.

This technology will abide by all existing and standard policies and regulations for data security, integrity, and confidentiality. This technology platform has been purchased and is in the process of implementation throughout San Mateo County, and it likely will expand throughout the Bay Area as a regional standard. As adoption of the platform increases, the benefit it offers investigators will correspondingly increase.

The cost of the purchase of the C3AI platform for the 3 years of the grant award is fully funded, and Daly City, as the lead agency for the grant, will expend the funds as the lead grant applicant on behalf of both San Mateo Police Department and San Bruno Police Department. Guidelines outlining the interconnection between the three agencies and C3AI are covered under the MOU.

Overtime Details
The grant provides funding for operational deployment of officers to combat ORT. These deployments are scheduled to consist of two separate 4-day details, every quarter, in partnership with local retailers and the police departments of Daly City and San Bruno. Through this partnership, the Police Department will hold accountable those committing crimes, serve as a deterrent, and raise awareness with retailers and the larger community on the negative impact of ORT.

The Police Department started staffing these details in December 2023, and these continuing details will have a net-zero budget impact as the costs will be fully offset by grant reimbursement.

Surveillance Trailers
The grant includes funding for the purchase of two surveillance camera trailers. These trailers are designed to be easily moved and deployed, are distinctly marked as police equipment to allow for optimal deterrence and are outfitted with multiple surveillance cameras that will aid with both deterrence and providing investigative leads in case of actual crime.

These trailers will allow the Police Department to implement an adaptable crime-reducing tool, based on both data and community input, in a timely and responsive manner. Staff requests approval of this purchase pursuant to SMMC

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3.60.070(h)(3), which allows the Council to use any purchasing process which is in the best interest of the City.

The Police Department researched the existing market for these types of trailers, and the company Mobile Pro Systems is uniquely positioned to offer the ideal piece of equipment to meet the Police Department’s specific needs which include configurability to incorporate and align with San Mateo’s current citywide camera and audio systems; the size of the device is the most compact of those evaluated which increases ease of deployment; and the battery mechanism is more efficient in that it utilizes solar power and can maintain a charge without relying on staff. Mobile Pro Systems is an established vendor in the law enforcement community, and staff has been pleased with their responsiveness and customer service. For these reasons, staff believes it to be in the best interest of the City to proceed with procurement from Mobile Pro Systems. The price for two trailers is quoted at $114,700 and this purchase will have a net-zero budget impact as the cost will be fully offset by grant reimbursement.

BUDGET IMPACT:

The requested action includes an appropriation of $1,533,802 to the Police Grant Fund (Fund 200) 2023-24 operating budget, which will be fully offset by grant reimbursement, resulting in no net financial impact. The grant has a three- year term which runs through FY2026-27. Any unspent grant funds will roll over from the current fiscal year to the next, until funds are fully expended.

ENVIRONMENTAL DETERMINATION:

This action is not a project subject to CEQA, because it can be seen with certainty that it will not cause a physical change in the environment. (Public Resources Code Section 21065.)

NOTICE PROVIDED
All meeting noticing requirements were met.

ATTACHMENTS
Att 1 – Proposed Resolution
Att 2 – Memorandum of Understanding
Att 3 – Amendment No. 1 to Agreement with Flock Group
Att 4 – Mobile Pro Systems Quote for Surveillance Trailers

STAFF CONTACT
Ed Barberini, Chief of Police
[email protected]
(650) 522-7600
Matt Lethin, Captain
[email protected]
(650) 722-7663

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CITY OF SAN MATEO
RESOLUTION NO. ____ (2024)
APPROVING THE ADDITION OF 1.00 FULL TIME EQUIVALENT (FTE) COMMUNITY SERVICE OFFICER POSITION FOR THE POLICE DEPARTMENT; AUTHORIZING USE OF AN ALTERNATIVE PURCHASING PROCEDURE FOR

ISSUANCE OF A PURCHASE ORDER TO MOBILE PRO SYSTEMS FOR PURCHASE OF TWO SURVEILLANCE CAMERA TRAILERS ($114,700); AND AMENDING THE FISCAL YEAR 2023-2024 BUDGET BY APPROVING AN APPROPRIATION IN THE AMOUNT OF $1,533,802 TO THE POLICE GRANTS FUND FOR ACTIVITIES RELATED TO

THE ORGANIZED RETAIL THEFT GRANT PROGRAM
WHEREAS, the City of San Mateo has partnered with the Cities of Daly City and San Bruno to combat the problem of organized retail theft through a successful joint application for funding from the California Board of State and Community Corrections (BSCC); and
WHEREAS, Daly City has received the grant award and will take responsibility for administering the grant to the City of San Mateo as a sub-awardee, with San Mateo’s share of the grant funds totaling $1,533,802, to be expended over the course of a three-year grant term concluding in Fiscal Year 2027; and WHEREAS, the grant will fund a variety of expenditures, including the salary and benefits for a Community Service Officer position dedicated to activities related to combating organized retail theft; and WHEREAS, staff recommends the addition of 1.00 FTE Community Service Officer position for the three- year grant period, with no net financial impact as costs will be offset by grant reimbursement revenue; and WHEREAS, the grant will fund the cost of two surveillance camera trailers to aid with deterrence of organized retail theft and provide investigative leads in case of actual crime, and through thorough research staff has identified a product from Mobile Pro Systems as the best to meet the Police Department’s specific needs; and
WHEREAS, Municipal Code Section 3.60.070(h)(3) provides that the City may use purchasing procedures approved by the City Council if the Council makes a finding that the procedures are in the best interest of the City; and
WHEREAS, section 5.13 (a) of the City Charter requires Council approval by resolution for amendments to the City’s budget.

NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SAN MATEO, CALIFORNIA, HEREBY FINDS and RESOLVES that:

1. This action is not a project subject to CEQA, because it can be seen with certainty that it will not cause a physical change in the environment (Public Resources Code Section 21065.)

2. The addition of 1.00 FTE Community Service Officers Position is authorized for the term of the grant.

3. Pursuant to Municipal Code Section 3.60.070(h)(3), the purchase of two surveillance camera trailers from Mobile Pro Systems is in the best interest of the City because the of the product configurability and

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compatibility with existing City systems; the desirable compact size of the device; and the efficiency provided by the solar battery system.

4. The Chief of Police is authorized to issue a purchase order to Mobile Pro Systems in the amount of $114,700 for the purchase of two surveillance trailers.

5. A budget appropriation for Fiscal Year 2023-2024 is approved in the amount of $1,533,802 to the Police Grants Fund (Fund 200).

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1 BSCC ORT Prevention Grant Program

MEMORANDUM OF UNDERSTANDING

1. MISSION:

The City of Daly City and the Daly City Police Department (“Lead Agency”) is partnering with the City of San Bruno through the San Bruno Police Department and the City of San Mateo through the San Mateo Police Departm ents (“Partner Agencies”). Together, these agencies will launch a coordinated and strategic effort to address and prevent organized retail theft in the region. Community Service Officers, an Organized Retail Theft Task Force (ORTTF), Community Awareness Campaigns, and technologies such as Starchase, C3 investigative tools, and automatic license plate readers will enhance efforts to protect and serve. The initiative is to reduce organized retail theft in partnering jurisdictions, improving the safety and security of residents and retailers alike.

2. PARTIES:

This Memorandum of Understanding (MOU) is being executed by the agencies listed below in connection with the operation of the BSCC Organized Retail Theft Prevention Grant Program (ORT Prevention Grant Program ). The agencies listed below jointly and severally agree to abide by the terms and provisions of this MOU throughout the duration of this joint agreement.

Daly City Police Department (Lead Agency)
• Chief of Police or designee, 650-991-8119
San Bruno Police Department (Partner Agency)
• Chief of Police or designee, 650-616-7100
San Mateo Police Department (Partner Agency)
• Chief of Police or designee, 650-522-7700

3. TERM OF THIS AGREEMENT
Start Date: October 1, 2023
End Date: June 1, 2027

Note: Project activity period ends December 31, 2026. The period of January 1, 2027, to June 1, 2027, is for completion of the Final Local Evaluation Report and financial audit only.

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2 4. MAXIMUM REIMBURSEMENT AMOUNT TO PARTNER AGENCIESDURING

THE TERM OF THE MOU
San Bruno Police Department: $887,497
San Mateo Police Department: $1,533,802

Please refer to the Board of State and Community Corrections (BSCC) Grant Agreement Number BSCC 1150-23 Project Budget and Budget Narrative for details (Attachment #1).

5. MATCH REQUIREMENT
No match is required for the Organized Retail Theft Prevention Grant Program.

6. BUDGET CONTINGENCY CLAUSE
Partner Agencies agree to the Budget Contingency Clause stated on page 2 of 4 of Exhibit B: Budget Detail and Payment Provisions in the BSCC Grant Agreement #BSCC 1150- 23 (Attachment #1).

7. PURPOSE OF AGREEMENT:

This Memorandum of Understanding (MOU) sets forth the responsibilities and commitments of the Parties in the ORT Prevention Grant Program, maximizes inter-agency cooperation, and formalizes relationships between the parties for policy guidance, planning, training, and public and media relations. This MOU is not intended, and should not be construed, to create any right or benefit, substantive or procedural , enforceable at law or otherwise by any third party against the parties, or the officers, employees, agents, or other associated personnel thereof.

8. AUTHORITY:

Nothing in this MOU is intended to conflict with current law, regulation or policy. Further, nothing in this MOU is intended to restrict the authority of any party to act as provided by law or regulation, or to restrict any agency from enforcing any laws within its authority or jurisdiction. If any term of this Agreement is inconsistent with law, regulation, or other authority, then that term shall be invalid, but the remaining terms and conditions of this MOU shall remain in full force and effect.

9. RESPONSIBILITIES:

A. SHARED RESPONSIBILITIES
All participants of the ORT Prevention Grant Program acknowledge that this is a joint operation with all participating agencies acting for a common goal. Accordingly, the mission and objectives of the ORT Prevention Grant Program will be a shared responsibility of the participating agencies.

Support the overall mission of the ORT Prevention Grant Program.

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3 B. LEAD AGENCY
• The Daly City Police Department is the lead agency for the ORT Prevention Grant Program and agrees to overall management responsibilities for the task force, including but not limited to record keeping and daily responsibility for personnel work assignments and investigative matters.
• Although the Daly City Police Dep artment is the Lead Agency, Partner Agencies will be asked for input; however, the Daly City Police Department has the final word on decision-making.

10. DATA SHARING

The Lead Agency will coordinate with the Partner Agencies to share data for the purposes of measuring and reporting the success of the items funded by the grant, supporting investigations related to the grant, and supporting the needs of the Organized Retail Theft Task Force (ORTTF).

A. Data Evaluator: The Lead Agency will work together with the partner agencies to select an evaluator to measure the progress and outcomes of the ORT Prevention Grant Program. The evaluator will work closely with the Lead Agency to collect data from all Partnering Agencies in this agreement to meet the needs identified by the Partnering A gencies, the BSCC, and the Evaluator.

The Data Evaluator will be responsible for the creation , analysis, and completion of the required Quarterly Progress Reports, Local Evaluation Plan, and Final Local Evaluation Report.

B. Quarterly Progress Reports: The grant requires quarterly progress reports, an initial Local Evaluation Plan, and a Final Local Evaluation Report. Time periods for each quarterly report and due dates for each item are listed below. • Initial Local Evaluation Plan Due: No later than April 1, 2024 • Final Local Evaluation Report Due: No later than June 1, 2027 Quarterly Progress Report Periods & Due Dates
Start Date End Date Due by Date
October 1, 2023 December 31, 2023 February 15, 2024
January 1, 2024 March 31, 2024 May 15, 2024

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4 C. Non-Disclosure Agreement: ORT Prevention Grant Program information and data may only be disseminated on a need- to-know basis and as expressly permitted by the ORT Grant Prevention Program, unless required by law. No ORT Prevention Grant Program information or data may be dis seminated outside the ORT Prevention Grant Program without the express permission of the Lead Agency and Partner Agencies, unless required by law.

D. Media: No member of the ORT Prevention Grant Program will unilaterally discuss or otherwise reveal information relating to the ORT Prevention Grant Program investigations, or other related investigations known to them, to any media representatives, unless require d by law . All releases of information to the media will be mutually agreed upon by the Lead Agency and Partner Agencies , unless required by law.

E. Information Security and Standards Compliance: Partner Agencies and the Lead Agency agree to enforce and maintain security for shared data in compliance with all applicable law (s). Partner Agencies and the Lead Agency shall store information, whether electronic or hardcopy, only in a manner that is complaint with all applicable physical security and cyber security requirements. Data shall be retained, purged, and destroyed in accordance with all applicable standards and in compliance with the law. Data exchange and user access shall be achieved using encryption, private networks, or other configurations that follow current best practices for information technology.

April 1, 2024 June 30, 2024 August 15, 2024
July 1, 2024 September 30, 2024 November 15, 2024
October 1, 2024 December 31, 2024 February 15, 2025
January 1, 2025 March 31, 2025 May 14, 2025
April 1, 2025 June 30, 2025 August 15, 2025
July 1, 2025 September 30, 2025 November 15, 2025
October 1, 2025 December 31, 2025 February 15, 2026
January 1, 2026 March 31, 2026 May 15, 2026
April 1, 2026 June 30, 2026 August 15, 2026
July 1, 2026 September 30, 2026 November 15, 2026
October 1, 2026 December 31, 2026 February 15, 2027

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5 11. ORGANIZED RETAIL THEFT TASK FORCE (ORTTF):

The Daly City Police Department will coordinate with the San Bruno and San Mateo Police Departments. The ORTTF will rotate focus among partner jurisdictions on a non- predictable schedule based on data analysis and need. The ORTTF will be deployed quarterly, rotating among the three partner jurisdictions. The agency leading the ORTTF quarterly deployment will rotate each quarter.

A. PERSONNEL:

Each quarter, the agency leading the ORTFF deployment will assign one Lieutenant and one Sergeant from their respective agency. Additionally, eight officers will be assigned to the quarterly deployment. The breakdown of the eight assigned officers are as follows:
• 3 officers from the Daly City Police Department
• 2 officers from the San Bruno Police Department
• 3 officers from the San Mateo Police Department

a. No Employment by ORTTF: The ORTTF does not directly or indirectly employ any personnel assigned to it. The ORTTF is established for the coordination of applicable investigations and does not establish employer-employee relationships with the personnel assigned to the ORTTF from the Parties.

b. Responsibility for Conduct: Personnel assigned to the ORTTF may not engage in any activity which, either in appearance or in fact, conflicts with their duties at ORTTF or reasonably impeaches the independence of their work for ORTTF . In addition to the requirements set forth in this MOU, each Party shall ensure that their employee participants remain subject to and adhere to standards of conduct, personnel rules, regulations, laws, and policies applicable to those of their respective agency.

c. Assignment to the ORT TF: Personnel selections for the ORTTF are at the discretion of the Parties. Personnel will be selected based on the needs of the ORTTF and the Parties.

B. DEPLOYMENT:

Every quarterly deployment will be consecutive or non-consecutive eight days/two- weeks in length at the discretion of the l eading agency. The deployment schedule and leading agency assignments are as follows:

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6 FISCAL YEAR 2024

Fiscal Year 2024 Dec 2023 Mar 2024 June 2024
Leading Agency Daly City PD San Bruno PD San Mateo PD
Total LTs 1 Lieutenant 1 Lieutenant 1 Lieutenant
Total Sgts 1 Sergeant 1 Sergeant 1 Sergeant
Total Officers 8 Officers 8 Officers 8 Officers

FISCAL YEAR 2025

Fiscal Year 2025 Sept 2024 Dec 2024 March 2025 June 2025 Leading Agency Daly City PD San Bruno PD San Mateo PD Daly City PD Total LTs 1 Lieutenant 1 Lieutenant 1 Lieutenant 1 Lieutenant Total Sgts 1 Sergeant 1 Sergeant 1 Sergeant 1 Sergeant
Total Officers 8 Officers 8 Officers 8 Officers 8 Officers

FISCAL YEAR 2026

Fiscal Year 2026 Sept 2025 Dec 2025 March 2026 June 2026 Leading Agency San Bruno PD San Mateo PD Daly City PD San Bruno PD Total LTs 1 Lieutenant 1 Lieutenant 1 Lieutenant 1 Lieutenant Total Sgts 1 Sergeant 1 Sergeant 1 Sergeant 1 Sergeant
Total Officers 8 Officers 8 Officers 8 Officers 8 Officers

FISCAL YEAR 2027

Fiscal Year 2027 Sept 2026 Dec 2026
Leading Agency San Mateo PD Daly City PD
Total LTs 1 Lieutenant 1 Lieutenant
Total Sgts 1 Sergeant 1 Sergeant
Total Officers 8 Officers 8 Officers

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7 a. DOCUMENTATION

i. OPERATION PLAN:

The leading agency shall formulate an Operations Plan for their ORTTF quarterly deployment. The Operations Plan should be submitted to all other partner agencies for review, at least one week prior to the execution of their operation.

ii. AFTER ACTION REPORT:

The leading agency shall generate an After -Action Report at the completion of their ORTTF quarterly deployment. The After -Action Report should be submitted to the Lead Agency no later than one week after the completion of their quarterly deployment.

C. DISPUTE RESOLUTION:

In cases of overlapping jurisdiction, the participating agencies agree to work in concert to achieve the ORT Prevention Grant Program’s objectives. The parties agree to attempt to resolve any disputes regarding jurisdiction, case assignments, workload, etc., at the field level first before referring the matter to supervisory personnel for resolution.

12. LIABILITY:

The Parties understand and agree that, e xcept as otherwise noted in this MOU or allowed by federal or state law (i.e. when acting on behalf of or at the direction of the ORT Prevention Grant Program in its official capacity), they will be responsible for their own liability and bear their own costs with regard to their property and resources or personnel expenses incurred by reason of death, injury or incidents giving rise to liability. Each Party is responsible for its own acts and the results thereof to the exte nt authorized by law and shall not be responsible for the acts of the other Parties and the results thereof.

13. IMPLEMENTATION:

The implementation of this agreement becomes effective upon signing by all parties. This MOU will remain in effect until action is initiated to dissolve the agreement as evidenced by written notice from an authorized representative or at the end of the term stated in this MOU. Any amendments to the MOU shall be in writing and executed in the same manner as the original MOU.

14. EXPENSES AND REIMBURSEMENT:

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8 A. Salaries and Compensation: Please refer to the BSCC Grant Administration Guide page 13 (Attachment #2).

B. Unless otherwise agreed in writing, each party shall bear its own costs in relation to this MOU. Expenditures by each part y will be subject to the BSCC Grant Agreement Number BSCC 1150-23 (Attachment #1).

C. Overtime: Overtime may be compensated in pay only to the ORTTF members by their respective agencies in accordance with their applicable overtime provisions.

D. Purchases and Contracts: Agencies must comply with applicable procurement laws and policies for their jurisdiction when contracting for goods or procuring services.

Matters concerning violation of laws must be referred to the local, state, of federal authority having jurisdiction. For any purchase over $3,500, preauthorization is required from BSCC. To submit a request to BSCC via Lead Agency for preauthorization, please follow the instructions in Attachment #3. If no preauthorization or approval by BSCC was obtained, funds may not be reimbursable. For contracts, please ensure that the required BSCC contract language is included. Please refer to the BSCC Grant Administration Guide contract requirements on page 40 (Attachment #2).

E. Reimbursement of Funds: The reimbursement of funds to Partner Agencies is based on BSCC disbursement. Disbursement of grant funds occurs on a reimbursement basis for costs incurred during a reporting period. The Lead Agency will issue the check to the Partner Agencies upon BSCC disbursement.

F. Invoices: For reimbursement of funds to be conducted effectively and in a timely manner, the following quarterly invoicing periods have been formulated, including reimbursement request deadlines. All supporting documentation must accompany the invoice to t he Lead Agency; including but not limited to invoices, contracts, timesheets, time and effort reports, overtime slips, MOUs, salary schedules, and action forms. After the Lead Agency receives invoices from the Partner Agencies, the Lead Agency will invoice BSCC for reimbursement.

Partner Agencies shall submit an invoice to the Lead Agency each invoicing period, even if grant funds are not expended or requested during the invoicing period.

All project expenses must be incurred by the end of the project activity period, December 31, 2026, and included on the final invoice due January 18, 2027. Project expenditures incurred after December 31, 2026, will not be reimbursed.

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9 G. Budget Modifications: All Modification Requests require prior approval from the designated BSCC Field Representative via the Lead Agency . If prior approval is not obtained, the grant reimbursement may be reduced by the amount of the unauthorized expenditure(s). Unauthorized expenditures may also result in audit issues. For more information, please refer to the BSCC Grant Administration Guide page 57 (Attachment #2).

15. FINANCIAL AUDIT REPORT:

Lead Agency with the assistance of the Partner Agencies is required to provide the BSCC with a financial audit that covers the service delivery period of the grant (October 1, 2023 - December 31, 2026). The audit report will be due no later than June 1, 2027. The financial audit shall be performed by a Certified Public Accountant or a participating county or city auditor that is organizationally independent from the participating county or city’s project financial management functions.

In addition, the BSCC reserves the right to call for a program or financial a udit at any time between the execution of the BSCC ORT Prevention Grant Program and three (3) years following the end of the grant period. The Department of General Services, the California State Auditor, the Department of Finance, or their designated repr esentative shall have the right to review and to copy any records and supporting documentation pertaining to the performance of this grant.

16. QUESTIONED OR DISALLOWED COSTS IDENTIFIED IN A FISCAL DESK

REVIEW OR FINANCIAL AUDIT

In the event costs by a Partner Agency are questioned or recommended for disallowance and funds are to be returned to BSCC, the Lead Agency will notify and invoice the Partner Agency. The Partner Agency must pay the invoice within 15 calendar days from the invoice date to allow L ead Agency time to return funds to BSCC. Please see page 68- 69 of the BSCC Grant Administration Guide (Attachment #2).

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10 17. RECORDS

All records relevant to the BSCC ORT Prevention Grant Program must be preserved a minimum of three (3) years after closeout of the grant project and shall be subject at all reasonable times to inspection, examination, monitoring, copying, excerpting, transcribing, and auditing by the BSCC or designees. 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 the completion of the action and resolution of all issues which arise from it or until the end of the regular three-year period, whichever is later.

18. TERMINATION:

The term of this MOU shall be for the duration of the ORT Prevention Grant Program ’s operations, contingent upon approval of necessary funding . Should a Party terminate its participation, it must return any equipment to the supplying agency. Similarly, as soon as practicable consistent with ongoing investigations, the non-terminating Parties will return to the terminating party any unexpended equi pment the terminating party may have supplied during its ORT Prevention Grant Program participation.

19. MODIFICATION OF THE MOU:

This MOU may be amended by deletion or modification of any provision contained herein, or by adding new provisions after written concurrence of the Parties.

20. OTHER PROVISIONS:

Nothing in this MOU is intended to conflict with current law or regulation or the directives of the Parties. If a term of this agreement is inconsistent with such authority, then that term shall be invalid, but the remaining terms and conditions of this agreement shall remain in full force and effect.

Partner Agencies must comply with the terms and conditions of the BSCC Grant Agreement Number BSCC 1150-23 (Attachment #1). Partner Agencies must comply with the terms and conditions of the current BSCC Grant Administration Guide (Attachment #2) and any revisions
https://www.bscc.ca.gov/wp-content/uploads/BSCC-
Grant-Admin-Guide-July-2023.pdf.

21. NO THIRD-PARTY RIGHTS:

This MOU is not intended, and should not be construed, to create any right or benefit, substantive or procedural, enforceable at law or otherwise by any third party (other than a Participating Agency of this ORT Prevention Grant Program entering a similar MOU) against the parties hereto, or the officers, employees, agents, or other associated personnel thereof.

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11 22. EFFECTIVE DATE AND ADDITIONAL PARTIES:

The terms of this MOU will become effective on the date the last Party signs the MOU.

SO AGREED on behalf of the entities/organizations below:

___________________________________ _______________
Name Date
Daly City Police Department

___________________________________ _______________
Name Date
San Mateo Police Department

___________________________________ _______________
Name Date
San Bruno Police Department

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STATE OF CALIFORNIA DEPARTMENT OF GENERAL SERVICES SCO ID:5227-BSCC- 1150-23 STANDARD AGREEMENT AGREEMENT NUMBER PURCHASING AUTHORITY NUMBER (If Applicable) STD 213 (Rev 03/2019) BSCC 1150- 23

1. This Agreement is entered into between the Contracting Agency and the Contractor named below:

CONTRACTING AGENCY NAME

BOARD OF STATE AND COMMUNITY CORRECTIONS

CONTRACTOR NAME
Daly City Police Department

2. The term of this Agreement is:

START DATE
OCTOBER 1, 2023

THROUGH END DATE
JUNE 1, 2027

3. The maximum amount of this Agreement is:
$8,033,830.00

4. The parties agree to comply with the terms and conditions of the following exhibits, attachments, and appendices which are by this reference made a part of the Agreement.

EXHIBITS TITLE PAGES
Exhibit A Scope of Work 3
Exhibit B Budget Detail and Payment Provisions 4
Exhibit C General Terms and Conditions (04/2017) 4
Exhibit D Special Terms and Conditions 5
Attachment 1* Organized Retail Theft Prevention Grant Program Request for Proposals * Attachment 2 Organized Retail Theft Prevention Grant Program Grant Proposal 45 Appendix A Organized Retail Theft Grant Program Scoring Panel Roster 1 Appendix B Grantee Assurance for Non-Governmental Organizations 2 * This item is hereby incorporated by reference and can be viewed at: https://www.bscc.ca.gov/organized-retail-theft-grant-program/ IN WITNESS WHEREOF, THIS AGREEMENT HAS BEEN EXECUTED BY THE PARTIES HERETO.

CONTRACTOR
CONTRACTOR NAME (if other than an individual, state whether a corporation, partnership, etc.) Daly City Police Department

CONTRACTOR BUSINESS ADDRESS CITY STATE ZIP
333 90th Street Daly City CA 94015

PRINTED NAME OF PERSON SIGNING TITLE
Chief of Police Cameron Christensen

CONTRACTOR AUTHORIZED SIGNATURE DATE SIGNED
Sep 20, 2023  Cameron Christensen (Sep 20, 2023 12:39 PDT)

CONTRACTING AGENCY NAME

STATE OF CALIFORNIA

BOARD OF STATE AND COMMUNITY CORRECTIONS

CONTRACTING AGENCY ADDRESS CITY STATE ZIP
2590 Venture Oaks Way, Suite 200 Sacramento CA 95833

PRINTED NAME OF PERSON SIGNING TITLE
COLLEEN CURTIN Deputy Director

CONTRACTING AGENCY AUTHORIZED SIGNATURE DATE SIGNED

CALIFORNIA DEPARTMENT OF GENERAL SERVICES APPROVAL: EXEMPT PER SCM, VOLUME 1, CH. 4.06

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EXHIBIT A: SCOPE OF WORK

1. GRANT AGREEMENT – Organized Retail Theft Grant Program This Grant Agreement is between the State of California, Board of State and Community Corrections (hereafter referred to as BSCC) and Daly City Police Department (hereafter referred to as the Grantee).

2. PROJECT SUMMARY AND ADMINISTRATION
A. The Organized Retail Theft Grant Program was established in Senate Bill 154 (SB 154) (Chapter 43, Statutes of 2022). Organized Retail Theft Grant Program funds shall be used to support local law enforcement agencies in preventing and responding to organized retail theft, motor vehicle or motor vehicle accessory theft, or cargo theft.

B. Grantee agrees to administer the project in accordance with Attachment 1: Organized Retail Theft Grant Program Request for Proposals (incorporated by reference) and Attachment 2: Organized Retail Theft Grant Program Grant Proposal, which is attached and hereto and made part of this agreement.

3. PROJECT OFFICIALS
A. The BSCC's Executive Director or designee shall be the BSCC's representative for administration of the Grant Agreement and shall have authority to make determinations relating to any controversies that may arise under or regarding the interpretation, performance, or payment for work performed under this Grant Agreement.

B. The Grantee’s project officials shall be those identified as follows:

Authorized Officer with legal authority to sign:

Name: Cameron Christensen
Title: Chief of Police
Address: 333 90
th Street, Daly City CA 94015
Phone: 650-991-8188
Email: [email protected]
Designated Financial Officer authorized to receive warrants:

Name: Judy Huey
Title: Police Management Analyst
Address: 333 90th Street, Daly City CA 94015
Phone: 650-746-8373
Email: [email protected]
Project Director authorized to administer the project:

Name: Ignacio Reyes
Title: Police Lieutenant
Address: 333 90th Street, Daly City CA 94015
Phone: 650-483-9509
Email: [email protected]

C. Either party may change its project representatives upon written notice to the other party.

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EXHIBIT A: SCOPE OF WORK

D. By signing this Grant Agreement, the Authorized Officer listed above warrants that he or she has full legal authority to bind the entity for which he or she signs.

4. DATA COLLECTION
Grantees will be required to comply with all data collection and reporting requirements as described in Attachment 1: Organized Retail Theft Grant Program Request for Proposals (incorporated by reference) and Attachment 2: Organized Retail Theft Grant Program Grant Proposal.

5. REPORTING REQUIREMENTS
A. Grantee will submit quarterly progress reports in a format prescribed by the BSCC. These reports, which will describe progress made on program objectives and include required data, shall be submitted according to the following schedule:

Quarterly Progress Report Periods Due no later than:

1. October 1, 2023 to December 31, 2023 February 15, 2024

2. January 1, 2024 to March 31, 2024 May 15, 2024

3. April 1, 2024 to June 30, 2024 August 15, 2024

4. July 1, 2024 to September 30, 2024 November 15, 2024

5. October 1, 2024 to December 31, 2024 February 15, 2025

6. January 1, 2025 to March 31, 2025 May 15, 2025

7. April 1, 2025 to June 30, 2025 August 15, 2025

8. July 1, 2025 to September 30, 2025 November 15, 2025

9. October 1, 2025 to December 31, 2025 February 15, 2026

10. January 1, 2026 to March 31, 2026 May 15, 2026

11. April 1, 2026 to June 30, 2026 August 15, 2026

12. July 1, 2026 to September 30, 2026 November 15, 2026

13. October 1, 2026 to December 31, 2026 February 15, 2027

B. Evaluation Documents Due no later than:

1. Local Evaluation Plan April 1, 2024

2. Final Local Evaluation Report June 1, 2027

C. Other Due no later than:

Financial Audit Report June 1, 2027

Grantees that are unable to demonstrate that they are making sufficient progress toward project goals and objectives and show that funds are being spent in accordance with the Grant Agreement could be subject to a withholding of funds.

6. PROJECT RECORDS
A. The Grantee shall establish an official file for the project. The file shall contain adequate documentation of all actions taken with respect to the project, including copies of this Grant Agreement, approved program/budget modifications, financial records and required reports.

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EXHIBIT A: SCOPE OF WORK

B. The Grantee shall establish separate accounting records and maintain documents and other evidence sufficient to properly reflect the amount, receipt, and disposition of all project funds, including grant funds and any matching funds by the Grantee and the total cost of the project. Source documentation includes copies of all awards, applications, approved modifications, financial records, and narrative reports.

C. Personnel and payroll records shall include the time and attendance reports for all individuals reimbursed under the grant, whether they are employed full-time or part-time.

Time and effort reports are also required for all subcontractors and consultants.

D. The grantee shall maintain documentation of donated goods and/or services, including the basis for valuation.

E. Grantee agrees to protect records adequately from fire or other damage. When records are stored away from the Grantee’s principal office, a writte n index of the location of records stored must be on hand and ready access must be assured.

F. All Grantee records relevant to the project must be preserved a minimum of three (3) years after closeout of the grant project and shall be subject at all reasonabl e times to inspection, examination, monitoring, copying, excerpting, transcribing, and auditing by the BSCC or designees. 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 the completion of the action and resolution of all issues which arise from it or until the end of the regular three-year period, whichever is later.

7. CONFLICT OF INTEREST
A. Existing law prohibits any grantee, subgrantee, partner or like party who participated on the Organized Retail Theft Grant Program Scoring Panel from recei ving funds awarded under the Organized Retail Theft Grant Program RFP. Applicants who are awarded grants under this RFP are responsible for reviewing the Organized Retail Theft Grant Program Scoring Panel roster (Appendix A) and ensuring that no grant dollars are passed through to any entity represented by the members of the Organized Retail Theft Grant Program Scoring Panel.

B. In cases of an actual conflict of interest with a Scoring Panel member, the Board may revoke the grant award and legal consequences c ould exist for the parties involved, including, but not limited to, repayment of the grant award.

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EXHIBIT B: BUDGET DETAIL AND PAYMENT PROVISIONS

1. INVOICING AND PAYMENT
A. The Grantee shall be paid quarterly in arrears by submitting an invoice (Form 201) to the BSCC that outlines actual expenditures claimed for the invoicing period.

Quarterly Invoicing Periods: Due no later than:

1. October 1, 2023 to December 31, 2023 February 15, 2024

2. January 1, 2024 to March 31, 2024 May 15, 2024

3. April 1, 2024 to June 30, 2024 August 15, 2024

4. July 1, 2024 to September 30, 2024 November 15, 2024

5. October 1, 2024 to December 31, 2024 February 15, 2025

6. January 1, 2025 to March 31, 2025 May 15, 2025

7. April 1, 2025 to June 30, 2025 August 15, 2025

8. July 1, 2025 to September 30, 2025 November 15, 2025

9. October 1, 2025 to December 31, 2025 February 15, 2026

10. January 1, 2026 to March 31, 2026 May 15, 2026

11. April 1, 2026 to June 30, 2026 August 15, 2026

12. July 1, 2026 to September 30, 2026 November 15, 2026

13. October 1, 2026 to December 31, 2026 February 15, 2027

Final Invoicing Periods*: Due no later than:

14. January 1, 2027 to March 31, 2027 May 15, 2027

15. April 1, 2027 to June 1, 2027 August 15, 2027
*Note: Project activity period ends December 31, 2026. The period of January 1, 2027, to June 1, 2027, is for completion of Final Local Evaluation Report and financial audit only.

B. All project expenses must be incurred by the end of the project activity period, December 31, 2026, and included on the final invoice due February 15, 2027. Project expenditures incurred after December 31, 2026 will not be reimbursed.

C. The Final Local Evaluation Report is due to BSCC by June 1, 2027. Expenditures incurred for the completion of the Final Local Evaluation Report during the period of January 1, 2027, to June 1, 2027, must be submitted during the Final Invoicing Periods, with the final invoice due on August 15, 2027. Supporting fiscal documentation will be required for all expenditures claimed on during the Final Invoicing Per iods and must be submitted with the final invoice.

D. The Financial Audit Report is due to BSCC by June 1, 2027. Expenditures incurred for the completion of the financial audit during the period of January 1, 2027, to June 1, 2027, must be submitted during the Final Invoicing Periods, with the final invoice due on August 15, 2027. Supporting fiscal documentation will be required for all expenditures claimed during the Final Invoicing Periods and must be submitted with the final invoice.

E. Grantee shall submit an invoice to the BSCC each invoicing period, even if grant funds are not expended or requested during the invoicing period.

F. Upon the BSCC’s request, supporting documentation must be submitted for project expenditures. Grantees are required to maintain supporting documentation for all

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EXHIBIT B: BUDGET DETAIL AND PAYMENT PROVISIONS

expenditures on the project site for the life of the grant and make it readily available for review during BSCC site visits. See Exhibit A. Scope of Work, Item 6. Project Records.

2. GRANT AMOUNT AND LIMITATION
A. In no event shall the BSCC be obligated to pay any amount in excess of the grant award.

Grantee waives any and all claims against the BSCC, and the State of California on account of project costs that may exceed the sum of the grant award.

B. Under no circumstance will a budget item change be authorized t hat would cause the project to exceed the amount of the grant award identified in this Grant Agreement. In no event shall changes be authorized for the Administrative Salaries and Benefits line item that would result in that item exceeding ten percent (10%) of the grant award.

3. BUDGET CONTINGENCY CLAUSE
A. This grant agreement is valid through Organized Retail Theft funding generated from the General Fund. The Grantee agrees that the BSCC’s obligation to pay any sum to the grantee under any provision of this a greement is contingent upon the availability of sufficient funding granted through the passage of Senate Bill 154 (Chapter 43, Statutes of 2022), also known as the California Budget Act of 2022. It is mutually agreed that if the Budget Act of the current year and/or any subsequent years covered under this Grant Agreement does not appropriate sufficient funds for the program, this Grant Agr eement shall be of no further force and effect. In this event, the BSCC shall have no liability to pay any funds whatsoever to Grantee or to furnish any other considerations under this Agreement and Grantee shall not be obligated to perform any provisions of this Grant Agreement.

B. If Organized Retail Theft funding is reduced or falls below estimates contained within the Organized Retail Theft Request for Proposals, the BSCC shall have the option to either cancel this Grant Agreement with no liability occurring to the BSCC or offer an amendment to this agreement to the Grantee to reflect a reduced amount.

C. If BSCC cancels the agreement pursuant to Paragraph 3(B) or Grantee does not agree to an amendment in accordance with the option provided by Paragraph 3(B), it is mutually agreed that the Grant Agreement shall have no further force and effect. In this event, the BSCC shall have no liability to pay any funds whatsoever to Grantee or to furnish any other considerations under this Agreement and Grantee shall not be obligated to perform any provisions of this Grant Agreement except that Grantee shall be required to maintain all project records required by Paragraph 6 of Exhibit A for a period of three (3) years following the termination of this agreement.

4. PROJECT COSTS
A. The Grantee agrees to comply with the BSCC Grant Administration Guide requirements as posted on the BSCC website (currently the BSCC Grant Administration Guide July 2020) including any updated version that may be posted during term of the grant

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EXHIBIT B: BUDGET DETAIL AND PAYMENT PROVISIONS

agreement. BSCC will notify grantees whenever an updated version is posted. The BSCC Grant Administration Guide is available at:
https://www.bscc.ca.gov/s_correctionsplanningandprograms/ B. The provisions of the BSCC Grant Administration Guide are incorporated by reference into this agreement and Grantee shall be responsible for adhering to the requirements set forth therein. To the extent any of the provisions of the BSCC Grant Administration Guide and this agreement conflict, the language in this agreement shall prevail.

C. Grantee is responsible for ensuring that statements of expenditures submitted to the BSCC claim actual expenditures for eligible project costs.

D. Grantee shall, upon demand, remit to the BSCC any grant funds not expended for eligible project costs or an amount equal to any grant funds expended by the Grantee in violation of the terms, provisions, conditions or commitments of this Grant Agreement.

E. Grant funds must be used to support new program activities or to augment existing funds that expand current program activities. Grant funds shall not replace (supplant) any federal, state and/or local funds that have been appropriated for the same purpose.

Violations can result in recoupment of monies provided under this grantor suspension of future program funding through BSCC grants.

5. PROMPT PAYMENT CLAUSE
Payment will be made in accordance with, and within the time specified in, Government Code Chapter 4.5, commencing with Section 927.

6. WITHHOLDING OF GRANT DISBURSEMENTS
A. The BSCC may withhold all or any portion of the grant funds provided by this Grant Agreement in the event the Grantee has materially and substantially breached the terms and conditions of this Grant Agreement.

B. At such time as the balance of state funds allocated to the Grantee reaches five percent (5%), the BSCC may withhold that amount as security, to be released to the Grantee upon compliance with all grant provisions, including:
1) submittal and approval of the final invoice;
2) submittal and approval of the final progress report; and C. The BSCC will not reimburse Grantee for costs identified as ineligible for grant funding. If grant funds have been provided for costs subsequently deemed ineligible, the BSCC may either withhold an equal amount from future payments to the Grantee or require repayment of an equal amount to the State by the Grantee.

D. In the event that grant funds are withheld from the Grantee, the BSCC’s Executive Director or designee shall notify the Grantee of the reasons for withholding and advise the Grantee of the time within which the Grantee may remedy the failure or violation leading to the withholding.

7. EXECUTIVE ORDER N-6-22 – RUSSIA SANCTIONS

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EXHIBIT B: BUDGET DETAIL AND PAYMENT PROVISIONS

On March 4, 2022, Governor Gavin Newsom issued Executive Order N -6-22 (the EO) regarding Economic Sanctions against Russia and Russian entities and individuals. “Economic Sanctions” refers to sanctions imposed by the U.S. government in response to Russia’s actions in Ukraine, as well a s any sanctions imposed under state law. The EO directs state agencies to terminate contracts with, and to refrain from entering any new contracts with, individuals or entities that are determined to be a target of Economic Sanctions. Accordingly, should t he State determine Contractor is a target of Economic Sanctions or is conducting prohibited transactions with sanctioned individuals or entities, that shall be grounds for termination of this agreement. The State shall provide Contractor advance written notice of such termination, allowing Contractor at least 30 calendar days to provide a written response. Termination shall be at the sole discretion of the State.

8. PROJECT BUDGET

BSCC Budget Line Item A.

Grant Funds

1. Salaries and Benefits $1,406,377

2. Services and Supplies $24,040

3. Professional Services or Public Agency Subcontracts $1,340,260

4. Non-Governmental Organization (NGO) Subcontracts $0

5. Data Collection and Evaluation $382,564

6. Equipment/Fixed Assets $1,724,789

7. Financial Audit (Up to $25,000) $25,000

8. Other (Travel, Training, etc.) $3,130,800

9. Indirect Costs $0
TOTALS $8,033,830

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EXHIBIT C: GENERAL TERMS AND CONDITIONS (04/2017)

1. APPROVAL: This Agreement is of no force or effect until signed by both parties and approved by the Department of General Services, if required. Contractor may not commence performance until such approval has been obtained.

2. AMENDMENT: No amendment or variation of the terms of this Agreement shall be valid unless made in writing, signed by the parties and approved as required. No oral understanding or Agreement not i ncorporated in the Agreement is binding on any of the parties.

3. ASSIGNMENT: This Agreement is not assignable by the Contractor, either in whole or in part, without the consent of the State in the form of a formal written amendment.

4. AUDIT: Contractor agrees that the awarding department, the Department of General Services, the Bureau of State Audits, or their designated representative shall have the right to review and to copy any records and supporting documentation pertaining to the performance of this Agreement. Contractor agrees to maintain such records for possible audit for a minimum of three (3) years after final payment, unless a longer period of records retention is stipulated. Contractor agrees to allow the auditor(s) access to such records during n ormal business hours and to allow interviews of any employees who might reasonably have information related to such records. Further, Contractor agrees to include a similar right of the State to audit records and interview staff in any subcontract related to performance of this Agreement. (Gov. Code §8546.7, Pub. Contract Code §10115 et seq., CCR Title 2, Section 1896).

5. INDEMNIFICATION: Contractor agrees to indemnify, defend and hold harmless the State, its officers, agents and employees from any and all claims and losses accruing or resulting to any and all contractors, subcontractors, suppliers, laborers, and any other person, firm or corporation furnishing or supplying work services, materials, or supplies in connection with the performance of this Agreement, and from any and all claims and losses accruing or resulting to any person, firm or corporation who may be injured or damaged by Contractor in the performance of this Agreement. This obligation shall survive any termination of this agreement.

6. DISPUTES: Contractor shall continue with the responsibilities under this Agreement during any dispute.

7. TERMINATION FOR CAUSE: The State may terminate this Agreement and be relieved of any payments should the Contractor fail to perform the requirements of this Agreement at the time and in the manner herein provided. In the event of such termination the State may proceed with the work in any manner deemed proper by the State. All costs to the State shall be deducted from any sum due the Contractor under this Agreement and the balance, if any, shall be paid to the Contractor upon demand.

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8. INDEPENDENT CONTRACTOR: Contractor, and the agents and employees of Contractor, in the performance of this Agreement, shall act in an independent capacity and not as officers or employees or agents of the State.

9. RECYCLING CERTIFICATION: The Contractor shall certify in writing under penalty of perjury, the minimum, if not exact, percentage of post -consumer material as defined in the Public Contract Code Section 12200, in products, materials, goods, or supplies offered or sold to the State regardless of whether the product meets the requirements of Public Contract Code Section 12209. With respect to printer or duplication cartridges that comply with the requirements of Section 12156(e), the certification required by this subdivision shall specify that the cartridges so comply (Pub. Contract Code §12205).

10. NON-DISCRIMINATION CLAUSE: During the performance of this Agreement, Contractor and its subcontractor s shall not deny the contract’s benefits to any person on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status, nor shall they discriminate unlawfully against any employee or applicant for employment because of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status. Contractor shall insure that the evaluation and treatment of employees and applicants for employment are free of such discrimination.

Contractor and subcontractors shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code §12900 et seq.), the regulations promulgated thereunder (Cal. Code Regs., tit. 2, §11000 et seq.), the provisions of Article 9.5, Chapter 1, Part 1, Division 3, Title 2 of the Government Code (Gov. Code §§11135-11139.5), and the regulations or standards adopted by the awarding state agency to implement such article. Contractor shall permit access by representatives of the Department of Fair Employment and Housing and the awarding state agency upon reasonable notice at any time during the normal business hours, but in no case less than 24 hours’ notice, to such of its books, records, accounts, and all other sources of information and its facilities as said Department or Agency shall require to ascertain compliance with this clause. Contractor and its subcontractor s shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement. (See Cal. Code Regs., tit. 2, §11105.) Contractor shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under the Agreement.

11. CERTIFICATION CLAUSES: The CONTRACTOR CERTIFICATION CLAUSES contained in the document CCC 04/2017 ( https://www.dgs.ca.gov/OLS/Resources/Page-

Content/Office-of-Legal-Services-Resources-List-Folder/Standard-Contract-Language) are hereby incorporated by reference and made a part of this Agreement by this reference as if attached hereto.

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12. TIMELINESS: Time is of the essence in this Agreement.

13. COMPENSATION: The consideration to be paid Contractor, as provided herein, shall be in compensation for all of Contractor's expenses incurred in the performance hereof, including travel, per diem, and taxes, unless otherwise expressly so provided.

14. GOVERNING LAW: This contract is governed by and shall be interpreted in accordance with the laws of the State of California.

15. ANTITRUST CLAIMS: The Contractor by signing this agreement hereby certifies that if these services or goods are obtained by means of a competitive bid, the Contractor shall comply with the requirements of the Government Codes Sections set out below.

A. The Government Code Chapter on Antitrust claims contains the following definitions:
1) "Public purchase" means a purchase by means of competitive bids of goods, services, or materials by the State or any of its political subdivisions or public agencies on whose behalf the Attorney General may bring an action pursuant to subdivision (c) of Section 16750 of the Business and Professions Code.
2) "Public purchasing body" means the State or the subdivision or agency making a public purchase. Government Code Section 4550.

B. In submitting a bid to a public purchasing body, the bidder offers and agrees that if the bid is accepted, it will assign to the purchasing body all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. Sec. 15) or under the Cartwright Act (Chapter 2 (commencing with Section 16700) of Part 2 of Division 7 of the Business and Professions Code), arising from purchases of goods , materials, or services by the bidder for sale to the purchasing body pursuant to the bid.

Such assignment shall be made and become effective at the time the purchasing body tenders final payment to the bidder. Government Code Section 4552.

C. If an awarding body or public purchasing body receives, either through judgment or settlement, a monetary recovery for a cause of action assigned under this chapter, the assignor shall be entitled to receive reimbursement for actual legal costs incurred and may, upon demand, recover from the public body any portion of the recovery, including treble damages, attributable to overcharges that were paid by the assignor but were not paid by the public body as part of the bid price, less the expenses incurred in obtaining that portion of the recovery. Government Code Section 4553.

D. Upon demand in writing by the assignor, the assignee shall, within one year from such demand, reassign the cause of action assigned under this part if the assignor has been or may have been injured by the violation of law for which the cause of action arose and (a) the assignee has not been injured thereby, or (b) the assignee declines to file a court action for the cause of action. See Government Code Section 4554.

16. CHILD SUPPORT COMPLIANCE ACT: For any Agreement in excess of $100,000, the contractor acknowledges in accordance with Public Contract Code 7110, that:

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A. The contractor recognizes the importance of child and family support obligations and shall fully comply with all applicable state and federal laws relating to child and family support enforcement, including, but not limited to, disclosure of information and compliance wi th earnings assignment orders, as provided in Chapter 8 (commencing with section 5200) of Part 5 of Division 9 of the Family Code; and
B. The contractor, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Hire Registry maintained by the California Employment Development Department.

17. UNENFORCEABLE PROVISION: In the event that any provision of this Agreement is unenforceable or held to be unenforceable, then the parties agree that all other provisions of this Agreement have force and effect and shall not be affected thereby.

18. PRIORITY HIRING CONSIDERATIONS: If this Contract includes services in excess of $200,000, the Contractor shall give priority consideration in filling vacancies in positions funded by the Contract to qualified recipients of aid under Welfare and Institutions Code Section 11200 in accordance with Pub. Contract Code §10353.

19. SMALL BUSINESS PARTICIPATION AND DVBE PARTICIPATION REPORTING REQUIREMENTS:

A. If for this Contract Contractor made a commitment to achieve small business participation, then Contractor must within 60 days of receiving final payment under this Contract (or within such other time period as may be specified elsewhere in this Contract) report to the awarding department the actual percentage of small business participation that was achieved. (Gov. Code § 14841.)
B. If for this Contract Contractor made a commitment to achieve disabled veteran business enterprise (DVBE) participation, then Contractor must within 60 days of receiving final payment under this Contract (or within such other time period as may be specified elsewhere in this Contract) certify in a report to the awarding department: ( 1) the total amount the prime Contractor received under the Contract; (2) the name and address of the DVBE(s) that participated in the performance of the Contract; (3) the amount each DVBE received from the prime Contractor; (4) that all payments under the Contract have been made to the DVBE; and (5) the actual percentage of DVBE participation that was achieved. A person or entity that knowingly provides false information shall be subject to a civil penalty for each violation. (Mil. & Vets. Code § 999.5(d); Govt. Code § 14841.)

20. LOSS LEADER: If this contract involves the furnishing of equipment, materials, or supplies then the following statement is incorporated: It is unlawful for any person engaged in business within this state to sell or use any article or product as a “loss leader” as defined in Section 17030 of the Business and Professions Code. (PCC 10344(e).)

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1. GRANTEE’S GENERAL RESPONSIBILITY
A. Grantee agrees to comply with all terms and conditions of this Grant Agreement. Review and approval by the BSCC is solely for the purpose of proper administration of grant funds, and shall not be deemed to relieve or restrict the Grantee’s responsibility.

B. Grantee is responsible for the performance of all project activities identified in Attachment 1: Organized Retail Theft Grant Program Request for Proposals (incorporated by reference) and Attachment 2: Organized Retail Theft Grant Program Grant Proposal.

C. Grantee shall immediately advise the BSCC of any significant problems or changes that arise during the course of the project.

2. GRANTEE ASSURANCES AND COMMITMENTS
A. Compliance with Laws and Regulations
This Grant Agreement is governed by and shall be interpreted in accordance with the laws of the State of California. Grantee shall at all times comply with all applicable State laws, rules and regulations, and all applicable local ordinances.

B. Fulfillment of Assurances and Declarations
Grantee shall fulfill all assurances, declarations, representations, and statements made by the Grantee in Attachment 1: Organized Retail Theft Grant Program Request for Proposals (incorporated by reference) and Attachment 2: Organized Retail Theft Grant Program Grant Proposal, documents, amendments, approved modifications, and communications filed in support of its request for grant funds.

C. Permits and Licenses
Grantee agrees to procure all permits and licenses necessary to complete the project, pay all charges and fees, and give all notices necessary or incidental to the due and lawful proceeding of the project work.

3. POTENTIAL SUBCONTRACTORS
A. In accordance with the provisions of this Grant Agreement, the Grantee may subcontract for services needed to implement and/or support program activities. Grantee agrees that in the event of any inconsistency between this Grant Agreement and Grantee’s agreement with a subcontractor, the language of this Grant Agreement will prevail.

B. Nothing contained in this Grant Agreement or otherwise, shall create any contractual relation between the BSCC and any subcontractors, and no subcontract shall relieve the Grantee of his responsibilities and obligations hereunder. The Grantee agrees to be as fully responsible to the BSCC for the acts and omissions of its subcontractors and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by the Grantee. The Grantee's obligation to pay its subcontractors is an independent obligation from the BSCC's obligation to make payments to the Grantee. As a result, the BSCC shall have no obligation to pay or to enforce the payment of any moneys to any subcontractor.

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C. Grantee shall ensure that all subcontractors comply with the eligibility requirements stated in the ARG Rehabilitation of Existing Property or Building Project RFP and described in Appendix B.

D. Grantee assures that for any subcontract awarded by the Grantee, such insurance and fidelity bonds, as is customary and appropriate, will be obtained.

E. Grantee agrees to place appropriate language in all subcontracts for work on the project requiring the Grantee’s subcontractors to:
1) Books and Records
Maintain adequate fiscal and project books, records, documents, and other evidence pertinent to the subcontractor’s work on the project in accordance with generally accepted accounting principles. Adequate supporting documentation shall be maintained in such detail so as to permit tracing transactions from the invoices, to the accounting records, to the supporting documentation. These records shall be maintained for a minimum of three (3) years after the acceptance of the final grant project audit under the Grant Agreement, a nd shall be subject to examination and/or audit by the BSCC or designees, state government auditors or designees, or by federal government auditors or designees.
2) Access to Books and Records
Make such books, records, supporting documentations, and other evidence available to the BSCC or designee, the State Controller’s Office, the Department of General Services, the Department of Finance, California State Auditor, and their designated representatives during the course of the project and for a minimum of three (3) years after acceptance of the final grant project audit. The Subcontractor shall provide suitable facilities for access, monitoring, inspection, and copying of books and records related to the grant-funded project.

4. PROJECT ACCESS
Grantee shall ensure that the BSCC, or any authorized representative, will have suitable access to project activities, sites, staff and documents at all reasonable times during the grant period including those maintained by subcontractors. Access to program records will be made available by both the grantee and the subcontractors for a period of three (3) years following the end of the grant of the project.

5. ACCOUNTING AND AUDIT REQUIREMENTS
A. Grantee agrees that accounting procedures for grant funds received pursuant to this Grant Agreement shall be in accordance with generally accepted government accounting principles and practices, and adequate supporting documentation shall be maintained in such detail as to provide an audit trail. Supporting documentation shall permit the tracing of transactions from such documents to relevant accounting records, financial reports and invoices.

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B. The BSCC reserves the right to call for a program or financial audit at any time between the execution of this Grant Agreement and three years following the end of the grant period. At any time, the BSCC may disallow all or part of the cost of the activity or action determined to not be in compliance with the terms and conditions of this Grant Agreement or take other remedies legally available.

6. DEBARMENT, FRAUD, THEFT OR EMBEZZLEMENT
It is the policy of the BSCC to protect grant funds from unreasonable risks of fraudulent, criminal, or other improper use. As such, the Board will not enter into contracts or provide reimbursement to grantees that have been:

1. debarred by any federal, state, or local government entities during the period of debarment; or

2. convicted of fraud, theft, or embezzlement of federal, state, or local government grant funds for a period of three years following conviction.

Furthermore, the BSCC requires grant recipients to provide an assurance that there has been no applicable debarment, disqualification, suspension, or removal from a federal, state or local grant program on the part of the grantee at the time of application and that the grantee will immediately notify the BSCC should such debarment or conviction occur during the term of the Grant contract.

BSCC also requires that all grant recipients include, as a condition of award to a subgrantee or subcontractor, a requirement that the subgrantee or subcontractor will provide the same assurances to the grant recipient. If a grant recipient wishes to consider a subgrantee or subcontractor that has been debarred or convicted, the grant recipient must submit a written request for exception to the BSCC along with supporting documentation.

All Grantees must have on file with the BSCC a completed and signed Certification of Compliance with BSCC Policies on Debarment, Fraud, Theft and Embezzlement (Required as Appendix E of the original Proposal Package).

7. MODIFICATIONS
No change or modification in the project will be permitted without prior written approval from the BSCC. Changes may include modification to project scope, changes to performance measures, compliance with collection of data elements, and other significant changes in the budget or program components contained in the Attachment 1: Organized Retail Theft Grant Program Request for Proposals and Attachment 2: Organized Retail Theft Grant Program Grant Proposal. Changes shall not be implemented by the project until authorized by the BSCC.

8. TERMINATION
A. This Grant Agreement may be terminated by the BSCC at any time after grant award and prior to completion of project upon action or inaction by the Grantee that constitutes a

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material and substantial breach of this Grant Agreement. Such action or inaction includes but is not limited to:
1) substantial alteration of the scope of the grant project without prior written approval of the BSCC;
2) refusal or inability to complete the grant project in a manner consistent with Attachment 1: Organized Retail Theft Grant Program Request for Proposals and Attachment 2: Organized Retail Theft Grant Program Grant Proposal, or approved modifications;
3) failure to meet prescribed assurances, commitments, recording, accounting, auditing, and reporting requirements of the Grant Agreement.

B. Prior to terminating the Grant Agreement under this provision, the BSCC shall provide the Grantee at least 30 calendar days written notice stating the reasons for termination and effective date thereof. The Grantee may appeal the termination decision in accordance with the instructions listed in Exhibit D: Special Terms and Conditions, Numb er 9.

Settlement of Disputes.

9. SETTLEMENT OF DISPUTES
A. The parties shall deal in good faith and attempt to resolve potential disputes informally. If the dispute persists, the Grantee shall submit to the BSCC Corrections Planning and Grant Programs Division Deputy Director a written demand for a final decision regarding the disposition of any dispute between the parties arising under, related to, or involving this Grant Agreement. Grantee’s written demand shall be fully supported by factual information. The BSCC Corrections Planning and Grant Programs Division Deputy Director shall have 30 days after receipt of Grantee’s written demand invoking this Section “Disputes” to render a written decision. If a written decision is not rendered within 30 days after receipt of the Grantee’s demand, it shall be deemed a decision adverse to the Grantee’s contention. If the Grantee is not satisfied with the decision of the BSCC Corrections Planning and Grant Programs Division Deputy Director, the Grantee may appeal the decision, in writing, within 15 days of its issuance (or the expiration of the 30- day period in the event no decision is rendered), to the BSCC Executive Director, who shall have 45 days to render a final decision. If the Grantee does not appeal the decision of the BSCC Corrections Planning and Grant Programs Division Deputy Director, the decision shall be conclusive and binding regarding the dispute and the Contractor shall be barred from commencing an action in court, or with the Victims Compensation Government Claims Board, for failure to exhaust Grantee’s administrative remedies.

B. Pending the final resolution of any dispute arising under, related to or involving this Grant Agreement, Grantee agrees to diligently proceed with the performance of this Grant Agreement, including the providing of services in accordance with the Grant Agreement.

Grantee’s failure to diligently proceed in accordance with the State’s instructions regarding this Grant Agreement shall be considered a material breach of this Grant Agreement.

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C. Any final decision of the State shall be expressly identified as such, shall be in writing, and shall be signed by the Executive Director, if an appeal was made. If the Executive Director fails to render a final decision within 45 days after receipt of the Grantee’s appeal for a final decision, it shall be deemed a final decision adverse to the Grantee’s contentions. The State’s final decision shall be conclusive and binding regarding the dispute unless the Grantee commences an action in a court of competent jurisdiction to contest such decision within 90 days following the date of the final decision or one (1) year following the accrual of the cause of action, whichever is later.

D. The dates of decision and appeal in this section may be modified by mutual consent, as applicable, excepting the time to commence an action in a court of competent jurisdiction.

10. UNION ACTIVITIES
For all agreements, except fixed price contracts of $50,000 or less, the Grantee acknowledges that applicability of Government Code §§16654 through 16649 to this Grant Agreement and agrees to the following:

A. No State funds received under the Grant Agreement will be used to assist, promote or deter union organizing.

B. Grantee will not, for any business conducted under the Grant Agreement, use any State property to hold meetings with employees or supervisors, if the purpose of such meetings is to assist, promote or deter union organizing, unless the State property is equally available to the general public for holding meetings.

C. If Grantee incurs costs or makes expenditures to assist, promote or deter union organizing, Grantee will maintain records sufficient to s how that no reimbursement from State funds has been sought for these costs, and that Grantee shall provide those records to the Attorney General upon request.

11. WAIVER
The parties hereto may waive any of their rights under this Grant Agreement unless such waiver is contrary to law, provided that any such waiver shall be in writing and signed by the party making such waiver.

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BSCC Powered by Submittable

Title Daly City Police Department
by Ignacio Reyes in Organized Retail Theft
Prevention Grant Program
[email protected]
07/06/2023
id. 41327693

Original Submission 07/06/2023

The Organized Retail Theft (ORT) Prevention Grant Program Application is divided into five (5) sections as identified below:

Background Information Contact Information Program Information Proposal Narrative and Budget Mandatory Attachments Each section has a series of questions requiring a response. Applicants will be prompted to provide written text, select options from a drop down menu, select options from a multiple choice menu, or upload attachments. Questions with a red asterisk require responses.

Applicants will not be able to submit the application until all questions with a red asterisk have been completed. Applicants may reference the ORT Prevention Grant Program Proposal Instruction Packet for background information, key dates, rating factors, and other important information to aid in the completion of the ORT Prevention Grant Program Application. The ORT Prevention Grant Proposal Instruction Packet is available on the Board of State and Community Corrections (BSCC) website. NOTE: Applicants may start and stop their application but must select "Save Draft" at the bottom of the application before existing.

SECTION I -

BACKGROUND

INFORMATION

Name of Applicant
(i.e., Police
Department, Sheriff’s
Department, or
Probation
Department)

Multi-Agency
Partnerships
Information (if
applicable)

Multi-Agency
Partnerships
This section requests information about the applicant’s name, location, mailing address, and tax identification number.

Daly City Police Department

Applicants may apply for funding as part of a multi-agency partnership (two [2] or more agencies). The agencies and jurisdictions comprising the collaborative application are not required to be contiguous. One (1) Lead Public Agency must be identified on behalf of the partnership.

Yes: This is a Multi-Agency Partnership Application

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Identification of Multi- San Bruno Police Department

Agency Partners
Lead Public Agency
Information
San Mateo Police Department
All applicants are required to designate a Lead Public Agency (LPA) to serve as the coordinator for all grant activities. The LPA is a governmental agency with local authority within the applicant's city or county. The applicant may choose to fill the role of LPA itself or it may designate a department, agency, or office under its jurisdiction to serve as the LPA. The role of the LPA is to coordinate with other local government agency partners and non-governmental
organizations to ensure successful implementation of the grant program. The LPA is responsible for data collection and management, invoices, meeting coordination (virtual and/or in- person), and will serve as the primary point of contact with the BSCC.

Lead Public Agency Daly City Police Department

Applicant's Physical
Address

Applicant's Mailing
Address (if different
than the physical
address)
Mailing Address for
Payment

Tax Identification
Number

SECTION II -

CONTACT

INFORMATION
333 90th Street
Daly City
CA
94015
US
n/a

333 90th St.

Daly City
CA
94015
US
94-6000318

This section requests contact information for the individuals identified as the Project Director, Financial Officer, Day-to-Day Project Contact, Day-to-Day Fiscal Contact, and the Authorized Signature.

Project Director Ignacio
Reyes

Project Director's
Title with
Lieutenant #107
Agency/Department/Organization

Project Director's
Physical Address
333 90th Street
Daly City
CA
94015
US

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Project Director's [email protected]

Email Address
Project Director's
Phone Number

+16509918274

Financial Officer Judy
Huey

Financial Officer's
Title with
Police Management Analyst
Agency/Department/Organization

Financial Officer's
Physical Address

Financial Officer's
Email Address
Financial Officer's
Phone Number
Day-To-Day Program
Contact
Day-To-Day Program
Contact's Title
Day-To-Day Program
Contact's Physical
Address

Day-To-Day Program
Contact's Email
Address
Day-To-Day Program
Contact's Phone
Number
Day-To-Day Fiscal
Contact
Day-To-Day Fiscal
Contact's Title
333 90th Street
Daly City
CA
94015
US
[email protected]

+16507468373

Ignacio
Reyes
Support Services Bureau

333 90th Street
Daly City
CA
94015
US
[email protected]

+16504839509

Judy
Huey
Police Management Analyst

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Day-To-Day Fiscal
Contact's Physical
Address

Day-To-Day Fiscal
Contact's Email
Address
Day-To-Day Fiscal
Contact's Phone
Number
Name of Authorized
Officer
Authorized Officer's
Title
Authorized Officer's
Physical Address

Authorized Officer's
Email Address
Authorized Officer's
Phone Number
Authorized Officer
Assurances

SECTION III -

PROGRAM

INFORAMTION
333 90th Street
Daly City
CA
94015
US
[email protected]

+16507468373

Cameron
Christensen
Acting Chief of Police

333 90th Street
Daly City
CA
94015
US
[email protected]

+16509918115

checked

This section requests a Project Title, Proposal Summary description, Program Purpose Area(s) selection, and Scope Funding Category selection.

Project Title Daly City, San Bruno, San Mateo Police Departments Coordinating to Address ORT, MVT, MVAT

Proposal Summary Daly City Police Department is partnering with San Bruno and San Mateo Police Departments. Together, the partner agencies will launch a coordinated and strategic effort to address and prevent retail and vehicle/accessory theft in the region. Community Service Officers, an Organized Retail Theft Task Force, DCPD MVT/MVAT Operations, Community Awareness Campaigns, and technologies such as Starchase, C3 investigative tools, and Automatic License Plate Readers will enhance efforts to protect and serve. The initiative will reduce ORT, MVT, and MVAT in partnering jurisdictions, improving the safety and security of residents and retailers alike.

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PROGRAM

PURPOSE AREAS

Program Purpose
Areas (PPAs):

Funding Category
Information
Applicants must propose activities, strategies, or programs that address the Program Purpose Areas (PPAs) as defined on pages 5 - 8 in the ORT Prevention Grant Proposal Instruction Packet. A minimum of one (1) PPA must be selected; applicants are not required to address all three (3) PPAs. All proposed activities, strategies, or programs must have a link to the ORT Prevention Grant Program as described in the authorizing legislation and the ORT Prevention Grant Proposal Instruction Packet.

PPA 1: Organized Retail Theft
PPA 2: Motor Vehicle or Motor Vehicle Accessory Theft
Applicants may apply for funding in a Medium Scope OR Large Scope Category. The maximum an applicant may apply for is up to $6,125,000 in the Medium Scope category OR up to $15,650,000 in the Large Scope category. Applicants may apply for any dollar amount up to and including the maximum grant amount identified in each category. Multi-agency partnerships (determined as Medium Scope OR Large Scope) may apply for up to the maximum grant award in that category, multiplied by the number of partnering eligible applicants. For Example: Four (4) eligible applicants in the Medium Scope category may submit one (1) application for up to $24,500,000 o $6,125,000 (Medium Scope Max) x 4 (# of Agencies) = $24,500,000 Two (2) eligible applicants in the Large Scope category may submit one (1) application for up to $31,300,000 o $15,650,000 (Large Scope Max x 2 (# of Agencies) = $31,300,000 Please reference pages 10-12 in the ORT Prevention Grant Proposal Instruction Packet for additional information.

Funding Category Medium Scope (Up to $6,125,000)

SECTION IV -

PROPOSAL

NARRATIVE AND
BUDGET
This section requests responses to the Rating Factors identified in the the ORT Prevention Grant Program Application Instruction Packet.

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Proposal Narrative
Instructions
The Proposal Narrative must address the Project Need, Project Description, Project Organizational Capacity and Coordination, and Project Evaluation and Monitoring Rating Factors as described in the ORT Prevention Grant Instruction Packet (refer to pages 20-24). A separate narrative response is required for each Rating Factor as described below: The Project Need narrative may not may not exceed 6,711 total characters (includes punctuation, numbers, spacing and any text). In Microsoft Word, this is approximately three (3) pages in Arial 12-point font with one-inch margins on all four (4) sides and at

1.5-line spacing. The Project Description narrative may not may not exceed 11,185 total characters (includes punctuation, numbers, spacing and any text). In Microsoft Word, this is approximately five (5) pages in Arial 12-point font with one-inch margins on all four (4) sides and at 1.5-line spacing. The Project Organizational Capacity and Coordination narrative may not may not exceed 4,474 total characters (includes punctuation, numbers, spacing and any text). In Microsoft Word, this is approximately two (2) pages in Arial 12-point font with one-inch margins on all four (4) sides and at 1.5-line spacing. The Project Evaluation and Monitoring narrative may not may not exceed 4,474 total characters (includes punctuation, numbers, spacing and any text). In Microsoft Word, this is approximately two (2) pages in Arial 12-point font with one-inch margins on all four (4) sides and at 1.5-line spacing. A character counter is automatically enabled that shows the number of characters used and the remaining number of characters before the limit for each response is met. If the character limit is exceeded, a red prompt will appear with the message "You have exceeded the character limit". Applicants will be prohibited from submitting the ORT Prevention Grant Program Application until they comply with the character limit requirements. NOTE: It is up to the applicant to determine how to use the total word limit in addressing each section, however as a guide, the percent of total point value for each section is provided in the ORT Prevention Grant Proposal Instruction Packet (refer to page 15).

Project Need Need to be Addressed / Process to Determine Need / Related to Intent of Grant Program: Daly City Police Department conducted a comprehensive Needs Assessment to gather documentation from numerous sources to support internal data that identified intensifying challenges related to Organized Retail Theft (ORT), Motor Vehicle Theft (MVT), and Motor Vehicle Accessory Theft (MVAT) in the jurisdiction. Data was gathered from the Daly City Police Department, local retailers (Macy’s, Old Navy, Victoria’s Secret, Dick’s Sporting Goods, Westlake Shopping Center, and Serramonte Shopping Center. The Needs Assessment process connected the Daly City Police Department to the San Mateo and San Bruno Police Departments (also referred to as partner agencies) to review each respective jurisdiction’s statistics. It was quickly determined that common challenges can best be addressed through partnership.

Together, the three police departments are coordinating to jointly apply for CORTP Grant Program funds. The project design aligns directly with the funding intent to prevent, respond and investigate

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ORT, MVT, and MVAT.

ORT continues to skyrocket, threatening employee and customer safety and causing retailers to report massive losses. Recently, over $1 million was stolen in an organized retail smash-and-grab theft at Serramonte Shopping Center, resulting in a high-speed chase and crash and a lengthy investigation to apprehend additional suspects.

Despite efforts, only $120K of stolen merchandise was recovered.

Recent headlines include: “3 suspects steal $2k worth of fragrances from Daly City Macy’s: police” (December 22, 2022) and “Teen arrested on suspicion of stealing $16,000 in merchandise from Target” (December 27, 2021).

In nearby San Francisco, rising ORT led to the closures of numerous retailers, pushing crime rings to neighboring cities. ORT has become so pervasive that retailers are now locking laundry detergent, shampoos, and even Windex behind plexiglass doors that require employee assistance to open.

Vehicle theft is also a growing challenge. Partner agencies regularly issue Public Service Announcements across social media outlets encouraging drivers to protect their vehicles from theft through various methods. Vehicles are regularly relieved of parts and accessories (catalytic converter, rims/wheels, and any handheld technology). Recent headlines include: “$18K worth of goods stolen from Daly City auto repair shop, suspects at large” (May 11, 2023); and “Police Warn San Mateo Residents of Vehicle Theft; Man Charged” (March 9, 2023).

Service Gaps / Location / Accessibility: The County of San Mateo has approximately 729,000 individuals.

The partner agencies are in the Bay Area, on the Peninsula, between San Francisco County and Santa Clara County. As stated above, San Francisco has been experiencing high ORT, MVT, and MVAT and as their retail stores close, more crime is coming, or expected to come to the partner agency jurisdictions. The growing number of theft incidents make security positions difficult to fill and maintain, as the personal risk is simply deemed too great for compensation. The cities of Daly City, San Bruno, and San Mateo have the four largest shopping malls in San Mateo County, each with over 100 stores, businesses, and restaurants, creating ample opportunities for organized theft operations. There is a desperate need for public- facing substations with dedicated police presence in large retail centers.

Vehicle theft, and vehicle accessory theft, are challenges both for unattended personal vehicles parked in lots, on streets, and for vehicles and components stored at auto retailers. MVT and MVAT goods disappear quickly into recycling facilities to be broken down for the precious metals inside catalytic converters.

Across Daly City, San Bruno, and San Mateo jurisdictions, there is a

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need for fixed automated license plate readers (ALPRs) and vehicle- mounted camera systems to support the response to retail theft and motor vehicle/accessory theft. Community Service Officers can be crucial for ORT, MVT, and MVAT crime reporting and documentation; however, they are not consistently supported by existing budgets at this time. Focused on ORT, MVT, and MVAT, additional Community Service Officers – and the equipment necessary to support their efforts – are needed by the Daly City and San Mateo Police Departments. Data sharing is another critical gap, and a consistent data aggregation platform is needed to share data within Daly City, San Bruno, and San Mateo Police Departments and with neighboring agencies and counties to coordinate, investigate, and solve crimes faster.

One of the largest gaps in services at this time is appropriate staffing levels. The partner agencies desperately need funding to support overtime to enable targeted ORT, MVT, and MVAT prevention efforts and Community Service Officers assigned to Patrol to create capacity for documentation of ORT, MVT, and MVAT-related cases. At this time, when there is no known suspect or investigative leads, reports are submitted through an online system and rarely solved.

Overburdened partners also lack the capacity to offer education and liaison functions for local retailers to promote best practices to identify, reduce, and report ORT crimes.

Data Describing Theft: Rising theft rates are plaguing retailers across Daly City, San Bruno, and San Mateo. In 2022, the local Macy’s documented a loss of $2 million, placing the Daly City location in their highest theft “Tier A” category (interview with Loss Prevention Manager). Dick’s Sporting Goods in Daly City has experienced a 290% increase in theft since 2020. Daly City and San Mateo’s Home Depots have lost over $19M to theft since 2020. Victoria’s Secret in San Mateo documented a 400% increase in loss between 2020 and 2022.

A retailer in San Bruno reported $2.6M in loss in 2023, a 52% increase since 2019. San Mateo’s Sephora has lost 1.4M this year so far, which is a 121% increase since 2021. Overall, there have been 16,703 documented theft cases in the partner agency jurisdictions since 2018, with over $40M of stolen merchandise (based on available retailer data). Based on all collected data from retailers in the partner agency jurisdictions, there was a 34% increase in loss in 2022 when compared to 2021. Retailer Letters of Commitment appended.

Vehicle theft is also increasing exponentially, with 4,866 MVT-reported cases and 1,525 documented cases of MVAT since 2018 for all partners. Despite etching technology to facilitate component identification and a “bait car” to address these issues, residents frequently find their vehicles relieved of parts and accessories.

Project Description 1. Addressing Needs
Activities / Services / Interventions, length and duration:
**Together, the Daly City, San Bruno, and San Mateo Police Departments (partner agencies) will launch a coordinated and strategic effort to address and prevent retail and vehicle/accessory

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theft in the community. Key activities will include:
**Organized Retail Theft Task Force (ORTTF) Days: Held over eight days each quarter, from December 2023 through December 2026, grant funds will support overtime expenses for a Lieutenant, a Sergeant, and Officers to conduct Zero Theft Tolerance days across the partnering agencies jurisdictions. The ORTTF deployments will rotate among various retail locations, within partner agency jurisdictions.
**Daly City PD MVT/MVAT Operations: Once per quarter, Daly City PD would deploy their existing bait car, outfitted with tracking devices on key accessories, throughout hotspot locations within the city in an attempt to combat MVT and MVAT. Tracking devices allow officers to safely track and apprehend suspects after committing an MVT or MVAT. Up to ten additional catalytic converters will be purchased to be used in the bait car in the event they’re damaged beyond repair for use in future operations.
**Community Service Officers: An additional CSO will be added to the San Mateo and Daly City Police Departments from January 2024 through December 2026. Fully equipped electric vehicles will be purchased for Daly City and San Mateo’s CSOs, supporting prevention (through retailer training), documentation, and investigation of ORT, MVT, and MVAT-related cases.
**Community Awareness: Advertising campaigns, including mailers, will be conducted twice a year from December 2023 through December 2026 to ensure the community is aware that the partnering agencies are cracking down on retail and vehicle/accessory theft and to better arm citizens against becoming victims. A message board trailer with ALPR cameras will also be purchased, enabling prevention warnings in hotspots, serving as a visible deterrent, and collecting ORT, MVT, and MVAT data.
**Investigative Tools: The partnering agencies will purchase and utilize a new data aggregation tool to enhance investigations and reporting (C3.ai Law Enforcement Application) hosted by Amazon Web Services. This tool allows agencies to share data amongst each other in the county, enhancing and accelerating investigations faster than ever before since all data will be combined into one central location. Using this tool, law enforcement personnel would be better equipped to prevent (through advanced analytics and reporting) and investigate (through data sharing and timesaving) ORT, MVT, and MVAT, enhancing our communities’ safety and security. Grant funds will support the development, onboarding, and enhancements of this technology from January 2024 through December 2026.

**Automatic License Plate Readers: New ALPR cameras will be fixed throughout the partner agencies’ jurisdictions to assist with preventing and investigating crimes related to ORT criminal networks, MVT, and MVAT.
**Surveillance Pole Camera Trailers: To be deployed to hot-spot locations for ORT, MVT, and MVAT, serving as a visual deterrent and collecting evidence when crimes occur. They will benefit the community long beyond the funding period.
**Starchase: Starchase systems will be purchased and utilized to locate and apprehend fleeing motor vehicles. The discharged projectile will broadcast relevant GPS information of a fleeing suspect

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vehicle without having to engage in a pursuit that puts public safety at risk. This will serve as an investigative tool so police can follow up and hold ORT, MVT, and MVAT suspects accountable while
minimizing risk to the community.
**Substation at Hillsdale Mall: A public-facing substation will be established at Hillsdale Mall, allowing officers and/or a CSO to be onsite, facilitating walk-ins for advice, counter reports, and fast response when crimes occur. Grant funds will cover upgrading the internet connection from the Substation to the San Mateo Police Department. Also, minor upgrades to paint, flooring, and office furniture to support this important service. This resource will benefit the community beyond the funding period.

Target Area / Population:

Grant funds will serve Daly City, San Bruno, and San Mateo Police Departments, home to approximately 247,000 residents. All three Police Departments are partnering on this initiative to address shared challenges related to ORT, MVT, and MVAT. As described, the formal Needs Assessment process connected the Daly City Police Department to San Mateo and San Bruno Police Departments to review their respective jurisdiction’s statistics and common challenges promoted partnership. Together, the three police departments protecting and serving their respective city jurisdictions are coordinating to jointly apply for California Organized Retail Theft Prevention Grant Program funds. Rising rates of ORT, MVT, and MVAT are detracting from the safety and overall quality of life in Daly City, San Bruno, and San Mateo as organized theft circuits expand beyond the City and County of San Francisco to our neighboring county. Efforts must be strategically coordinated.

Addressing Project Need and Intent of Grant Program:

The following grant-funded activities will directly impact rising ORT, MVT, and MVAT rates:
** Organized Retail Theft Task Force
**Community Service Officers
**Substation at Hillsdale Mall
**Community Awareness
**Investigative Tools
**Automatic License Plate Readers
**Surveillance Pole Camera Trailers
**Starchase
**Daly City PD MVT/MVAT Operations
(Please cross-reference the detailed descriptions above due to space constraints.)

Coordination and Collaboration:

As described, Daly City PD is the lead applicant, in coordination with San Mateo PD and San Bruno PD. C3 technology purchased with grant funds will enhance and expand partnership capabilities, facilitating data sharing and real-time communication to identify suspects across jurisdictions and prevent further crime. Signed Letters of Commitment have been secured from San Mateo Police

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Department and San Bruno Police Department. A joint Letter of Impact with retailers and the District Attorney’s Office is also appended.

2. Goals, Objectives, and Impact:

The overall goal of this initiative is to reduce the occurrences of ORT, MVT, and MVAT in the partner agencies jurisdictions.

Objective 1: Reported losses from retail theft will reduce when comparing 2022-2023 data to 2025-2026 data for major retailers in Daly City, San Bruno, and San Mateo.
*This relates directly to the need to reduce retail theft in the region.

Objective 2: Vehicle theft and vehicle accessory theft rates will reduce when comparing 2022-2023 data to 2025-2026 data for Daly City, San Bruno, and San Mateo.
*This relates directly to the need to reduce vehicle/vehicle accessory rates in the region.

Work Plan: The completed Project Work Plan is included as Appendix B and identifies top goals and objectives, as well as related activities, measures, and timelines.

3. Rationale:

Daly City PD and partners San Mateo PD and San Bruno PD will leverage evidence-based strategies to address rising retail and vehicle/accessory theft rates.

Data Collection: Overtime hours and increased staffing, vehicle cameras, automatic license plate readers, and C3 investigative tools will allow the partnering PDs to compile incident-based crime data, as recommended in the Evidence-Based Policing in 45 Small Bytes released by OJP in May 2020. Details crucial for spotting patterns and choosing the best responses are easy to identify in incident-based formats but get lost in aggregate form.

Organized Retail Theft Task Force: Portland Police Department (Oregon) conducted similar activities in early 2023 and reported tremendous success. Their goal was to curb shoplifting and car thefts. Their February 2023 effort led to 40 arrests and 60 warrants serviced, 32 felony charges, 28 misdemeanor charges, and over $2,000 of stolen merchandise recovered. The December 2022 effort resulted in 64 arrests, 70 warrants serviced, 10 recovered stolen vehicles, three firearms confiscated, and $9,000 in stolen merchandise recovered. Portland Police report that their retail theft missions send a message that they are cracking down on all crime, from shoplifting to stealing cars.

4. Existing Policies to Govern Use of Surveillance Technology:

All partnering Police Departments have policies and procedures in place to govern the use of any agency specific surveillance technology. All partnering Police Departments comply with applicable privacy laws and regulations and secure any data that is collected or

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stored to protect individual privacies.

Project
Organizational
Capacity and
Coordination

5. Existing Policies to Limit Racial Bias:

All partnering Police Departments maintain policies to ensure that policing is fair and objective. Training supports these policies, including Peace Officer Standards Training (POST)-approved training on the subject of bias-based policing. Officers are encouraged to familiarize themselves with and consider racial and cultural differences among members of the community and approved refresher courses are taken at least every five years. Policies support the commitment to providing law enforcement services to the community with due regard for the racial, cultural, or other differences of those served. All partnering Police Departments maintain the policy to provide law enforcement services and to enforce the law equally, fairly, objectively, and without discrimination toward any individual or group. Bias-based policing is strictly prohibited.

1. Applicant’s Ability to Administer the Project:

Lead Applicant Daly City PD is led by one Chief and two supporting Captains, heading the Field Operations Bureau and the Support Services Bureau. Both Bureaus have Administration Services Divisions staffed with the personnel necessary to lead multi-faceted grant initiatives. All grant funding will be kept in a separate account, and double confirmation will be required prior to fund release, ensuring alignment with the stated grant intent. Daly City PD works closely with San Mateo PD and San Bruno PD and will ensure formal monthly communication to coordinate activities and oversee budgetary matters effectively. Daly City PD is experienced in leading efforts to enhance the safety and security of the community and has led and managed multiple Office of Traffic Safety grants to support DUI checkpoints.

Staffing Required / Qualifications:

Two full-time CSOs will be hired to support project activities (one at San Mateo and one at Daly City). All CSOs will meet the required qualifications to serve as Community Service Officers and handle ORT, MVT, and MVAT-related cases.

A part-time Management Analyst (referred to as Grant Administrator hereinafter) will be hired to manage and oversee grant activities and will be employed by the lead applicant Daly City PD. The part-time Grant Administrator will have experience managing grants.

Existing Staff Resources:

Daly City PD and San Mateo PD will dedicate ten hours each month from an existing Administrative Assistant to data compilation through C3. Existing payroll services will also be dedicated to the initiative, ensuring all project-funded staff are compensated.

Project funding will cover overtime expenses for teams of Sworn Officers to form an Organized Retail Theft Task Force to stop retail

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theft. The Daly City MVT/MVAT Operations and deployments will also be supported by overtime each quarter. Teams will be comprised of a Lieutenant, a Sergeant, and Officers who will be recruited for these overtime opportunities from existing Sworn Officers.

Project Management and Oversight:

The project will be led by Project Director Ignacio Reyes, Lieutenant of the Daly City Police Department. Lieutenant Reyes is a practiced leader with the skills and qualifications necessary to lead project implementation successfully. He is the best possible candidate for this position.

Project Director Reyes will be supported by the part-time Grant Administrator.

2. Partners:

Daly City PD will coordinate with San Mateo PD and San Bruno PD.

The ORTTF will rotate focus among partner jurisdictions on a non- predictable schedule based on data analysis and need. All three PDs have included budgetary items needed to support enhanced efforts focused on ORT, MVT, and MVAT. Activities will be undertaken in coordination and further supported by the C3 technology that will allow all partners to quickly and efficiently share data to identify actionable trends. Formal monthly communication will take place throughout the project to facilitate the coordination of activities; however, C3 technology will ensure real-time coordination related to crime-stopping, prevention, and investigation. San Mateo PD will hire one CSO to support project activities. San Bruno PD has the staffing in place and will focus grant funds on needed equipment. All partners will support extensive OT costs with grant funds. Letters of Commitment are attached.

3. Timeline for MOUs:

Letters of Commitment have been secured. MOUs can be drafted and signed immediately upon notification of award. Daly City PD, San Mateo PD, and San Bruno PD will be ready to “hit the ground running” within four weeks of award notification.

4. Management Structure:

Daly City PD is the Lead Applicant. Partners will be asked for input; however, Daly City PD has the final word on decision-making.

Project Evaluation
and Monitoring

5. Sustainability:

Equipment, technology, and supplies are one-tim e purchases that will continue to positively impact the partner agencies’ jurisdictions beyond the funding period. Partnering police departments are prepared to absorb the subscription expenses and upkeep necessary to continue efforts beyond the funding period. Enhanced coordination and sharing of resources will allow project efforts to continue.

1. Conducting Project Evaluation:

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An External Evaluator will be secured, and initial efforts are underway to determine which local firm will best fit project needs. Daly City PD has reached out to two local colleges offering evaluation opportunities. The External Evaluator will collect baseline data at the start and monitor relevant data sets throughout the project period.

Reports will be generated quarterly to showcase qualitative and quantitative data capturing movement toward goals and objectives.

2. Process Measures and Outcome Measures:

Quarterly Organized Retail Theft Task Force efforts begin Month 1.

Quarterly Daly City PD MVT/MVAT Operations efforts begin Month 1.

CSOs recruited, hired, and in training by Month 4.

Equipment and technology purchased and deployed by Month 4.

Number of retail theft arrests reviewed monthly.

Retail theft losses quantified quarterly by local retailers.

Value of merchandise recovered reviewed monthly.

Number of MVT and MVAT reports reviewed monthly.

Number of recovered vehicles and accessories reviewed monthly.

Frequency of useful evidence or leads obtained from ALPR, Dash Cameras, Tracking Devices, Starchase equipment reviewed monthly.

3. Monitoring:

The External Evaluator will generate reports quarterly showcasing qualitative and quantitative data that illustrate progress and challenges related to the goal and objective attainment. All three Police Departments will meet to review this data and decide what strategies to pursue if goals and objectives are not on track.

4. Collecting Data:

Baseline data will be utilized from 2022-2023 records. The new enhancements to the C3 system will allow all partners to display relevant data from the shared system, facilitating efforts to track trends and identify actionable patterns. Partners have already agreed to share data in the Letters of Commitment and will include this phrasing in MOUs as well. Data will be collected from receipts, training attendance logs, OT records, number of
arrests/citations/vehicles recovered, the value of merchandise recovered, data from local retailers, data from officer reports, and a variety of other sources.

5. Research Design / Methodology:

Process and Outcome evaluation efforts will be conducted, utilizing a continuous improvement performance feedback loop to drive data- driven decision-making that ensures goals and objectives are met on time and within budget. Data reports will be formally reviewed quarterly to inform any needed adjustments to achieve success.

Project data will include qualitative and quantitative data sets, monitored by the External Evaluator, and will determine both how the project is progressing and what the project is achieving.

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Budget Instructions Applicants are required to submit a Proposal Budget and Budget Narrative (Budget Attachment). Upon submission the Budget Attachment will become Section 5: Budget (Budget Tables & Narrative) making up part of the official proposal. The Budget Attachment must be filled out completely and accurately. Applicants are solely responsible for the accuracy and completeness of the information entered in the Proposal Budget and Budget Narrative.

The Proposal Budget must cover the entire grant period. For additional guidance related to grant budgets, refer to the BSCC Grant Administration Guide. The Budget Attachment is provided as a

stand-alone document on the BSCC website.

Budget Attachment
Budget_07-06-2023.xlsx

SECTION V -

ATTACHMENTS
This section list the attachments that are required at the time of submission, unless otherwise noted. Project Work Plan (Appendix B) - Mandatory Grantee Assurance for Non-Governmental Organizations (Appendix D) - Mandatory Local Impact Letter(s) (Appendix E) - Mandatory Letter(s) of Commitment (Appendix F) - If Applicable Policies Limiting Racial Bias - Refer to page 9 of the Proposal Instruction Packet - Mandatory Policies on Surveillance Technology - Refer to page 9 of the Proposal Instruction Packet - If Applicable Certification of Compliance with BSCC Policies on Debarment, Fraud, Theft, and Embezzlement (Appendix G) - Mandatory Governing Board Resolution (Appendix H) - Optional

Project Work Plan (Appendix B)
Project_Work_Plan.docx

Grantee Assurance for Non-Governmental Organizations (Appendix D) Appendix_D_-_Grantee_Assurance_for_Non-Governmental_Organizations.pdf

Local Impact Letter(s) (Appendix E)
Letter_of_Agreement_-_Local_Impact.pdf

Letter(s) of Commitment, (Appendix F)
Letter_of_Commitment_-_San_Mateo.pdf
Letter_of_Commitment_-_San_Bruno.pdf

Policies Limiting Racial Bias
SMPD_Bias-Based_Policing.pdf
SBPD_-_Bias-Based_Policing.pdf
DCPD_Bias-Based_Policing.pdf

Policies on Surveillance Technology
DCPD_Automated_License_Plate_Readers.pdf
DCPD_DRAFT_GPS_Policy.pdf

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DCPD_DRAFT_StarChase_Pursuit_Management_System_Procedure.pdf SBPD_-_StarChase_Pursuit_Management_System_Procedure.pdf SBPD_Automated_License_Plate_Readers.pdf
SMPD_Policy_ALPRs.pdf
SMPD_Policy._Public_Safety_Video_Surveillance_System.pdf SMPD.StarChase_Pursuit_Management_System_Procedure.pdf

Certification of Compliance with BSCC Policies on Debarment, Fraud, Theft, and Embezzlement (Appendix G)
FINAL_Certification-of-Compliance-with-BSCC-Policies-on-Debarment_-Fraud_-Theft_-and- Embezzlement-ORT_002.docx

OPTIONAL:

Governing Board
Resolution (Appendix
H)
OPTIONAL:

Bibliography

CONFIDENTIALITY
NOTICE:
n/a

n/a

All documents submitted as a part of the Organized Retail Theft Prevention Grant Program proposal are public documents and may be subject to a request pursuant to the California Public Records Act.

The BSCC cannot ensure the confidentiality of any information submitted in or with this proposal. (Gov. Code, § 6250 et seq.)

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Applicants must complete a Project Work Plan. This Project Work Plan identifies measurable goals and objectives, process and outcome measures, activities and services, responsible parties for those activities and services, data sources and estimated timelines. Completed plans should (1) identify the project’s top goals and objectives; (2) identify how the goal(s) will be achieved in terms of the activities, responsible staff/partners, and start and end dates, process and outcome measures; and (3) provide goals and objectives with a clear relationship to the need and intent of the grant. As this grant term is for three (3) years, the Project Work Plan must attempt to identify activities/services and estimate timelines for the entire grant term. A minimum of one goal and corresponding objectives, process measures, etc. must be identified.

Applicants must use the Project Work Plan provided below. You will be prompted to upload this document to the BSCC-Submittable Application.

(1) Goal: > Reduce occurrences of retail theft and vehicle/vehicle accessory theft in Daly City, San Bruno, and San Mateo Objectives (A., B., etc.) > A. Reported losses from retail theft will reduce when comparing 2022-2023 data to 2025-2026 data for major retailers in Daly City, San Bruno, and San Mateo police departments’ jurisdictions. > B. Vehicle theft and vehicle accessory theft rates will reduce when comparing 2022-2023 data to 2025-2026 data for Daly City, San Bruno, and San Mateo police departments’ jurisdictions.

Process Measures and
Outcome Measures:

Equipment and technology purchased and deployed by Month 4.

Quarterly Organized Retail Theft Task Force efforts beginning Month 1.

Quarterly Daly City PD MVT/MVAT Operations efforts beginning Month 1.

CSOs recruited and hired by Month 4.

Number of retail theft arrests (reviewed monthly).

Retail theft losses (reviewed quarterly with data collected internally by local retailers).

Merchandise recovered (reviewed monthly).

Motor Vehicle Theft reports (reviewed monthly).

Motor Vehicle Accessory Theft reports (reviewed monthly).

Recovered vehicles, recovered vehicle accessories (reviewed monthly), frequency of useful evidence or leads obtained from ALPR, Dash Cameras, Tracking Devices, Starchase equipment (reviewed monthly).

Organized Retail Theft Prevention Grant Program
Appendix B: Project Work Plan

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Project activities that support the identified goal and objectives: Responsible staff/partners Timeline Start Date End Date
Organized Retail Theft Task Force efforts held quarterly, rotating among three partner jurisdictions.
> Daly City PD, San Mateo
PD, San Bruno PD.
> 10/01/2023 > 12/31/2026
Additional CSOs in the communities will be equipped to carry out prevention and investigative efforts.
> Daly City PD, San Mateo PD > 1/01/2024 > 12/31/2026
The C3 Law Enforcement investigative technology enables better coordination, investigations, and data review.
> Daly City PD, San Mateo
PD, San Bruno PD.
> 01/01/2024 > 12/31/2026
Additional ALPR, Dash Cameras, Tracking Devices, and Starchase equipment utilized.
> Daly City PD, San Mateo
PD, San Bruno PD.
> 01/01/2024 > 12/31/2026
The Daly City PD MVT/MVAT Operations involving DCPD existing bait car to be placed in high- theft areas and monitored with trackers/surveillance.
> Daly City PD > 12/01/2023 > 12/31/2026
List data and sources to be used to measure outcomes: > Equipment and technology purchased and deployed by Month 8 ( Receipts, Training Attendance Logs). Quarterly ORTTF efforts implemented beginning Month 1 (OT records, Number of Arrests, Number of Citations, Number of Vehicles Recovered, Value of Merchandise R ecovered). CSOs recruited and hired by Month 4 ( Timesheets). Number of retail theft arrests (reviewed monthly within C3 ). Retail theft loses (reviewed quarterly with data collected internally by local retailers). Merchandise recovered (reviewed monthly within C3). Motor Vehicle Theft reports (reviewed monthly within C3). Motor Vehicle Accessory Theft reports (reviewed monthly within C3). Recovered vehicles, Recovered vehicle accessories (reviewed monthly within C3 ), Frequency of useful evidence or leads obtained from ALPR, Tracking Devices, Starchase equipment (reviewed monthly within C3 and qualitative officer reports).

Organized Retail Theft Prevention Grant Program

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Organized Retail Theft Prevention Grant Program - Project Budget and Budget Narrative Name of Applicant: Daly City Police Department
44-Month Budget: October 1, 2023 to June 1, 2027
Note: Rows 7-16 will auto-populate based on the information entered in the budget line items (Salaries and Benefits, Services and Supplies, etc.) Budget Line Item
Total

1. Salaries & Benefits $1,406,377.00

2. Services and Supplies $24,040.00

3. Professional Services or Public Agencies $1,340,260.00

4. Non-Governmental Organization (NGO) Subcontracts $0.00

5. Data Collection and Evaluation $382,564.00

6. Equipment/Fixed Assets $1,724,789.00

7. Financial Audit (Up to $25,000) $25,000.00

8. Other (Travel, Training, etc.) $3,130,800.00

9. Indirect Costs $0.00
TOTAL $8,033,830.00

1a. Salaries & Benefits
Description of Salaries & Benefits (% FTE or Hourly Rate) & Benefits Total

1.0 FTE CSO - Daly City. .5 FTE for FY 24, 1 FTE for FY 25, 1 FTE for FY 26, .5 FTE for FY 27 $512,150.00

Overtime - Daly City (Organized Retail Theft Task
Force)

FY 24: 1 Lieutenant @ $174 x 80 hours, 1 Sergeant @ $154 x 80 hours, 3 Officers @ $122 x 240 hours=$114,080 FY 25: 1 Lieutenant @ $184 x 160 hours, 1 Sergeant @ $162 x 160 hours, 3 Officers @ $129 x 320 hours=$179,200 FY 26: 1 Lieutenant @ $190 x 80 hours, 1 Sergeant @ $167 x 80 hours, 3 Officers @ $133 x 320 hours=$156,240 FY 27: 1 Lieutenant @ $195 x 80 hours, 1 Sergeant @ $172 x 80 hours, 3 Officers @ $136 x 160 hours,=$94,640

$544,160.00

Overtime - Daly City (MVT and MVAT Details)

FY 24: 1 Lieutenant @ $174 x 30 hours, 1 Sergeant @ $154 x 30 hours, 6 Officers @ $122 x 30 hours=$31,800 FY 25: 1 Lieutenant @ $184 x 40 hours, 1 Sergeant @ $162 x 40 hours, 6 Officers @ $129 x 40 hours=$44,800 FY 26: 1 Lieutenant @ $190 x 40 hours, 1 Sergeant @ $167 x 40 hours, 6 Officers @ $133 x 40 hours=$46,200 FY 27: 1 Lieutenant @ $195 x 20 hours, 1 Sergeant @ $172 x 20 hours, 6 Officers @ $136 x 20 hours=$23,660

$146,460.00

Overtime - Daly City (Data Compilation)
FY 24: 1 Admin Assistant @ $106 x 70 hours=$7,420
FY 25: 1 Admin Assistant @ $112 x 120 hours=$13,440
FY 26: 1 Admin Assistant @ $116 x 120 hours=$13,920
FY 27: 1 Admin Assistant @ $119 x 60 hours=$7,140

$41,920.00
Hourly Management Analyst - Daly City Grant Manager $49.02/hr in FY 24 x 480 hours, $53.53/hr in FY 25 x 960 hours, $58.46/hr in FY 26 x 960 hours, $63.84/hr in FY 27 x 480 hours $161,687.00

$0.00

$0.00
$0.00
TOTAL $1,406,377.00

1b. Salaries & Benefits Narrative:

Overtime will support expenses for a Lieutenant, Sergeant, and Officers to conduct an Organized Retail Theft Task Force as well as MVT/MVAT prevention and bait car efforts. Community Service Officers will support prevention (through training) and documentation/investigation of ORT, MVT, and MVAT. The Hourly Management Analyst will be ourGrant Manager who will support project oversight and data collection efforts.

2a. Services and Supplies
Description of Services or Supplies Calculation for Expenditure Total Catalytic Converters - Daly City $2,403.88/unit * 10 units $24,040.00 $0.00
$0.00
$0.00
$0.00
$0.00
$0.00

$0.00

57 of 1487

TOTAL $24,040.00

2b. Services and Supplies Narrative:

Catalytic Converters will be placed in bait cars (we already have a bait car) and used in conjunction with the MVT and MVAT details to catch MVTs and MVATs in action.

3a. Professional Services
Description of Professional Service(s) Calculation for Expenditure Total

1.0 FTE CSO - San Mateo 1.0 FTE for three years $500,726.00

Overtime - San Mateo
FY 24: 1 Lieutenant @ $202.21 x 80 hours, 1 Sergeant @ $140.01 x 80 hours, 3 Officers @ $110.40 x 240 hours = $106,865.60
FY 25: 1 Lieutenant @ $208.06 x 80 hours, 1 Sergeant @ $144.20 x 80 hours, 3 Officers @ $113.71 x 320 hours = $137,342.40
FY 26: 1 Lieutenant @ $214.30 x 80 hours, 1 Sergeant @ $148.53 x 80 hours, 3 Officers @ $117.12 x 320 hours = $141,461.60
FY27: 1 Lieutenant @ $220.73 x 80 hours, 1 Sergeant @ $152.99 x 80 hours, 3 Officers @ $120.63 x 160 hours = $87,800.00

$473,470.00

Overtime - San Bruno

FY 24: 1 Lieutenant @ $118.77 x 80 hours, 1 Sergeant @ $142.98 x 80 hours, 2 Officers @ $117.06 x 240 hours = $77,128.80
FY 25: 1 Lieutenant @ $122.34 x 80 hours, 1 Sergeant @ $147.26 x 80 hours, 2 Officers @ $120.57 x 320 hours = $98,732.80
FY 26: 1 Lieutenant @ $126.02 x 160 hours, 1 Sergeant @ $151.67 x 160 hours, 2 Officers @ $124.19 x 320 hours = $123,912.00
FY27: 1 Lieutenant @ $129.84 x 0 hours, 1 Sergeant @ $156.21 x 0 hours, 2 Officers @ $127.92x 160 hours = $40,934.40

$340,708.00

Overtime - San Mateo (Data Compilation)
FY 24: 1 Admin Assistant @ $65.61 x 70 hours=$4,592.70
FY 25: 1 Admin Assistant @ $67.58 x 120 hours=$8,109.60 FY 26: 1 Admin Assistant @ $69.60 x 120 hours=$8,352.00 FY 27: 1 Admin Assistant @ $71.69 x 60 hours=$4,301.40□

$25,356.00

$0.00

$0.00
$0.00
$0.00
TOTAL $1,340,260.00

3b. Professional Services Narrative
Community Service Officer will support prevention (through training) and documentation/investigation of ORT, MVT, and MVAT. Overtime will support expenses for a Lieutenant, Sergeant, and Officers to conduct an Organized Retail Theft Task Force. The Hourly Admin Assistant will support projects and data collection and compilation efforts.

4a. Non-Governmental Organization (NGO) Subcontracts
Description of Non-Governmental
Organization (NGO) Subcontracts Calculation for Expense Total $0.00
$0.00
$0.00

$0.00
$0.00
$0.00
$0.00
$0.00
TOTALS $0.00

4b. Non-Governmental Organization (NGO) Subcontracts Narrative Enter narrative here. You may expand cell height if needed.

5a. Data Collection and Evaluation
Description of Data Collection and Evaluation Calculation for Expense Total

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External Evaluator will be contracted to conduct
quarterly reviews and ensure project is on track,
enabling data-drive decision-making.

Computed at $127,521.33/year * 3 years. ($127.52/hour * 1000 hours annually) This is equal to 5% of the grant request total.

$382,564.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
TOTALS $382,564.00

5b. Data Collection and Evaluation Narrative
External evaluation will support the data-driven decision-making process, and ensure goals and objectives are met on time and within budget.

6a. Equipment/Fixed Assets
Description of Equipment/Fixed Assets Calculation for Expense Total 3SI Tracking Devices - Daly City 12 devices, equipment and service for three years $19,000.00 Automatic License Plate Readers. 42 ALPR for Daly City ($476,500); 20 ALPR cameras for San Bruno ($303,315), 15 ALPR cameras for San Mateo ($144,750) $924,565.00
ALPR Trailer - Daly City One Trailer ($35,000), Outfitted ($10,000) $45,000.00 Electric Vehicles - Daly City and San Mateo Daly City: Ford Vehicles, 3 Mach E computed at $70,443.36/vehicle * 3 vehicles; San Mateo: $50,000 for vehicle $263,000.00

Vehicle Outfitting - Daly City and San Mateo
Vehicle Outfitting: Daly City Computers for 3 vehicles ($14,250); General Outfitting for 3 vehicles ($60,000); Mobile Vehicle Radios for 3 vehicles ($5,000); San Mateo: Computer ($5,000); General Outfitting ($20,000); Mobile Vehicle Radio ($2,000)

$106,250.00

Starchase - Daly City, San Bruno, San Mateo Daly City: 10 vehicle systems and one handheld launcher system ($122,000); San Bruno: 8 vehicle systems ($93,973.94); San Mateo: 4 vehicle systems ($31,000)

$246,974.00

Pole Trailers - San Mateo

Pole Trailers - San Mateo. 2 Surveillance Pole Camera Trailers $55,000 each $110,000.00 Remodel of Substation - San Mateo Remodel / Retrofit for substation at Hillsdale Mall to enable high-speed internet service $10,000.00 TOTALS $1,724,789.00

6b. Equipment/Fixed Assets Narrative
3SI Tracking Devices will prevent MVT and MVAT, being placed within bait car (we already have a bait car) catalytic converters.

Automatic License Plate Readers will be fixed throughout the agencies jurisdiction strategically in high ORT, MVT and MVAT areas to assist with prevention and investigations of those types of crimes.

ALPR Trailer to be placed in hotspot locations as a visual deterrent, capture data of ORT, MVT, and MVAT, and assist with awareness campaigns via the message board.

Electric vehicles will be used for CSOs. These vehicles must be outfitted as CSO vehicles prior to deployment (Lights, computers, radios, dash cameras, etc.).

Starchase systems will discharge a projectile that broadcasts relevant GPS information of a fleeing suspect vehicle without having to engage in a pursuit that puts public safety at risk.

Pole Trailers serve as a visual deterrent and help collect evidence when crimes related ORT, MVT, and MVAT occur in hotspot locations.

The substation at Hillsdale Mall will provide a forward-facing dedicated space for law enforcement presence, serving as a visual deterrent and allowing immediate response in the event of an incident.

7a.Financial Audit
Description Calculation for Expense Total
Financial Audit $8,333.33 x 3 years $25,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
TOTAL $25,000.00

7b. Financial Audit) Narrative:

A financial audit is required for this grant opportunity.

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8a.Other (Travel, Training, etc.)
Description Calculation for Expense Total
Mailing Campaign 2 per year Daly City at $1,600/campaign ($9,600); 2 per year at San Bruno at $8,000 per campaign ($48,000); 2 per year at San Mateo at $10,000 per campaign ($60,000) $117,600.00 Training - to take place in Sacramento $500/day * 3 days * 5 people $7,500.00 Amazon Web Services to host the C3 investigative tool - Daly City, San Mateo, San Bruno Daly City ($60,000); San Bruno ($27,000); San Mateo ($65,000) $152,000.00 C3 Investigative Tool Daly City ($841,000); San Mateo ($991,000); San Bruno ($686,000) $2,518,000.00 Axon Dash Cameras. 3 Fleet Vehicle Cameras - Daly
City $350/month/vehicle * 3 vehicles * 34 months (2/24 - 12/26) $35,700.00 Data Integration Fee $100,000 each partner city x 3 $300,000.00 TOTAL $3,130,800.00

8b. Other (Travel, Training, etc.) Narrative:

The mailing campaigns will build community awareness that partners are cracking down on ORT, MVT, MVAT, and will better arm citizens against becoming victims.

Training is required for this grant opportunity.

Amazon Web Services will allow Partners to host the C3 investigative tool that will streamline data tracking amongst different jurisdictions, addressing ORT, MVT, and MVAT.

The C3 investigative tool and the 3 additional source systems, 8 additional feature enhancements, and enhanced Ex-Machina reporting module will allow us to address rising rates of ORT, MVT, and MVAT, providing officers a powerful new tool to investigate and follow leads.

Axon Dash Cameras will capture data in real-time related to ORT, MVT, and MVAT.

Data Integration Fee: The complexity of integrating data sources may incur additional costs associated with the tool connecting with multiple APIs, databases, or third-party platforms. This line item will be needed for additional charges associated with accessing and consolidating data from each source into the C3 investigative tool.

9a. Indirect Costs
For this grant program, indirect costs may be charged using only one of the two options below: Grant Funds Total 1) Indirect costs not to exceed 10 percent (10%) of the total grant award. Applicable if the organization does not have a federally approved indirect cost rate.

$0

$0
If using Option 1) grant funds allocated to Indirect Costs may not exceed: $0

2) Indirect costs not to exceed 20 percent (20%) of the total grant award. Applicable if the organization has a federally approved indirect cost rate. Amount claimed may not exceed the organization's federally approved indirect cost rate.

$0

$0
If using Option 2) grant funds allocated to Indirect Costs may not exceed: $0 Please see instructions tab for additional information regarding Indirect Costs. If the amount exceeds the maximum allowed and/or turns red , please adjust it to not exceed the line-item noted.

TOTAL

$0

$0

9b. Indirect Costs Narrative:

Enter narrative here. You may expand cell height if needed. If using a federally approved indirect cost rate, please include the rate in the narrative.

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ADDRESS .\LL cml lt;:SICATIO:SS

TO CHIEF OF POLICE

POLICE DEPARTMENT

CITY OF DALY CITY
333-90THStreet
DALY CITY, CA 94015-1895
PHONE: (650) 991-8119

CHIEF OF POLICE

Letter of Agreement / Local Impact
Daly City Police Department is applying for the Organized Retail Theft Prevention Grant Program.

Together, the Daly City, San Bruno, and San Mateo Police Departments (partner agencies) will launch a coordinated and s trategic effort to address and prevent retail and vehicle /accessory theft in the community. Key activities will include:

• Organized Retail Theft Task Force (ORTTF) Days: Held over eight da ys each quarter, from December 2023 through December 2 026, grant funds will support overtime expenses for a Lieutenant, a Sergeant, and Officers to conduct Zero Theft Tolerance days across the partnering agencies jurisdictions. The ORTTF deployments will rotate among various retail locations, within partner agency jurisdictions.
• Daly City PD MVT /MV AT Operations: Once per quarter, Daly City PD would deploy their existing bait car, outfitted with tracking devices on key accessories, throughout hotspot locations within the city in an attempt to combat MVT and MVAT. Tracking devices allow officers to safely track and apprehend suspects after committing an MVT or MVAT. Up to ten additional catalytic converters will be purchased to be used in the bait car in the eve nt the y're damaged beyond repair for u se in future operations.
• Community Service Officers: An additional CSO wil l be added to the San Mateo Police Department and the Daly City Police Department from December 2023 through December 2026.

Electric vehicles equipped with dash camera technologie s will be purchased for Daly City and San Mateo's CSOs , enabling them to capture relevant c1ime data on-scene at retail locations. • Community Awareness: An adve1tising campaign will be conducted from December 2023 through December 2026 to ensure the community is aware the partnering agencies are cracking down on retail and vehicle/accessory theft, and to better aim citizens against becoming v ictims.

A message board trailer with ALPR cameras will also be purchased to share information about preventing vehicle and accessory theft.
• Investigative Tools: The partnering agencies will purchase and utilize a new data aggregation investigative tool (C3.ai Law Enforcement App lication) hosted by Ama zon Web Services. By leveraging data integration, analysis , collaboration, and data/intelligence sharing, law enforcement per sonnel would be better equipped to prevent and investigate Organized Ret ail Theft and motor vehicle theft/accessory theft, enhancing our communities' safety and security.

Grant funds will support this technology from January 2024 through December 2026. • Automatic License Plate Readers: New ALPR cameras wi ll be fixed throughout the partnering agencies' jurisdictions to capture relevant data for investigations related to ORT criminal networks and stolen motor vehicles /accessory theft vehicles.

,o·,-i -·

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• Surveillance Pole Camera Trailers: To be deployed to hot -spot locations for ORT, motor vehicle/accessory theft serving as a visual deterrent and collecting evidence when crimes occur.

They will benefit the community long beyond the funding period. • Starchase: Starchase systems will be purchased and utilized to locate and apprehend fleeing motor vehicles. The discharged projectile will broadcast relevant GPS information of a fleeing suspect vehicle without having to engage in a pursuit that puts public safety at risk. This will serve as an investigative tool so police can follow up and hold ORT, MVT, and MVAT suspects accountable while minimizing risk to the community.
• Substation at Hillsdale Mall: A public -facing substation will be established at Hillsdale Mall, ensuring officers and/or a CSO will be onsite, facilitating walk- ins for advice, counter reports, and fast response when crimes occur. Grant funds will cover upgrading the internet connection from the Substation to the San Mateo Police Department. Also, minor upgrades to paint, flooring, and office furniture to support this important service. This resource will benefit the community beyond the funding period.

How the Project Might Impact Retailers: There will be increased law enforcement presence in retail spaces. Community Service Officers will be responding to ORT theft -related incidents and liaising with local retailers to ensure they are aware of best and emerging practices to identify, reduce, and report ORT crimes.

How the Project Might Impact Local Governmental Agencies: A crackdown on theft will increase the number of individuals arrested, served warrants, standing trial, and appearing before the San Mateo County District Attorney's Office.

Working Together to Address Impacts for Retailers: The benefits of the proposed activities outweigh the potential negatives. At this time, theft rates are so high in loc al stores that retailers report struggling to find staff willing to work. Collaboration enables crime prevention, enhances investigation capabilities, ensures swift response, facilitates intelligence sharing, promotes public safety, and fosters community t rust. By joining forces, law enforcement and retailers can create a safer retail environment and mitigate the risks associated with criminal activities, benefiting both businesses and the communities they serve.

Working Together to Address Impacts for Local Governmental Agencies: An increase in arrests, warrants, and appearances will increase the workload for the San Mateo County District Attorney's Office; however, in the long run, these measures will ultimately reduce theft and crime in the community. This is a worthy endeavor.

62 of 1487

Date: 06/27/2023
Title: Acting Chief of Police
,_Daly CitJ Police

acy Dare: 6/28/23
Operation

ADDRESS All.CO:l.D.ru?\1:CATIOl\"S
TO OilEF OFPOLICE

POLICE DEPARTMENT

CITY OF DALY CITY
333-90™ Street
DALY CITY, CA 94015-1895
PHONE: (650) 991-8119

CHIEF OF POLICE

Signature Page:

Yicto1ia's Secret- DalY City

=

Title: yfana2er. Organized Retail Crime I Date: 06/29/2023

Title: District r..1anager. Retail and Pham1acy
0 eration
Date: 6/28/23

\Valgreens, 216 Westlake Center, Daly City

Title: District r..1anager. Retail and Pbannacy
Operation
Date: 6/28/23

63 of 1487

f?

t Title: Esti:rn.il lnvcsti •ations Mana ,er

Mac ·' - l)al).'c..;_;;: il._) ----::---------------:

NJ(/fW/f}::) A leJctnr)r0 ff\'._Y
1----..,,.------''-,----,,,-----.,..,....----,,---r--
TiIle· } 5 ' - •n Oate:

Turact \.\ cstlokc Sho ing Center - Duly Cin

64 of 1487

San Malco Countv 0istrid Allorne'°'.s Offire
1 ·- • -'
1 Tille: Di lri :,:- F----.--D--at_c_-:Jt_m_c_ -- -0-2-3 --------------- 1 ,0

65 of 1487

serr monte

To: Board of State and Community Corrections
Re: The Organized Retail Theft Prevention Grant Program Date: June 28, 2023

This letter is being submitted to document that Serramonte Center agrees to the following in connection with the Organized Retail Theft Prevention Grant Program proposal being submitted by the Daly City Police Department.

As a part of this grant , Serramonte Center agrees to support project efforts by responding to requests from the Daly City Police Department to share theft statistics data, if any, that Serramonte Center may have available to provide with respect to the Serramonte Shopping Center, located at 3 Serramonte Center, Daly City, CA. 94015

General Manager

3 Serramonte Center I Daly Ci ly, California I p h 650.992.8687 Serra111011leCente r. com

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Ct HILLSDALE

SHOPPING CENTER

June 29, 2023

Board of State and Community Correc11ons
2590 Venture Oaks Way, Suite 200
Sacramento, CA 95833

Re: The Organized Retail Theft
Prevention Grant Program

To Whom It May Concern:

This letter is being submitted to confirm that HSC Property Owners as the owners of HIiisdaie Shopping Center, are aware of and hereby agree to partner on the Organized Retail Theft Prevention Grant Program proposal being submitted by the Sen Mateo Police Department.

As a part of this grant HSC Property Owners, through its ownership and management of Hillsdale Shopping Center, agrees to partner with the San Mateo Police Department in working to reduce organized retail theft. Through partnership with management on Community Policing through Environmentat Design best practices, engagement and information sharing with Malt Security, and coordination with individual mall tenants and retailers, HSC Property Owners eagerly welcomes the chance to Join with the San Mateo Police Department in improving public Bafety in this area.

Larry I ch
Senior Vice President/ General Manager
HIiisdaie Shopping Canter

358 Hillsdale Shopping Center• San Mateo, CA 94403

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151 E. 3rd Avenue San Mateo, CA 94401
June 29, 2023
Daly City Police Department
333 90th st.

Daly City, CA 94015

Subject: Partnership Request to Combat Organized Retail Crime (ORC}

Dear Daly City Police Department,

I am writing on behalf of Walgreens to express our commitment to supporting local law enforcement departments in their efforts to combat Organized Retail Crime (ORC) in Daly City, CA. We recognize the importance of collaboration between law enforcement agencies and retailers like us to address this growing challenge effectively.

At Walgreens, we take ORC seriously, and we are actively working to mitigate its impact on our operations and the safety of our team members, patients and customers. We understand the crucial role law enforcement plays in investigating and apprehending those responsible for these criminal activities. In line with our commitment, we would like to extend our support to your department by assisting in obtaining grants dedicated to fighting ORC.

Our data reveals that Walgreens loses 12% of profits due to product shrink across our 539 stores in California.

The retail value of our total annual losses in California is higher than any other state in the country with CA stores losing 2.6 times more than the average store in the chain. Our rate of internally reported incidents of criminal activity in CA is 2.4 times more than our national per store average. This significant financial burden not only affects our profitability but more importantly, negatively impacts our team members' safety, job satisfaction, and overall customer/pat ient experience. This grant funding will increase Daly City Police Department' s resources which will reduce retail losses and create a safer environment for our team members, patients and customers.

It is crucial that we address this issue collectively, pooling our resources, expertise, and strategies. By joining forces, we can develop proactive measures to prevent ORC, identify and apprehend offenders, and create a deterrent effect that will ultimately protect our businesses and communities we serve. We firmly believe that grant funding and a strong partnership between Walgreens and The Daly City Police Department will be instrumental in achieving this shared goal.

Thank You,

e:JJ

Jose Barreto
Major Crimes Investigations Manager
Walgreen Co.

Member of Walgreens Boots Alliance

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CITY OF SAN BRUNO

POLICE DEPARTMENT

To: Board of State and Community Corrections
Re: The Organized Retail Theft Prevention Grant Program Date: June 28, 2023

This letter is being submitted to document that San Bruno Police Department agrees to partner on the Organized Retail Theft Prevention Grant Program proposal being submitted by Daly City Police Department.

As a part of this grant, San Bruno Police Department agrees to heighten efforts to address retail and vehicle theft across partnering agencies’ jurisdictions, sharing data with Daly City Police Department and San Mateo Police Department to better coordinate efforts.

San Bruno PD will participate in retail Zero Tolerance Days identified by Daly City Police Department and work to coordinate responses to retail and vehicle/accessory theft.

The San Bruno Police Department is not debarred in participating in BSCC grants.

The San Bruno Police Department enthusiastically supports these efforts to reduce retail and vehicle theft in the community, where rising rates continue to threaten the safety and well-being of residents.

Signed by,
Brent Schimek, Police Captain
San Bruno Police Department

1177 Huntington Avenue, San Bruno, CA 94066-1500
Voice: (650) 616-7100 • Fax: (650) 871-6734
http://sanbruno.ca.gov

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£
. .. .... . ... le··=·-=-=·=-·=··-=··=··· ---=··=--=--=··=·=======

San Mateo Police Department Q 200 Franklin Parkway
San Mateo, CA 94403-1921
Telephone: 650-522-7710
FAX: 650-522-7601

June 29th, 2023

To: Board of State and Community Corrections
Re: The Organized Retail Theft Prevention Grant Program

This letter is being submitted to document that San Mateo Police Department agrees to partner on the Organized Retail Theft Prevention Grant Program proposal being submitted by Daly City Police Department.

As a part of this grant, San Mateo Police Department agrees to heighten efforts to address retail and vehicle theft across partnering agencies' jurisdictions, sharing data with Daly City Police Department and San Bruno Police Department to better coordinate efforts. San Mateo PD will participate in retail Zero Tolerance Days identified by Daly City Police Department and work to coordinate responses to retai_l and vehicle / accessory theft.

The San Mateo Police Department is not barred from participating in BSCC grants, and it enthusiastically supports these efforts to reduce retail and vehicle theft in the community, where rising rates continue to threaten the safety and well-being of residents.

Sincerely,

Ed Barberini
Chief of Police
San Mateo Police Department
200 Franklin Pkwy
San Mateo, CA 94403
(650) 522-7600

70 of 1487

Daly City Police Department
Daly City PD Policy Manual

Bias-Based Policing
402.1 PURPOSE AND SCOPE
This policy provides guidance to Daly City Police Department members that affirms the Daly City Police Department's commitment to policing that is fair and objective.

Nothing in this policy prohibits the use of specified characteristics in law enforcement activities designed to strengthen the Daly City Police Department's relationship with its diverse communities (e.g., cultural and ethnicity awareness training, youth programs, community group outreach, partnerships).

402.2 POLICY
The Daly City Police Department is committed to providing law enforcement services to the community with due regard for the racial, cultural or other differences of those served. It is the policy of this department to provide law enforcement services and to enforce the law equally, fairly, objectively and without discrimination toward any individual or group.

The Daly City Police Department expressly prohibits racial and identity profiling.

The Daly City Police Department is committed to providing services and enforcing laws in a professional, non-discriminatory, fair, and equitable manner that keeps both the community and officers safe and protected.

The Daly City Police Department recognizes that explicit and implicit bias can occur at both an individual and an institutional level and is committed to addressing and eradicating both.

The intent of this policy is to increase the Daly City Police Department's effectiveness as a law enforcement agency and to build mutual trust and respect with the city's diverse groups and communities.

A fundamental right guaranteed by the Constitution of the United States is equal protection under the law guaranteed by the Fourteenth Amendment. Along with this right to equal protection is the fundamental right to be free from unreasonable searches and seizures by government agents as guaranteed by the Fourth Amendment.

The Daly City Police Department is charged with protecting these rights. Police action that is biased is unlawful and alienates the public, fosters distrust of police, and undermines legitimate law enforcement efforts.

All employees of the Daly City Police Department are prohibited from taking actions based on actual or perceived personal characteristics, including but not limited to race, color, ethnicity, national origin, age, religion, gender identity or expression, sexual orientation, or mental or physical disability, except when engaging in the investigation of appropriate suspect -specific activity to identify a particular person or group.

Daly City Police personnel must not delay or deny policing services based on an individual's actual or perceived personally-identifying characteristics.

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Published with permission by Daly City Police Department Bias-Based Policing - 1
Policy
402

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Daly City Police Department
Daly City PD Policy Manual
Bias-Based Policing

402.3 DEFINITIONS
Racial or Identity Profiling: the consideration of, or reliance on, to any degree, actual or perceived race, color, ethnicity, national origin, age, religion, gender identity or expression, sexual orientation, or mental or physical disability in deciding which persons to subject to a stop or in deciding upon the scope or substance of law enforcement activities following a stop, except that an officer may consider or rely on characteristics li sted in a specific suspect description. Such activities include, but are not limited to, traffic or pedestrian stops, or actions taken during a stop, such as asking questions, frisks, consensual and nonconsensual searches of a person or any property, seizing any property, removing vehicle occupants during a traffic stop, issuing a citation, and making an arrest.

Bias-Based Policing: conduct by peace officers motivated, implicitly or explicitly, by the officer’s beliefs about someone based on the person’s actual or perceived personal characteristics, i.e., race, color, ethnicity, national origin, age, religion, gender identity or expression, sexual orientation, or mental or physical disability.

Implicit Bias : the attitudes or stereotypes that affect a person’s understanding, actions, and decisions in an unconscious manner. These biases, which encompass both favorable and unfavorable assessments, are activated involuntarily and without an individual’s awareness or intentional control. Implicit biases are different from known biases that individuals may choose to conceal.

Bias by Proxy: when an individual calls/contacts the police and makes false or ill-informed claims of misconduct about persons they dislike or are biased against based on explicit racial and identity profiling or implicit bias. When the police act on a request for service based in unlawful bias, they risk perpetuating the caller’s bias. Members should use their critical decision- making skills, drawing upon their training to assess whether there is criminal conduct.

Reasonable Suspicion to Detain: reasonable suspicion is a set of specific facts that would lead a reasonable person to believe that a crime is occurring, had occurred in the past or is about to occur. Reasonable suspicion to detain is also established whenever there is any violation of law.

Reasonable suspicion cannot be based solely on a hunch or instinct.

Detention: a seizure of a person by an officer that results from physical restraint, unequivocal verbal commands, or words or conduct by an officer that would result in a reasonable person believing that he or she is not free to leave or otherwise disregard the officer.

Reasonable Suspicion to Conduct a Pat Search: officers are justified in conducting a pat search if officers have a factual basis to suspect that a person is carrying a weapon, dangerous instrument, or an object that can be used as a weapon, or if the person poses a danger to the safety of the officer or others. Officers must be able to articulate specific facts that support an objectively reasonable apprehension of danger under the circumstances and not base their decision t o conduct a pat search on any perceived individual characteristics. Reasonable suspicion to conduct a pat search is different than reasonable suspicion to detain. The scope of the pat search is limited

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Published with permission by Daly City Police Department Bias-Based Policing - 2

72 of 1487

Daly City Police Department
Daly City PD Policy Manual
Bias-Based Policing

only to a cursory or pat -down search of the outer clothing to locate possible weapons. Once an officer realizes an object is not a weapon or an object that can be used as a weapon, the officer must move on.

Probable Cause to Arrest : under the Fourth Amendment to the United States Constitution, arrests must be supported by probable cause. Probable cause to arrest is a set of specific facts that would lead a reasonable person to objectively believe and strongly suspect that a crime was committed by the person to be arrested.

402.4 BIAS-BASED POLICING PROHIBITED
Bias-based policing is strictly prohibited. Any employee of the Daly City Police Department who has knowledge of, or has any information about, conduct that would amount to a violation of this policy shall immediately report that information to a supervisor.

During a contact, misunderstandings may occur from an officer’s failure to explain why contact was made. The officer should inform the subject of the reason for the contact if it will not compromise the safety of officers or other persons or an investigation.

Nothing in this policy shall limit an officer’s ability to interview witnesses or discourage routine conversations or consensual contacts with citizens.

Nothing in this policy is intended to prohibit an officer from considering protected characteristics in combination with credible, timely and distinct information connecting a person or people of a specific characteristic to a specific unlawful incident, or to specific unlawful incidents, specific criminal patterns or specific schemes.

402.4.1 CALIFORNIA RELIGIOUS FREEDOM ACT
Members shall not collect information from a person based on religious belief, practice, affiliation, national origin or ethnicity unless permitted under state or federal law (Government Code § 8310.3).

Members shall not assist federal government authorities (Government Code § 8310.3):
(a) In compiling personal information about a person’s religious belief, practice, affiliation, national origin or ethnicity.
(b) By investigating, enforcing or assisting with the investigation or enforcement of any requirement that a person register with the federal government based on religious belief, practice, or affiliation, or national origin or ethnicity.

402.5 COMMUNITY ENCOUNTERS
To cultivate and foster transparency and trust with all communities, each [agency] member should do the following when conducting pedestrian or vehicle stops or otherwise interacting with members of the public, unless circumstances indicate it would be unsafe to do so:

1. Be courteous, professional, and respectful.

2. Introduce themselves to the community member.

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3. State the reason for the stop as soon as practicable, unless providing this information will compromise officer or public safety or a criminal investigation.

4. Answer questions that the individual may have about the stop/contact.

5. Ensure that detention is no longer than necessary to take appropriate action for the known or suspected offense and [agency] member convey the purpose of any reasonable delays.

6. All Daly City personnel, including non-sworn staff, shall not use harassing, intimidating, derogatory, or prejudiced language, including profanity or slurs, particularly when related to an individual’s actual or perceived individual characteristics.

7. Sworn personnel shall be aware of and take steps to curb the potential for bias by proxy in a call for service.

8. Officers should draw upon their training and use their critical decision-making skills to assess whether there is criminal conduct and to be aware of implicit bias and bias by proxy when carrying out their duties.

9. All Daly City personnel, including non-sworn personnel, shall aim to build community trust through all actions they take.

402.6 SUPERVISOR RESPONSIBILITIES
Supervisors are responsible for monitoring and examining all areas of police actions and activities under their command to ensure that employees comply with this policy and to ensure that bias - based policing and racial profiling are not practiced.

Supervisors who fail to respond to, document, or review allegations of bias-based policing will be subject to remedial action.

402.7 COMPLAINTS
All reports or complaints of bias -based policing or racial profiling will be documented and investigated.

402.8 TRAINING
Training on fair and objective policing and review of this policy should be conducted as directed by the Training Unit.
(a) All sworn members of this [department/office] will be scheduled to attend Peace Officer Standards and Training (POST)-approved training on the subject of bias-based policing.
(b) Pending participation in such POST- approved training and at all times, all members of this [department/office] are encouraged to familiarize themselves with and consider racial and cultural differences among members of this community. (c) Each sworn member of this [department/office] who received initial bias-based policing training will thereafter be required to complete an approved refresher course every

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five years, or sooner if deemed necessary, in order to keep current with changing racial, identity and cultural trends (Penal Code § 13519.4(i)). (d) The Daly City Police Department will ensure that, at a minimum, all officers and employees are compliant with requirements regarding bias-free policing training. (e) Daly City Officers should be mindful of their training on implicit bias and regularly reflect on specific ways their decision-making may be vulnerable to implicit bias.

402.9 REPORTING TO CALIFORNIA DEPARTMENT OF JUSTICE
The Management Control and Audit Manager shall ensure that all data required by the California Department of Justice (DOJ) regarding complaints of racial bias against officers is collected and provided to the Records Supervisor for required reporting to the DOJ (Penal Code § 13012; Penal Code § 13020). See the Records Division Policy.

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Automated License Plate Readers (ALPRs)
457.1 PURPOSE AND SCOPE
The purpose of this policy is to provide guidance for the capture, storage and use of digital data obtained through the use of Automated License Plate Reader (ALPR) technology.

457.2 ADMINISTRATION OF ALPR DATA
All installation and maintenance of ALPR equipment, as well as ALPR access shall be managed by the Operations Support Bureau Commander. The Operations Support Bureau Commander will assign personnel under his/her command to administer the day-to-day operation of the ALPR equipment and data.

All data collected by ALPR technology is downloaded to a server housed and maintained by the Northern California Regional Intelligence Center (NCRIC). In compliance with SB 34 refer to the attached policy of the NCRIC:
http://www.dalycity.org/City_Hall/Departments/police_department/ Automated_License_Plate_Reader.htm

457.2.1 ALPR ADMINISTRATOR
The Operations Support Bureau Commander shall be responsible for developing guidelines and procedures to comply with the requirements of Civil Code § 1798.90.5 et seq. This includes, but is not limited to (Civil Code § 1798.90.51; Civil Code § 1798.90.53):
(a) A description of the job title or other designation of the members and independent contractors who are authorized to use or access the ALPR system or to collect ALPR information.
(b) Training requirements for authorized users.
(c) A description of how the ALPR system will be monitored to ensure the security of the information and compliance with applicable privacy laws. (d) Procedures for system operators to maintain records of access in compliance with Civil Code § 1798.90.52.
(e) The title and name of the current designee in overseeing the ALPR operation. (f) Working with the Custodian of Records on the retention and destruction of ALPR data. (g) Ensuring this policy and related procedures are conspicuously posted on the department’s website.

457.3 OPERATIONS
Use of an ALPR is restricted to the purposes outlined below. Department members shall not use, or allow others to use the equipment or database records for any unauthorized purpose (Civil Code § 1798.90.51; Civil Code § 1798.90.53).
(a) An ALPR shall only be used for official law enforcement business.

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Policy
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(b) An ALPR may be used in conjunction with any routine patrol operation or criminal investigation. Reasonable suspicion or probable cause is not required before using an ALPR.
(c) While an ALPR may be used to canvass license plates around any crime scene, particular consideration should be given to using ALPR -equipped cars to canvass areas around homicides, shootings and other major incidents. Partial license plates reported during major crimes should be entered into the ALPR system in an attempt to identify suspect vehicles.
(d) No member of this department shall operate ALPR equipment or access ALPR data without first completing department-approved training.
(e) No ALPR operator may access department, state or federal data unless otherwise authorized to do so.
(f) If practicable, the officer should verify an ALPR response through the California Law Enforcement Telecommunications System (CLETS) before taking enforcement action that is based solely on an ALPR alert.

457.4 DATA COLLECTION AND RETENTION
The Operations Support Bureau Commander is responsible for ensuring systems and processes are in place for the proper collection and retention of ALPR data. Data will be transferred from vehicles to the designated storage in accordance with department procedures.

All ALPR data downloaded to the server should be stored for a minimum of one year (Government Code § 34090.6) and in accordance with the established records retention schedule. Thereafter, ALPR data should be purged unless it has become, or it is reasonable to believe it will become, evidence in a criminal or civil action or is subject to a discovery request or other lawful action to produce records. In those circumstances the applicable data should be downloaded from the server onto portable media and booked into evidence.

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

The Daly City Police Department will observe the following safeguards regarding access to and use of stored data (Civil Code § 1798.90.51; Civil Code § 1798.90.53):
(a) All ALPR data downloaded to the mobile workstation and in storage shall be accessible only through a login/password- protected system capable of documenting all access of information by name, date and time (Civil Code § 1798.90.52). (b) Members approved to access ALPR data under these guidelines are permitted to access the data for legitimate law enforcement purposes only, such as when the data relate to a specific criminal investigation or department -related civil or administrative action.

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(c) ALPR system audits should be conducted on a regular basis.

For security or data breaches, see the Records Release and Maintenance Policy.

457.6 RELEASING ALPR DATA
The ALPR data may be shared only with other law enforcement or prosecutorial agencies for official law enforcement purposes or as otherwise permitted by law, using the following procedures:
(a) The agency makes a written request for the ALPR data that includes:

1. The name of the agency.

2. The name of the person requesting.

3. The intended purpose of obtaining the information.
(b) The request is reviewed by the Operations Support Bureau Commander or the authorized designee and approved before the request is fulfilled. (c) Forwarded to NCRIC for review.

Requests for ALPR data by non-law enforcement or non-prosecutorial agencies will be processed as provided in the Records Maintenance and Release Policy (Civil Code § 1798.90.55).

457.7 POLICE ASSISTANT USE
(a) The primary use for Police Assistants will be using the LPR vehicle to detect and process scofflaw vehicles -or- vehicles with 5 or more delinquent parking citations on file. (b) The vehicle(s) equipped with an LPR system can be used by any police assistant when that vehicle is not being driven by its assigned driver(s).
(c) The driver(s) of the LPR equipped vehicle(s) must alert the designated boot team of the day whenever they get a hit on a vehicle with 5 or more parking citations. The driver will take note of the location of the hit and the vehicle description, and send it to the boot team promptly via messaging or a phone call; this should be done right away and not held until the end of shift.

Although the system tracks all hits/locations throughout the day, the report is not available until the following day from a computer at the station.
(d) A secondary function of the LPR system is that it will detect 10851 stolen vehicles that are in the Stolen Vehicle System database. Police Assistants will follow normal protocol as if they had manually run the license plate via the computer or police radio. (e) Selection of the LPR equipped vehicle(s) will be done by seniority during the semi -annual watch change, per standard practice.
(f) The LPR equipped vehicle(s) should ot be used for Court Officer duties and other details that involve sitting idle for extended periods of time. Maximum exposure is important to ensure that the department is taking full advantage of this resource.

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(g) The LPR vehicle(s) should also be taken to DUI checkpoints where having such a vehicle scanning license plates passing through the screening lane(s) would be beneficial.

457.8 TRAINING
The Training Sergeant should ensure that members receive department -approved training for those authorized to use or access the ALPR system (Civil Code § 1798.90.51; Civil Code § 1798.90.53).

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604

Global Positioning System (GPS) Devices
604.1 PURPOSE AND SCOPE
The purpose of this policy is to provide guidance for the for the use and deployment of GPS tracking devices.

604.2 DEFINITIONS
GPS t racking device - Any device that utilizes Global Positioning System technology to track the location of an entity or object remotely
Electronic Surveillance- (for the purpose of this policy) -surveillance or the gathering of information by surreptitious use of electronic devices.

604.3 POLICY
It is the policy of the Daly City Police Department to utilize GPS tracking devices in a manner that will assist in criminal investigations and prosecutions, by providing investigative leads and information deemed necessary for the prosecution of offenders.

604.4 OPERATIONAL USE
The Daly City Police Department will utilize GPS tracking devices for the purpose of remotely tracking and locating known and unknown suspects. Legal justification for the use and deployment of G S tracking devices is required before any such use.

The surreptitious deployment of GPS tracking devices in the field should be done with at least one other officer to mitigate safety concerns, when practicable.

A supervisor should be noted, when feasible, before any in field GPS tracking device deployment.

604.5 TRAINING
Any officer utilizing or deploying a GPS tracking device shall be trained in the use, deployment and safety concerns related to deployment, prior to the use of GPS tracking devices.

604.6 STORAGE AND MAINTENANCE
All storage and maintenance of GPS tracking devices shall be coordinated through the Investigations Division. The Investigations Division Sergeant is responsible for maintaining a log of the GPS tracking devices in use, the purpose of their use, and the name of the officer utilizing the device.

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Policy
405

StarChase Pursuit Management System
Procedure
405.1 PURPOSE AND SCOPE
This pr ocedure provides direction and operational guidelines for the use of the StarChase Pursuit Managment System. The StarChase system allows an officer to remotely affix a GPS tracking device to a pursued (or about to be pursued) vehicle using an air pressure system to discharge the tracker from the front of the StarChase eguipped patrol car. Once the tracker is affixed to the vehicle in guestion, its location can be tracked by an employee (StarChase Monitor) using a computer with an internet connection.

405.2 OPERATIONAL GUIDELINES
The StarChase system should be us ed in conjunction with all rules and guidelines as outlined in the Daly City Police Department (DCPD) Policy Manual. The StarChase system shall only be used in situations where it is reasonable to believe that a suspect has committed, is about to commit. or is threatening to commit either:
(a) A felony or
(b) A misdemeanor violation involving a weapon, violence, or risk of serious harm independent of a vehicle pursuit.

For the purpose of clarity of communications. radio traffic should identify the device as "StarChase".

StarChase eguipment will only be operated by officers who have been trained in its use. StarChase eguipped vehicles will not be assigned to officers who are not trained on its use unless required by exigent circumstances.

When feasible, Officers should receive permission from a supervisor prior to deploying the StarChase tag on a pursued vehicle.

All safety decisions related to the discharge of a StarChase tag shall be evaluated by the operator prior to deployment. While supervisors may direct or approve the deployment of a StarChase eguipped patrol car in a pursuit and/or the discharge of a tag, safety decisions related to passing other involved vehicles and the actual discharge of the device will be evaluated by the operator prior to deployment. In accordance with policy, the safety of officers, uninvolved persons, and persons inside the pursued vehicle shall be considered. The following decisions are specifically included:
(a) Whether the officer can safely maneuver close enough to the suspect vehicle to come within targeting range.
(b) Whether the officer can safely pass any other vehicle involved in the pursuit. (c) Whether any circumstance would indicate the device would not work (e.g. _ weather conditions. suspect vehicle weaving. etc.)

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StarChase eguipped patrol cars, with approval from a supervisor, are authorized to respond Code 3 to join a pursuit for the potential use of the device.

Unless directed otherwise, the StarChase eguipped vehicle will join the pursuit at the rear of authorized pursuing vehicles until cleared to pass.

Once a StarChase eguipped vehicle joins a pursuit. it becomes an authorized unit related to the number of authorized pursuing vehicles.

StarChase eguipped vehicles may pass other pursuing vehicles only when deemed safe and only with specific permission from the unit to be passed.

Permission is to be sought and acknowledged one passing at a time. Officers driving the StarChase eguipped vehicle will identify which side of the overtaken vehicle they will pass.

StarChase tags will be deployed in accordance with training.

Once the StarChase tag has been successfully deployed, pursuing vehicles should normally drop back significantly from the suspect vehicle.

The StarChase Monitor will be a Dispatcher or StarChase trained operator/supervisor.

Officers will maintain constant communication with the StarChase Monitor for speed/ direction/ location updates of the suspect vehicle.

The Supervisor will coordinate with the StarChase Monitor to direct resources and officers to appropriate locations to apprehend the suspect. The patrol supervisor will dictate who the monitor is based on resources, 'know how', etc...

No officer who is driving a moving patrol car will access the StarChase Monitor data as this creates an unnecessary hazard.

405.3 TACTICAL CONSIDERATIONS
The StarChase tag will not normally be deployed in the following situations unless the suspect poses a substantial risk to the public:
• During heavy rain
• While driving on exceptionally rough terrain
• On a motorcycle
• When pedestrians are between or very near the suspect vehicle and the StarChase eguipped vehicle
In addition to the normal pursuit reporting procedures reguired by policy, Officers who use the StarChase system will report all tag deployments.

405.4 DOCUMENTATION
All depl oyments of the StarChase system shall be appropriately documented by the officer in the incident report and/or supplemental narrative reports (to include selecting the "STARCHASER"

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special circumstance drop- down option in RIMS). The sergeant shall complete the StarChase Deployment Review Form. The form. with all supporting documentation, shall be forwarded to the Field Operations Bureau Captain for review. Once approved. it will be retained in IApro. The form will not be attached to any associated crime report, incident report, or documentation in RIMS.

405.5 PROGRAM OVERSIGHT
The StarChase Pursuit Management System program is managed by the Field Operations Bureau Captain or their designee. The Field Operations Bureau Captain. or their designee. should conduct annual audits of the program to assess its use, effectiveness, and potential improvements to the program and this procedure. Training on this program should be provided to appropriate personnel on an annual basis .

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BSCC 1150-23

APPENDIX A: Organized Retail Theft Grant Program Scoring Panel Roster

Name Title Organization / Agency
1 Ryan Allain Director Government Affairs, California Retailers Association
2 Chesa Boudin Executive Director Criminal Law & Justice Center – UC Berkeley School of Law
3 Michelle Brown Retired Chief Probation Officer San Bernardino County 4 Derek Casebeer Chief Deputy Sacramento County Probation Department
5 Tracie Cone Public Information Officer Board of State and Community Corrections
6 Jason Craven Officer CA Highway Patrol Organized Retail Crime Task Force & Sacramento County
Auto Theft Suppression Task Force
7 Jason Daughrity Retired CHP Captain Commander of Field Support Section 8 Sandra Dinong Associate Governmental Program
Analyst
Board of State and Community
Corrections
9 Evonne Garner Retired Deputy Director Board of State and Community Corrections
10 Mary Jolls Retired Deputy Director Board of State and Community Corrections
11 Nicole Kirkaldy Restorative Justice and Diversion
Program Director
Yolo County District Attorney's Office
12 Mercedes Morales Associate Governmental Program
Analyst
Board of State and Community
Corrections
13 Ryan Okimura Staff Services Manager I Board of State and Community Corrections
14 Nancy O’Malley Retired District Attorney Alameda County 15 Chelsea Paez Staff Services Manager I Board of State and Community Corrections
16 Bao Phan Associate Governmental Program
Analyst
Board of State and Community
Corrections
17 Rodney Rego Captain Elk Grove Police Department
18 Michelle Solorzano Sr. Project Manager City of El Monte 19 Ashley Taylor Associate Governmental Program
Analyst
Board of State and Community
Corrections
20 Eric Taylor Sheriff San Benito County

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APPENDIX B: Grantee Assurance for Non-Governmental Organizations

The Organized Retail Theft Grant Program Request for Proposals (RFP) includes requirements that apply to non -governmental organizations (NGOs) 1 providing services with grant funds. Grantees are responsible for ensuring that all contracted third parties continually meet these requirements as a condition of receiving funds. The RFP describes these requirements as follows:

Any non-governmental organization that receives Organized Retail Theft Grant Program Grant funds (as either a subgrantee or subcontractor) must:
• Have been duly organized, in existence, and in good standing for at least six (6) months prior to the effective date of its fiscal agreement with the BSCC or with the Organized Retail Theft Grant Program grantee;
o Non-governmental entities that have recently reorganized or have merged with other qualified non-governmental entities that were in existence prior to the six (6) month date are also eligible, provided all necessary agreements have been executed and filed with the California Secretary of State prior to the start date of the grant agreement with the BSCC or the start date of the grantee subcontractor fiscal agreement; • Be registered with the California Secretary of State’s Office, if applicable; • Have a valid Employer Identification Number (EIN) or Taxpayer ID (if sole proprietorship); • Have a valid business license, if applicable;
• Have no outstanding civil judgments or liens;
• Have any other state or local licenses or certifications necessary to provide the services requested (e.g., facility licensing by the Department of Health Care Services), if applicable; and • Have a physical address within California. (An agent for service of process with a California address is insufficient.)

Completing the NGO Assurance (Following Page)

1. Provide the name of the Applicant Agency (the Grantee),

2. List all contracted parties (if known),

3. Check Yes or No to indicate if each contracted part meets the requirements

4. Sign and Submit to the BSCC

NOTE: If the name of the contracted party is unknown or if there will be no contracted parties. Write N/A in the “Name of Contracted Party” field and sign the document.

1 For the purposes of this RFP, NGOs include nonprofit and for-profit community-based organizations, faith-based organizations, evaluators (except government institutions such as universities), grant management companies, and any other non-governmental agency or individual.

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Created:

By:

Status:
2023-09-20
Trent Waterman ([email protected])
Signed
Transaction ID:

CBJCHBCAABAApw2N-RUklrQz_Emz6R9Lb0JlL3DVFRal
23-27 ORTP Grant Agreement - Daly City Police
Department 1150-23
Final Audit Report 2023-09-20

"23-27 ORTP Grant Agreement - Daly City Police Department 1 150-23" History
Document created by Trent Waterman ([email protected]) 2023-09-20 - 6:55:09 PM GMT

Document emailed to [email protected] for signature 2023-09-20 - 6:56:02 PM GMT

Email viewed by [email protected]
2023-09-20 - 7:38:08 PM GMT

Signer [email protected] entered name at signing as Cameron Christensen 2023-09-20 - 7:38:58 PM GMT

Document e-signed by Cameron Christensen ([email protected]) Signature Date: 2023-09-20 - 7:39:00 PM GMT - Time Source: server

Agreement completed.
2023-09-20 - 7:39:00 PM GMT

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GRANT ADMINISTRATION GUIDE

JULY 2023

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State of California
Board of State and Community Corrections

2590 Venture Oaks Way, Suite 200
Sacramento CA 95833
(916) 445-5073
www.bscc.ca.gov

Management Team
Linda M. Penner, Chair
Kathleen T. Howard, Executive Director
Aaron Maguire, General Counsel, Chief Deputy Director
Tracie Cone, Director of Communications
Allison Ganter, Deputy Director, Facility Standards and Operations Colleen Curtin, Deputy Director, Standards and Training for Corrections Interim Deputy Director, Corrections Planning and Grant Programs Anita Butler, Director of Administration

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REVISED GUIDE SECTIONS

The following sections of the BSCC Grant Administration Guide have been added or revised (July 2023). The revised language applies to all state and/or federal grant awards . Please refer to your grant agreement, RFP, or contact your grant Field Representative with any questions.

Section 3. C. 4. PERSONNEL POLICIES, Equal Employment Opportunity (EEO) Section 4 ALLOWABLE COSTS FOR PERSONNEL

4. A. SALARIES

4. D. VOTING

4. K. ALLOCATION OF TIME TO MULTIPLE FUND SOURCES

4. N. FUNCTIONAL TIMESHEETS

4. O. COSTS – DIRECT AND INDIRECT
Section 8 OPERATIONAL AGREEMENTS – PUBLIC ENTITIES
Section 11 ACCOUNTING SYSTEMS
Section 18 RECORDS

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July 2023 TOC 1 BSCC Grant Administration Guide

TABLE OF CONTENTS
WELCOME TO THE 2023 BSCC GRANT ADMINISTRATION GUIDE .......................................... 1 Foreword ................................................................................................................................... 1 Overview ................................................................................................................................... 1

1. GENERAL ................................................................................................................................ 3 A. Grant Agreement ................................................................................................................. 3 B. Components of the Contract ................................................................................................ 3 C. Grant Award Conditions ...................................................................................................... 3

2. GRANT PROJECT BUDGETS ................................................................................................. 5

3. KEY PROJECT STAFF AND REQUIRED PERSONNEL POLICIES ........................................ 5 A. Key Project Staff .................................................................................................................. 5 B. Project-Specific Job Descriptions ........................................................................................ 6 C. Personnel Policies ............................................................................................................... 6

4. ALLOWABLE COSTS FOR PERSONNEL ............................................................................. 13 A. Salaries ............................................................................................................................. 13 B. Employee Benefits and Employer Payroll Taxes ............................................................... 13 C. Employee Benefits in the Form of Regular Compensation ................................................. 13 D. Voting ................................................................................................................................ 13 E. Grantee Unable to Obtain Benefits .................................................................................... 13 F. Grant Employee Placed on Administrative Leave .............................................................. 14 G. Vacation, Sick Leave, and Compensating Time Off (CTO) ................................................ 14 H. Overtime ............................................................................................................................ 14 I. Charging Grant Funds as Leave Time ............................................................................... 14 J. Claiming Unused Leave Balance for an Employee that Separates from the Project .......... 14 K. Allocations of Time to Multiple Fund Sources .................................................................... 15 L. Personnel Changes ........................................................................................................... 15 M. Federal and State Employee ............................................................................................. 16 N. Functional Timesheets ...................................................................................................... 16 O. Costs – Direct and Indirect ................................................................................................ 16

5. O PERATING EXPENSES ....................................................................................................... 24 A. Allowable Expense Items................................................................................................... 24 B. Provisions Regarding Allowable Operating Expenses ....................................................... 25 C. Confidential Expenditures .................................................................................................. 25 D. Facility Rental .................................................................................................................... 26 E. Moving Expenses .............................................................................................................. 26 F. Rented or Leased Equipment ............................................................................................ 26 G. Travel and Per Diem .......................................................................................................... 27 H. Food and Beverages ......................................................................................................... 28 I. Program Incentives and Participant Support Items ............................................................ 29

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J. Prohibited Expense Items .................................................................................................. 31

6. EQUIPMENT / FIXED ASSETS .............................................................................................. 33 A. Prior Approval .................................................................................................................... 33 B. Allowable Equipment ......................................................................................................... 33

7. CONTRACTS AND PROCUREMENTS .................................................................................. 36 A. Responsibility .................................................................................................................... 36 B. Methods of Contracting and/or Procurement ..................................................................... 36 C. Non-Competitive Bid Requests .......................................................................................... 38 D. Elements of a Contract or Purchase Order/Document ....................................................... 40 E. Selecting a Contractor ....................................................................................................... 41 F. Independent Contractor/Consultant ................................................................................... 41 G. Rates ................................................................................................................................. 42 H. Contract Limitations ........................................................................................................... 42 I. Contract Provisions ........................................................................................................... 43 J. Drug-Free Workplace Certification Requirements .............................................................. 43

8. OPERATIONAL AGREEMENTS – PUBLIC ENTITIES .......................................................... 43 A. Establishing Operational Agreements ................................................................................ 43 B. Elements of an Operational Agreement ............................................................................. 43 C. Requirements of Partner Agencies .................................................................................... 44

9. PUBLICATIONS: MULTI-MEDIA MATERIALS, COPYRIGHTS AND PATENTS ................... 44 A. Definition ........................................................................................................................... 44 B. BSCC Review .................................................................................................................... 44 C. Income Resulting from Sale or Distribution ........................................................................ 44 D. Transfer of Publication Title ............................................................................................... 44 E. Credits and Disclaimers ..................................................................................................... 45 F. Copyrights and Rights in Data ........................................................................................... 45 G. Patents .............................................................................................................................. 45

10. GRANTEE FINANCIAL INVOICES ......................................................................................... 45 A. Execution of Grant Agreement .......................................................................................... 46 B. Guidelines and Requirements of the Invoice Process ........................................................ 46 C. Advance Payment Grants .................................................................................................. 48 D. Locating, Downloading, and Submitting the Financial Invoice ............................................ 48

11. ACCOUNTING SYSTEMS ...................................................................................................... 49 A. Accounting System and Structure ...................................................................................... 49 B. Accounting System Basis .................................................................................................. 50 C. Separation of Duties .......................................................................................................... 50 D. General Ledger Account Structure .................................................................................... 51

12. MATCH / LEVERAGE REQUIREMENTS ............................................................................... 51 A. Cash Match ....................................................................................................................... 51

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B. In-Kind Match .................................................................................................................... 51 C. Match Documentation ........................................................................................................ 52 D. Match Categories (Allowable / Non-Allowable) .................................................................. 52 E. Over Match ........................................................................................................................ 52 F. Termination of the Grant Agreement ................................................................................. 52 G. Calculating the Match Requirement ................................................................................... 52 H. Changing the Type of Match .............................................................................................. 53 I. Reporting ........................................................................................................................... 53 J. Reporting Match Contributions for Advanced Payment Grants .......................................... 54

13. PROJECT AND OTHER INCOME .......................................................................................... 54 A. Records of Receipt and Disposition of Project Income ...................................................... 54 B. Income Earned but not Used during the Project ................................................................ 55 C. Interest Income .................................................................................................................. 55 D. Other Income ..................................................................................................................... 55 E. Requesting Approval ......................................................................................................... 55

14. AMENDMENTS, CHANGES, AND MODIFICATIONS ............................................................ 55 A. Amending the Grant Award ............................................................................................... 55 B. Other Changes / Modifications to the Grant Project ........................................................... 56 C. Modifications to the Grant Budget ...................................................................................... 57

15. GRANTEE PROJECT REPORTING ....................................................................................... 58 A. Guiding Principles - Implementing Evidence-Based Practices (EBP) ................................. 58 B. Local Evaluation Plan ........................................................................................................ 59 C. Quarterly Progress Reports ............................................................................................... 59 D. Local Evaluation Report .................................................................................................... 59 E. Source Documentation ...................................................................................................... 60

16. AUDIT REQUIREMENTS AND AUDIT REPORTS ................................................................. 60 A. General ............................................................................................................................. 60 B. Additional Information for Federal Audit Requirements ...................................................... 61

17. GRANTEE MONITORING AND OVERSIGHT ........................................................................ 65 A. Comprehensive Monitoring Visit ........................................................................................ 65 B. Compliance Improvement Plan Follow-up Monitoring Visit ................................................ 66 C. Initial Monitoring Visit ......................................................................................................... 67 D. Technical Assistance Monitoring Visit ................................................................................ 67 E. Closeout Monitoring Visit (as needed) ............................................................................... 67 F. Special Event – Monitoring ................................................................................................ 67 G. Desk Reviews – Fiscal Oversight ...................................................................................... 68

18. RECORDS .............................................................................................................................. 69 A. Audits/Monitoring ............................................................................................................... 69 B. Retention and Review Requirement .................................................................................. 69

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C. Documentation Requirements ........................................................................................... 70 D. Payroll Records ................................................................................................................. 71 E. Equipment ......................................................................................................................... 71 F. Organization Policies and Procedures ............................................................................... 71 G. Communications ................................................................................................................ 72

19. WITHHOLDING OR DISALLOWANCE OF GRANT FUNDS .................................................. 72 A. Withholding or Disallowance of Grant Funds ..................................................................... 72 B. Reduction or Termination of Grant Funds .......................................................................... 72 C. Denial of Future Funding ................................................................................................... 73

20. CLOSEOUT ............................................................................................................................ 73 A. Local Evaluation Report .................................................................................................... 73 B. Final Progress Report ........................................................................................................ 73 C. Final Request for Reimbursement ..................................................................................... 73 D. Reporting Required Match ................................................................................................. 73 E. Retention Of Records ........................................................................................................ 73 F. Audits Closeout ................................................................................................................. 73

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WELCOME TO THE 2023 BSCC GRANT ADMINISTRATION GUIDE

FOREWORD
The BSCC Grant Administration Guide (Guide) is intended to help Grantees comply with the terms and conditions that apply to all BSCC grant -funded projects. This Guide supersedes the 2020 version.

All BSCC grant-funded projects must comply with the terms of the grant program under which they are funded. Such terms refer to all requirements as defined by the Grant Agreements, applicable program guidelines contained in the Request for Proposals (RFP) and Request for Applications (RFA), applicable state and federal statutes, and other written directives from the BSCC. At any time, the BSCC may modify and/or impose additional conditions not outlined in this guide when deemed appropriate.

If you have any questions regarding the content in this grant guide, please refer to the RFP, grant agreement, or contact your field representative directly.

This Guide can be accessed and downloaded from the BSCC website at www.bscc.ca.gov.

OVERVIEW
The Board of State and Community Corrections
Established in 2012, the California Board of State and Community Corrections (BSCC) is an independent statutory agency that provides leadership to the adult and juvenile criminal justice systems, expertise on Public Safety Realignment issues, a data and information clearinghouse, and technical assistance on a wide range of community corrections issues. ( Cal. Pen. Code §§ 6024- 6025.) In addition, the BSCC promulgates regulations for adult and juvenile detention facilities, conducts regular inspections of those facilities, develops standards for the selection and training of local corrections and probation officers, and administers significant public safety -related grant funding.

Policy for the agency is set by the 13- member Board of State and Community Corrections, whose members are prescribed by statute, appointed by the Governor and the Legislature, and subject to approval by the state Senate. The Board Chair reports directly to the Governor.

Corrections Planning and Grant Programs Division
The Corrections Planning and Grant Programs (CPGP) Division develops, administers and evaluates programs designed to improve the effectiveness of state and local government agencies, as well as the private sector and nonprofit service providers, to foster collaborative approaches for addressing crime and delinquency by fair and equitable approaches. Division staff provides extensive technical assistance and training to state and local agencies as well as grantees.

We are happy to respond to any questions not covered by this Guide and we welcome any suggestion to improve the Guide. Please feel free to contact your designated Field Representative.

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1. GENERAL
A. G RANT AGREEMENT
The Grant Agreement, also referred to as the contract, is the signed final agreement between the BSCC and the local government agency or organization authorized to accept grant funding. The Grant Agreement and its components contain all the terms, conditions and requirements of the grant program.

Grant Agreements are fully executed only when signed by both the Grantee and the BSCC Director or designee. The start date as listed on the face page of the contract . Grant project expenses incurred after the start date of the grant cycle but before the execution date of the contract may not be reimbursed.

B. C OMPONENTS OF THE CONTRACT
It is the Grantee’s responsibility to read and comply with all the terms, conditions and requirements set forth in the contract. The components of the contract are:
• Standard Agreement (Std. 213), the face page of the contract; • All appropriate exhibits as listed on the face page of the contract; • Grantee’s application or proposal;
• Governing Board Resolution; and
• A pplicable conditions and requirements of the RFA/RFP.

C. G RANT AWARD CONDITIONS

1. General Responsibilities
The Grant Award is a legal transfer of funds between the BSCC and a Grantee for a specific project. Projects must conform to the Grant Agreement as specified, as well as the provisions of this Guide. Failure to do so may result in the withholding or disallowance of grant payments on current or future BSCC grants, the reduction or termination of the Grant Award, and/or the denial of future Grant Awards. T he terms of the Grant Agreement supersede the provisions in this Guide.

If the Grant Award includes Federal funds, the Grantee must also comply with all applicable Code of Federal Regulations (CFR), Code of Federal Domestic Assistance (CFDA), and other applicable federal guidance.

2. Responsible Agency
The Grantee, as named on the face page of the Grant Agreement, is the agency responsible for the implementation and administration of the Grant Project (Project) and for providing all matching funds as specified in the grant budget. The Grantee may not transfer or assign the Grant Agreement to another agency or party. Additionally, the Grantee shall ensure that all subcontractors comply with the requirements of the Grant Agreement. Any liability arising shall be the responsibility of the Grantee. The State of California and BSCC disclaim responsibility for any such liability.

3. Terms of the Program
The terms of the program are defined by the Grant Agreement and applicable RFP and/or RFA. These key documents must be accessible by the project on-site. Grantees must adhere to these requirements, including its enabling legislation, funding regulations, service standards, and program guidelines. Failure to do so may result in the withholding or disallowance of grant payments on current or future BSCC grants and/or a reduction in funding or termination of the Grant Award and/or the denial of future funding.

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In the event the terms of the program are inconsistent with the provisions of this Guide, the terms of the program supersede the provisions of this Guide.

4. Proof of Authority
All Grantees, except for State Agencies, are required to obtain written authorization from its governing board that the Official or Authorized Officer executing the agreement is, in fact, authorized to do so. The written authorization may be a Resolution, Board Minutes, or a letter from the Board Chair. This written authorization shall extend the Official’s authority over the execution of any amendments or extensions. Grantees must maintain this written authorization on file and make it available upon demand. It is best to use the Official’s title rather than the person’s name to avoid having to seek further authorization from the governing agency if the person named is transferred or leaves an agency/organization.

5. Grant Award Changes
Changes made to the Grant Award during the grant cycle must be requested, documented and approved in accordance with the procedures described in Section 14 of this Guide. Oral agreements are not binding.

6. Supplanting Prohibited
Supplanting is strictly prohibited for all BSCC grant funds. a) Definition
Supplanting is the deliberate reduction in the amount of federal, state, or local funds being appropriated to an existing program or activity because gr ant funds have been awarded for the same purposes. When the Grantee replaces funds in this manner, it reduces the total amount that would have been available for the stated grant purpose. b) Grantee’s Responsibility
BSCC grant funds shall be used to support new program activities or to augment existing funds that expand current program activities. BSCC grant funds shall not be used to replace existing funds.

It is the responsibility of the Grantee to ensure that supplanting does not occur . The Grantee must keep clear and detailed financial records to show that grant funds are used only for allowable costs and activities.

7. Funds Availability
Allocation of funds is contingent on the enactment of the S tate Budget. The BSCC does not have the authority to disburse any funds until the budget is passed. Any expenditure incurred prior to authorization is made at the Grantee’s own risk and may be disallowed.

If, during the term of the Grant Agreement, the state and/or federal funds appropriated for the purposes of the grant program are reduced or eliminated by the California Legislature or by the United States Government, or in the event revenues are not collected at the level appropriated, the BSCC may immediately terminate or reduce the grant award upon written notice to the Grantee. No such termination or reduction shall apply to allowable costs already incurred by the P roject to the extent that state or federal funds are available for payment of such costs.

The Grant Agreement entered into with BSCC is subject to any applicable restrictions, limitations, or conditions enacted by the California Legislature and/or the United States Government subsequent to execution of the contract.

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2. GRANT PROJECT BUDGETS
Projects are required to prepare a realistic and prudent budget that avoids unnecessary or unusual expenditures that detract from the accomplishment of the objectives and activities. Grant project budgets are limited to the funding categories and line-items identified in the Project Budget table listed in Exhibit B : Budget Detail and Payment Provisions of the Grant Agreement .

Funding categories generally fall under the following broad budget areas:
• Personal Services – Salaries and Benefits
• Operating Expenses; and
• Equipment.

Each line-item listed in Project Budget table in Exhibit B of the Grant Agreement must be substantiated with line-item detail, including calculations, and a justification for the expense.

Explanatory information included in the b udget narrative does not eliminate the line- item detail requirements.

3. KEY PROJECT STAFF AND REQUIRED PERSONNEL POLICIES
A. K EY PROJECT STAFF

1. Project Director
The Project Director has general administrative authority for implementing project activities and maintaining compliance with all programmatic, administrative, and fiscal requirements of the Grant Award. The Project Director is responsible for:
• Ensuring that project monies expended or obligated are for allowable costs and are in compliance with the approved budget;
• Maintaining required documentation of project activities and accomplishments; and • Signing project requests, reports and modifications where appropriate.

2. Authorized Officer
The Authorized Officer is the person designated by the Grantee’s governing board to execute the Grant Agreement and bind the Grantee to the Grant Agreement. The Authorized Officer signs the face page of the contract and all amendments to the contract. The Authorized Officer is identified on the Applicant Information Form and is listed on the face page of the Grant Award.

3. Financial Officer
The Financial Officer oversees the actual receipt and payment of grant monies. The Financial Officer is responsible for:
• Maintaining proper accounting records; and
• Ensuring the appropriate expenditure of grant funds.

The Financial Officer must be someone other than the Project Director and cannot be the preparer of the Financial Invoice (Form BSCC 201).

If the Auditor-Controller/City Auditor is designated as the Financial Officer in the Grant Award, the Auditor-Controller/City Auditor may not meet the independence standard to perform the audit of the BSCC Grant.

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4. Changes in Key Project Staff
Any change in key project staff , and the effective date of the change, must be reported immediately and in writing to the BSCC. The Grantee may also be required to submit a modification and updated Project Contact Information Sheet as discussed in Section 14.

B. PROJECT-SPECIFIC JOB DESCRIPTIONS
The Project must have on file written project -specific job descriptions (as opposed to job specifications) for all positions funded by the grant project. The project-specific job descriptions shall reflect detailed grant-related duties relative to the activities, goals and objectives of the grant- funded program. The project-specific job descriptions must not be the standard job classification description for similarly titled positions within the Grantee’s agency.

Where applicable, project -specific job descriptions will include statement s that address data collection responsibilities, project activity tracking, and the creation and m aintenance of source documentation. There must be documentation to support the data presented in project evaluations and progress reports.

C. PERSONNEL POLICIES
BSCC-funded projects must have written personnel policies that are available to all employees.

Policies must include, at a minimum:
• Conflict of Interest Policy;
• Drug-Free Workplace Policy;
• Lobbying Policy;
• Fidelity Bonds;
• Equal Employment Opportunity
• Suspension and Debarment
• Vendor Verification
• Work hours;
• Compensation rates, including overtime, and benefits; • Vacation, sick, and other leave allowances;
• Hiring and promotional policies;
• Project Staffing and Operation
• Civil rights requirements
Project staff must be hired and the project operational within 90 days of the approval date of the Grant Agreement. Otherwise, the Grantee must submit a statement to the BSCC explaining the implementation delay. BSCC may choose to cancel the project or extend the implementation date of the project past the 90-day period.

Project staff may be added later to the grant budget if a Grantee submits project, it is approved by the BSCC. The added project staff must be hired within 90 days of the modification approval date. If project staff is not hired within 90 days, the Grantee must submit a statement to BSCC explaining the delay.

1. Conflict of Interest
Organizations must have a written code of standards of conduct governing the performance of their employees engaged in the award and administration of contracts.

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a) Use of Grant Funds for Financial Gain
Officials and employees of a Grantee must not participate in activities involving the use of grant funds where there is a financial interest or benefit:
• To him or herself, immediate family, partners, organization (other than a public agency in which he or she is serving as an officer, director, trustee, partner or employee); or • To any person or organization with whom he or she is negotiating or has any arrangement concerning prospective employment.
b) Inappropriate Use of Funds
Officials and employees of a Grantee must avoid actions that result in, or create the appearance of an inappropriate use of funds, such as:
• Using an official or grant-funded position for personal gain; • Giving preferential treatment to a particular person or project; • Losing independence or impartiality;
• Making a decision outside official channels; or
• Adversely affecting the confidence of the public in t he integrity of the government or the program.
c) Contracting with Other Entities under Contract with BSCC Grantees must submit written notification to BSCC prior to employing, contracting, or engaging in any activity or enterprise with a consultant currently under contract with the BSCC, or any current BSCC employee. The notification must include a full description of the intended relationship between the project and the consultant or employee. BSCC’s Executive Director or designee shall review the written notification and determine whether a conflict of interest or the appearance of a conflict of interest exists. d) Purchase of Supplies
The project may use funds to purchase supplies or other goods (e.g., rent an office, secure insurance, and purchase office supplies) from a party in which the project employee or board member has a financial interest if all of the following criteria are met:
• The employee or board member who has a financial interest does not take part in the bidding or awarding process;
• The project is receiving the item at a lesser rate or there are additional benefits that would not have been available through an independent party; • The purchase or transaction is approved by a quorum of the board and documented in the board minutes, and the board member who has a financial interest abstained from voting; and
• The records that support the purchase must be retained by the project as specified in the contract or as long as the supplies/goods or services are being used, whichever is longer.

2. Drug-Free Workplace Certification
The Drug-Free Workplace Act of 1990 requires Grantees to ensure to BSCC that they will comply with the requirements of Government Code sections 8350- 8357 as incorporated by reference in Exhibit C of the Grant Agreement. Grant Agreement. The Federal Drug- Free Workplace Act of 1988 requires Grantees to ensure that they will comply with the requirements of Federal law as implemented in 28 CFR Part 67, Subpart F, Sections 615 and 620. In doing so, Grantees assure the BSCC that the project’s site is a drug free workplace.

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a) Definitions
• “Drug-free workplace” means a site for the performance of work done in connection with a specific grant or contract described in Government Code section 8355 of an entity at which employees of the entity are prohibited from engaging in the unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance in accordance with the requirements of this chapter.
• “Employee” means the employee of a Grantee or contractor directly engaged in the performance of work pursuant to the grant or contract described in Government Code Section 8355.
• “Controlled substance” means a substance as defined in Schedules I through V of Section 202 of the Controlled Substance Act (21 USC §812). • “Grantee” means the department, division, or other unit of an organization responsible for the performance under the grant.
• “Contractor” means the department, division, or other unit of a person or organization responsible for the performance under the contract.
b) Grantee Responsibility
The Grantee certifies that it will provide a drug-free workplace by:

1. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition

2. Establishing an on-going drug-free awareness program to inform employees about:
a. The dangers of drug abuse in the workplace
b. The grantee's policy of maintaining a drug-free workplace c. Any available drug counseling, rehabilitation, and employee assistance programs d. The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace

3. Making it a requirement that each employee engaged in the performance of the grant be given a copy of the statement required by paragraph (1).

4. Notifying the employee in the statement required by paragraph (1) that, as a condition of employment under the grant, the employee will:
a. Abide by the terms of the statement
b. Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction

5. Notifying the agency, in writing, within 10 calendar days after receiving notice under subparagraph 4b from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to the BSCC and U.S. Department of Justice (address below). Notice shall include the identification number(s) of each affected grant.

U.S. Department of Justice
Office of Justice Programs

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ATTN: Control Desk
810 7th Street, NW
Washington, D.C. 20531

6. Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph 4b with respect to any employee who is so convicted:
a. Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or
b. Requiring such an employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a federal, state, or local health, law enforcement, or other appropriate agency

7. Make a good faith effort to continue to maintain a drug- free workplace through implementation of the above requirement.
c) Consequences of Not Complying with the Drug-Free Workplace Certification A determination of noncompliance may jeopardize eligibility for con tinued grant funding.

Each contract or Grant Award may be subject to suspension of payments or termination of the contract or grant, or both, and the Contractor or Grantee may be subject to debarment, in accordance with the requirements of California Gover nment Code section 8356, if the BSCC determines that either of the following has occurred:
• The Contractor or Grantee has made a false certification under California Government Code section 8355.
• The Contractor or Grantee violates the certification by fai ling to carry out the requirements of subdivisions (a) to (c), inclusive, of California Government Code section 8355.
• The Department of General Services shall establish and maintain a list of individuals and organizations whose contracts or grants have been canceled due to failure to comply with these provisions.
• The BSCC shall immediately notify the Department of General Services of any individual or organization that has an award canceled on the basis of violation of these provisions.

3. Fidelity Bonds
The use of Fidelity Bonds is generally required, and a personnel policy must be in place. a) Definition
Fidelity Bonds guarantee the bonded employee(s) will handle money and property honestly. The purpose of the Fidelity Bond requirement is to protect public funds by assuring reimbursement to BSCC if Grant Award funds are stolen or otherwise misappropriated by officials and/or employees.
b) Requirements and Exemptions
Community-Based Organizations (CBOs) and American Indian Organizations are required to obtain a Fi delity Bond or an equivalent employee dishonesty insurance contract. General liability insurance does not fulfill this requirement. Projects operated by state, city or county units of government are exempt. CBOs sponsored by State or local units of government may submit documentation indicating sponsorship in lieu of the bond unless the use of a Fidelity Bond was specifically required in the terms of the program.

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4. Equal Employment Opportunity (EEO)
It is the public policy of the State of California to promote equal employment opportunity (EEO) by prohibiting discrimination or harassment in employment because of race, color, religion (including religious dress and grooming practices), national origin, ancestry, disability (physical, mental, HIV and AIDS), medical condition (including cancer and genetic characteristics), genetic information, marital status, sex/gender (includes pregnancy, childbirth, breastfeeding, and/or related medical conditions), gender identity and gender expression, age (40 years and above), sexual orientation, veteran and/or military status, protected medical leaves (requesting or approved for leave under the Family and Medical Leave Act or the California Family Rights Act), domes tic violence victim status, political affiliation, and any other status protected by state or federal law.

The BSCC, as well as Grantees/Subgrantees and Contractors, will not discriminate in the delivery of services or benefits based on the previously identified situations. All contracts awarded to a Community-Based Organization (CBO), and all construction contracts awarded to governmental entities in excess of $10,000 of federal funding are required to contain a provision requiring compliance with civil rights regulations. a) Grantee EEO Responsibility
All BSCC Grantees must have a current year EEO Policy Statement, established by their agency, and posted in a prominent place accessible to employees and applicants.

The poster entitled “California Law Prohibits Discrimination and Harassment” must also be posted in a conspicuous location accessible to employees and applicants for employment. The poster may be obtained from the local office of the Department of Fair Employment and Housing or downloaded from: https://www.dfeh.ca.gov/Publications/ .

All Grantees acknowledge awareness of and the responsibility to comply with all applicable EEO requirements by signing the Grant Agreement with the BSCC. b) State and Federal Civil Rights Laws
Comprehensive state and federal civil rights regulations include the following directives:
• Prohibits discrimination or denial of benefits to persons who are under programs or activities receiving financial assistance from the State of California or the federal government,
• Mandates that qualified persons with disabilities will not be excluded from, denied benefits of, or discriminated against solely on the basis of their physical disabilit y, mental disability, or medical condition under any program or activity receiving financial assistance from the BSCC,
• Mandates that all facilities used by BSCC-funded programs shall be made reasonably accessible and usable by the physically handicapped,
• Provides that employer shall make reasonable accommodation for an employee or for an applicant with a known physical or mental disability, unless the employer can demonstrate that such accommodation would impose an undue hardship, • Guarantees equal opportunity for individuals with disabilities in public and private sector services and employment,
• Mandates that all employers shall ensure a workplace free of sexual harassment; and • Provides Family Care and Medical Leave and Pregnancy Disability Leave under the California Family Rights Act (CFRA).

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c) Additional Federal Regulations and Requirements
An Equal Employment Opportunity Plan (EEOP) is a workforce report that some1 grantees must complete as a condition for receiving Department of Justice funding authorized by the Omnibus Crime Control and Safe Streets Act of 1968, as well as the Victims of Crime Act. Grantees who have received funding under these Acts must comply with all of the following EEOP submission requirements.
1) Online Certification Form Submission Requirement to Office for Civil Rights:

All Grantees, receiving federal funds, are required to complete the U.S. Department of Justice, Office of Justice Programs online Certification Form and resubmit annually.

This form certifies whether or not the Grantee is required to summit an EEOP to the Office for Civil Rights, or it they are exempt. Please refer to the U.S. Department of Justice, Office of Justice Programs website ( https://ojp.gov/about/ocr/eeop.htm ) for
details on completing the online Certification form via the EEO Reporting Tool.

After accessing the EEO Reporting Tool, Grantees will need to add their organization’s profile, update the user account, then prepare the Certification form. Once the Certification form is prepared, the Grantee will need to e-sign, certify and submit to the U.S. Department of Justice. Grantees are required to maintain a current copy of the Certification Form if requested by BSCC.
2) EEOP Utilization Report Submission Requirement to Office for Civil Rights:

Grantees subject to the civil rights requirements must develop and implement a comprehensive EEO Plan/Utilization Report to the Office for Civil Rights, Office of Justice Programs if ALL the following criteria is met:
• The Grantee is a state or local governmental agency or a business, AND • The Grantee has 50 or more employees; AND
• The Grantee has received at least a single award of $25,000 or more in federal funds.

If the Grantee does not have a current EEOP on file, they must develop and implement, and submit one to the Office for Civil Rights within 60 calendar days of the date that the BSCC Director signed the Grant Award Face Sheet. The signed certification will be placed on record in the BSCC grantee file. a. Grantees with 50 or more employees and is receiving a single award or, subaward, of $25,000 or more, but less than $500,000, the Grantee must have the EEOP on file in their office for possible review by the public, employees, the BSCC, and the Office for Civil Rights, Office of Justice Programs, U.S. Department of Justice.

Grantees are required to submit an EEOP Utilization Report every two years. b. Grantees with 50 or more employees and is receiving a single award, or subaward, of $500,000 or more, in federal funds are required to prepare, maintain on file, submit to the Office for Civil Rights for review, and implement an EEOP. Upon approval of the EEOP/Utilization Report, Grantees will receive a federal letter of compliance. An approved EEOP/Utilization Report is valid for 24 months from the date of the federal letter of compliance.

1 U.S. Department of Justice – Office of Justice Programs – Office for Civil Rights – EEOP FAQs website:
https://www.ojp.gov/program/civil-rights/eeop/faqs.

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c. Grantees may be exempt from the EEOP/Utilization Report submission requirements if ANY of the following criteria is met:
i. The Grantee is a nonprofit organization, a medical or educational institution, or an Indian Tribe; OR
ii. The Grantee has less than 50 employees; OR
iii. The Grantee received a single award for less than $25,000; OR iv. The Grantee receives state funding only.

Please note that Grantees who are exempt for the EEOP requirements are still responsible for all other EEO compliance obligations.
d) Requirements for Continuing EEOP Grants
Unless exempt, Grantees are required to maintain a current EEOP and submit a EEO Utilization Report every two years. Grantees are strongly recommended to use the Office for Civil Rights, online EEO Reporting System which can be found at https://ojp.gov/about/ocr/eeop.htm
.

All Grantees, regardless of the type of entity, the number of employees, or the amount awarded, are subject to the prohibitions against discrimination in any program or activity and may be required by the BSCC or Office for Civil Rights, through selected compliance reviews, to submit data to ensure their services are delivered in an equitable manner to all segments of the service population. Additionally, Grantees may be required to submit data to ensure their employment practices comply with state and federal civil rights laws.

The passage of Proposition 209 (approved November 1, 1996) has not alleviated the Federal requirement to develop and implement an EEOP (Cal. Const. art. I, § 31.)

5. Suspension and Debarment – Federal Grants
It is the policy of the Federal Government to conduct business only with responsible persons, and a system for debarment and suspension from programs and activities involving Federal financial and non-financial assistance and benefits assist agencies in carrying out this policy.

Debarment or suspension of a participant by one agency has government-wide effect.

Grantees receiving federal funds must certify that they will adhere to Federal Executive Order 12549, Debarment and Suspension. By signing the Grant Agreement, the grantee certifies that neither the grantee nor its principals have been suspended or debarred from participation in Federal grants. The grantee also agrees that it will not make any award, sub- award, or enter into any contract greater than $25,000 with parties that are debarred, suspended, or otherwise excluded or ineligible for participation in Federal programs or activities.

6. Verification of Vendor/Contractor Eligibility - Federal Grants Prior to entering into contracts or procurements greater than $25,000, Grantees must either obtain a self -certification statement from the vendor/contractor indicating they or their principals are not suspended or debarred or verify their eligibility to participate in federal awards via the federal Excluded Parties List System (EPLS). a) Self-Certification:

The self -certification statement should contain language certifying that neither the organization nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in the transaction by any Federal department or agency.

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b) EPLS Verification:

Verification of eligibility of prospective vendors/contractors may be obtained via the federal System for Award Management (SAM) website at www.sam.gov. It is suggested that a screen shot of the negative results page be kept with the procurement/contract records to support eligibility verification occurred prior to entering into the transaction.

4. ALLOWABLE COSTS FOR PERSONNEL
Allowable costs for personnel must be reasonable and may be used for salaries, wages, and other benefits. It is the Grantees’ responsibility to properly document and support such costs.

A. S ALARIES
Salaries/hourly wages are fixed compensation for services. • Salaries/hourly wages for employees of the grantee must be documented in the BSCC grant approved budget (e.g., Salaries and Benefits line item).

• Salaries/hourly wages for professional consultants, non-governmental organizations, and evaluators must be documented in the BSCC grant approved budget (e.g., Professional Services, NGO Subcontracts, Data Collection line item).

These costs must be identified by position and percentage of salaries or hourly wage multiplied by the number of hours to be worked and rounded to the nearest whole dollar.

B. E MPLOYEE BENEFITS AND EMPLOYER PAYROLL TAXES
Employee benefits and employer payroll taxes include employer’s contributions or costs for social security, employees’ life and health insurance premiums, unemployment insurance, pension contributions, and other similar costs that are approved by the BSCC. These costs are allowable/reimbursable when they are included in the BSCC grant approved budget and are in accordance with the organization's approved written policies.

C. E MPLOYEE BENEFITS IN THE FORM OF REGULAR COMPENSATION Employee benefits in the form of regular compensation (normal pay) paid to employees during periods of authorized absences from the job for paid leave are allowable/reimbursable if: (1) they are provided pursuant to an approved leave system; (2) the costs are equitably allocated to all related activities (claimed in proportion to the time spent by the employee working on the grant); and (3) the costs adhere to the state limitations noted below:
• Jury duty costs claimed on the financial invoice (BSCC Form 201), must be reduced by any jury duty fees received, excluding travel costs; and
• P
aid leave (e.g., military leave, medical leave, administrative leave, or workman’s compensation) must not exceed 30 calendar days per a twelve -m
onth period.

D. V OTING
If a voter does not have sufficient time outside of working hours to vote at a statewide election, California Election Code section 14000 requires employers to give up to two hours to allow for voting without loss of pay (with proper notice from the employee). Providing paid leave time pursuant to Elections Code section 14000 is an allowable expense.

E. G RANTEE UNABLE TO OBTAIN BENEFITS
If the Grantee is unable to obtain benefits, such as health insurance plan, due to the size of the organization, reimbursement payments to employees for such benefits may be allowed.

Reimbursement payments must be disclosed in the BSCC grant approved b udget, approved in

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the Grantee’s written personnel policies, and supported by paid invoices submitted by the employees.

F. GRANT EMPLOYEE PLACED ON ADMINISTRATIVE LEAVE
When a grant employee is placed on administrative leave (in accordance with the organization's approved written policies), a portion of that employee’s salary paid during the administrative leave may be allocated to the Grant Award. The portion of the administrative leave costs that may be allocated is based on the percentage of that employee’s salary approved i n the grant approved budget.

G. VACATION, SICK LEAVE, AND COMPENSATING TIME OFF (CTO) Leave time (vacation, sick, family leave, and CTO) is allowable/reimbursable only when the time is earned and used during the grant funding cycle. Overtime and shift differentials are also salary costs. When possible, these costs should be budgeted beforehand and claimed in the BSCC grant approved budget.

H. OVERTIME
Overtime is defined as time worked beyond the normal established work week for all employees except those considered exempt under the Fair Labor Standards Act , such as executive, administrative, and/or professional staff. Overtime is allowable/ reimbursable at a higher -than- normal rate of pay.

Overtime must be documented by payroll records that reflect at a minimum:
• The name and title of the person performing the overtime and a supervisor’s prior approval, • The hours worked and the amount of overtime,
• The basis for the overtime and the activities performed during overtime, and • The hourly rate of overtime.

I. CHARGING GRANT FUNDS AS LEAVE TIME
With the exception of a separation from the project, BSCC grant funds may be allowed/reimbursed as leave time (vacation, sick, family leave, and CTO ) only when the time is earned and used during the grant funding cycle. Balances accrued during the grant funding cycle, but not used, cannot be claimed, unless a separation is involved. The leave costs claimed must be proportional to the amount of time spent by the employee working on the BSCC grant project. For example, if the employee is 50 percent BSCC grant funded, BSCC will be charged no more than 50 percent of eight hours of vacation earned, or four hours.

J. CLAIMING UNUSED LEAVE BALANCE FOR AN EMPLOYEE THAT SEPARATES FROM THE PROJECT As cited in Section I above, the only exception for claiming unused leave balances is when an employee separates from employment. BSCC grant funds then may be used to pay the employee separating from the project that portion of the leave balances earned during the BSCC grant funding cycle. The portion of the leave balances earned during any non- BSCC funded period must be paid by another source. In addition, BSCC funds should pay only for a proportional amount of the leave balances earned during the BSCC funding cycle, based on the percentage of time the employee worked on the BSCC grant. For example, if the separating employee worked 50 percent of the time on the BSCC grant, the BSCC grant should pay only 50 percent of the vacation earned and not used by the em ployee. If the total hours of vacation earned during the BSCC-funded period and not used was 40, then the total hours that can be claimed against the BSCC grant is 20 hours.

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K. ALLOCATIONS OF TIME TO MULTIPLE FUND SOURCES
Costs for salaries and benefits of personnel involved in more than one grant or program of the organization must be allocated to each grant (or funding source of the program) based on the actual percentage of time spent on each grant or program. The annualized actual percentage charged for a particular position (e.g., Project Director) cannot exceed the annual percentage approved in the BSCC Grant Award. Similarly, the dollar amount charged for a particular position also must not exceed the dollar amount in the approved Grant Award or subsequent grant award modification.

At no time shall a BSCC grant funded position exceed 100% time spent on a grant project, either as a single BSCC project, across multiple BSCC projects, or any combination of BSCC funding and other sources of funding, including federal, state, local, or private funding.

Functional timesheets or a cost allocation plan for projects with more than one source of funding and/or with multiple programs must be maintained which support the time charged to BSCC grants.

Example A
The BSCC Grant Award budget allows 100 percent (100%) of salaries and benefits for the Project Director. During the grant cycle, the agency /organization receives grant funds from another funding source for a different grant, which is also administered by the s ame Project Director. In this situation, the Grantee must account for the actual time the Project Director spends on each of the separate grants. Because the agency/organization has more than one grant, the Project Director is no longer spending 100 percent of t heir time on the single BSCC grant. Although the BSCC grant allows the Grantee to charge up to 100 percent (100%) of the Project Director's salary, the Grantee may only charge BSCC the ACTUAL time spent by the Project Director on the BSCC grant. If the actual amount of the time the Project Director spends on the BSCC grant is 25 percent (25%), then only 25 percent (25%) of the budgeted amount can be charged to the BSCC grant and claimed for reimbursement. Salary allocation changes require the submi ssion and prior approval of a grant modification.

Example B
The BSCC Grant Award budgets 20 percent (20%) of salaries and benefits for a Program Specialist. During the grant cycle the actual time spent by the Program Specialist amounts to 50 percent (50%) of actual hours charged, BSCC can only be charged 20 percent (20%) of the salaries and benefits amount listed in the approved Grant Award for the Program Specialist until such time as a modification is approved. If the Program Specialist spent 10 percent (10%) of their time on a single BSCC program, and 20 percent (20%) was what was actually budgeted, BSCC can only be charged 10 percent (10%) of the salaries and benefits amount for the Program Specialist. A modification must be submitted for approval of any allocation changes.

L. P

ERSONNEL CHANGES
Whenever there are budget changes resulting from personnel changes, whether temporary or permanent, the Grantee must submit a written modification, and explain the reason for the shifting of personnel, the time per iod involved, the individuals involved, the salaries paid, and the percentage of time worked. The Grantee also must maintain documentation in the payroll records of the shifting of personnel. During the grant performance period, the Grantee may not add, remove, or change line items to/from the Salaries and Benefits category without prior BSCC approval. A modi fication will be necessary to add line items and to increase or decrease the amount of grant funds budgeted to this category. The items added must be allowable expenses programmatically. The Grantee’s Cost Allocation Plan may also require revision to reflect budget changes and to bring the allocation of costs in alignment with current expenditures.

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M. FEDERAL AND STATE EMPLOYEE
Where the Grantee is a state agency, c ompensation of federal and state employees , such as salary payments, travel, and consulting fees, is not allowable unless specifically approved by the BSCC in advance.

N. FUNCTIONAL TIMESHEETS
A functional timesheet is a method for recoding the amount of an employee’s time spent on the job, which reflects actual time spent working on activities specific to the applicable grant program and other fund sources. All grant funded personnel (including personnel being used to meet match/leverage requirements) who are directly allocated to the grant, either in whole or in pa rt, must maintain functional timesheets that:
• Indicate the actual time worked by the employee on the BSCC Grant award, and • Are approved by both the employee and their supervisor.

O. COSTS – DIRECT AND INDIRECT
The BSCC indirect costs rates for federal and state grants are provided in this section. Please contact your lead Field Representative if you have any questions.

Acronyms used in this section:
• BSCC – Board of State and Community Corrections
• CFR – Code of Federal Regulations
• ICRP – Indirect Cost Rate Proposal (Prior to federal approved rate) • MTDC – Modified Total Direct Cost
• NICR – Negotiated Indirect Cost Rate (Post federal approval of rate) • OMB – U.S. Office of Management and Budget
• RFP – Request for Proposal

1. General Information
Direct Project Costs
Direct project costs are those allowable costs that can be (a) directly associated to a particular grant activity and (b) accounted for separately with a high degree of accuracy. Examples of direct costs include staff salaries, materials and supplies, and travel.

Indirect Project Costs
Indirect project costs are shared costs that cannot be directly assigned to a particular activity but are necessary to the operation of the organization and the performance of the project.

Examples of indirect costs include utilities and rent expense, health insurance, equipment depreciation, clerical and managerial salaries, human resources, accounting and legal fees, office, and cleaning supplies.

Chargeable Project Costs
Chargeable costs are those costs that may be expens ed to an award. In determining chargeable costs, a grantee should consider if the costs are:
• Reasonable – ordinary and necessary, supports the operation, and contributes to ability to conduct grant’s mission.
• Allocable – easily assigned to the grant.
• Allowable – as determined by:
o OMB Guidelines, Uniform Guidance (2 CFR Part II Subpart E – Cost Principles), o State of California, State Administrative Manual, and

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o Terms and conditions of their Grant Agreement, and BSCC Grant Administration Guide provisions.
• Consistently treated as either a direct or an indirect cost and are in accordance with Generally Accepted Accounting Principles.

2. Recordkeeping
Grantees agree to maintain and provide access to records for purposes of examination for a period of three (3) years from the end of the Grant Agreement, unless a longer period of record retention is stipulated. This also refers to any subcontractor(s) documentation.

Applicants who apply for BSCC grant funds are required to develop a budget according to the RFP instructions. In RFPs that allow for an indirect cost rate, a line item will be included in the budget template for the applicant to include this information. Once an award is approved by BSCC, the budget becomes the approved grant budget. Grantees agree to maintain all records and supporting documents pertaining to the creation of such budget.

The grantee agrees that the BSCC and any or all of the following agencies shall have the right to review and to copy any records and supporting documentation pertaining to the performance of the Grant Agreement:
• U.S. Federal Government or their designated representative(s) (if federally funded grant program);
• California State Auditor or their designated representative(s); • California Department of Finance – Office of State Audits & Evaluations or their designated representative(s);
• California State Controller’s Office or their designated representative(s)

3. Claiming Indirect Costs on an Invoice
Grantees are responsible for reviewing and approving invoices to ensure they are proper and in accordance with the terms and conditions of their Grant Agreements and approved budgets prior to submission to the BSCC.

Grantees that claim indirect costs on an invoice must use the indirect cost rate listed in their executed Grant Agreement. When requesting reimbursement for indirect costs, it is important to remember that the indirect cost rate is applied to the amount that was actually expended and requested for reimbursement, and not the amount that was originally budgeted.

All costs must be supported by accounting records (e.g., invoices, purchase orders, and canceled checks or other records supporting payments), which show the actual expenses.

4. Federally Funded Grant Programs: Indirect Cost Rates Unless otherwise specified in the grant’s RFP and Grant Agreement, entities directly applying for and receiving federal grant funds may only budget and charge indirect costs by using one of the following indirect cost options:

Federal Indirect Cost Rate Option 1:
• Grantees may use their NICR (derived from a federal formula) to seek reimbursement for indirect costs.
o Evidence of NICR approval must be available to BSCC and cover the current grant period’s budget and expenditures. Evidence should include information on the base(s) used to distribute indirect costs, and the treatment of fringe benefits and paid absences. For a multi-year grant, an NICR is required for each grant year or performance period.

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o A grantee or applicant awarded federal funds may use this option to budget for indirect costs only if they have a NICR already in effect. o See Obtaining a Federally Approved NICR section for additional information.

Federal Indirect Cost Rate Option 2:
• Grantees without a NICR may use the Federal De Minimis (10% of MTDC 2) to seek reimbursement for indirect costs.

Budgeting for Indirect Costs for Federally Funded Grants Unless otherwise specified in the RFP and Grant Agreement, indirect costs may be budgeted for and claimed by applicants and grantees in the Grant Funds and/or Match Funds columns of the Project Budget Table within the grant proposal.

Examples of how to budget for indirect costs using Federal Indirect Cost Options 1 and 2 are shown in the tables on the following pages:

Federal Indirect Cost Rate Option 1 – Federally Approved NICR In this example, the approved NICR for a grantee is 25%. The grantee’s cost base is salaries & wages plus fringe benefits. Add the totals for salaries & wages plus fringe benefits and multiply this amount by 25%. The following budget table displays the amount budgeted for indirect costs in greater detail:

Table 1. Example – Grantee Budget Using Federal Option 1 Cost Category
Grant Funds
Budget Amount
Indirect Cost
Calculation
Salaries & Benefits $88,500
Services and Supplies $1,000 $88,500
Other (Travel, Training, etc.) $2,500 x 25%
Other Direct Costs + $1,500 $22,125
Total Direct Costs $93,500

Indirect Cost Calculation + $22,125
Total Grant-Funded
Project Budget $115,625
Grantees using Federal Indirect Cost Rate Option 1 must immediately notify BSCC if the NICR changes during the grant period. The grantee may be required to submit a Modification Request (BSCC Form 223.1, located within the Financial Workbook) with the updated NICR, including when using the approved rate for matching funds (in total or in part).

2 Modified Total Direct Cost (MTDC) means all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $25,000 of each subaward. See 2 CFR § 200.68 for full definition of MTDC.

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Federal Indirect Cost Rate Example: Option 2 – Federal De Minimis (10% of MTDC) In this example, the grantee adds direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $25,000 of each subaward. The resulting amount is multiplied by 10%. The following budget table displays the amount budgeted for indirect costs in greater detail:

Table 2. Example – Grantee Budget Using Federal Option 2 Cost Category
Grant Funds
Budget Amount
Indirect Cost
Calculation
Salaries & Benefits $88,500
Services and Supplies $1,000
Other (Travel, Training, etc.) $2,500
Other: Subaward #1 $35,500
Other: Subaward #2 + $25,000
Total Direct Costs $152,500
Less: Subaward Amount over $25,000 - $10,500
MTDC $142,000 $142,000
Indirect Cost Calculation + $14,200 x 10%
$14,200
Total Grant-Funded
Project Budget $166,700

Indirect costs and Matching Contributions
If a grantee is required to provide matching contributions within the grant budget, please see 2 CFR § 200.306 (available at: https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part- 200/subpart-D/section-200.306 .

Federal Records Retention for Approved Indirect Cost Rate Documentation Records relevant to the development of the NICR, including an ICRP or CAP must be retained along with all grant-specific documentation for a period of three (3) years from the end of the Grant Agreement. This requirement also pertains to subcontractor documentation. Refer to section O.2. Recordkeeping for additional information.

Determining Indirect Cost Rates for Federally Funded Subcontractors Grantees directly receiving federal funds that subcontract using BSCC grant funds must use either Federal Indirect Cost Rate Option 1 or 2 when determining an indirect cost rate with a subcontractor.

5. State-Funded Grant Programs: Indirect Cost Rates
Unless otherwise specified in the grant’s RFP and Grant Agreement, entities directly applying for and receiving state grant funds may only budget and charge indirect costs by using one of the following indirect cost options:

Approved Indirect Cost Rate for State-Funded Grants:

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• Grantees that have a NICR may use the rate to seek reimbursement for indirect costs up to 20% of grant funds.
o Evidence of NICR approval must be available to BSCC and cover the current grant period’s budget and expenditures. Evidence should include information on the base(s) used to distribute indirect costs, and the treatment of fringe benefits and paid absences. For a multi-year grant, an NICR is required for each grant year or performance period.
o Grantees without an approved NICR may claim indirect costs up to 10% of all grants funded direct costs.

Budgeting for Indirect Costs for State-Funded Grants
Indirect costs may be budgeted for by applicants and claimed by grantees in the Grant Funds and/or Match Funds columns of the Project Budget Table within the grant proposal.

Tables 3, 4, and 5 on the following pages provide examples of state-funded grants calculating the indirect cost.

Negotiated Indirect Cost Rate Examples for State-Funded Grants In this example, the Grantee’s NICR is 15%, which is the maximum amount that can be claimed for grant fund reimbursement. Therefore, the grantee would add all direct costs and multiply this amount by 15% for the total amount of indirect costs that can be claimed using grant funds. The following budget t able displays the amount budgeted for indirect costs in greater detail:

Table 3. Example – Grantee Budget Using a Federally Approved Indirect Cost Rate Less than 20%
Cost Category
Grant Funds
Budget Amount
Indirect Cost
Calculation
Salaries & Benefits $75,000
Services and Supplies $16,500
Professional Services $9,500
NGO Subcontracts $750,000
Equipment / Fixed Assets $6,500
Data Collection $21,500
Program Evaluation $15,000
Other (Travel, Training, etc.) $2,000
Financial Audit + $25,000
Total Direct Costs $921,000 $921,000 x 15%
Indirect Cost Calculation + $138,150 $138,150
Total Grant-Funded
Project Budget $1,059,150

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Grantees using a NICR for State-Funded Grants must immediately notify the BSCC if the rate changes during the grant period. The grantee may be required to submit a Modification Request (Form BSCC 223.1, located in the Financial Invoice Workbook) with the updated rate.

In this next example, the Grantee’s NICR 25%. The BSCC maximum indirect cost rate for grant fund reimbursement is up to 20%. Therefore, the grantee would add all direct costs and multiply this by the maximum allowable rate of 20%. The following budget table displays the amount budgeted for indirect costs in greater detail:

Table 4. Example – Grantee Budget Using a Federally Approved Indirect Cost Rate Greater than 20%
Cost Category
Grant Funds
Budget Amount
Indirect Cost
Calculation
Salaries & Benefits $75,000
Services and Supplies $16,500
Professional Services $9,500
NGO Subcontracts $750,000
Equipment / Fixed Assets $6,500
Data Collection $21,500
Program Evaluation $15,000
Other (Travel, Training, etc.) $2,000
Financial Audit + $25,000
Total Direct Costs $921,000 $921,000
x 20%
Indirect Cost Calculation + $184,200 $184,200
Total Grant-Funded
Project Budget $1,105,200

Grantees using a NICR for State-Funded Grants must immediately notify the BSCC if the rate changes during the grant period. The grantee may be required to submit a Modification Request (Form BSCC 223.1, located in the Financial Invoice Workbook) with the updated rate. See the BSCC grant guide section below for Indirect costs and Matching Contributions indirect costs.

State-Funded Grantees Without a NICR Example (up to 10% maximum of direct grant funds):

In this example, the grantee does NOT have a NICR. Therefore, the grantee would add all direct costs and multiply this amount by up to 10% for the total amount of indirect costs that can be claimed using grant funds. The following budget table displays the amount budgeted for indirect costs in greater detail.

Table 5. Example – Grantee Budget Using the BSCC Maximum 10% Indirect Cost Rate for Grantees without a NICR

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Cost Category
Grant Funds
Budget Amount
Indirect Cost
Calculation
Salaries & Benefits $75,000
Services and Supplies $16,500
Professional Services $9,500
NGO Subcontracts $750,000
Equipment / Fixed Assets $6,500
Data Collection $21,500
Program Evaluation $15,000
Other (Travel, Training, etc.) $2,000
Financial Audit + $25,000
Total Direct Costs $921,000 $921,000
x 10%
Indirect Cost Calculation + $92,100 $92,100
Total Grant-Funded
Project Budget $1,013,100

6. Indirect Costs and Matching Contributions
If a grantee is required to provide matching contributions within the grant budget, the grantee may use their NICR for grant fund reimbursement, match contributions, or a combination of both, not to exceed, in total, the maximum allowed rate.

For example, a grantee’s NICR is 15%. The grantee may use the 15% NICR as grant funded reimbursement in the Indirect Costs Line Item only (Ex. 1), 15% NICR as matching contributions in the Indirect Costs Line Item only (Ex. 2) or split the 15% NICR (as determined by the grantee) between grant funded reimbursement in the Indirect Costs Line Item and matching contributions in the Indirect Costs Line Item (Ex. 3).

Ex. 1: Indirect Costs Line Item Grant Fund Budget Match Fund Budget NICR @ 15% 15% 0%

Ex. 2: Indirect Costs Line Item Grant Fund Budget Match Fund Budget NICR @ 15% 0% 15%

Ex. 3: Indirect Costs Line Item Grant Fund Budget Match Fund Budget NICR @ 15% 8% 7%

The same would apply for grantees using the 10% BSCC maximum rate for grantees without a NICR.

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Ex. 1: Indirect Costs Line Item Grant Fund Budget Match Fund Budget BSCC @ 10% 10% 0%

Ex. 2: Indirect Costs Line Item Grant Fund Budget Match Fund Budget BSCC @ 10% 0% 10%

Ex. 3: Indirect Costs Line Item Grant Fund Budget Match Fund Budget BSCC @ 10% 4% 6%

If a grantee has a NICR rate greater than the BSCC maximum allowed 20% Indirect Cost Line Item for grant fund reimbursement, the grantee may use the difference as part of their match contributions.

Ex. 1: Indirect Costs Line Item Grant Fund Budget Match Fund Budget NICR @ 25% 20% 5%

Ex. 2: Indirect Costs Line Item Grant Fund Budget Match Fund Budget NICR @ 25% 0% 25%

Ex. 3: Indirect Costs Line Item Grant Fund Budget Match Fund Budget NICR @ 25% 14% 11%

All other match contributions (excluding the Indirect Costs Line Item) MUST be direct costs contributed to the grant project with corresponding match supporting documentation.

State Records Retention for Approved Indirect Cost Rate Documentation Records relevant to the development of the Federal NICR, must be retained along with all grant-specific documentation for a period of three (3) years from the end of the Grant Agreement. This requirement also pertains to subcontractor documentation. Refer to section O.2. Recordkeeping for additional information.

Determining Indirect Cost Rates for State-Funded Subcontractors Grantees directly receiving state funds that subcontract using BSCC grant funds must use local contracting rules unless otherwise stated in the grant’s RFP and Grant Agreement when determining an indirect cost rate with a subcontractor.

7. Obtaining a Federally-Approved NICR – State and Federal Grant Recipients Should an applicant or grantee seek to obtain a Federal NICR, it will be required to prepare an annual ICRP and submit it to its federal cognizant agency. Typically, the federal cognizant agency is the agency that awards the most federal funds to that grantee or applicant.

Note: A grantee or applicant that is a governmental department or agency unit that receives more than $35 million in direct federal funding is required to obtain a federal NICR.

An ICRP is the documentation prepared by a grantee requesting an indirect cost rate. This package normally includes the proposal, related audited financial statements, and other detail supports such as general ledger, trial balance, etc.

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The requirements for the development and submission of ICRPs are set out in Federal OMB Appendices III-VII of 2 CFR, Part 200.

A grantee developing an ICRP for federally funded grant solicitations should follow the guidelines applicable to its type of organization:
• Non-Government Organizations use 2 CFR § 200, Appendix IV; • State/Local Government Central Service Cost Allocation Plans use 2 CFR § 200, Appendix V;
• State/Local/Tribal Indirect Cost Proposals use 2 CFR § 200, Appendix VII.

Find more information on ICRPs at: https://www.ojp.gov/funding/part200uniformrequirements

and state and local governments at: https://sco.ca.gov/pubs_guides.html (Countywide Cost Allocation Plan Guidelines and Information.

5. OPERATING EXPENSES
General
Allowable operating expenses are defined as necessary expenditures exclusive of personnel salaries, benefits, and equipment. Such expenses may include specific items directly charged to the project, and in some cases, an indirect cost allowance. The expenses must be grant -related (i.e., to further the program objectives as defined in the Grant Award) and be incurred during the grant cycle . The BSCC reserves the right to make the final determination if an operating expense is allowable and necessary. All charges must be clearly documented and rounded off to the nearest whole dollar.

During the grant performance period, individual line items within the operating expense category (with the exception of Consultant or Contract services) may vary from budgeted amounts without prior BSCC approval as long as the total amount budgeted in the category remains the same.

A. A

LLOWABLE EXPENSE ITEMS
A project may, unless otherwise prohibited, include the following expenses under the Operating Expenses category:
• Answering service fees;
• Bank service charges and check printing fees;
• Computer with an acquisition cost of $4,999* or less; • Computer equipment rentals;
• Confidential expenditures (e.g., asset forfeiture and sting operations); • Conferences, seminars, workshops, and training;
• Consultant services;
• Equipment service and maintenance agreements (including those for computers); • Facilities costs;
• Film or videotape (film or videotape with an acquisition cost of more than $5,000 per unit and a useful life of more than one year must be charged in the Equipment category); • Financial audit allowances;
• Furniture and office equipment with an acquisition cost of $4,999* or less per unit; • Insurance, e.g., vehicle, fire, bonding, theft, and liability (to include malpractice a nd board liability);

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• Internet access;
• Janitorial services;
• Moving expenses;
• Office supplies;
• Office space;
• Postage;
• Printing;
• Rental or lease of equipment;
• Research forms;
• Software (if not part of a computer package);
• Storage space for evidence;
• Subscriptions;
• Telephone (telephones with an acquisition cost of more than $5,000 per unit and a useful life of more than one year must be charged in the equipment category); • Training materials;
• Travel and per diem;
• Utilities; and
• Vehicle maintenance.

If an item is not listed, consult the terms of the program to determine if the expense is allowable. * Any of these items with an acquisition cost of $3,500 or more require prior approval by the BSCC. The Grantee must submit a written declaration that the items to be purchased are: 1) to be used for services directly associated with the project; 2) essential to the success of the project; and 3) less expensive than leasing or renting the equipment for the grant cycle (based on an investigation of lease and rental options).

B. P

ROVISIONS REGARDING ALLOWABLE OPERATING EXPENSES
Operating expenses which cannot be directly charged to a specific project or funding source, such as expenses related to a c opier, utilities or janitorial service, must be prorated on the basis of percentage of usage or other reasonable job-costing basis. An allocation plan must be prepared to determine how such operating expenses should be allocated. Schedules of the methods used to allocate such operating expense must be maintained for audit purposes.

The basis of allocating operating expenses must be reviewed and adjusted accordingly by the Grantee on a periodic basis.

Payments made for certain types of expenses which apply to long periods of time also become allocated expenses. For example, the Grantee pays for an insurance policy with a term of one year (November 1, 2014 to October 31, 2015), and the grant cycle (July 1, 2015 to June 30, 2016) includes four months of this one-year period. The Grantee then may allocate one -third (four months) of the insurance costs to the grant.

C. CONFIDENTIAL EXPENDITURES
Confidential expenditures are only allowable for grants to state and local law enforcement agencies that use grant personnel working in an undercover capacity, unless otherwise specifically authorized in the terms of the program.

Requests for Approval – Confidential Expenditures : If not previously authorized in the approved Grant Award, confidential expenditures must be requested using a modification and

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approved prior to any expenditure. The criteria for confidential expenditures are in the terms of the program.

D. FACILITY RENTAL
Office space for full-time employees and s pace for files, meetings, mail and supplies may be charged to the grant.

It is the responsibility of the G rantee to ensure that these are consistent with prevailing rates in the local area.

Space for part -time employees must be prorated. For the purpose of this section, the term “employee” includes documented volunteers.

1. Rental Space for Training, Shelter, Counseling Rooms, and Other Required Space Rental space for training, individual or group counseling rooms may also be charged to the grant if authorized in the terms of the program, and providing the rental space charged is based on actual costs to the Grantee and not reimbursed by any other source.

If other required space, such as a storage or evidence room is allowed in the terms of the program, the Grantee must provide justification for charging the costs to the grant.

Such justification must address the cost and need for the space, how it relates to the project’s objectives, and why the agency cannot provide the space at no cost to the grant.

2. Donated Space
A Grantee can claim office space used in a program as in- kind match when they are the owners of the building or the space has been donated.

The value claimed for donated space cannot exceed the monetary value of what would normally be charged for the space in that geographical area.

There must be documentation on file which explains and supports the way the value for the match is determined.

E. M

OVING EXPENSES
Projects may budget for moving expenses as long as such expenses are reasonable and related to the accomplishment of grant objectives. For example, a project may claim moving expenses if the project site is being relocated to another site and it is necessary to relocate BSCC -funded supplies, office equipment, etc. to the new site. Moving expenses may not be charged to the grant for transporting personal belongings of staff nor may staff relocation expenses be charged to the grant for costs associated with the project move. Further, projects may not use BSCC grant funds to pay for relocation expenses associated with the hiring of new staff.

If the project is one of many components of a larger organization, the project may only charge the prorated share of expenses proportionate to the BSCC -funded project’s percentage of the organization’s total overall budget.

F. RENTED OR LEASED EQUIPMENT
An explanation and cost analysis must be submitted if equipment, budgeted in the operating expenses or equipment category, is to be rented or leased. This written analysis must demonstrate how it is more cost effective to rent or lease the equipment rather than purchase it.

The project must receive approval from BSCC prior to the execution of any rental or lease agreement. If the request is made after the grant is awarded, a Grantee must attach the analysis to a completed modification.

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G. T RAVEL AND PER DIEM
Travel is usually warranted when personal contact by project -related personnel is the most appropriate method of completing project-related business.

The most economical method of transportation, in terms of direct expenses to the project and the project-related personnel’s time away from the project, must be used.

Grantees are required to include sufficient per diem and travel allocations for project- related personnel to attend any required BSCC training conferences or workshops as described in the Request for Proposals and Grant Agreement.

1. Out-of-State Travel
Out-of-state travel is generally restricted and only allowed in exceptional situations. Grantees must receive written BSCC approval prior to incurring expenses for out -of-state travel. Even if previously authorized in the Grant Agreement, Grantees must submit a separate written request on Grantee letterhead for approval to the assigned BSCC Field Representative. Out- of-state travel requests must include a detailed justification and budget information.

In addition, California prohibits travel, except under specified circumstances, to states that have been found by the California Attorney General to have discriminatory laws. The BSCC will not reimburse for travel to these states unless the travel meets a specific exception under Government Code section 11139.8, subdivision (c). For additional information, please see:
https://oag.ca.gov/ab1887
.

2. Units of Government
Grantees that are units of government using BSCC funds may follow either their own written travel and per diem policy or the California State travel and per diem policy. Units of government that plan to use cars from a state, county, city, district carpool , or garage may budget either the mileage rate established by the carpool or garage, or the state mileage rate, not to exceed the loaning agency.

3. Non-Governmental Organizations (NGOs)
Grantees that are NGOs using BSCC funds must use the California State travel and per diem policy, unless the Grantee’s written travel policy is more restrictive than the State’s, in which case it must be used. Reimbursement is allowed for the cost of commercial carrier fares, parking, bridge, and road tolls, as well as necessary taxi, bus, and streetcar fares. This policy applies equally to NGOs that receive grant funds directly from the BSCC and those that receive grant funds indirectly through a subcontract with another NGO that received a BSCC grant award.

4. Tribes
Grantees that are Tribes must use the California State travel and per diem policy, unless the Grantee’s written travel policy is more restrictive than the State’s, in which case it must be used. Reimbursement is allowed for the cost of commercial carrier fares, parking, bridge, and road tolls, as well as necessary taxi, bus, and streetcar fares.

5. State Travel and Per Diem Policies
a) General
The information below provides details about the State travel policy. The reimbursement rates are maximums, not allowances. In the event of an audit, employees must be able to produce receipts substantiating the amount claimed. To verify rates, go to:
http://www.calhr.ca.gov/employees/pages/travel-reimbursements.aspx

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b) Mileage
When the Grantee utilizes a privately -owned vehicle on project- related business, a maximum rate per mile is allowed at this time. Grantees may ve rify the current State - approved mileage rates at:
http://www.calhr.ca.gov/employees/pages/travel-reimbursements.aspx c) Meals and Incidental Expenses
Breakfast - Breakfast may be claimed when travel commences at or prior to 6:00 a.m.

Breakfast may be claimed on the last fractional day of a trip of more than 24 hours if travel terminates at or after 8:00 a.m.

Lunch - Lunc h may not be claimed for travel less than 24 hours. Lunch may be claimed if the trip begins at or before 11:00 a.m. and may be claimed on the last fractional day of a trip of more than 24 hours if the travel terminates at or after 2:00 p.m.

Dinner - D
inner may be claimed if the trip begins at or before 5:00 p.m. Dinner may be claimed when travel terminates at or after 7:00 p.m., whether on a one- day trip or on the last day of a trip of more than 24 hours.

Incidental Expenses - I ncidental expenses may be claimed for trips of 24 hours or more.

To view meal and incidental rates, go to:
http://www.calhr.ca.gov/employees/pages/travel-reimbursements.aspx

d) Lodging – With Receipts
Excess lodging costs are restricted and only allowed in exceptional situations. Grantees must justify the need and receive prior written approval from BSCC before incurring expenses for excess lodging costs.
e) Other
Reimbursement for shuttle or hotel-bus fares, bridge and road tolls, and parking charges must be supported by receipt if amounts exceed the following exceptions to the California State Receipt Policy located at: http://hrmanual.calhr.ca.gov/Home/ManualItem/1/2203.

H. F OOD AND BEVERAGES

1. Justification
Unless otherwise prohibited by law, or by the specific terms and conditions of the grant program, grant funds may be used to purchase food and beverages for individuals receiving grant-funded services and programs.

BSCC recognizes that offering food and beverages can help maximize participation among clients. Meals or snacks can be used to encourage attendance among clients who are reluctant to attend, or when programs are held during the lunch or dinner hours or as part of a day-long activity.

2. Definitions
Allowable food and beverage purchases include snacks or meals provided to individuals receiving programs and services funded by the grant. Food and beverage purchases must be reasonable, necessary for participants, and clearly linked to grant -funded activities. Grant funds may not be used to purchase alcohol, tobacco or marijuana products.

Grant funds may not be used to purchase food and beverages for grant staff or partner agency staff, even if it is a grant-related event. Grantees who wish to request an exception to this rule should contact the BSCC Field Representative and present justification for why the food and beverages are necessary to the success of the program model.

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3. Requesting Approval
Explicit prior approval from BSCC is required for the purchase of food and beverages, even if the items were mentioned in the grant application approved for funding by the Board.

Grantees seeking approval to purchase food and beverages must submit a memo to the BSCC Field Representative. (Note: It is not necessary to submit a memo for each individual purchase; the memo may contain a list of purchases for the entire grant period.) There is no format for the memo, but it must contain the following information:
(a) A description of the activity or program for which the food and beverages will be purchased.
(b) The name of the subcontractor (if applicable) that will be purchasing the food and beverages.
(c) A description of the items that will be purchased, with the corresponding costs. Provide as much line-item detail as possible and show the total cost. * For example:
4 pizzas per week x 25 weeks @ $15 per pizza ......................................... $ 1,500 2 cases sodas per week x 25 weeks @ $10 per case ................................ $ 500 2 dozen cookies per week x 25 weeks @ $10 per dozen ........................... $ 500 Total ..................... $ 2,500
*If the exact quantity or cost is not known, provide detailed estimates. (d) The approximate number of grant -funded participants that will benefit from the food and beverages.
(e) A justification for the purchase of food and beverages to describe how the purchases will benefit the grant project.

Discretion for final approval of any purchases under this section lies with BSCC. Purchases should not be made until BSCC approves the written request. The BSCC shall not be obligated to reimburse purchases made without prior approval.

4. Documentation
Grantees should follow any internal policies and procedures that exist for the purchase, documentation and tracking of food and beverages. Grantees must also ensure compliance with any applicable procurement rules.

At a minimum, the grantee must maintain all receipts and supporting documentation related to the purchase. Supporting documentation could include program schedules, lists of attendees, class rosters, etc.

I. P

ROGRAM INCENTIVES AND PARTICIPANT SUPPORT ITEMS

1. General Guidelines
Unless otherwise prohibited by law or by the specific terms and conditions of the grant program, grant funds may be used to purchase items used as participant support items and program incentives for program participation and/or program completion.

BSCC recognizes that offering incentives can help maximize participation among clients and justice-involved clients. Participant support items and program incentives can be used to encourage program participation, to reward participants who meet certain documented milestones, and to celebrate program completion.

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Participant support items and program incentives must be reasonable and clearly linked to grant-funded activities.

2. Requesting Approval
Explicit prior approval from BSCC is required for the purchase of participant support items and program incentives, even if the items were included or budgeted in the grant application approved for funding by the Board.

Grantees seeking approval to purchase participant support items and program incentives must submit a memo to the BSCC Field Representative (see “ Using Grant Items for Participant Support Costs and Incentives justification form”) . (Note: It is not necessary to submit a memo for each individual purchase; the memo may contain a list of purchases for the entire grant period.)
Discretion for final approval of any purchases under this section lies with BSCC. Purchases should not be made until BSCC approves the written request. The BSCC shall not be obligated to reimburse purchases made without prior approval.

3. Types of Allowable Expenses May Include:

Participant Support Items:
• Personal Care and Healthcare Items
o C lothing, hygiene items, medication co -pays, physician recommended medical devices or products, etc.
• Vital Document Expenses
o Expenses related to obtaining a CA ID or Driver’s License, social security card, birth certificate, etc.
• Transportation
o Tokens, taxi vouchers, bus passes for social services, educational, court, or program related appointments, etc.
o Vehicle maintenance expenses.
o Purchase of gasoline or mileage reimbursement.
o Purchase of a bicycle or other non-motorized vehicle. • Education and Employment Support
o Work clothes or equipment required by an employer or training program. o Tuition enrollment fees for training or education programs. o Subsidized employment.
o Books, backpacks or other supplies for training/education programs. • Housing Related Costs
o Rental assistance.
o Reasonable costs related to one -time move -in necessities for long- term housing placements.
o Fees for applications, credit checks, or enrollment costs for housing opportunities. o Utilities, property maintenance costs, etc.

Program Incentives: (no cash payments allowed):
• Gift cards
• Stipends

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• Field trips/Excursions (e.g. sporting events, movies, camping trips, amusement parks, etc.)

4. Documentation
Grantees should follow any internal policies and procedures that exist for the purchase, documentation, and tracking of participant support items and program incentives. Grantees must also ensure compliance with any applicable procurement rules.

At a minimum the grantee should maintain a log that records:
a) the type of incentive or participant support item that was distributed; b) the date it was distributed;
c) the name and signature of the individual who received it; d) the name and signature of the staff person who distributed it; and e) the name and signature of a supervisor.

J. PROHIBITED EXPENSE ITEMS

1. Bonuses/Commissions
Projects are prohibited from paying any bonus or commission to any individual, organization, or firm unless specifically authorized by the terms of the program.

2. Lobbying
BSCC federal and state grant funds, grant property, or grant funded positions shall not be expended or used for any of the following lobbying activities. a) Prohibited Lobbying Activities
• Attempts to influence the outcome of any federal, state, or local election, referendum, initiative, or similar procedure, through in- kind or cash contributions, endorsements, publicity, or similar activity;
• Establishing, administering, contributing to, or paying the expenses of a political party, campaign, political action committee, or other organization established for the purpose of influencing the outcome of elections;
• Attempts to influence: (1) the introduction of federal or state legislation; or (2) the enactment or modification of any pending federal or state legislation through communication with any member or employee of the Congress or state Legislature (including efforts to influence state or local officials to engage in similar lobbying activity), or with any government official or employee in connection with a decision to sign or veto enrolled legislation;
• Attempts to influen ce: (1) the introduction of federal or state legislation; or (2) the enactment or modification of any pending federal or state legislation by preparing, distributing, or using publicity or propaganda, or by urging members of the general public or any segment thereof to contribute to or participate in any mass demonstration, march, rally, fund-raising drive, lobbying campaign or letter wri ting or telephone campaign; or
• Attending l egislative liaison activities, including legislative sessions or committee hearings, gathering information regarding legislation, and analyzing the effect of legislation are prohibited when such activities are carried out in support of or in knowing preparation for an effort to engage in unallowable lobbying.

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b) Activities Exempt from the Prohibition
• Providing a technical and factual presentation of information on a topic directly related to the performance of a grant, contract, or other agreement, such as:
o Offering testimony in a hearing, statements, or letters, o to Congres s or a state Legislature, or subdivision, member, or cognizant staff member thereof, in response to a documented request (including a Congressional Record notice requesting testimony or statements for the record at a regularly scheduled hearing) made by the Grantee member, Legislative body or subdivision, or a cognizant staff member thereof,
o provided such information is readily obtainable and may be readily put in deliverable form; and
o Costs for travel, lodging, or meals related to this activity are unallowable unless:
(1) the testimony is offered at a regularly scheduled Congressional or state Legislative hearing; and (2) it was made pursuant to a written request for such presentation made by the Chairman or Ranking Minority Member of the Committee or Subcommittee conducting such hearing.
• Any lobbying made unallowable by Section I.2 above to influence state legislation in order to directly reduce the cost or to av oid material impairment of the organization’s authority to perform the grant, contract, or other agreement. • Participating in any activity specifically authorized by statute to be undertaken with funds from the grant, contract, or other agreement.
• Providing t estimony before legislati ve bodies reviewing the effectiveness of grant programs.
• Introducing and offering support in the state Legislature of general statutory reform, such as criminal code revisions, court reform, etc.

3. Fundraising
BSCC grant funds cannot be used for fundraising. For example, grant funds cannot be used to organize financial campaigns, endowment drives, solicitation of gifts and bequests, or similar expenses incurred solely to raise capital or obtain contributions, unless fundraising for the furtherance of grant objectives is specifically allowed under the terms of the program.

4. Real Property and Improvements
Expenses for r eal property, including land, land improvements, structures and their attachments, and structural improvements and alterations are not allowable expenditures unless specifically authorized in the terms of the program.

5. Interest, Charges, Fees, and Penalties
Finance charges, late payment fees, penalties, and returned check charges are not allowable expenditures. The cost of interest payments is only allowable if the cost is a result of a lease/purchase agreement.

6. Weapons and Ammunition
The cost of weapons and/or ammunition of any type are not allowable expenditures, unless it is part of a governmental negotiated benefit package, or specifically authorized in the terms of the program.

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7. Dues, Licenses, and Fees
Membership dues for the licensing or credentialing of professional personnel, the cost of the license, and any annual professional dues or fees are not allowable expenditures unless they are part of a governmental benefit package or specifically authorized by the terms of the program.

8. Depreciation
Depreciation charges are not allowable expenditures.

6. EQUIPMENT / FIXED ASSETS
Equipment and fixed assets are nonexpendable personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit (including tax and installation). If equipment is purchased as a complete package (i.e., computer, monitor, modem, software, etc.), the total package cost, not the unit cost, would determine if it qualifies under the equipment category. All equipment purchased by the Grantee is the property of the Grantee. BSCC does not claim title to the equipment but requires the Grantee to maintain accountability for the equipment.

A. P RIOR APPROVAL
All equipment or fixed assets with an acquisition cost of $3,500 or more require prior approval by the BSCC. The Grantee must submit a written declaration that the equipment or fixed assets to be purchased are: 1) to be used for services directly associated with the project; 2) essential to the success of the project; and 3) less expensive than leasing or renting the equipment for the grant cycle based on an investigation of lease and rental options.

B. A LLOWABLE EQUIPMENT
Equipment that is directly related to and used for project activities will be considered for purchase approval only if no other equipment owned by the applicant is available and suitable for the project. Projects are expected to purchase only energy efficient equipment whenever possible and appropriate.

Grant funds cannot be used for equipment if specifically prohibited in the authorizing legislation or restricted in the terms of the program.

Grant funds cannot be used to reimburse the project for equipment obtained prior to the beginning of the grant cycle.

Equipment should be ordered as soon as possible so that it can be placed in service during the grant cycle.

1. Motorized Vehicles
Aircraft, watercraft, and other motorized vehicles (except automobiles) are not al lowable budget items unless specifically authorized in the terms of the program.

2. Automobiles
If automobiles are allowable pursuant to the terms of the program, the Project must provide substantial justification demonstrating the grant -related need. The j ustification must be submitted attached to a modification if not previously authorized in the approved Grant Award and include the following information:
• Describe the need for a vehicle, including the size of the service area and the need to provide direct service away from the office;
• Describe the lack of available agency vehicles;

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• Describe the lack of available personal vehicles for which mileage can be charged or a reason why the agency will not allow personal vehicle usage during working hours; and • Include a cost analysis for the vehicle purchase as compared to other options, including lease and personal vehicle use with mileage.

3. Computers and Automated Equipment
a) Internet Access
Funded projects are required to maintain internet access with an established e- mail address for grant-related communication with BSCC. Grant funds may be used for this purpose unless specifically restricted by the terms of the program. b) Justification
The purchase of computers and automated equipment necessary to achieve grant objectives may be requested unless prohibited in the terms of the program. Approval for purchases is contingent on the project's ability to demonstrate a cost effective, project - related need. This is best demonstrated by clearly relating each computer system or component to the grant objectives and activities. The amount of information necessary will be determined by the complexity of the proposed system. c) Cost
The cost of a computer system must include all expenses required to purchase, install and operate the system. These expenses include, but are not limited to hardware, software, maintenance, upgrade, training, conversion, technical assistance, consultants, programmers, analysts, furniture, supplies, modems, telephone lines, and connect time to mainframe or data centers. Computers and related expenses must be itemized in the budget pages of the Grant Award and described in sufficient detail to allow BSCC to assess their size and complexity.
d) Community-Based Organization (CBO)
Applicants from community -based organizations may budget for computer equipment, software, and related costs. BSCC will evaluate the proposed purchase on the basis of grant-related need.

If the implementing agency is a CBO sponsored by a unit of government, BSCC’s policy for CBOs will apply , and BSCC will also evaluate the proposed purchase of computer equipment, software, and related costs.
e) Units of Government
Applicants from units of government may budget for computer equipment, software, and related costs. BSCC will evaluate the proposed purchase on the basis of grant -related need.

Units of government using federal funds to establish or enhanc e criminal intelligence systems are also subject to 28 CFR Part 23 , Criminal Intelligence Systems Operating Policies. Consult the specific terms of the program for information regarding additional requirements and approvals.
f) Justification – Computers and Automated Systems
To certify that all resources (e.g., hardware, software, personnel, and telecommunications) to be utilized by the project are in compliance, the Project Director must submit a written justification. If not previously authorized in the approved grant award, the justification must be attached to a modification and demonstrate that the purchase abides by applicable

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standards, policies, and procedures for automated systems as contained within the terms of the program, the agency’s local policies and operating procedures, and this Guide.

4. Lease-to-Purchase Agreement
If a lease-to-purchase equipment is requested, a Grantee must submit a justification and cost analysis, demonstrating that it is more cost effective to lease rather than purchase the item.

If a lease-to-purchase agreement is not previously authorized in the approved Grant Award, the justification and cost analysis must be submitted with a modification. The Project must receive BSCC approval prior to the signing of the lease/purchase agreement.

5. Equipment Identification and Records
Projects must maintain a readily identifiable inventory of all equipment purchased wholly, or in part, with BSCC grant funds. Equipment must be noted in a log, either written or digital containing the following information for as long as the equipment is owned by the Grantee.

Equipment records must contain the following information:
• A description of the property;
• Serial number, or other identification number;
• Source of the property;
• Identification of the title holder;
• Acquisition date;
• Cost of the equipment;
• Percentage of Federal participation in the cost of the equipment; • Location of the equipment;
• Use and condition of the equipment;
• Unit acquisition cost; and
• Disposition, data, including date of disposal and sale price.

A Grantee must take a physical inventory of equipment and reconcile the results with the equipment records at least once every two years.

The Project is responsible for maintaining all equipment purchased with grant funds and the equipment must be available for review by BSCC staff during Site and Monitoring visits.

6. Losses/Replacements
Projects must safeguard equipment purchased with grant funds and are responsible for any losses. Lost, stolen, or destroyed equipment must be reported to BSCC in writing within 14 calendar days of the date of the loss. The report must include appropriate police reports, insurance claims, and a letter signed by the Project Director explaining the circumstances involved and the precautions taken to prevent such losses from occurring in the future. The report must also detail how the equipment will be replaced, the timeframe for replacement, and the potential impact on program objectives without replacement of the equipment.

Damaged equipment that will not be repaired must be reported to BSCC on a modification within 14 calendar days of the date of damage, with a justification explaining how grant objectives will be achieved without the equipment. Projects must obtain written approval from BSCC prior to replacing, trading, or otherwise disposing of damaged, lost, or stolen grant equipment.

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7. CONTRACTS AND PROCUREMENTS
A. R ESPONSIBILITY
The Grantee is the responsible entity, without recourse to BSCC, regarding the settlement and satisfaction of all contractual and administrative issues arising from contracts of the Grantee and Grant Award procurements. This responsibility includes, but is not limited to, disputes, claims, and protests of awards.

1. Units of Government Guidelines
Governmental entities must comply with applicable procurement laws and policies for their jurisdiction when contracting for goods or procuring services. Matters concerning violation of laws must be referred to the local, state, or federal authority having jurisdiction.

2. Definitions
a) Contracts
Contracts refer to the purchasing of services including, but not limited to, independent CPA audits, maintenance agreements, accounting services, and consultants. All contracts are subject to BSCC contract standards as outlined in this section. b) Procurement
Procurement refers to the purchasing of goods necessary to carry out the project objectives. BSCC procurement standards apply to all contracts for goods, including office supplies, and equipment paid for in whole or in part by grant funds.

3. Approvals
All contracts and procurements must be for allowable expenditures according to the terms of the grant program under which the agreement is funded.

Purchases for computers and/or equipment valued at $3,500 or more, which were not previously approved in the Grant Award budget, require prior approval from the BSCC.

For CBOs and entities that are not units of government, contracts over $50,000 require BSCC prior approval. Requests for approval must include the procedures that will be used to comply with section 7.B. below.

B. M

ETHODS OF CONTRACTING AND/OR PROCUREMENT
For non-governmental entities, contracts and procurements that use grant funds must be made by one of the following methods:

1. Informal Advertising
a) Contracts and Procurements under $5,000
Contracts and procurements under $5,000 do not require formal advertising. However, informal competition is still suggested for purchases between $100 and $4,999. b) Documentation
Documentation showing the service providers or vendors contacted, including the vendor's name, address, telephone number, who provided the quote, the date contacted, and the prices quoted, must be maintained in the project’s files for audit purposes. A minimum of three (3) vendors or two (2) State certified small businesses should be contacted.

2. Formal Advertising
Contracts and procurements for purchases $5,000 or over require formal advertising. In this process, a bidder is selected based on material submitted in a response to an Invitation for

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Bid (IFB) or RFP only. IFBs/RFPs must clearly define all requirements the bi dder must fulfill for the bid or offer, which will be evaluated by the project. Bidders are not allowed to discuss or clarify any points after their bids have been submitted. A firm, fixed -price contract results with no face-to-face negotiation.
a) Invitation for Bid (IFB)
An IFB is used to solicit prices for services or goods based on definitive specifications. It must include a clear and accurate description of the technical requirements for the services, (Contracts) to be produced, or the material or product, (Goods) to be procured.

The description must not contain features that unduly restrict competition.

Using clear and precise specifications is crucial in formal advertising because it ensures that all bidders will have a complete and consistent understanding of what is required.

Accurate descriptions of the requirements make certain that bidders will not have varying interpretations and in turn, they will accurately account for all costs in their responses, including any timelines, and all programmatic requirements. b) Request for Proposals (RFP)
RFP often does not provide a detailed description of what is to be provided. It is designed to solicit a proposal from bidders to solve a stated problem or meet a stated need. The proposal is the product of the bidder's creative thoughts and provides the detailed approach and description of what is to be accomplished or produced, as well as a price for the services or goods to be provided.

RFP should include:
• A clear statement of the problem to be solved;
• Realistic terms as to what the contractor is to accomplish; • Time schedules, including dates for awarding the contract, commencement of performance, submission of progress reports, and completion; • Payment plans and schedule, as appropriate; and
• Proposal Requirements for Bidders:
• Description of qualifications, description of lead personnel, amount of time and personnel to be expended, and equipment and facilities to be utilized; • Description of techniques to be used in solving the stated problem or meeting the stated need; and
• Total cost of the contract.

3. Contract and Procurement Awards
Contract and procurement awards must be made to the responsible contractor or vendor whose bid or offer is responsive to the solicitation and is most advantageous to the project , as well price and other factors considered.

Any or all bids or offers may be rejected when it is in the project's best interest to do so, and such rejections are also in accordance with applicable federal, state, and local laws or ordinances, rules, regulations, and policies.

Consideration should be given to such matters as contractor integrity, record of past performance, financial and technical resources, and/or accessibility to the neces sary resources. A bidder is considered responsible when it has been established that the bidder has the technical capability, financial capacity, sufficient staff, a satisfactory record of past performance, and is otherwise qualified and eligible. For contracts greater than $25,000, you

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must also verify that the contractor has not been suspended or debarred from participation in federal awards prior to entering into the contract.

4. Cost Price Analysis
All procurements and/or contracts funded by federal grant awards must have a cost or price analysis performed and maintained on file. The cost/price analysis is written documentation demonstrating the reasonableness of the proposed price of the contract or procured item.

Specifically:
• Price analysis is the process of examining and evaluating a proposed price without evaluating its separate elements of cost to determine the price is reasonable. It is generally used for simple p rocurements for which there is adequate catalog pricing and market competition.
• Cost analysis is the review and evaluation of separate elements of cost and profit or fee in a contractor’s proposal. A cost analysis is required when a bidder is required to submit the elements of his estimated cost, e.g. on consulting contracts for professional services.

A cost analysis is necessary whenever competition is lacking, and for non- competitive bid procurements, contract modifications and change orders.

The method and degree of cost/price analysis is dependent on the facts surrounding the particular procurement situation. In addition to price, examples of factors that can be taken into consideration include items such as:
• The ability, capacity and skill of the bidder to perform the contract or provide the service required;
• Whether the bidder can perform the contract or provide the service promptly or within the time specified;
• The warranty, product life expectancy and/or the ability of the bidder to provide future maintenance and service of the item being procured.

C. N

ON-COMPETITIVE BID REQUESTS
A Non-Competitive Bid (NCB) transaction shall be defined as a contract for goods or services, where only a single source that can provide the services or goods is afforded the opportunity to offer a price for the specified services or goods. Contracts somet imes include goods as well as services, and this definition will also apply to those circumstances.

The project must maintain documentation for justification of N CB contracts under $5,000, including professional services and consulting contracts. The docum entation must include the information outlined in this section, support the conditions listed below, and be maintained on file at the project's offices. Prior approval is required for NCB contracts of $5,000 or over.

1. Conditions of an NCB
NCB must meet at least one of the following conditions:
• When the goods or services required are available from only one contractor/ vendor; • When an IFB or RFP produces only one qualified bidder; • Emergency in nature (the contract is necessary for immediate preservation of public health, welfare or safety);
• The contractor meets a temporary or time limited employment need; • No payment is made for services rendered; only per diem and travel is paid; • The contract is solely for the purpose of obtaining expert witnesses for criminal trials;

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• There is a maintenance agreement for equipment that is under documented warranty or where there is only one authorized or qualified representative or where there is only one distributor in the area for service;
• Proprietary software contracts;
• The contractor possesses unique features or is uniquely positioned to supply the required service; or
• To provide interim services while conducting competitive bid.

2. NCB Justification Procedure
All NCB contract for services or purchases of $5,000 or over must be justified and have prior written approval from BSCC. A justification statement must be presented in the format provided in the next section. Source documentation as to how the NCB was determined must be on file and available for audits. The checklist will not be considered source documentation. a) Justification Procedure – Contracts
Include a brief description of the program or project and the services being contracted.

This information must include the Grant Award number, contract amount , and pertinent background data.
1) Need and Price Determination
Explain the necessity to contract non-competitively and how the price for the contract was determined, including:
• Expertise of contractor;
• Management capabilities to perform the tasks required; • Contractor's responsiveness to need identified by the project; • Contractor's relevant knowledge and experience; and
• Justification of the reasonableness of the cost . The following factors will be used in determining that the costs are justified:
o Cost information that has sufficient detail to support and justify the contract; o Cost information for similar services with differences noted and explained; o Special factors affecting the cost of the contract.
2) Uniqueness of Contract
Explain the uniqueness of the contract, including:
• Patents, copyrights;
• Facilities, investments; or
• Continuation of an existing project.
3) Time Constraints
• Explain any time constraints including:
• When contractual coverage is required and why;
• Impact on project if dates are not met; and/or
• Time required for another contractor to reach the same level of competence.

Equate to dollars, if possible.

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b) Justification Procedures – Procurement
Justification must include a description of the product to be purchased, the need for the specific brand and its relationship to the project. This information must include the Grant Award number, the cost or purchase amount and pertinent background data. I t should explain the necessity of the purchase and how the price for the product was determined. c) One Bid Received or Considered Responsive
In a situation where N CB is necessary because only one bid or proposal has been received or considered responsive, the following additional information is required:
• A copy of the IFB or RFP and the bidder’s list;
• A description of the method used to solicit responses. Copies of newspaper ads and information outlining the development of the bidder’s list must be included; • A description of the follow -up activity performed to determine why other contractors did not submit a bid; and
• An explanation as to why it was not put out to bid again.

D. E

LEMENTS OF A CONTRACT OR PURCHASE ORDER/DOCUMENT
A contract or purchase order/document defines the relationship or agreement between the project and the contractor or vendor. All contracts and purchase orders/documents must be prepared in accordance with existing State policies and clearly define the responsibilities of all parties.

1. Minimum Requirements
At a minimum, a contract or purchase order/document must include the following:
• Designation of the parties to the contract or the agreement; • Term of the contract (period of performance) or agreement; • Maximum amount and basis upon which the payment is to be made under the terms of the contract or agreement;
• For procurements – clear definition of the types and quantities of the products to be delivered including delivery schedules;
• For contracts – clear and complete statement of the work or services to be performed, rendered, or provided;
• Payment schedule based upon satisfactory delivery of services and/or goods at predetermined intervals incl uding the amount or percentage of total payments to be withheld pending satisfactory completion for all terms and conditions of the contract or agreement;
• Penalty clauses (punitive measures for when the contract is not being fulfilled). • Termination for cause/convenience clause describing the manner by which the contract may be terminated, the basis for settlement, and conditions under which the contract may be terminated for default or because of circumstances beyond the control of the contractor; • A provision that allows BSCC, the Federal awarding agency, the Comptroller General of the United States, or any of their duly authorized representative, access to any books, documents, papers and records of the contractor which are directly pertinent to the program for the purpose of making audits, examinations, excerpts and transcriptions, for all contracts greater than $100,000; and
• Compliance with Equal Employment Opportunity per Executive Order 11246 as amended by Executive Order 11375 and supplemented at 41 CFR 60 (required on all CBO

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contracts, and on all governmental entity construction contracts awarded in excess of $10,000).

2. Additional Requirements for Contracts with Governmental Entities Governmental entities have additional requirements, and must include the following provisions in all contracts as noted below:
• Notice of BSCC reporting requirements;
• Notice of BSCC requirements pertaining to patent rights, copy rights and rights in data; • Compliance with the Energy Policy and Conservation Act; • Compliance with the Clean Air, Clean Water, and Environmental Protection Agency regulations (contracts in excess of $100,000);
• Access to any books, documents, papers and records of the contractor which are directly pertinent to that specific contract for the purpose of making audit, examination, excerpts, and transcriptions;
• Retention of all required records for three years after all final payments are made and all other pending matters are closed; and
• Retention of all required records for three years after Grantee makes final payments and all other pending matters are closed.

E. S

ELECTING A CONTRACTOR
Each proposal or bid should be evaluated to determine the proposal that will best meet the project’s needs. The following are some criteria that should be included in the evaluation:
• Does the bidder understand the project’s stated problems or needs? • Is the approach to the problem or need reasonable and feasible? • Does the bidder have the organizational, financial solvency, resources, and experience to perform the assignment? Has the bidder had experience in similar areas? • What are the professional qualifications of the personnel committed to the contract? • Is the bidder on the federal suspension and debarment list? • What is the total cost?
F. INDEPENDENT CONTRACTOR/CONSULTANT
Consultant services are either provided on a contractual or salary basis by individuals or organizations that are not employees of the project. Services provided by a salaried employee of an agency identified in an Operational Agreement (OA) are not considered consultant services.

Independent contractors must not be used in lieu of employees. If the contract is $5,000 or over, the project must hire the independent contractor through Competitive Bid or submit a Non - Competitive Bid (NCB) request to BSCC for prior approval. If the contract is less than $5,000, the project must maintain documentation for justification of the NCB contract.

Independent contractors are defined as individuals or organizations that meet any of the following criteria:
• Produce a specific product or service;
• Work independently without direct supervision from the project; • Work on specific projects;
• Provide services for a limited number of hours or period of time; and/or • Have no agency management or oversight responsibilities that are directed toward the financial success or direction of the agency.

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There must be a signed, written agreement between the organization and independent contractor specifying the contract period, compensation rate, duties or obligations, and any other conditions of employment.

For more guidance, see California Department of General Services, State Contracting Manual Vol. 1 (April 2015) available at http://www.dgs.ca.gov/ols/Resources/StateContractManual.aspx.

G. R ATES
The rate is to be negotiated by the Grantee in accordance with the agency’s consultant hiring policies. The rate is the total amount payable including any and all benefit.

Grantee must ensure that the per -day rate (excluding travel and per diem cost) paid to independent contractors is reasonable. An eight-hour day may include preparation, evaluation and travel time in addition to the time required for actual performance.

1. Exception to Rates
Compensation for independent contractors employed by state and local governments will be allowed when the unit of government will not provide their services without costs. In these cases, the rate of compensation is not to exceed the daily salary rate paid by the unit of government.

2. Expert Witness Fees
Prosecution or criminal defense projects, routinely using “expert witnesses” as independent contractors to conduct evaluations and provide expert testimony in the courtroom. These kinds of projects may only charge for costs above that which the county is required to cover.

The total amount budgeted for expert witness fees must not exceed ten percent (10%) of the project’s total budget.

Written justification for proposed expert witness cost must accompany a modification if not previously approved in the Grant Award. The justification must include the following:
• Qualifications, training, and experience of the expert(s), including a statement regarding recognition by the court of the individual as an expert; • Specialized certification/license [e.g., Masters in Social Work (MSW), Licensed Clinical Social Worker (LCSW), Marriage, Family and Child Counselor (MFCC), Medical Doctor (MD)];
• Rate of pay per hour, including documentation of a survey of the availability of similar consultants, the current “going rate,” the proposed rate of pay, as well as a cost breakdown if the expert is paid according to services (e.g., mileage, waiting time, court testimony); • Proposed services to be provided (e.g., analysis of forensic evidence, psychological evaluation); and
• Reason why this cost cannot be paid with county or other funds.

H. C

ONTRACT LIMITATIONS
Specific provisions for contracting with individuals, other government units, and non-government organizations are as follows:
• Organizations funded by BSCC shall comply with IRS requirements related to consultants; • Public officers or employees of a state or local government entity cannot be individual contractors if they engaged in any of the negotiations, transactions, planning, arrangements, or any part of the decision- making process relevant to the contract while employed in any capacity by any state, local agency, or department;
• Travel and per diem costs must be in conformance with project policies;

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• Preparation and travel time may not be included without adequate written justification; and • Equipment purchases and/or leases may not be included in consultant contracts.

I. C ONTRACT PROVISIONS
Consultant contracts must adhere to, but are not limited to the following:
• Applicable requirements of the terms of the program must be incorporated into all consultant contracts;
• The project must require source documentation of consultants that supports contract billings.

Time and attendance reports must support hours charged. Travel vouchers detailing the purpose, time, and destination must support travel claims. Purchase orders, invoices, etc., must support operating expense claims. These requirements do not apply to fixed fee contracts;
• Compensation, travel, and per diem rates must be specified in the consultant's contract and must comply with those of the project or be more restrictive; • Performance must be measurable. Objectives and timetables must be clearly stated. Progress reports must be required, at least quarterly, to ensure services are provided in compliance with the contract;
• Dual compensation (i.e., payment to a party more than once for the same work) must be specifically excluded; and
• Settlement of disputes between the project and the consultant is the responsibility of the project. BSCC is not responsible or obligated to or for the consultant and will not intervene in disputes between the consultant and the project.

J. D

RUG-FREE WORKPLACE CERTIFICATION REQUIREMENTS
It is the Grantee’s responsibility to ensure that all subcontractors paid by BSCC grant funds must comply with the provisions of Section 3.E . The subcontractors must notify their employees that they are prohibited from engaging in the unlawful manufacture, distribution, dispensation, possession or use of controlled substances.

8. OPERATIONAL AGREEMENTS – PUBLIC ENTITIES
Definition: An Operational Agreement (OA) is a formal agreement between an implementing agency and one or more partner agencies. It is also referred to as a Memorandum of Understanding (MOU) or Letter of Intent. A n OA or MOU is not a contract for goods and/or services because partner agencies are active participants in the implementation of the project.

A. E STABLISHING OPERATIONAL AGREEMENTS
An OA or MOU may be required by the terms of the program. Grantees should refer to the terms of the applicable RFA or RFP for instruction. Unlike the procurement process, Implementing Agencies are not required to use a competitive bid process to select partner agencies for an OA.

Implementing Agencies are expected to select partner agencies that are the best equipped to support the implementation of the project.

B. E

LEMENTS OF AN OPERATIONAL AGREEMENT
The sample OA form provided in the RFP or RFA may be used as a reference. The following elements must be included in the OA:
• Name of the Implementing Agency and the partner agency in the OA, • T itles and contact information for the primary contacts for each partner, • Time frame,

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• R oles and responsibilities of the Implementing agency and each partner agency, • Specific information concerning all fiscal transfers. The OA must include the total amount of grant funds that will be transferred to each partner agency, the process for transferring such funds, the use of such funds, and any match provided by the partner agency. Any funds included in the OA must be clearly designated in the Grant Award budget, • Specific information concerning all non- fiscal resources shared between the Implementing Agency and a partner agency. This includes shared equipment, staff time, office space, or other resources contributing to the implementation of the project, • Reporting requirements to collect information necessary from each partner agency to meet BSCC reporting requirements; and
• Dated signatures of the chief executives or designees of the Implementing Agency and each partner agency.

C. R EQUIREMENTS OF PARTNER AGENCIES
Grantees must ensure that partner agencies that receive grant funds comply with all applicable the terms of the program and this Guide on the use of grant funds.

9. PUBLICATIONS: MULTI-MEDIA MATERIALS, COPYRIGHTS AND PATENTS A. D EFINITION
The term “publications” includes brochures, posters, videotapes, DVD/CDs, or other multi-media materials. It does not include transient information published solely on a project’s web site.

B. BSCC REVIEW
Where activities supported in part or in whole with BSCC grant funds produce original publications, the Grantee must notify BSCC 60 calendar days in advance of any intended publication. This notification must be in addition to the Grant Application and subsequent award.

Upon request from BSCC, the project must submit a request for approval for the materials to be published.

In response, BSCC may request to review the publication. The project may not publish the material until BSCC provides final written approval. If BSCC approves the material, the Grantee must furnish BSCC with two (2) copies of the final product within 30 calendar days of publication.

C. I

NCOME RESULTING FROM SALE OR DISTRIBUTION
As long as BSCC maintains ownership of the publication, any income resulting from the sale or distribution of publications produced in part or in whole by BSCC grant funds is considered project income and is subject to the provisions of Section 13.

After disposition and transfer of title, no report of income generated by the publication will be necessary unless otherwise required by BSCC.

BSCC reserves the right to retain ownership and require additional reporting of generated income beyond the Grant Award period or cycle on exceptional publications as deemed necessary.

D. T

RANSFER OF PUBLICATION TITLE
After the completion of the Grant Award period or funding cycle (whichever is later), transfer of title and/or copyright may be approved by the BSCC upon certification that any profits derived from or generated by the publication will be used for criminal justice related activities, or to further the original intent of the grant project. In determining whether or not to approve transfer of title,

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the BSCC will consider programmatic and fiscal performance conditions, the potential for project income, the applicability, and cost to the field in general.

E. C REDITS AND DISCLAIMERS
Publications produced in part or in whole with grant funds may require the following credit reference:
“This publication was financially assisted by the Board of State and Community Corrections (BSCC).”
Publications produced in part or in whole with state or federal funds will require the following credit reference:
“This project/publication was supported by funding awarded by (state/federal grant fund) (grant number) through the Board of State and Community Corrections (BSCC).” BSCC may also require that the publication include the following disclaimer statement:
“The opinions, findings, and conclusions in this publication are those of the author and not necessarily those of the BSCC. The BSCC reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish, and use these materials and to authorize others to do so.” The BSCC reserves the right to require additional information in the publication. These statements must be placed in a visible location at the beginning and/or end of the published materials.

Projects producing publications should consult their assigned BSCC P rogram Analyst to coordinate the appropriate credit reference.

F. C

OPYRIGHTS AND RIGHTS IN DATA
All activities supported under the Grant Award Agreement are considered “work made for hire” as defined under Title 17 USC Section 101, and shall include, but are not limited to, publications, original computer programs, writings, sound recordings, pictorial reproductions, drawings or other geographical representations and works of any similar nature. With regard to any “work made for hire,” the BSCC owns all rights comprised in the copyright, and therefore the BSCC reserves a royalty-free, nonexclusive and irrevocable license to reproduce, publish, and use such materials, in whole or in part, and to authorize others to do so.

G. P ATENTS
If any discovery or invention arises or is developed in the course of, or as a result of, work performed, in whole or in part, with BSCC grant funds, credit of the discovery or invention must be given to the BSCC as provided in subsection E. Determination of rights to inventions or discoveries shall be made by the BSCC, or its duly authorized representative, who shall have the sole and exclusive power to determine whether or not and where a patent application should be filed, and to determine the disposition of all rights to such inventions or discoveries, including title to and license rights under any patent application or patent which may be issued.

In all cases, the BSCC shall acquire at least an irrevocable, nonexclusive, and royalty-free license to practice and have practiced anywhere without limitation, for governmental purposes, any invention made with the BSCC grant funds.

10. GRANTEE FINANCIAL INVOICES
Generally, disbursement of grant funds occurs on a reimbursement basis for actual program costs incurred during a reporting period. Depending on the requirements of the grant program, invoices are submitted on a quarterly or monthly basis. Some state funded grants al low advance payments.

Grantees should check their Grant Agreement for invoicing requirements.

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A. EXECUTION OF GRANT AGREEMENT
Grantees may invoice only after the Grant Agreement (contract) is fully executed. A fully executed contract meets the following conditions:
• The face page (Form Std. 213) has been signed by both the Grantee and the BSCC. • All required attachments and appendices (per the RFP) are signed, approved, and on file at the BSCC.

When a fully executed contract is in place, Grantees may begin submitting invoices (BSCC Form 201) for actual costs incurred during the grant cycle. Costs incurred prior to the start date of the grant cycle (as listed on the face page of the contract) cannot be charged against the grant.

B. GUIDELINES AND REQUIREMENTS OF THE INVOICE PROCESS

1. Disbursement of Funds
Disbursement of grant funds may occur only after:
• The Grant Agreement has been fully executed;
• The grant cycle has begun;
• The State Budget has been enacted and includes spending appropriation for the grant program (applies to state and federal grants); and
• The BSCC has received the appropriate form (Financial Invoice (BSCC Form 201 or Advance Payment Invoice (BSCC Form 201A) ) requesting reimbursement or disbursement of funds.

Any variance from this procedure will be described in the grant agreement.

2. Grantee Certification of Invoice
• Invoices must be submitted by the Project’s Authorized Financial Officer (AFO). The AFO must certify that each invoice submitted to the BSCC is accurate and reflects actual expenditures incurred by the project.
• The person preparing the invoice and the person certifying the invoice cannot be the same person. Since the AFO must certify the invoice, someone other than the AFO must prepare the invoice.
• Failure to submit an accurate financial invoice in a timely manner may result in payments being withheld, delayed, or denied.
• For Grantees that received an advance payment, failure to submit an accurate financial invoice in a timely manner may result in the grantee being transitioned to a reimbursement model of payment. It may also result in payments being withheld, delayed, or denied.

3. Address for Receiving Payment
• All warrants will be mailed to the designated payment mailing address indicated on the Payee Data Record (Std. 204), Applicant Information Form of the RFP and under Project Officials in the Grant Agreement.
• If the designated payment mailing address changes, notify the BSCC immediately. The BSCC must have an approved address change on file before warrants will be mailed to the new address.

4. General Requirements for the Financial Invoice (BSCC Form 201) • Grantees must submit a Financial Invoice by the due date listed in the Grant Agreement for each reporting period of the grant cycle, regardless of whether funds are used or requested.

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• The Grantee must expend or be obligated to expend funds before claiming an expenditure on the Financial Invoice.
• Grantees may only claim expenditures or encumbrances on a financial invoice that were incurred between the start date of the grant cycle and the end date of the current reporting period.
• Grantee understands any overpayment of funds will be deducted from current or future invoices. If overpayment exists at the end of the grant, grantee shall reimburse the BSCC. • BSCC Form 201 will not allow over expending in any line item. If funds need to be moved from one-line item to another, the grantee must submit a modification request (See Section 14, Amendments, Changes, and Modifications) and the request must be approved by the BSCC.
• Double billing - projects are prohibited from billing other federal, state, or local agencies for goods and/or services that have been billed and/or reimbursed to the p roject by the BSCC
• Grant funds shall not replace (supplant) any federal, state and/or local funds that have been appropriated for the same purpose.

• Any other requirements will be included in the Grant Agreement.

5. Use of Funds, Encumbrances, and Liquidation
a) Authorized Use of Grant Funds
Grant funds (and contributed match) may only be used for the purpose(s) authorized in the Grant Award and must be accounted for as specified in the Grant Agreement and in this Guide.

The grantee is responsible for ensuring that invoices submitted to the BSCC claim actual expenditures and eligible project costs.
b) Definition of an Encumbrance
In general, an encumbrance occurs when funds are set aside to pay for an expense. It is an accounting transaction, which should be recorded appropriately. The funds are committed to a specific use and are no longer available for other expenditures.

Since the goods or services have not been received, the p roject legally owes nothing to the vendor or supplier.

An encumbrance is defined by the following three characteristics:
• The expenditure is approved in the original budget or subsequent approved modification of the original budget;
• A formal written order or request (i.e., requisition) is approved by the Project Director or designated official prior to the end of the grant cycle; and • A purchase order/contract has been submitted to the vendor or supplier of goods or services.
c) Liquidation Period
The BSCC has a liquidation period (generally 90-calendar days) immediately following the end of the grant cycle. This liquidation period exists to allow the BSCC time to reconcile grantee expenditures and encumbrances. The Grantee may not incur or claim any new expenses or obligations after the end date of the grant cycle or during the liquidation period. All services and deliverables must occur before the end date of the grant project cycle as listed in the Grant Agreement.

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d) Final Financial Invoice
The BSCC will use the final Financial Invoice during the liquidation period to reconcile all expenditures. All final expenditures must be claimed and submitted to the BSCC by the last invoice due date listed in the Grant Agreement. In order for expenditures to be claimed on the final invoice, these expenditures must have: (1) met the definition of an expenditure or encumbrance and (2) been financed by an encumbrance recorded prior to the end of the grant cycle (recorded = formal entry in accounting records).

C. A DVANCE PAYMENT GRANTS
The BSCC may provide advance payment of grant funds under certain programs . If advance payment is allowed, the BSCC will disburse funds based on a prescribed schedule as defined in the RFP and Grant Agreement.

1. Accounting and Interest
a) The grantee shall agree to deposit advanced grant funds into a banking account established by the grantee. Grant funds must be clearly differentiated from any other funds within the banking account and tracking of the grant funds, separate and apart from any other funds in the account, must be readily available.
b) Any interest earned on the account must be reported on the Financial Invoice. c) Earned interest is project income. It may only be used for allowable expenses during the grant period. Prior to spending project income, grantees must complete an Income Allocation Modification before expending any earned interest.

2. Invoicing Requirements
a) Grantees receiving advance payments are required to follow all the requirements and guidelines listed above in B. Guidelines and Requirements of the Invoice Process plus any additional requirements listed in the Grant Agreement. b) Grantees must submit an invoice for each reporting period by the due dates prescribed in the Grant Agreement, whether or not funds were expended. c) Any unspent funds at the end of the grant period must be returned to the BSCC within 120 days.

D. L

OCATING, DOWNLOADING, AND SUBMITTING THE FINANCIAL INVOICE

1. Where to Find the Financial Invoice (BSCC Form 201)
The Financial Invoice form is part of the Invoice Workbook, an Excel workbook used to track all elements of the grantee budget throughout the grant cycle, including advance payments, invoices, budget modifications, project income allocation, and changes to line-item narratives.

Within the Invoice Workbook there is a Financial Invoice (BSCC Form 201) worksheet for each invoice reporting period as listed in Exhibit B of the Grant Agreement.

2. Where to Find the Invoice Workbook
Grantees can locate the Invoice Workbook for their grant on the BSCC website by clicking Grantee Invoicing under Quick Links on the Corrections Planning and Grant Programs (CPGP) Division page: http://www.bscc.ca.gov/s_cppgrantinvoicing/. Grant programs are listed alphabetically. Links to the Invoice Workbooks are located under each grant program heading.

3. Downloading and Saving the Invoice Workbook
The Invoice Workbooks are password protected. The password for the invoice will be provided to you by BSCC staff, as applicable.

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Upon approval of each invoice the BSCC analyst assigned to your grant program will update and upload the current Invoice Workbook to the Grantee Invoicing page before the next reporting period. Prior to submitting an invoice, grantees should ensure they have downloaded the workbook with the most current budget information. If the most current invoice workbook has not been uploaded contact the BSCC analyst assigned to your grant program.

Important note: do not work in the invoice workbook in a web browser. Always download and save the invoice workbook to a local computer before making any changes. Detailed instructions for downloading are located on the instruction tab of the invoice workbook.

4. Submitting the Financial Invoice
Detailed instructions for completing and submitting the financial invoice (BSCC Form 201) are located on the INSTRUCTIONS worksheet in the invoice workbook. Note: It is helpful to print the instruction page for reference before working in the invoice.

The Financial Invoice is set up for automated submission. a) Enabling Macros
There are functions within the invoice workbook that require the use of macros. A macro is a series of commands and/or functions, such as calculations, that are embedded within the Excel file. In most cases, Excel will prompt the user to enable macros. When this prompt appears, click "enable.”
Note: enabling macros for the invoice workbook will not compromise the security of the local system or the security of the agency's network. If the prompt to enable macros does not appear, contact your IT department to assist.
b) Microsof t Outlook
The invoice submittal process relies on the configur ation of Microsoft Outlook on a local computer. If Microsoft Outlook is not available on the computer on which you are working, contact the assigned CPGP Program Analyst for technical assistance.

If you need further assistance with the invoice process, including technical assistance, contact the CPGP Program Analyst assigned to your grant program.

11. ACCOUNTING SYSTEMS
A. A CCOUNTING SYSTEM AND STRUCTURE

1. Accounting Policies and Procedures
Grantees must establish and maintain documented accounting policies and procedures. At a minimum, documented policies and procedures should speak to the organization’s ability to provide adequate safeguards of grant funds. Overall, the accounting system should conform to Generally Accepted Accounting Principles (GAAP) as required in Title 2 of the Code of Federal Regulations, Grants and Agreements.

2. Accounting Systems
Grantees are required to establish and maintain an accounting system that , at a minimum, includes a general ledger accounting structure, secondary accounting records, and procedures that define how and by whom the funds are handled. The accounting records must identify the receipt and the expenditure of all BSCC grant and/or match funds.

Grantees are required to maintain an accounting system that meets the following conditions:
• Fully records the amount and disposition of all project grant award funds,

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• Shows receipt of funds and costs/expenditures by source (e.g., federal, state, or local), • Match funds and related costs/expenditures are identified in accounting records (i.e., general ledger) and reported on the Financial Invoice (BSCC Form 201), • Ensures all BSCC income and expenditures are separately identifiable from non- BSCC grant funds,
• Provides accurate and current financial reporting information, • Maintains an accurate accounting of all grant funds; and • Ensures a documented accounting methodology if grant funds are commingled (blended) in a single account. This methodology must distinguish/track each funding stream within the commingled account. Grantees may elect to open separate bank accounts to track grant funds; however, it is not required.

Grantees are responsible for maintaining source documentation (electronic and/or hard copy) and current accounting records that support all grant and/or match expenditures invoiced and paid to the grant program.

Financial institutions used for the deposit of grant funds must be insured by the Federal Deposit Insurance Corporation (FDIC).

B. ACCOUNTING SYSTEM BASIS
Accounting systems for BSCC grants may be on a cash, accrual, or modified accrual basis.

NOTE: Financial Invoice (BSCC Form 201) payment requests should be made only on a cash basis.

1. Cash Basis
Under a cash basis system, revenue is not recognized when it is earned, but rather only when the payment is received. Similarly, costs are recognized when they are paid, not when they are incurred.

2. Accrual Basis
Accrual basis revenue is recognized when the transaction occurs, regardless of when cash is collected or paid. Costs/expenditures are recognized and matched with the revenue of the period to which it relates, regardless of when it is paid.

3. Modified Accrual Basis
Modified accrual basis is a compromise between the cash and accrual systems used by most governmental units. Revenues are recognized either when they are received in cash (e.g., licenses or fines) or when collection of the amounts can be reasonably estimated to be received in the near future (e.g., property taxes). Costs are generally recognized in the period in which goods and services are received or a liability is incurred.

C. S

EPARATION OF DUTIES
The principle of separation of duties is based on shared responsibilities of a key process that disperses the critical functions of that process to more than one person or department. Adequate separation of duties helps reduce risk of theft or mismanagement of grant funds.

Adequate internal control provides that no one person may perform more than one of the following types of duties:
• Receiving and depositing cash receipts,
• Authorizing cash disbursements,
• Preparing checks,

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• Attaching electronic signatures or operate a check-signing machine*, • Comparing machine -signed checks with authorizations and supporting documents (or signing checks manually after personally comparing them with authorizations and supporting documents*,
• Preparing or initiating invoices; or
• Reconciling bank statements and positing to the general ledger.

If the size of the organization does not allow for separation of duties, Grantees must establish other procedures to mitigate that weakness.
*This individual should not have access to, or the control of, blank checks.

D. G

ENERAL LEDGER ACCOUNT STRUCTURE
Costs/expenditures of grant funds must be recorded in categories which parallel the Grant Award.

All general ledger account entries must be supported by the secondary records and original source documentation. The format of the secondary records is determined by the Grantee.

Grantees must be able to show with documentation (i.e., work sheet) that general ledger entries can be traced (reconciled) to the Financial Invoice (BSCC Form 201).

12. MATCH / LEVERAGE REQUIREMENTS
Matching is cost sharing. Specifically, it means the portion of a grant project’s costs not covered by the awarded grant or same funding source. There are many types of match requirements, which vary across different agencies and grant awards. The required match is specified in the terms of the grant’s RFP and Grant Agreement. Grantees are responsible for reading and understanding the specific, applicable match requirement. Match can also be referenced as leveraged funds.

A. C

ASH MATCH
Cash match, also known as hard match, is income from a source other than grant funds that is budgeted for the project by the Grantee. When used to augment the project, cash expenditures for items such as personnel, facilities, and supplies may be considered cash match, if not in violation of the prohibition on supplanting. Grantees must maintain documentation to support the claimed cash match.

B. I N-KIND MATCH
In-kind match, also known as soft match, is the project’s contribution of non- cash outlay of materials or resources to support a percentage of the BSCC’s Grant Award activities. It may include non- cash outlay contributed by other public agencies and institutions, private organizations, and individuals. Examples include donated office supplies, equipment, professional services, and volunteer time. In general, the value of in- kind contributions is determined by fair market value. Grantees must maintain documentation to support the claimed in-kind match.

When the terms of the grant’s RFP and Grant Agreement allow for the use of volunteer services as in-kind contributions, additional measures should be followed to document the value of such services. Grantees should document actual time worked by using a time reporting system such as sign- in and sign- out sheets which are completed by the volunteer and contain the signed approval by the supervisor.

Another method is to use the volunteer staff schedule. Volunteer staff initial and indicate the days/hours worked and the supervisor signs and dates the schedules to indicate approval.

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Grantees must maintain documentation to support the claimed hourly salary rate of the volunteer services. The rate claimed should be comparable to the rates for paid employees performing similar duties. Published rates will not be allowed unless Grantees can provide evidence that the rates are comparable.

The documentation should include duty statements for the volunteer positions and the comparable paid employee positions and information regarding the hourly salary rates paid to those particular employees. The hourly volunteer rates used, multiplied by the volunteer hours worked must total the dollar amount of the in- kind contributions. This calculation and the other referenced documentation should be maintained as part of the accounting records.

C. M

ATCH DOCUMENTATION
The BSCC requires Grantees to adequately document that their projec ts have provided and properly valued their matching contributions the same way Grantees must document their use of grant funds.

D. M

ATCH CATEGORIES (ALLOWABLE / NON-ALLOWABLE)

1. Asset Forfeitures
Assets from federal or state forfeiture proceedings are an allowable match if permitted by the terms of the grant’s RFP and Grant Agreement.

2. Matching State/Federal Funds with State/Federal Funds State and/or federal funds can be used to match other state and/or federal funds only if all of the following conditions have been met:
• The project obtains written approval from BSCC, or the terms of the program allow this practice;
• The federal funding source does not prohibit this practice as stated in 2 CFR § 200.306 ; and
• The funds are to be used for grant activities and be necessary for the project’s overall outcomes.

E. OVER MATCH
Unless otherwise specified, Grantees should not commit to a match percentage greater than the match percentage required in the RFP. After a Grantee’s proposed budget is approved, it becomes part of the Grant Agreement and as such is subject to all programmatic requirements, restrictions, and audit requirements. After the Grant Agreement is executed, the committed match percentage cannot be reduced.

F. TERMINATION OF THE GRANT AGREEMENT
If the Grantee fails to meet the match requirement or the amount committed by the Grantee for the grant, BSCC may withhold grant funds and/or terminate the Grant Award. Please see BSCC Grant Administration Guide – Section 19. Withholding or Disallowance of Grant Funds.

G. CALCULATING THE MATCH REQUIREMENT
The Match Requirement is calculated by two methods. The amount may be based either on the total project cost or on the percent of grant funds allocated to the project. The terms of the program or its authorizing legislation will specify which method will be us ed. If this is not the case, the match must be calculated using the total project cost method.

1. Match Based on Total Project Cost
To calculate the match requirement, subtract the required match percent from 100 percent (100%), divide the Grant Award amount by this difference to determine the total project cost,

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and then subtract the Grant Award amount (the BSCC allocation) to determine the match amount. The following example below demonstrates how to calculate the amount of a ten percent match (10%) on a $50,000 allocation, based on Total Project Cost.

Example 1
Grant Award Amount = $50,000
Divide $50,000 by .9 (100 minus 10 = 90) = $55,555 (Total Project Cost) Subtract Grant Award Amount = $50,000 (90%)
Required Match = $5,555 (10%)

2. Match Based on Percent of Funds Allocated
To calculate the match requirement, multiply the Grant Award amount (the BSCC allocation) by the required match percent. The example below demonstrates how to calculate the amount of a ten percent (10%) match on a $50,000 allocation, based on percent of funds allocated.

Example 2
Grant Award Amount = $50,000
Percent of Cash Match = 10%
Multiply $50,000 by .10 = $5,000 (Amount of match)
H. CHANGING THE TYPE OF MATCH
If the terms of the grant program allow for different types of match to be used, Grantees are allowed to change the type of match or leveraged funds included in the Grant Agreement once the grant budget has been approved. However, a Grantee must request the change by submitting the following forms to the BSCC:
• A completed Modification Request (BSCC Form 223.1) indicating any applicable changes in the budget categories and a written narrative describing the changes to the type of match and justification for the changes. Revised RFP budget pages may also be required.

Note: Match amounts must be separately identified on the budget pages.

I. REPORTING
Reporting of expenditure of match contributions need not be made in exact proportion to the expenditure of grant funds. However, the full match contribution must be committed on Grantee invoices before the grant expires or is terminated in order to receive all funds expended.

Cash and in- kind amounts must be reported on the Grantee Invoice (BSCC Form 201), as the contributions to the project occur. The percentage of match contributions reported may vary from the budgeted match percentage. If the Grantee does not contribute the required or committed match by the end of the grant, the BSCC will invoice or withhold the Grantee for grant funds paid prior to the Grantee not meeting their match obligation.

Match Funds and related contributions reported on the Grantee Invoice must be identified in the accounting records (e.g., general ledger).

Example 3 below demonstrates how the Grantee would be invoiced, or payment withheld, on the Grantee’s final invoice if the Grantee did not contribute the required match by the end of the grant.

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Example 3
Budgeted Grant Funds $500,000 Actual Grant Expenditures at end of Grant Cycle $425,000
Match Requirement x 10% Match Requirement x 10%
Required Match based on
Budgeted Grant Funds $50,000 Required Match based on
Actual Expenditures $42,500
Actual Match Reported
at end of Grant Cycle $38,000
Maximum Grant Funds Allowable
based on Actual Match Reported
($38,000 / 10% required match)
$380,000
Amount to be Withheld or Returned to BSCC =
Actual Grant Expenditures minus Maximum Grant Funds Allowable or $425,000 - $380,000
$45,000
J. R EPORTING MATCH CONTRIBUTIONS FOR ADVANCED PAYMENT GRANTS For grants that use the advanced payment option as outlined in the RFP, all Grantee obligations, including match, should be met prior to the release of any subsequent advance payments.

13. PROJECT AND OTHER INCOME
Project Income Generated by the Use of State and/or Federal Funds: Any income you make from your award is considered project income. You can use project income to advance your program objectives or refund the income back to BSCC. Project income must be reported on the Financial Invoice (BSCC Form 201) in the box titled Project Income.

Types of project income may include the following:
• Client fees;
• Interest earned on advance payment of grant funds;
• Interest earned on generated income;
• Registration fees;
• Sale of publications, videos, and other project-generated materials; and • Asset seizures and forfeitures.

However, donations should not be considered project income . G rant funds cannot be used for organized fundraising.

Project income cannot be used to satisfy the match requirement unless specifically allowed in the terms of the program.

A. R

ECORDS OF RECEIPT AND DISPOSITION OF PROJECT INCOME
Records of receipt and disposition of project income must be maintained in the same manner as required for grant funds. When project income is reported on the Financial Invoice (BSCC Form 201), the grantee must then provide an explanation on the Modification Request (BSCC Form 223.1 located within the Invoice Workbook). The grantee will indicate how the income was earned and propose how it will be reallocated. If the proposal later changes, a separate modification request must be submitted. Unless additional restrictions on the disposition of project income are contained in the terms of the program, project income must be:

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• Used by the project for a purpose that furthers the objectives of the project for which the grant was made, such as expanding the project, continuing the project, and obtaining equipment or other assets needed for the project; or
• Returned to BSCC.

B. I

NCOME EARNED BUT NOT USED DURING THE PROJECT
Unless otherwise stipulated in the award, any project income earned during the performance period but not used for the project must be refunded to the BSCC. The proportion that is refunded pertains to the ratio of federal/state funds participation as funded in the project. For example, if seventy-five percent (75%) of the grant is federal/state funds and the other twenty -five percent (25%) is from the Grantee, then seventy-five percent (75%) of the project income left at the end of the grant cycle must be refunded to BSCC and the Grantee retains the other twenty-five percent (25%). The BSCC will refund the project income to the appropriate state/federal agencies.

C. I NTEREST INCOME
Interest income is defined as income earned on advances of grant funds. Interest income must be reported at the end of the funding year. The form and a check for the amount of interest income to be refunded should be attached to the final Invoice (BSCC Form 201). This does not apply to state agencies, including state institutions of higher education, state hospitals, or if otherwise specified in the terms of the program.

D. O THER INCOME
In rare cases, a Grantee may receive a refund due to an over -estimate of the employer’s contribution to the Public Employees Retirement System (PERS), and the contribution has been charged to a grant as an employee benefit cost. If the overpayment refund is received within the grant’s funding cycle (even if the Grant Award period has ended), the Grantee may claim the refund as project income.

E. R

EQUESTING APPROVAL
Prior approval from BSCC is required for the use of project income. Grantees must submit in writing how the income was earned and how the project income will be used as directed in section A above. The program income must be used for the purposes and under the conditions of the RFP, Grant Agreement, or terms listed in the federal or state award.

14. A MENDMENTS, CHANGES, AND MODIFICATIONS
A. A MENDING THE GRANT AWARD

1. Definition of an Amendment
Amendments are changes to the Grant Agreement. Amendments are required in order to:
• Change the approved grant cycle, usually by extending the end date of the grant agreement;
• Change the Grant Award amount (increase or decrease); • Change the Grantee name;
The BSCC may require an amendment for a change not listed above. All amendments to Grant Agreements must be approved by the BSCC in writing.

2. Amending a Grant Agreement – General Requirements
A Grant Agreement Amendment (Form Std. 213A) and all applicable attachments must be completed by the BSCC, approved by both parties, and fully executed by obtaining original

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signatures from the person designated by the Grantee’s governing board and the authorized representative of the BSCC.

All amendments must be fully executed before the expiration of the grant agreement or end of the grant cycle.

If the written authorization from the governing board for the original Grant Agreement does not authorize amendments to the grant award, a new written authorization from the governing board must be obtained and made available for review upon request.

3. No-Cost Extensions
Grantees are required to complete their grant projects within the grant term listed in the Grant Agreement. If deemed necessary, no-cost extensions may be offered at the discretion of the BSCC.

A no-cost extension extends the grant cycle beyond the original project end date. As the phrase “no cost” suggests, no additional funding will be provided . The BSCC must obtain approval from its Board at a noticed board meeting before offering no- cost extensions to grantees, and all of the following conditions must apply:
• There is a programmatic need to continue the project, • There are sufficient funds remaining to cover the extended effort, and • The funding source (e.g., state budget appropriation, federal budget appropriation, and/or terms and conditions of federal grants) allows for the continued expenditure of funds.

No-cost extensions require the execution of a formal Grant Agreement Amendment (Form Std. 213A). The BSCC may also require additional documentation.

4. Amendments to Increase or Decrease the Grant Award
Increases (augmentations) or decreases to the dollar amount of an award are initiated and approved by the BSCC.

Before initiating an increase to the award amount, the BSCC will consider:
• Availability of funds; and
• Programmatic and/or State need.

Before initiating a decrease to the award amount, the BSCC will consider:
• Failure to comply with grant requirements;
• Failure to meet program objectives and/or service goals; and • Availability of funds.

Grantees will be notified by the BSCC in writing if the BSCC deems it necessary to change the grant award amount for any reason.

All increases and decreases to grant award amounts require the execution of a formal Grant Agreement Amendment (Form Std. 213A), which is initiated by the BSCC but must be signed by the Grantee. In addition:
• Grantees must submit a Budget Modification Request (BSCC Form 223.1). • Grantees must submit revised budget narrative pages.
• The BSCC may require additional documentation.

B. O THER CHANGES / MODIFICATIONS TO THE GRANT PROJECT

1. Non-Substantive Changes

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These are minor changes to a grant project, that do not affect the scope or objectives of a project and do not require amending the grant agreement. They may include but are not limited to:
• Modifications to the grant budget (Form 223.1 required) • Change in key personnel
• Change in project activities, that do not affect stated goals or objectives • Changes in operational agreements
• Changes to either physical or mailing address
Grantees must obtain approval from the BSCC before making any changes to their grant project. If you have questions, contact the Field Representative assigned to your grant.

2. Substantive Program Modifications
Substantive program modifications that affect the project scope , objectives , or specific program components are generally not allowed.

Substantive program modifications:
• Are not permissible for statutorily required program objectives; • Must be discussed, prior to submission, with your designated BSCC Field Representative. • Require a detailed narrative to explain why the change is necessary and what the outcome will be if the modification is not approved.
• Must be submitted to the BSCC by the Project Director. • Must show that the need to modify arose out of circumstances beyond the project's control, including but not limited to:
o Delays caused by acts of legislative or judicial bodies; o A strike which affects the performance of the project; or o Natural disasters affecting project performance.
• Must be approved by the BSCC in writing prior to the implementation of changes.

C. MODIFICATIONS TO THE GRANT BUDGET
A modification to the grant budget is any change to the approved budget that:
• Modifies nar rative details within a budget line- item or category but does not change any budgeted dollar amounts.
• Modifies line-item dollar amounts by moving funds from one line- item or budget category to another but does not change the total grant award.
• Allocates earned project income to support approved, existing project activities.

With the exception of a project income allocation request, budget modifications that would cause the project to exceed the amount of the grant award identified in the Grant Agreement a re not allowed.

1. Prior Approval
All Modification Requests require prior approval from the designated BSCC Field Representative.

If prior approval is not obtained, the grant reimbursement may be reduced by the amount of the unauthorized expenditure(s). Unauthorized expenditures may also result in audit issues.

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2. Modification Request Procedures
Modification requests must be submitted on a Modification Request (BSCC Form 223.1) and approved before related expenditures are reported (or ordered, contracted for, et c.) on a Financial Invoice (BSCC Form 201). Revised budget narratives may be required for approval.

3. Where to find the Modification Request (BSCC Form 223.1) The Modification Request (BSCC Form 223.1) is located within the Invoice Workbook.

Grantees can locate the Invoice Workbook for their grant on the BSCC website by clicking Grantee Invoicing under Quick Links on the Corrections Planning and Grant Programs (CPGP) Division page: http://www.bscc.ca.gov/s_cppgrantinvoicing/ . Grant programs are listed alphabetically. Links to the Invoice Workbooks are located under each grant program heading.

4. Submitting the Modification Request (BSCC Form 223.1) Detailed instructions for completing and submitting the Modification Request (BSCC Form 223.1) are located on the Instructions worksheet within the Grantee Invoice Workbook. Note:

It is helpful to print the instruction page for reference before completing the Modification Request.

The Modification Request is set up for automated submission. a) Enabling Macros
There are functions with the invoice workbook that require the use of macros. A macro is a series of commands and/or functions, such as calculations, that are embedded within the excel file. In most cases, Excel will prompt the user to enable macros. When this prompt appears, click "enable.”
Note: enabling macros for the inv oice workbook will not compromise the security of the local system or the security of the agency's network. If the prompt to enable macros does not appear, contact your IT department to assist.
b) Microsoft Outlook
The submittal process relies on the configuration of Microsoft Outlook on a local computer.

If Microsoft Outlook is not available on the computer on which you are working, contact the assigned CPGP Program Analyst for technical assistance.

If you need further assistance with the modification process, including technical assistance, contact the BSCC Analyst assigned to your grant program.

15. GRANTEE PROJECT REPORTING
The BSCC is committed to measuring the results of grant programs by requiring the use of evaluation mechanisms, evaluation plans, progress reports, and final program evaluations.

Due dates and specific requirements for these reporting requirements may vary by grant program and funding source. Requirements are detailed in each grant RFP/RFA and in the grant contract.

Grantee acknowledges awareness of and the responsibility to complying with reporting requirements by signing the grant award agreement.

A. G UIDING PRINCIPLES - IMPLEMENTING EVIDENCE-BASED PRACTICES (EBP)

1. EBP Basic Principles
EBP emphasizes measurable outcomes and ensures that services and resources are actually effective. EBP consists of three basic principles:
• Evidence that the intervention is likely to work, i.e., produce a desired benefit;

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• Evidence that the intervention is being carried out as intended; and • Evidence that allows an evaluation of whether the intervention worked.

2. Embedding EBP into BSCC Grant Projects
Evidence-based practices with an emphasis on data -driven decision making are to be embedded in all BSCC grant projects whenever possible.

The principles of EBP call for an evaluation of all program activities in order to measure impact, i.e. outcomes. In addition, it is the responsibility of the BSCC to:
• Verify that grant money is well spent; and
• Use grant results to add to the body of knowledge regarding what works.

More information regarding EBP can be found on the BSCC website, www.bscc.ca.gov.

B. L OCAL EVALUATION PLAN
The purpose of the Local Evaluation Plan, or outline of the final project evaluation, is to ensure programs funded by the BSCC can be evaluated. Refer to the appropriate RFP/RFA for program specific requirements. At a minimum, local evaluation plans shall:
• Clearly state project goals and objectives;
• Describe project components, program activities, and evidence-based practices that will used; • Provide information regarding process and outcome evaluations; • Describe outcome variables that will be measured; and • D escribe the evaluation design or model that will be used to evaluate the effectiveness of the project component(s).

C. Q UARTERLY PROGRESS REPORTS
Quarterly progress reports serve a vital function in the success of the grant program. They are necessary to:
• Document the project’s progress toward meeting goals and objectives in accordance with the terms of the program;
• P rovide a mechanism by which the Grantee can identify issues and need for technical assistance: and
• Pr ovide the BSCC with updates on the process evaluation, as stated in the local evaluation plan.

Progress reporting periods and due dates are specified in the Exhibit A: Scope of Work of the program’s grant contract. Failure to submit a report on time may result in the withholding or disallowance of grant payments, the reduction or termination of grant funds, and/or the denial of future grant funding.

Grantees must have the ability to collect the specified program activity data (e.g. number of participants, events, etc.) and report it to the BSCC on quarterly progress reports during the term of the grant performance period.

The report form and instructions are available to grantees on the BSCC’s website.

D. L

OCAL EVALUATION REPORT
The purpose of the Local Evaluation Report is to determine whether the overall program (including each project component) was effective. Final reports vary by grant program, but at a minimum will:

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• Include an Executive Summary
• Restate project goals and objectives
• A ssess and document the effectiveness of the activities that were implemented within each individual project component, and as identified in the Local Evaluation Plan. • D escribe the evaluation design or model, as laid out in the local evaluation plan, including process and outcome variables;
• Provide in-depth discussions of the final outcomes of the program (for each individual project component), and include a determination of the degree of effectiveness and/or ineffectiveness; and
• Provide a conclusion.

E. S OURCE DOCUMENTATION
Funded projects are required to participate in data collection and submit all required reports.

Grantees must keep accurate records as source documentation to support the information reported in the Progress Report.

Project records must be retained by the project for at least three years from the end of the grant award period. During programmatic monitoring and site visits, the BSCC will review these records for accuracy and compare that data to the progress reports submitted by the project.

Projects are to retain source documentation for progress reports on a quarterly basis, regardless of submission requirements. The progress reports provide project staff and BSCC with a formal process to document ongoing grant activities and project progress toward the achievement of stated program goals. All progress reports are reviewed by Program Specialists and retained in the project’s award file at BSCC.

Review of Records: Acceptance of a grant obligates the project to allow employees and/or authorized representatives of the BSCC unrestricted access to inspect, copy, and audit all pertinent books, documents, papers, and records, including redacted confidential records.

16. AUDIT REQUIREMENTS AND AUDIT REPORTS
A. G ENERAL
Audits are conducted to determine the fiscal integrity of financial transactions and reports, as well as compliance with laws, regulations, and administrative requirements.

All BSCC grantees, federal and state funded, are subject to the audit requirements set forth in their grant agreement and are subject to conditions of fiscal, program, and general administration to which grantees expressly agree upon accepting a grant award and signing a grant agreement.

Grantees that expend $750,000 or more in federal awards in a fiscal year must have a single or program specific audit. The Office of Management and Budget (OMB) Guidance for Grants & Agreements - 2 CFR §200.500 provides guidance on federal audit requirements, process and determining federal funds expended. A link is provided at the end of this section.

1. Are You Subject to a Federal Audit?
Yes, if during a state fiscal year:
1) A grantee expends $750,000 or more in federal awards - cumulative from all federal- funded sources - the grantee must have a single audit conducted for that year. 2) A grantee expends $750,000 or more in federal awards under only one federal program (excludes Research and Development) and the federal statutes, regulations, terms and

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conditions do not require a financial statement audit, the grantee may elect to have a program-specific audit. (See OMB 2 CFR Part 200 §200.507 Program Specific Audits.) No, if during a state fiscal year:
3) A grantee expends less than $750,000 in federal awards - cumulative from all federal- funded sources - the grantee is exempt from the federal audit requirements for that year. 4) Your BSCC grant agreement is funded exclusively through state funds – no Federal funds.

2. Are You Subject to a State Audit?
Refer to your Grant Agreement. You are subject to an audit for your state-funded grant award only when it is specifically set forth in the Grant Agreement.

3. Are You Subject to a BSCC Audit?
Yes, all BSCC grantees are subject to a BSCC audit as stated in the Grant Agreement. The BSCC will let you know if it requires that you submit a BSCC Audit.

4. Audits and Access to Records
The grantee agrees that the BSCC, the U.S. Federal Government, the California State Auditor, the California Department of Finance – Office of State Audits & Evaluations, the California State Controller’s Office, or their designated representative(s) shall have the right to review and to copy any records and supporting documentation pertaining to the performance of the grant agreement. Grantee agrees to maintain and provide access to such records for purposes of examination and audit for a period of three (3) years from the end of the grant agreement, unless a longer period of record retention is stipulated. Grantee agrees to allow the auditor(s) access to such records during normal business hours and to allow interviews of any employees and subcontractors who might reasonably have information related to such records.

B. A

DDITIONAL INFORMATION FOR FEDERAL AUDIT REQUIREMENTS

1. Audit Periods and Grant Cycles
The audit period is the period of time examined in the single or program specific audit. For most BSCC grants, the audit period is the state fiscal year, July 1 through June 30. For a multi-year grant, an audit is required for each grant year or performance period.

The grant cycle may differ from the audit period. For example, a grant may run in a calendar year while the single audit cycle runs on a fiscal year. The table below illustrates all audit reports and due dates for a two-year grant that runs calendar year.

Grant Cycle January 1, 2020 through December 31, 2022
Date Range Applicable Single Audit Reports (SAR) Due to SCO Due to BSCC 1/1/20 - 6/30/20 SAR 1 Year Ended June 30, 2020 3/31/21 4/30/21 7/1/20 - 6/30/21 SAR 2 Year Ended June 30, 2021 3/31/22 4/30/22 7/1/21 - 6/30/22 SAR 3 Year Ended June 30, 2022 3/31/23 4/30/23 7/1/22 - 12/31/22 SAR 4 Year Ended June 30, 2023 3/31/24 4/30/24

2. Audit Costs
The costs of audits required by, and performed in accordance with, the Single Audit Act are allowable. If the costs are not already included in a grantee’s indirect cost rate, then the cost should be prorated and charged to the grant as an administrative cost based on the ratio of all of the grantee’s federal grants that are being audited for that same SAR.

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Unless otherwise set forth in the grant agreement, grantees who are exempt from federal audit threshold requirement may not charge audit costs to the grant.

3. Submission of the Federal Audit Report
Local government grantees: Independent auditors prepare and file Single Audit reports on behalf of local governments to the California State Controller’s Office (SCO) according to the State Administrative Manual (SAM) Section – 20070.

Got to https://www.sco.ca.gov/aud_single_audits.html for more information on submission requirements to SCO.

Non-governmental and Community Based Organization grantees: Grantees who meet the Single Audit threshold are required to submit Single Audit Reporting package online to the Federal Audit Clearinghouse (FAC). To review the FAC submission requirements please visit:
https://harvester.census.gov/facweb/.

Due to BSCC: Generally, grantees must provide electronic copies of audit reports to the BSCC within 30 days of the grantee’s receipt of the audit report or by the due date listed in the grant agreement.

Failure to submit an audit: A grantee that willfully fails to submit an audit as required may be deemed ineligible for future BSCC grant funds pending compliance with the audit requirements of the grant in question.

4. Grantee Responsibility for Subcontractors’ Audit Requirements When grantees make subawards to subcontractors:
1) the grantee is responsible for making sure that subcontractors comply with all audit requirements per 2 CFR §200.331(f).
2) If the subcontractor’s agreement does not require an audit, or meet the Federal threshold, the grantee is still responsible for monitoring the subcontractor’s activities to provide reasonable assurance that the subcontractor administers the Federal awards in compliance with the Federal conditions.

5. BSCC Audit Review - Findings and Resolution
1) When an audit is required, BSCC staff reviews the audit report only for findings pertaining directly to the federal grant programs that the BSCC administers. 2) If there are no findings related to BSCC funded programs noted in the audit report, the official grant file is noted as compliant with the audit submission requirements for that year. 3) If findings are identified, the designated BSCC Field Representative will follow up with the grantee to determine an appropriate action plan to resolve any issues. 4) Upon resolution, the official grant file is noted as compliant with the audit submission requirements for that year.

6. State Controller’s Office Audit Findings and Resolution The State Controller’s Office (SCO):
• Follows up on general findings such as those relating to internal controls. • Reviews and monitors the audit reports issued by external independent auditors and determines whether or not the audit reports conform to Government Auditing Standards. • Distributes copies of audit report and corrective action plan to state entities affected by audit findings.

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• Coordinates with the BSCC, when needed, to determine what follow up action is needed to close out any audit findings.

Go to https://www.sco.ca.gov/aud_audit_finding_follow_up.html f or more information on SCO’s audit follow up process.

7. The Single Audit / Program Specific Audit Process
The audit process encompasses:
• The examination of a grantee’s financial records and statements; • Federal award transactions and expenditures;
• The general management of the grantee’s operations;
• The systems of internal control; and
• The financial assistance agreement received during the audit period.

An audit-reporting package includes:
• Financial statements
• A schedule of expenditure of federal funds,
• Auditor reports,
• A schedule of findings and questioned costs, and
• A corrective action plan, if applicable.

8. Scope of Audit
The Single Audit is divided into two areas: compliance and financial. The compliance component of the Single Audit covers the study and understanding (planning stage) as well as the testing and evaluation (examination stage) of the grantee with respect to Federal award usage, operations, and compliance with laws and regulations. In the financial component of the audit, the auditor must determine whether the financial statements of the auditee are presented fairly in all material respects and in accordance with generally accepted accounting principles. See Section 2 CFR §200.514.

All audits performed shall be made by an independent auditor (i.e., qualified state or local government auditors or an independent public accountant licensed by the State of California).

When obtaining audit services, the objective is to obtain high-quality audits as defined in Section 2 CFR §200.509.

9. Audit Standards
The independent auditor must conduct the audit in accordance with the requirements in 2 CFR Part 200, Subpart F, the Generally Accepted Auditing Standards (GAGAS), and in 2 CRF §200.Appendix XI-Compliance Supplement.

10. Audit Objectives
The audit objective is to review the grantee’s accountability of funds and required non-Federal contributions to determine whether the grantee has done all of the following:
• Established an accounting system with adequate internal controls that provide full accountability for revenues, expenditures, assets, and liabilities; • Prepared financial statements which are presented fairly and in accordance with generally accepted accounting principles (GAAP);

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• Submitted financial reports (Federal Financial 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; and, • Expended Federal funds in accordance with the terms of grant agreements and those provisions of Federal law or regulations that could have a material effect on the financial statements or on the awards tested.

11. Audit Resources
Office of Management and Budget (OMB) Uniform Guidance Title 2, Code of Federal Regulations, Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, Subpart F – Audit Requirements is available at http://www.ecfr.gov

Department of Justice - December 2017 Financial Grant Guide Section 3.19 Audit Requirements is available at: https://ojp.gov/financialguide/doj/index.htm Governmental Auditing Standards Board (GASB) Codification of Governmental Accounting and Financial Reporting Standards is available at: https://www.gasb.org.

Generally Accepted Government Auditing Standards (GAGAS) – Yellow Book that provides a framework for conducting high quality audits. It is used by auditors of governmental entities and entities that receive government awards. The Yellow Book is available at:
https://www.gao.gov/yellowbook
.

Standards for Internal Controls in the Federal Government also known as the Green Book sets standards for an effective internal control system for federal agencies. The Green Book is available at: https://www.gao.gov/greenbook
.

State Administrative Manual (SAM) - Department of Finance, Sections 20000- 20090 Auditing of State Agencies. The full manual is available at: http://sam.dgs.ca.gov/.

State Controller’s Office – Single Audits – Local Agencies. This website contains information pertaining to single audit submissions and guidelines for audits of local government agencies and is available at: https://www.sco.ca.gov/aud_single_audits.html

State Controller’s Office – Information on 2015 Internal Control Guidelines – California Local Agencies. This guide is to assist local agencies to develop internal control guidelines to safeguard assets and prevent and detect financial errors and fraud. This guide is available at: https://www.sco.ca.gov/pubs_guides.html
.

State Controller’s Office – Accounting Standards and Procedures for Counties (ASP) – March 2013 Edition. This manual is to ensure conformance to generally accepted accounting principles and to facilitate comparison and analysis of county financial reports on a statewide basis by minimizing differences between counties’ philosophies, methods, and terminologies.

This manual is available at: https://www.sco.ca.gov/pubs_guides.html .

American Institute of Certified Public Accountants (AICPA) - The AICPA sets ethical standards for the profession and U.S. auditing standards for private companies, nonprofit organizations, federal, state and local governments. More information is available at:
https://www.aicpa.org.

Financial Accounting Standards Board (FASB) the Financial Accounting Standards Board (FASB) is the independent, private-sector, not-for-profit organization that establishes financial accounting and reporting standards for public and private companies and not -for-profit organizations that follow Generally Accepted Accounting Principles (GAAP). More information is available at: http://fasb.org/
.

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17. GRANTEE MONITORING AND OVERSIGHT
The Board of State and Community Corrections (BSCC) Corrections Planning and Grant Programs (CPGP) Division provides a variety of oversight activities in grant administration in an effort to fulfill the administrative, fiduciary and programmatic contractual obligations and mandates of each grant funding stream, both federal and state monies. These activities include:
• Comprehensive Monitoring Visit (CMV)
• Initial Monitoring Visit
• Technical Assistance Monitoring Visit
• Compliance Improvement Plan (CIP) Follow-up Monitoring Visit • Closeout Monitoring Visit
• Special Event - Monitoring
A. C OMPREHENSIVE MONITORING VISIT
Purpose
A Comprehensive Monitoring Visit (CMV) is an on- site assessment of the administrative, fiscal, and programmatic components of a BSCC -funded project. The resulting Comprehensive Monitoring Visit Report (CMVR) provides a detailed review of the project and identifies, in limited scope, areas in which the project is and is not in compliance with the terms of the program, laws, and regulations. Each grant project will receive a CMV at least once during the applicable grant cycle.

1. Comprehensive Monitoring Visit Procedures
BSCC staff will contact the Project Director to set a mutually agreeable date for the CMV. A letter and/or email to the Project Director and Financial Officer will follow to confirm the CMV of the grant and time period to be monitored, and to document the agreed upon date of the monitoring visit. The individual(s) responsible for preparing the Invoice (BSCC Form 201), the progress report, and the oversight of grant -related activity should be available during the monitoring visit to answer questions.

The CMVR template and general monitoring expectations will be provided to the Grantee prior to the monitoring visit to assist the Grantee prepare.

The BSCC will review findings with the Grantee during the course of the monitoring, as well as at the end of the visit during an exit interview.

Exceptions to these standard procedures may occur on a case- by-case basis per assigned lead BSCC Field Representative.

2. Comprehensive Monitoring Visit Requirements and Access to Records Projects are monitored for compliance with the applicable laws, regulations, policies and program requirements.

Acceptance of the Grant Agreement obligates the project to allow BSCC staff and/or its authorized representatives unrestricted access to all project books, documents, papers, and records, (including redacted confidential records) for inspection, copying, monitoring, and auditing. BSCC reserves the right to conduct unannounced monitoring visits.

3. Scope of Monitoring
The BSCC monitoring process complies with the intent of federal and state requirements. The process assesses programmatic, administrative, and fiscal components of the project. The review of fiscal components is not an audit and cannot be used to replace BSCC audit requirements.

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4. Comprehensive Monitoring Visit Report
The CMVR is a useful tool that helps guide the Grantee in the successful implementation and maintenance of their project. The CMVR provides a summary of the areas reviewed and identifies whether or not those areas are in compliance with applicable requirements. The BSCC will provide the CMVR to the Grantee generally 60 to 90 days after completion of the monitoring. CMVRs with significant findings will be provided to the Grantee within 30 days.

The Grantee should maintain the letter and report within the official grant file. a) No Findings Identified
If no findings are identified in the monitoring report, the monitoring process is complete. b) Significant Findings Identified
If significant findings are identified in the CMVR, the Grantee must submit a Compliance Improvement Plan (CIP) within 30 calendar days of the date of the receipt of the CMVR.

CIP instructions and submission information will be provided by BSCC staff. Extensions may be granted by BSCC staff on a case-by-case basis.
c) Compliance Improvement Plan (CIP)
The Compliance Improvement Plan (CIP) is viewed by the BSCC as a constructive, strengthening process for Grantees. Generally, monitoring findings do not affect the Grantee’s funding if a CIP is implemented.

The Grantee is responsible for developing a CIP to respond to the findings identified in the CMVR, including dates for implementation. Grantees may obtain the help of BSCC staff in CIP development. The plan must be implemented, and the deficiencies resolved in a reasonable timeframe from the CMVR date.

After BSCC verifies that all CIP activities have been implemented, a letter will be sent notifying the project that all required actions are completed. The Grantee should maintain the CIP letter and corresponding documentation on file within the official grant file.

5. Corrective Action Process
In a rare circumstance when a problem cannot be resolved thru a CIP process, the matter may be elevated to the BSCC’s Executive Director for further disposition or Board review.

6. Disputed Findings
If the Grantee does not agree with any finding in the CMVR or believes a CIP is not required, then the CIP response provided by the Grantee shall include an explanation and specifi c reasons to support the Grantee’s position that the findings are in error. BSCC staff will work with the Grantee to resolve the dispute.

7. Sanctions
If the project does not complete the required activities in the CIP, BSCC may take action as appropriate including, but not limited to:
• Withhold or reduce the amount of any payments requested by the project on an invoice (BSCC Form 201);
• Reduce the amount of the current Grant Agreement; or
• Terminate the current Grant Agreement, after providing 14 calendar days written notice to the project (unless BSCC determines that good cause exists to waive the 14-calendar day notice).

B. C

OMPLIANCE IMPROVEMENT PLAN FOLLOW-UP MONITORING VISIT
Purpose

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The purpose of the Compliance Improvement Plan (CIP) Follow-up Monitoring Visit is to provide additional technical assistance and to verify implementation of the Plan. Typically, issues will be resolved via the CIP; however, the Program Lead may conduct an on-site visit, as needed.

As indicated above, after BSCC verifies that all CIP activities have been implemented, a letter will be sent notifying the project that all required actions are completed. The Grantee should maintain the letter within the official grant file.

C. INITIAL MONITORING VISIT
Purpose
The purpose of the Initial Monitoring Visit is to build relationships with the project staff, stakeholders/partners, and provide high-level evaluation of the project’s infrastructure to include support areas such as
• Financial;
• Data;
• Referrals;
• Subcontracting; and
• Hiring.

Newly funded grant projects may receive an initial site visit prior to receiving a CMV, as determined by the BSCC staff and informed by the GPAT.

D. TECHNICAL ASSISTANCE MONITORING VISIT
Purpose
• A Technical Assistance Monitoring Visit is to make an on -site assessment of current project conditions, follow up on previous issues, respond to a Grantee request for a visit, and/or in response to complaints lodged. Technical Assistance Monitoring Visit activities may include, but not limited to, the following: Prov ide information that will assist the project in meeting program goals;
• Review project objectives to determine if they are achievable; • Review project activities to determine if they will reasonably result in achievement of the objectives;
• Review the project’s source documentation and data collection process; • Review the project's Invoice (BSCC Form 201), to determine whether any adjustments are needed;
• Discuss the monitoring visit processes with project staff so they know what to expect during future visits;
• Review the progress reports to determine if they are complete and accurate; and • Review terms of the program with the Grantee.

E. CLOSEOUT MONITORING VISIT (AS NEEDED)
Purpose
The purpose of an optional Closeout Monitoring Visit is to review outcome s and project achievements, conduct exit interviews, and assess sustainability. Often Closeout activities are performed via correspondence or telephone. In all cases, a Closeout Letter will be sent to the projects once all requirements have been met and subsequent to all payments to Grantees.

F. SPECIAL EVENT – MONITORING
Purpose

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This “Monitoring” may include site visits at the request from the Grantee for special functions.

These visits may include:
• Participant graduations;
• Award ceremonies;
• Press Conferences; or
G. DESK REVIEWS – FISCAL OVERSIGHT
The desk review is an assessment of the fiscal components of a grant project funded through a BSCC RFA or RFP process. Fiscal desk reviews are completed by CPGP Program Analysts.

Upon completion of a fiscal desk review the Grantee will be provided with an email or letter informing them of the outcome. In the event a fiscal desk review identifies a concern the Field Representative and Manager will be informed and will provide direction for resolution. The record of each outcome will be filed in the grant project file.

1. Desk Review Frequency
Each grant project will receive multiple fiscal desk reviews during the grant cycle. At a minimum, two desk reviews per year will occur in the first 24- months of the grant cyc le. A minimum of one desk review per year will occur in subsequent years as applicable. A fiscal desk review may be completed at any time at the request of a Field Representative or Management.

2. Components of a Fiscal Desk Review
a) Notification
Grantees will be notified by CPGP Program Analyst when they have been selected to receive a fiscal desk review. The notification will include forms and instructions regarding the documentation the Grantee must submit to substantiate the amounts claimed on a specified invoice, e.g., worksheets, invoices, receipts, and other related documents. b) Analysis
Submitted documentation will be analyzed by program and fiscal staff to assess compliance with grant program requirements and other applicable standards. c) Findings
• No concerns identified: a draft response is prepared by the CPGP Program Analyst and reviewed and approved by a Manager.
• Concerns identified: the CPGP Program Analyst informs the Field Representative and Manager. The Field Representative and Manager develop an initial response and direction for resolution.
d) Response
• No concerns identified: Grantee will receive the approved response and the grant file will be updated.
• Concerns identified: the CPGP Program Analyst will provide the Grantee with the initial response, and the CPGP Program Analyst and Manager will continue to track for resolution.

3. Fiscal Desk Review Findings
When concerns are identified the BSCC will work with the Grantee to reach resolution. The Grantee is responsible for resolving the issue but BSCC is available for technical assistance as needed. Generally, review findings do not affect the Grantee’s funding if corrective action is implemented as agreed. However, failure to respond to the BSCC’s request for resolution

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may result in disallowed cost, withholding of grant funds, or denial of subsequent g rant awards.

4. Questioned or Disallowed Costs Identified in a Fiscal Desk Review When costs are questioned or recommended for disallowance, and the Grantee cannot support the costs claimed through original source documents and general ledger entries, BSCC will provide an opportunity for the Grantee to substantiate the expenditure.

In cases where the expenditure cannot be substant iated, the BSCC will invoice for the disallowances and the Grantee will be required to return the funds. While the matter is under review, the BSCC may place a hold on grant funds.

5. Invoice for Repayment
The Grantee will be invoiced for costs disallowed by BSCC. The Grantee must pay the invoiced amount within 30 calendar days from the invoice date. If full payment of disallowed costs causes an undue hardship to the project, the Grantee may submit a written request to the BSCC to pay under a specified payment schedule. The term of the payment schedule shall not exceed a 12-month period, unless otherwise authorized by the BSCC.

6. Sanctions for Nonpayment
If the Grantee does not comply or is delinquent in complying with the payment requirements imposed by BSCC, a hold may be placed on any funds due to the project and/or full amount of disallowed costs owed will be due and payable. BSCC may take additional action, as appropriate, including, but not limited to, denying future grants and reducing the amount of any payments requested by the project on an invoice.

18. RECORDS
Grantees are required to maintain accurate, complete, orderly, and separate records for each BSCC- funded grant. All grant records and documents must be adequately protected from fire, theft , cyber- crime, or other possible damage or loss. When grant documentation is stored away from the Grantee’s principal office, an index of the records’ location(s) must be maintained, and accessibility ensured during the grant period and mandatory retention period (see subsection 1A below).

A. A UDITS/MONITORING
All Grantee books, documents, papers, and records relating to the Grant must be accessible to the BSCC or its designees, the State Controller’s Office, the Department of General Services, the Department of Financ e, and California State Auditor. If Grantees receive federal funds, this requirement also extends to the federal awarding agency and the OJP Office of the Chief Financial Officer, OJP Office of the General Counsel, or the U.S. Department of Justice Office of the Inspector General (or authorized representatives), for inspection and audit.

B. R ETENTION AND REVIEW REQUIREMENT
All grant records must be retained for a minimum of three years after closeout of the BSCC state or federal grant program. Check your Grant Agreement or contact your Program Analyst for your closeout end date. If the Grantee’s source documentation records are retained in an e -system, those records must be retrievable during the entire grant cycle and during the three years following closeout. If an audit, investigation, review, litigation, or any other action occurs during the Grantee’s record retention period, the Grantee shall retain the records until the resolution of such process, or until the end of the record retention period, whichever is longer.

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C. DOCUMENTATION REQUIREMENTS

1. Fiscal
The retention requirement extends to books of original entry, source documents, supporting accounting transactions, the general ledger, subsidiary ledgers, personnel and payroll records, canceled checks, and related documents and records.

2. Bank Statements and Reconciliation
Each month the cash balance shown in the accounting records (e.g., general ledger and/or cash disbursements register) should be reconciled with the cash balance shown on the bank statement.

3. General Ledger Account Entries
All general ledger account entries for revenues and expenditures must be supported by subsidiary records, the original source documentation, canceled checks, and bank statements. If the bank does not return canceled checks, a check stub, or an electronic copy of the front and back of the cancelled check must be retained. Source documentation includes invoices, bills, and vouchers. The format of secondary records is determined by the Grantee.

Grantees must be able to trace the general ledger entries to the Invoice (BSCC Form 201) .

Grantees can use worksheets to document how costs/ expenditures are taken from the general ledger and recorded on the Invoice (BSCC Form 201).

4. Duplicate Deposit Receipts
The Grantee must maintain copies of the deposit receipts. The receipts must show the source of the receipt (e.g., BSCC, county, city, United Way, donations) and filed with the applicable bank statement.

5. Canceled Checks
Canceled checks are checks written by t he Grantee for the grant program that have been processed by a bank. Each month canceled checks must be reconciled with the bank statements. If a bank does not return canceled checks, an electronic copy, or the check stub must be used.

6. Vouchers
Vouchers include the following:
• Purchase orders,
• Receiving reports which show the items which are received from the vendor, and • Vendor invoices. When invoices are paid, they must be marked as PAID with the check number to prevent the likelihood of paying the same invoice twice.

7. Programmatic
The records retention requirement extends to supporting documentation, statistical records , and all other records pertinent to Grant Awards or contracts under grant -funded projects.

Grantees must retain source documents that substantiate information on required BSCC reports that include:
• Progress Reports,
• Modifications to the Grant Budget (BSCC Form 223.1),
• Evaluation Data Reports; and
• Any other records the BSCC directs the Grantee to maintain.

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D. PAYROLL RECORDS

1. Functional Time Sheets
All grant-funded personnel who are directly charged to the grant (or listed as match) either in whole or in part must maintain timecards/sheets that: 1) indicate the actual time worked and their function on each BSCC project (on a daily basis); and 2) account for all the time worked by the employee during the pay period. Timecards/sheets must be signed by the employ ee, signed/approved by their supervisor , and should be customized to capture the various activities performed by the employee/organization. Contact your Program Specialist for examples that may be used to assist in the development of an appropriate time reporting tool.

2. Personnel Payroll Files
Personnel payroll files should include the following:
• W-2, W-4,
• Personnel action forms (i.e., approved pay rates by the governing board or appropriate personnel agency, promotions, terminations, etc.),
• Cumulative earnings record,
• Leave records,
• Employee authorized deduction forms (i.e., health insurance); and • Paid invoices submitted by employees for reimbursement of benefit expenses.

3. Personnel Files
Personnel files should include the following:
• Application forms,
• Resumes,
• Job descriptions,
• Performance evaluations; and
• Appointment documents which include approved salary rates, benefits, and other terms of employment. Salary rates, increases and benefits must be approved by the governing board or applicable personnel agency.

E. EQUIPMENT
Equipment must be:
• Located on the project’s premises or identified in a locator file that specifically identifies the location of the equipment or the name of the assigned individual, • Recorded on an inventory list, identifying items purchased with BSCC funds, • Used in accordance with the Grant Award; and
• Grantees must retain contract records for the purchase of Grant funded equipment.

F. O

RGANIZATION POLICIES AND PROCEDURES
The organization should have written policies and procedures covering conflict of interest/code of conduct and fraud, along with personnel policies that cover hiring, termination, benefits, salary rates, leave, and travel. There should also be written procedures regarding the accounting and reporting functions, including, but not limited to the following:
• Cash receipts and revenue,
• Deposits,
• Cash disbursements,

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• Payroll,
• General Ledger; and
• Equipment.

In addition, any other policies, and procedures (e.g., purchasing contracts) that relate to operating the grant program must be in writing.

G. C OMMUNICATIONS
Grantees must maintain a current telephone number and internet access with an e-mail address, as well as a current postal address and physical location within the State of California.

19. WITHHOLDING OR DISALLOWANCE OF GRANT FUNDS
A. W ITHHOLDING OR DISALLOWANCE OF GRANT FUNDS
The BSCC may withhold grant funds and/or disallow expenditures if the Grantee fails to comply with the terms or conditions of the Grant Agreement or this Grant Guide. This may include the following:
• Failure to submit the required progress reports in a timely manner; • Failure to submit the final reports from previous BSCC grants in a timely manner; • Failure to resolve interim or final audit exceptions on past or current grants in a timely manner; • Inadequate maintenance of accounting records;
• Failure to submit proof of bond coverage in a timely manner; • Failure to cooperate with or admit BSCC staff or other federal or state representatives to review program and/or fiscal records;
• Failure to repay or rectify costs that have been identified as ineligible for grant funding; • Failure to adhere to the payment terms in the Grant Agreement; • Failure to provide the required match or leveraged share of the actual total project costs; • Failure to meet prescribed assurances, commitments, recording, accounting, auditing, and reporting requirements of the Grant Agreement;
• Substantial alteration of the scope of the grant project without prior written approval of the BSCC; or
• Refusal or inability to complete the grant project in a manner consistent with the terms, conditions, and program requirements outlined in the RFP (or Request for Application (RFA)), Application for Funding, Grant Agreement and all Exhibits, Attachments, Appendices , and approved modifications.

B. R

EDUCTION OR TERMINATION OF GRANT FUNDS
The BSCC may reduce or terminate grant funds as set forth in the terms and conditions of the Grant Agreement or for any reason that may include the following:
• If the Grantee fails to comply with any term or condition of the Grant Agreement; or, • If during the term of the Grant Agreement, the state and/or federal funds appropriated for the purposes of the Grant Award are reduced or eliminated by the California Legislature or by the United States Government, or, in the event revenues are not collected at the level appropriated, the BSCC may immediately terminate or reduce the Grant Agreement.

Should the BSCC deem it necessary to reduce or terminate grant funds, the B SCC shall notify the Grantee in writing. No such termination or reduction shall apply to allowable costs already

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incurred by the Grantee to the extent that state or federal funds are available for payment of such costs.

C. D ENIAL OF FUTURE FUNDING
The BSCC reserves the right to consider the denial of future funding to any project and its officers based on its failure to comply with any term or condition of a current or previous Grant Award, poor past performance in a previous Grant Award, or failure to cooperate with state or federal auditors/monitors.

A denial of an application for funding or for future funding shall not become final until the applicant has been afforded reasonable notice and an opportunity for a timely and fair hearing. Hearings for denial shall be conducted by an impartial hearing officer whose decision shall be final.

20. CLOSEOUT
The closeout of a grant is the process by which a grant or agency determines that all applicable administrative actions and all required grant activities have been completed by the Grantee. BSCC staff will notify Grantees a minimum of 30 days before the end of the grant cycle to initiate the closeout process. When all administrative and fiscal requirements have been met, Grantees will receive a Final Notice of Project Closeout.

A. L OCAL EVALUATION REPORT
The Local Evaluation Report encompasses the entire grant cycle. Final payment on the grant may be withheld until the report has been submitted. This report is due to the BSCC on the due date specified in the Grant Agreement. Information about the final report can be found in Section

15. B. F INAL PROGRESS REPORT
Progress reporting periods and due dates are specified in the Exhibit A: Scope of Work of the grant contract. Failure to submit the final report may result in the w ithholding or disallowance of grant payments, the reduction or termination of grant funds, and/or the denial of future grant funding.

C. F

INAL REQUEST FOR REIMBURSEMENT
All expenses must have been encumbered prior to the Grant Award end date. The only “unpai d obligation” that may be listed is the audit expense. Unless otherwise noted in the grant agreement, the Grantee must submit the Final Invoice (BSCC Form 201) no later than 60 calendar days after the end of the grant cycle. If the Grantee does not submit a final invoice, the BSCC may consider the last invoice submitted as the final invoice and close out the Grant Award. Once BSCC has processed the final invoice, the grant will be closed, and no further payment can be made against the grant.

D. R

EPORTING REQUIRED MATCH
If your grant award has a required match, it must be reported on the invoice (Form BSCC 201) as the expenditures occur and before the grant ends. If the Grantee does not expend the total required match by the end of the grant cycle , or if it is not fully reported by the final invoice, the BSCC will invoice the Grantee for funds allocated that did not meet their match.

E. R ETENTION OF RECORDS
All records relating to the grant shall be retained in accordance with Section 18.

F. A UDITS CLOSEOUT
Audits must be completed and submitted in accordance with Section 16.

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ORT Grant Purchase Guide Daly City Police Department 1

ORT GRANT PURCHASE GUIDE

1. Please send all documents or requests to purchase equipment/items to our DCPD ORT grant email address.
a. [email protected]

2. In the email, please include the following:
a. Procurement Documents (Quotes/Contracts)
i. Please include the method you used to procure the item (RFP, 3 Quotes, Sole Source, etc)
ii. Please include the justification for selecting the vendor you chose.
iii. Please include copies of the quote(s) related to how you made the selection of the vendor if it was required to be competitive based off your city’s procurement policy. b. Signed BSCC Grant Purchase Declaration (Example on Page 2) i. The suggested declaration covers the BSCC
requirement for purchases over $3,500 related to the grant.

You can create your own wording if you’d like, it just needs to meet the BSCC’s requirements stated in the grant guide. ii. Please create declaration on your department
letterhead and send us a signed copy for our records to be forwarded to BSCC.
c. Verify the vendor isn’t debarred – please include proof in the email (Example on Page 3)
i. Please verify that the vendor you selected is listed on https://sam.gov/search/. You may need to create an
account to see specific vendor information.

1. If the vendor is listed, please print the registration page out for the vendor or take a screenshot of the
vendor that includes the date and time in the photo
(example attached).
ii. If you can’t locate a vendor in Sam.gov, you can ask the vendor if they’re registered there… some companies are.

1. If not, please have them sign a non-debarment
letter. Attachment #4 is a sample debarment
certification letter.

3. After submitting the above documents/items to us via email, DCPD will send it to the BSCC for approval.

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ORT Grant Purchase Guide Daly City Police Department 2

ORT GRANT PURCHASE GUIDE
a. Once we receive the response, we’ll notify you of the results.

For contracts related to the grant, please ensure that the required BSCC contract language is included.

2 - B: Signed BSCC Grant Purchase Declaration Example:

Exact text from BSCC Grant Guide (page 24 & 25)(Attachment #3) * Any of these items with an acquisition cost of $3,500 or more require prior approval by the BSCC. The Grantee must submit a written declaration that the items to be purchased are: 1) to be used for services directly associated with the project; 2) essential to the success of the project; and 3) less expensive than leasing or renting the equipment for the grant cycle (based on an investigation of lease and rental options).

Below is an example of a declaration we created to meet the requirements listed above from the grant guide. Please ensure your declaration statement is signed and on department letterhead.

Example Declaration Letter:

XXX will be used for services directly associated with the BSCC Organized Retail Theft Grant project.

XXX is essential to the success of our BSCC Organized Retail Theft Grant project.

Purchasing XXX is less expensive than leasing or renting the equipment for the grant cycle/Leasing or renting the equipment isn’t an option.

OR
Leasing XXX is less expensive than purchasing the equipment.

SIGN

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ORT Grant Purchase Guide Daly City Police Department 3

ORT GRANT PURCHASE GUIDE
2 - C: SAM.GOV Non-Debarment Proof (Example)

Please ensure that the date and time is visible in the screenshot.

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Certification Regarding
Debarment, Suspension, and Other Responsibility Matters

This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 13 CFR Part 145. The regulations were published as Part VII of the May 26, 1988 Federal Register (pages 19160-19211).

(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS ON REVERSE)

(1) The prospective primary participant certifies to the best of its knowledge and belief that it and its principals:

(a) Are not presently debarred, suspended, proposed for disbarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal, State, or local entity, department, or agency;

(b) Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public ( Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;

(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and

(d) Have not within a three-year period preceding this application had one or more public transactions (Federal, State, or local) termina ted for cause or default.

(2) Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective primary participant shall attach an explanation to this proposal.

Business Name

Date By
Name and Title of Authorized Representative

Signature of Authorized Representative

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- 2 -

INSTRUCTIONS FOR CERTIFICATION

1. By signing and submitting this proposal, the prospective primary participant is providing the certification set out below.

2. The inability of a person to provide the certification required below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such person from participation in this transaction.

3. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later determined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default.

4. The prospective primary participant shall provide immediate written notice to the department or agency to which this proposal is submitted if at any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

5. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction, " "participant," "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of the rules implementing Executive Order 12549. You may contact the department or agency to which this proposal is submitted for assistance in obtaining a copy of those regulations (13 CFR Part 145).

6. The prospective primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction.

7. The prospective primary participant further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Covered Transactions," provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.

8. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the ineligibility of its principals. Each participant may, but is not required to, check the Nonprocurement List.

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

10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default.

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Contract Amendment Page 1 of 2
Rev 7/21
AMENDMENT NO. 1 TO THE AGREEMENT
BETWEEN THE CITY OF SAN MATEO AND FLOCK GROUP INC.

FOR CONTRACT FLOCK SAFETY PLATFORM PRODUCTS
(Original Amount $501,350; New Amount Not to Exceed $640,300)

WHEREAS, the City of San Mateo (“City”), a municipal corporation of the State of California, and Flock Group, Inc.(“CONTRACTOR”), entered into an Agreement for Flock Safety Platform products and services (“Agreement”) on August 25, 2023; and

WHEREAS, City and CONTRACTOR wish to amend the Agreement effective March 4, 2024 to purchase fifteen (15) additional automated license plate reader devices for a three-year term; and update the City of San Mateo point of contact for the agreement.

NOW, THEREFORE, the parties agree as follows:

1. Exhibit C is added to the Agreement.

2. The “Customer Notice Address” of the Agreement is amended to read:

ADDRESS: San Mateo Police Department
200 Franklin Parkway, San Mateo CA 94403
ATTN: Lieutenant Paul Pak
EMAIL: [email protected]

3. The remaining terms of the Agreement remain in full force and effect.

[SIGNATURE PAGE FOLLOWS]

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Contract Amendment Page 2 of 2
Rev 7/21
IN WITNESS WHEREOF, CITY OF SAN MATEO and FLOCK GROUP INC. have executed this Agreement the day and year as indicated below.

CITY OF SAN MATEO

CONTRACTOR

Ed Barberini
Chief of Police

Date Mark Smith
Its Authorized Agent and General
Counsel
Date

APPROVED AS TO FORM

Bahar Abdollahi
Assistant City Attorney
Date

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ORDER FORM
This order form (“Order Form”) hereby incorporates and includes the terms of the previously executed agreement (the “Terms”) which describe and set forth the general legal terms governing the relationship (collectively, the "Agreement" ). The Terms contain, among other things, warranty disclaimers, liability limitations and use limitations.

This additional services Agreement will be effective when this Order Form is executed by both Parties (the “Effective Date”) Customer: CA - San Mateo PD Initial Term: 36 Months
Legal Entity Name: CA - San Mateo PD Renewal Term: 24 Months Accounts Payable Email: [email protected] Payment Terms: Net 30 Address: 200 Franklin Parkway San Mateo,
California 94403
Billing Frequency: 50% of Annual Contract + 100% of Implementation Invoiced at Signing. 25% of Annual Contract Invoiced at First Camera Validation. 25% of Annual Contract Invoiced at Last Camera Validation. Annual payments invoiced for remainder of Retention Period:
subscription term.
30 Days
Hardware and Software Products
Annual recurring amounts over subscription term
Flock Safety LPR Products
Flock Safety Falcon ® Included 13 Included
Flock Safety Video Products
Flock Safety Condor ™ PTZ w/ LTE Service Included 2 Included FlockOS
™

Included

1 Included
Item
Cost
Quantity
Total
Flock Safety Platform
$45,000.00
Flock Safety Flock OS
Exhibit C

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Professional Services and One Time Purchases
Professional Services - Standard Implementation Fee $650.00 1 $650.00 Professional Services - Existing Infrastructure Implementation Fee $150.00 12 $1,800.00 Condor Professional Services - Standard Implementation Fee $750.00 2 $1,500.00 Subtotal Year 1: $48,950.00 Annual Recurring Subtotal: $45,000.00 Estimated Tax: $0.00 Contract Total: $138,950.00 Taxes shown above are provided as an estimate. Actual taxes are the responsibility of the Customer. This Agreement will automatically renew for successive renewal terms of the greater of one year or the length set forth on the Order Form (each, a “Renewal Term”) unless either Party gives the other Party notice of non-renewal at least thirty (30) days prior to the end of the then-current term. Special Terms: • Flock allows BSCC, the Federal awarding agency, the Comptroller General of the United States, or any of their duly authorized representative, access to any books, documents, papers and records of the contractor which are directly pertinent to the program for the purpose of making audits, examinations, excerpts and transcriptions, for all contracts greater than $100,000. Flock agrees to be in compliance with Equal Employment Opportunity per Executive Order 11246 as amended by Executive Order 11375 and supplemented at 41 CFR 60.

Item

Cost

Quantity

Total

One Time Fees

Flock Safety

Professional Services

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Billing Schedule Billing Schedule Amount (USD) Estimated Invoice Date Year 1 & 2 At Contract Signing $48,950.00 50% of Year 1 Annual + 50% of Year 2 Annual + One Time Implementation Fees at Contract Signing At First Device Installed $22,500.00 25% of Year 1 Annual + 25% of Year 2 on 04/1/2024 At Last Device Installed $22,500.00 25% of Year 1 Annual + 25% of Year 2 on 06/1/2024 Year 3 $45,000.00 Annual Recurring on 04/1/2025 Contract Total $138,950.00 Invoice dates are estimated and subject to change based on installation timeline.

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Product and Services Descrip2on Flock Safety Platform Items Product Description Terms Flock Safety Falcon ® An infrastructure-free license plate reader camera that utilizes Vehicle Fingerprint® technology to capture vehicular attributes. The Term shall commence upon first installation and validation of Flock Hardware.

Flock Safety Condor™ Flock’s pan, tilt, zoom (PTZ) or fixed cameras which capture video footage with the option to stream live video, capture and view video recordings, and upload videos. The Term shall commence upon first installation and validation of Flock Hardware. One-Time Fees Service Description Installation on existing infrastructure One-time Professional Services engagement. Includes site & safety assessment, camera setup & testing, and shipping & handling in accordance with the Flock Safety Advanced Implementation Service Brief. Professional Services - Standard Implementation Fee One-time Professional Services engagement. Includes site and safety assessment, camera setup and testing, and shipping and handling in accordance with the Flock Safety Standard Implementation Service Brief. Professional Services - Advanced Implementation Fee One-time Professional Services engagement. Includes site & safety assessment, camera setup & testing, and shipping & handling in accordance with the Flock Safety Advanced Implementation Service Brief. FlockOS Features & Descrip2on FlockOS Features Description Community Cameras (Full Access) Access to all privately owned Flock devices within your jurisdiction that have been shared with you. Unlimited Users Unlimited users for FlockOS State Network (LP Lookup Only) Allows agencies to look up license plates on all cameras opted in to the statewide Flock network. Nationwide Network (LP Lookup Only) Allows agencies to look up license plates on all cameras opted in to the nationwide Flock network. Direct Share - Surrounding Jurisdiction (Full Access) Access to all Flock devices owned by law enforcement that have been directly shared with you. Have ability to search by vehicle fingerprint, receive hot list alerts, and view devices on the map. Time & Location Based Search Search full, partial, and temporary plates by time at particular device locations License Plate Lookup Look up specific license plate location history captured on Flock devices Vehicle Fingerprint Search Search footage using Vehicle Fingerprint™ technology. Access vehicle type, make, color, license plate state, missing / covered plates, and other unique features like bumper stickers, decals, and roof racks. Flock Insights/Analytics page Reporting tool to help administrators manage their LPR program with device performance data, user and network audits, plate read reports, hot list alert reports, event logs, and outcome reports. ESRI Based Map Interface Flock Safety’s maps are powered by ESRI, which offers the ability for 3D visualization, viewing of floor plans, and layering of external GIS data, such as City infrastructure (i.e., public facilities, transit systems, utilities), Boundary mapping (i.e., precincts, county lines, beat maps), and Interior floor plans (i.e., hospitals, corporate campuses, universities) Real-Time NCIC Alerts on Flock ALPR Cameras Alert sent when a vehicle entered into the NCIC crime database passes by a Flock camera Unlimited Custom Hot Lists Ability to add a suspect’s license plate to a custom list and get alerted when it passes by a Flock camera

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By executing this Order Form, Customer represents and warrants that it has read and agrees to all of the terms and conditions contained in the previously executed agreement. The Parties have executed this Agreement as of the dates set forth below. FLOCK GROUP, INC. Customer: CA - San Mateo PD By: \FSSignature2\ By: \FSSignature1\ Name: \FSFullname2\ Name: \FSFullname1\
Title: \FSTitle2\ Title: \FSTitle1\
Date: \FSDateSigned2\ Date: \FSDateSigned1\
PO Number:

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QUOTE
# 27638
DATE: 2/22/2024 Qty. 2 - Falcon 3100 Video Surveillance Trailers QUOTE #: 27638 (Configured with Verkada Camera and Audio Systems) QUOTE EXP: 3/25/2024
PROJECT NAME: San Mateo Police Dept
TO: San Mateo Police Dept
Anthony Riccardi
200 Franklin Parkway
San Mateo, CA 94403
650-255-2386
[email protected]

SALES PERSON PAYMENT TERMS
S.Dunker NET 30

QTY UNIT PRICE EXTENDED PRICE
2 $54,900.00 $109,800.00

QTY MODEL NUMBER
1 MPS-3100-BASE Base System Includes MP Status
1 GEN-3100-GAS Monitoring & Control Platform
1 BATT-KIT-9-100 - Door Contact, Vibration Sensor & GPS 2 PTZ-CP52-512-VERK (2) Verkada PTZ Cameras
1 FC-CF81-512-VERK (1) Verkada Fisheye Fixed Camera
2 POE-70W-24V
2 POE-35W-24V
2 POE-RACK-PLATE
1 TR-CAM-MOUNT
2 TR-CM-AXIS
3 VMS-CAMLIC-VERKADA Verkada License
1 VMS-HORNLIC-VERKADA Verkada License
1 COM-TR-CP-IBR600 Celluar Modem 4G with WIFI
1 3100-TR-AUDIO-VERK
1 3100-TR-AUDIO-MT
1 SW-16-P-1GIG
1 TM-STROBE POD KIT LED Strobe Light - Top of Mast
1 TM-LIGHT-BAR-KIT-42-R20 LED Flood Lights - Top of Mast 1 HD-WHEEL-JACK
1 3100-HIGH-PIR 402 (3) Motion Sensors - Top of Mast
1 SOLAR-900W -3100 Solar Charging
Total Less Options: $109,800.00
Estimated Sales Tax: TBD
Estimated Shipping: $4,900.00
Estimate TOTAL: $114,700.00
PROPOSAL CREATED BY:

Steve Dunker
V.P. of Business Development
Mobile Pro Systems
250 Lothenbach Ave.

West St. Paul MN 55118
Cell: 612-619-8018 Direct: 952-324-5645
eMail: [email protected]
I accept this estimate DATE
Freight Charges covers two (2) trailers shipped to San Mateo, CA.…..

NOTE: Video storage is included within the cameras themselves. There is NO Video Server located within trailer with this configuration.

System Includes a (1) One Year Limited Warranty
This QUOTE is valid for 30 days.

FALCON 3100 BASE TRAILER SYSTEM w/ 20 ft. stabilized MAST

TOP MAST LED STROBE LIGHT POD KIT
TOP MAST 2-42" LED FLOOD LIGHT KIT
CRADLEPOINT CELLULAR ROUTER IBR600 KIT
MPS 3100 GAS GENERATOR SYSTEM (recommended)
800 AH AGM BATT 3100
PTZ Camera - VERKADA CP52 512GB 30 days
FIXED Camera - VERKADA CF81-E 512GB 30 days
24VDC DUAL CHANNEL HI POE 70W
24VDC HI POE 35W

RACK PLATE WITH MOUNTING HARWARE

STOCK CAMERA MOUNT

PROJECT SCOPE
Falcon 3100 Video Surveillance Trailer

DESCRIPTION
MPS 3100 TRAILER SYSTEM

DESCRIPTION
16 PORT NETWORK SWITCH

CAMERA MOUNT W/AXIS HUB
VERKADA CAMERA License - 1 year
VERKADA HORN License - 1 year
VERKADA Audio Kit - BZ11 Horn/Speaker
Audio Kit Mounting System

HEAVY DUTY FRONT WHEEL JACK
TOP-MAST MOTION (3 PIR) OPTEX LX-402 KIT
900W SOLAR SYSTEM 3100 KIT

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CITY OF SAN MATEO
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CITY OF SAN MATEO
Agenda Report
City Hall
330 W. 20th Avenue
San Mateo CA 94403
www.cityofsanmateo.org
Agenda Number: 6 Section Name: CONSENT CALENDAR Account Number: 21-4678 File ID: 24-8467 TO: City Council
FROM: Alex Khojikian, City Manager
PREPARED BY: Public Works Department
MEETING DATE: March 18, 2024
SUBJECT:

Compost Broker Program – Amendment
RECOMMENDATION:

Approve Amendment No. 2 to the Compost Broker Program Agreement with San Mateo Resource Conservation District to increase the agreement in the amount of $90,839.54, for a new Agreement total of $164,055.80; update payment rates; amend the scope of services; extend the term to May 1, 2026; and authorize the Director of Public Works to execute the amendment in substantially the form presented.

BACKGROUND:

SB 1383 is a short-term climate pollutants reduction act requiring, in part, for all jurisdictions to procure an amount of recycled organics waste product (e.g., compost, mulch) proportional to the population and amount of organic waste generated in that jurisdiction. Per SB 1383, the City’s annual recycled organic waste product procurement target is 8,244 tons.

The San Mateo Resource Conservation District’s (SMRCD) Compost Broker Program is a collaboration between the agency, every city and town within San Mateo County, and the County of San Mateo to help jurisdictions meet the SB 1383 recycled organic waste product procurement target. Through the Compost Broker Program, the SMRCD functions as the City’s direct service provider procuring and distributing compost to farm and rangeland to assist in reaching the City’s recycled organic waste product procurement target.

Because the SMRCD Compost Broker Program provides for only approximately 13% of the City’s 2022 target, the agency also works to identify and develop additional partnership opportunities with the county’s agricultural communities to support long-term SB 1383 compliance. SMRCD will assess innovative compost procurement and application funding strategies the City might pursue to fund expansion of the program in the long term.

On June 20, 2022, City Council approved a contract with SMRCD in the amount of $73,216.26 for the first two years of the Compost Broker Program. This program has been very successful in helping the City meet its SB 1383 recycled organics procurement target.

On January 29, 2023, Amendment 1 to this agreement was executed revising the scope of work and the duties of SMRCD to allow for subcontracting with farmers, ranchers, and other entities within the County of San Mateo to purchase SB1383 compliant compost to meet the City’s state mandated recycled organics waste products procurement target. There was no change to the term or the amount of the Agreement.

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CITY OF SAN MATEO
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On February 26, 2024, CalRecycle awarded the City $90,839.54 in grant funds for procurement of recycled organics waste products as part of the second two-year cycle of SB1383 Local Assistance Grant funds. This work will be done under this Agreement.

Proposed Amendment No. 2 extends the term of the Agreement, increases the amount of the Agreement to include the new grant fund award from the CalRecycle SB 1383 Local Assistance Grant, and modifies the scope of work so that work can be done in agricultural areas that straddle the border between the counties of San Mateo, Santa Cruz, and Santa Clara.

Staff supports this change so that more compost can be procured towards the City’s annual target. Based on the above, City staff recommends for City Council to approve Amendment No. 2 to the Agreement between the City and SMRCD.

BUDGET IMPACT:

Funds provided by a CalRecycle Local Assistance Grant support the cost of these services and provide sufficient funding for this amendment. Staff applied for the grant in collaboration with all the jurisdictions in San Mateo County, led by the County of San Mateo Office of Sustainability.

ENVIRONMENTAL DETERMINATION:

Approval of Amendment No. 2 to the Compost Broker Program between the City and SMRCD is exempt from the California Environmental Quality Act (CEQA). This is because it can be seen with certainty that there is no possibility that the procurement of additional compost to help meet the City’s annual recycled organic waste product procurement target would have a significant effect on the environment. (CEQA Guidelines Section 15061(b)(3).)

NOTICE PROVIDED
All meeting noticing requirements were met.

ATTACHMENTS
Att 1 - Amendment No. 2

STAFF CONTACT
Jack Johnson, Waste Management Supervisor
[email protected]
6505227346

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AMENDMENT NO. 2 TO THE AGREEMENT BETWEEN THE CITY OF SAN MATEO and SAN MATEO RESOURCE CONSERVATION DISTRICT FOR PROFESSIONAL CONSULTANT

SERVICES FOR COMPOST PROCUREMENT PROGRAM DEVELOPMENT
($73,216.26 [Original Agreement], $0 [Amendment No. 1], $90,839.54 [Amendment No. 2]) WHEREAS, the City of San Mateo (“City”), a municipal corporation of the State of California, and San Mateo Resource Conservation District (“Consultant”), entered into an Agreement for Compost Procurement Program Development (“Agreement”) on July 26, 2022; and WHEREAS, on January 29, 2023, the City and Consultant executed Amendment No. 1 which included additional scope of services by Consultant; and WHEREAS, City and Consultant wish to amend the Agreement to increase the budget by $90,839.54, for a total Agreement amount of $164,055.80, to allow for additional scope of work, updated fees, and to extend the term of the Agreement as reflected in Exhibits A2 and B2, attached and incorporated by reference.

NOW, THEREFORE, the parties agree as follows:

1. Section 1 – Scope of Services of the Agreement is amended to read:
“The scope of services to be performed by CONSULTANT under this Agreement is as described in Exhibit A2 to this Agreement, attached and incorporated by reference.”

2. Section 4 – Term of the Agreement is amended to read:
“The services to be performed under this Agreement shall commence on July 1, 2022 and be completed on May 1, 2026.

3. Section 5 – Payment of the Agreement is amended to read:
“Payment shall be made by CITY only for services rendered and upon submission of a payment request upon completion and CITY approval of the work performed. In consideration for the full performance of the services set forth in Exhibit A2, CITY agrees to pay CONSULTANT a fee in an amount of $164,055.80, pursuant to rates stated in Exhibit B2 to this Agreement, attached and incorporated by reference.

4. The remaining terms of the Agreement remain in full force and effect.

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IN WITNESS WHEREOF, CITY OF SAN MATEO and San Mateo Resource Conservation District have executed this Amendment No. 2 on .

CITY OF SAN MATEO CONSULTANT
Matt Fabry
Public Works Director
Kellyx Nelson
Executive Director
San Mateo Resource Conservation District

APPROVED AS TO FORM
Linh P. Nguyen
Assistant City Attorney
Attachments:

Exhibit A2 – Scope of Services
Exhibit B2 - Rates

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Template Version November 16, 2016