Agenda packet — Santa Ana City Council, August 16, 2022 (part 4 of 7)

ADVANCEDESIGN – To effectively incorporate
advance innovative designs into projects, it is
imperative to select a team that has been properly
prepared. Our team approach will explore design
from all sides, meet challenges from new angles, and
help uncover perspectives that are often overlooked.

Our design process is interactive and responsive. It
engages all stakeholders relevant to the success of the project. We have assembled the right team!

At the proposal stage overall project direction is
determined, the strategy for project is specified, and
general methodology is developed. Milestones are set
with measurable timelines for checking progress on
budget and scope completion. After award, our project
manager prepares a project specific Work Plan. The
Project Work Plan adds detail to the proposal scope
of work, identifies the project team assignments and
responsibilities, the project budget and schedule,
and information regarding design criteria, inputs and
constraints for the project. The Plan also specifies
the governing design codes, guidelines and CAD
standards.

Work Breakdown Structure - Huitt-Zollars will develop
a Work Breakdown Structure (WBS) that identifies
specific tasks needed to accomplish the proposed
scope of services. We will determine the level of
effort required for each discipline to complete each
task under the WBS. This effort is used to establish
the proposed compensation for the project and helps
overcome potential budget challenges.

Detailed Project Schedule – Several characteristics
comprise our approach to developing and maintaining
a realistic schedule. This starts with participation
of the entire project team. It is imperative that the
schedule be sensitive to the demands of every
discipline and client review periods. A schedule must
account for stakeholder considerations and include
time contingencies for resolving unforeseen variables.

Our PM is assigned the responsibility of developing
and tracking the project schedule. Our WBS format
allows our PM to review budgets against associated
milestones. We require that the PM update the
Principal with project progress weekly. This results in a sense of urgency that will benefit each project.

Quality project delivery can be impacted by many
things. However, there are five areas that will demand
our focus.

We will design both projects as the City intended to
design them. This will be accomplished by listening
and clearly understanding your expectations. We will
confirm our understanding in our negotiated scope and
verify that we are on track by conducting design review meetings on a regular basis from planning through final design.
» We will meet with sub-consultants to ensure their
scope is complete.
» We will design the project in accordance with
your schedule. This begins with development
of a detailed schedule that includes critical path,
agency review times, and milestones. Progress
will be reviewed during our design meetings.
» We will design a project that is within your budget.

We will develop a project budget that includes
contingency, probable construction cost, and
consultant fees. The probable construction cost
will be prepared using current unit prices and
submitted for review.
» We strive to minimize non-client initiated
change orders during construction. Our QA/QC
procedure implements a constructability reviewer.

It helps us foresee and resolve potential issues
before the bidding phase.

Our PM will establish the framework and ensure
that we capture your expectations for quality prior to
publishing our plan.

City Council 15 – 496 8/16/2022
City of Santa On-Call Water Resources Engineering Services RFP No. 22-002 9

E PROJECT EXPERIENCE

CITYWIDE SANITARY SEWER AND DOMESTIC IMPROVEMENTS
Santa Ana, California (2012 - ONGOING)

RELEVANT DESIGN
COMPONENTS:
• PS&E
• Paving
• Domestic Water Improvements
• Sewer Improvements
• Environmental
As part of a five year On-Call Services with the City of Santa Ana Water Resource Department. Huitt-Zollars is providing Plans, Specifications and Estimates (PS&E) for several projects in the City of Santa Ana. • The Sanitary Sewer Septic to Gravity Conversion Project proposes to construct 8" sewer in a neighborhood near 17th Avenue and Tustin Avenue. Huitt-Zollars in providing CEQA documentation and PS&E for over 2500 linear feet of proposed 8" sewer, service laterals, and manholes.
• Lacy Neighborhood Water Replacement Project proposes to replace over 15,000 linear feet of water line and services. The project is part of a citywide program that proposes to replace and increase capacity of over 30,000 If of water line per year. Huitt-Zollars is preparing PS&E that include topography and temporary high water lines. • French Park Water Replacement Project proposes to replace over 15,000 linear feet of water line and services. The project is part of a citywide program that proposes to replace and increase capacity of over 30,000 If of water line per year. Huitt-Zollars is preparing PS&E that include topography and temporary high water lines.

Our MS4 Permit expertise has helped streamline the implementation of Public Works improvements to the Maximum Extent Practicable.

Notably:
• Lincoln Avenue Pavement Rehabilitation, ADA, WQMP, and Perimeter Wall: Replaced 8” sewer and 8” water on old failing system along Lincoln Avenue, including laterals to the rightof-way. This project also included updated sidewalks for ADA compliance, a water quality management plan, and geotechnical and perimeter wall services.

Due to utility constraints in the parkway, an offsite mitigation alternative was designed by treating an equivalent volume in an adjacent street.
• Industrial Streets Pavement Rehabilitation, WQMP: Replacement and rehabilitation of 12” sewer and 10” water that included v gutter on each side of the street and full pavement replacement on the street and parking areas adjacent to right-of-way. Other services include the WQMP and bioswale in parkway.

An alternative pavement rehabilitation section was evaluated to minimize WQMP requirements. Instead, an offsite mitigation alternative was proposed by treating an equivalent volume when the implementation of BMPs is feasible.
• Septic to Gravity Sewer Conversion, Environmental Compliance, and WQMP: Huitt-Zollars added 8” sewer to an old neighborhood with septic tanks. The addition of sewer allowed a conversion to gravity sewer.

Other services include 8” water replacement, street light replacement, WQMP, environmental documents, and annexation from Tustin to Santa Ana.

The project was deemed Non-Priority WQMP per the conditions set forth in the Model WQMP, as the scope does not modify the line and grade of the storm drainage conveyance.

CLIENT CONTACT:

City of Santa Ana
Armando Fernandez
Senior Civil Engineer,
Public Works I Water Resources
20 Civic Center Plaza, M-35
Santa Ana, CA 92802
714.647.3316
City Council 15 – 497 8/16/2022
City of Santa On-Call Water Resources Engineering Services RFP No. 22-002 10

LA PATA AVENUE GAP CLOSURE & CAMINO DEL RIO EXTENSION
Orange County, California (COMPLETED 2017)
Huitt-Zollars prepared PS&E and right-of-way documents
to close an existing gap in Orange County’s Master Plan of Arterial Highways between Ortega Highway and the City of San Clemente. This 3.7 mile long, $72 million project was comprised of critical elements that came together for the project's success: working within the Prima Deshecha Landfill and designing controlled access to the landfill; widening an existing section of roadway that must remain in operation to serve the landfill and adjacent high school; and pioneering a new roadway through undeveloped,
mountainous terrain with final roadway grades up to 7%.

Huitt-Zollars overcame multiple challenges associated
with the following critical elements: moving 15 million cubic yards of earth; performing landslide remediation; mitigating effects of constructing the roadway through a former landfill area and relocating more than one billion pounds (850K cubic yards) of municipal solid waste; relocating two steel lattice electrical transmission towers; actively communicating with impacted communities; and responding to numerous environmental mitigation measures that must be implemented during design and construction. Challenges were also associated with constructing deep drainage culverts, storm drainage systems and water quality basins, two cast in place bridge overcrossing and five 30-foot diameter steel multi-plate tunnel undercrossings. Installed approximately 3,000 LF of sewer and domestic water line.

The project included Installation of approximately 3,000 LF of sewer and domestic water line and construction/ extension of 22 cross culverts beneath the future roadway and a substantial roadway storm drain infrastructure comprised of more than 15,000 linear feet of reinforced concrete pipe; ranging in size from 18 to 108 inches in diameter. The roadway storm drain infrastructure segregates roadway runoff from offsite drainage areas in order to facilitate treatment of roadway impervious surfaces. To meet Orange County criteria and NPDES requirements, a total of six combined basins (to address water quality, hydromodification, and detention) were included in the project to address pollutants of concern and meet LID requirements. Flood control requirements are met by providing additional peak flow detention storage (over ten acre-feet) in these basins.

RELEVANT DESIGN
COMPONENTS:
• Sewer and Domestic Water
• Road Widening
• Gap Closure
• Retaining Walls
• Bridges and CSSP
• Design, Geometrics, PS&E
• Hydrology & Hydraulics
• Bridge Computer Programs
• Right-of-Way
• Value Engineering
• Landfill Engineering
• Pavement Rehabilitation & Overlay
• Geotechnical
• Storm Drain
• Minor Structures
• Traffic Signals
• Traffic Control/Construction Staging
• Signage & Striping
• Construction Support
• Utility Coordination & Relocation
CLIENT CONTACT:

Nardy Khan - Deputy Director
County of Orange Public Works
300 N. Flower Street
Santa Ana, CA 92702
714.920.7454
[email protected]
Project of The Year Award
Design Quality Partner Award for Projects $51 - $100 Million #2 on Roads and Bridges Magazine Top 10 Roads List
B.E.S.T. Award for a Regional Transportation Project
City Council 15 – 498 8/16/2022
City of Santa On-Call Water Resources Engineering Services RFP No. 22-002 11 CLIENT CONTACT:

City of Rialto
Marcus Fuller
335 W. Rialto Avenue
Rialto, CA 92376
909.820.2602

BASELINE ROAD STORM DRAIN PROJECT
Rialto, California (2017-Present)

RELEVANT DESIGN
COMPONENTS:
• Storm drain
improvements
• Utility relocations
• Street improvements and
design
• Environmental impact
report
• Water quality
Huitt-Zollars prepared construction documents for the Baseline Road storm drain project. The 9’x7’ box facility starts at Tamarind Avenue and drains east to outlet in Cactus Basin #3. The size of the drainage infrastructure was optimized using the 2D hydraulic component of XPSWMM.

Drainage parameters are consistent with the Cactus Basin Drainage Study (San Bernardino County Flood Control District, 2015) and the San Bernardino County Hydrology Manual.

A Composite Utility Plan was created based on record drawings gathered from wet and dry utility companies. The Plan served as a key support to identify the most efficient horizontal and vertical alignments, along with the definition of a trench detail. Coordination with DSOD was necessary to obtain an encroachment permit for penetrating through the jurisdictional dam. Penetration design details include 1:10 concrete structures and articulated joints. The Cactus Basins provided significant flood mitigation benefits to accommodate the undersized and erosion-prone Cactus Channel downstream of Baseline Road.

The project included the preparation of plan, specifications and estimates for the storm drain, street, and utility relocation plans. A construction phasing plan was also prepared to minimize impacts on local traffic and residents.

City Council 15 – 499 8/16/2022
City of Santa On-Call Water Resources Engineering Services RFP No. 22-002 12 MPD SYSTEM T-2 STORM DRAIN AND STREET IMPROVEMENTS
Fontana, California (2018 - Ongoing)

HUNTINGTON BEACH ENVIRONMENTAL ON-CALL
Huntington Beach, California (2016 - Ongoing)
Huitt-Zollars prepared construction documents for 2.5 miles of stormdrain improvements with RCP pipe sizes up to 96 inch diameter, for the masterplanned Cypress Avenue storm drain (MPD Line T-2). The facilities start at Sierra Avenue and drain west to the intersection of Cypress Avenue and Foothill Boulevard and continue southbound on Cypress Avenue to connect to the County 9’x7’ West Fontana Channel lateral near the intersection with Orange Way. A detailed Composite Utility Plan was created using base files and record drawings gathered from wet and dry utility companies. The Plan served as a key support to identify the most efficient horizontal and vertical alignments, along with the definition of a trench detail.

A feasibility evaluation for curb, sidewalk, and accessibility improvements was performed to identify design alternatives and itemize potential repairs. Street Improvements include 3,000 lineal feet of raised landscaped medians, two traffic signal modifications; widening the Foothill/Juniper intersection; 1.25 miles of ADA retrofit of all sidewalks, curb ramps, and driveway approached; and 2.25 miles of pavement rehabilitation. A construction phasing plan was also prepared to minimize impacts on local traffic and residents.

The project includes
the preparation of plan,
specification and estimates
for the storm drain, street,
and utility relocation plans.

CLIENT CONTACT:

City of Fontana
Chris Smethurst
Associate Engineer
909.350.6649
[email protected]

RELEVANT DESIGN
COMPONENTS:
• Stormdrain design
• Utility relocations
• Street Improvements
• Signal design
• ADA Design
• Traffic Control
CLIENT CONTACT:

City of Huntington Beach
Jim Merid
714.375.8445
[email protected]
Huitt-Zollars has been assisting the City with its Stormwater Implementation Program, providing a wide range of services including the preparation of:
• Retrofit study of existing City pump stations (Bartlett, Hamilton, Talbert, Atlanta) to incorporate full capture trash screens and media to capture pollutants of concern. Mapping of subsurface utilities and operational capabilities to defne a conceptual design for inclusion into the CIP program. • Construction documents for LID and Trash BMPs including the McCallen Park Water Quality Improvements to remove trash and debris from more than 2 square miles. Design challenges included shoring for a 32-foot deep pit, relocation of SCE and SCG lines, contaminated soil, as well as coordination with the Boys and Girls Club.
• BMP Feasibility Study and Master Planning including the Citywide Trash Compliance Plan based on the citywide storm drain, which resulted in the identifcation of more than 70 retroft opportunities. An emphasis on Regional BMPs, including inftration BMPs, bioftration BMPs, and large-scale hydrodynamic separators has proven to be cost effective based on long-term maintenance costs. A BMP sitting feasibility was performed to determine pollutant load reduction, fow capacity, fooding impacts, and traffc impacts during construction. BMP opportunities were validated by assessing the presence of potential easements, utility conficts, and hydraulic gradients. Preliminary engineer’s estimates of probable costs and fact sheets were created for each opportunity. City Council 15 – 500 8/16/2022 City of Santa On-Call Water Resources Engineering Services RFP No. 22-002 13

OXNARD VILLAGE WAGON WHEEL
Oxnard, California (ONGOING)
Oxnard Village is an approximately 60-acre privately funded redevelopment project located at the westerly gateway to the City of Oxnard, along the 101 Freeway. The under-utilized site contained 1950’s era motel, mobile home park, retail/commercial and light manufacturing uses. This mixed use project will ultimately include 1,500 residential units with row-houses, podium stacked flats, livework units and luxury high rise condominiums and luxury hotels. Four parking lots have already been designed which included aesthetic, decorative lighting, water quality, space, enhanced paving, vehicular, pedestrian and disabled access, as well as drainage challenges.

In each case, both a functional and aesthetically pleasing built environment resulted. The project is ongoing and will continue development while serving the City of Oxnard for many decades into the future.

RELEVANT DESIGN
COMPONENTS:
• Street Improvements
• Sewer, Domestic Water
• Reclaimed Water
• Storm Drain
• Flood Control
• Mulitple Parking Lots
• Landscaping
• Water Quality
• Vehicular & Disabled Access
CLIENT
CONTACT:

Oxnard CRFL
Partners
Carl Renezeder
64 Maxwell
Irvine, CA 92618
949.719.9040

SANTA ANA ON-CALL SURVEY PROJECTS
Santa Ana, California (COMPLETED 2017)
Huitt-Zollars was responsible for the Topographic
Survey for that portion of Warner Avenue from
westerly of Main Street to easterly of Oak Avenue.

Work included establishment of horizontal control
based on the centerline of Warner Avenue and the
establishment of vertical control; tying out the existing centerline monumentation prior to construction
and the preparation of Pre-Construction Corner
Records to be used during the construction phases
of the project by surveyors doing boundary work in
the area and for replacement of the monuments
that were destroyed during construction; setting
and control of aerial targets and photo ID points;
flight, photography, and compilation of the aerial
topographic mapping; cross-section survey at 25
foot intervals and a detailed design survey of all
existing improvements from R/W line to R/W line;
and the preparation of a Topographic Map showing
the results of the work.

CLIENT CONTACT:

City of Santa Ana
Kenny Nguyen
20 Civic Center Drive
Santa Ana, CA 92702
714.647.5632

RELEVANT DESIGN
COMPONENTS:
• Topographic Survey
• Boundaries
• Right-of-Way City Council 15 – 501 8/16/2022
City of Santa On-Call Water Resources Engineering Services RFP No. 22-002 14

SANTA MARGARITA WATER DISTRICT
Rancho Santa Margarita, California (ONGOING)
Huitt-Zollars prepared the design of approximately 6,000 of 12” HDPE highline for recycled water to assist the Water district in the transportation of recycled water through the Santa Margarita Water District. Huiit-Zollars also assisted the Santa Margarita Water district in the design and construction of a booster pump station to boost the pressure of the recycled water line through multiple pressure zones.

Additionally, Huitt-Zollars worked
with Santa Margarita Water
District to prepare multiple details
to switch pipe materials and
underground the highline into a
casing and create a crossing of a
secondary arterial highway. The
design was completed to allow for the maintenance of the pipe without disrupting traffic on the highway.

RELEVANT DESIGN
COMPONENTS:
• Survey
• Engineering Estimates
• Water Improvements
CLIENT CONTACT:

Santa Margarita Water District
Jamie Aguilar
26111 Antonio Parkway
Rancho Santa Margarita, CA
92688
949.459.6400

F REFERENCES
Project Image Description Reference
Smith Basin Scour
Assessment
and Slope
Rehabilitation
City of Villa Park
Huitt-Zollars has prepared final
plans, specifications, and estimates
for the Rehabilitation of Smith Basin
downstream of Cannon Street and
upstream of Villa Park Road in the
City of Villa Park.

Ryan Bouley
Orange County Water
District
187000 Ward Street
Fountain Valley, CA
92708
714.378.8207
[email protected]
Oakmont Park
and Live Oak
Canyon Creek
Design Evaluation
and Repair
City of Redlands
Huitt-Zollars performed hydrologic,
hydraulic, geomorphic, and
geotechnical investigations to
characterize the conditions that
have led to the existing degradation
of the creek bed and lateral erosion
of the creek banks. Huitt-Zollars
identified a preferred erosion control
alternative based on constructability,
cost, environmental constraints, and
effectiveness.

City of Redlands
- Municipal &
Engineering
Department
Goutam K. Dobey, PE
909.798.7584
gdobey@
cityofredlands.org
South Arroyo
Stormwater
Mitigation
Improvements
LACCD, Sylmar,
CA
Huitt-Zollars is providing plans,
specification, and estimates for
storm drain, sewer, water quality,
street, electrical, and landscaping
improvements to meet State
Water Board, improve aging utility
infrastructure, and incorporate
American with Disability Act
requirements on campuses.

Natalie Mason,
Project Manager Los
Angeles Community
College District
(818) 367-7236
Natalie.Mason@
build-laccd.org
City Council 15 – 502 8/16/2022
City of Santa On-Call Water Resources Engineering Services RFP No. 22-002 15 2 SCOPE OF SERVICES & SCHEDULE
Huitt-Zollars proposes to deliver the following services reflected in Attachment 1 Scope of Work and Section D.

Shown below is an example of a Scope of Services Huitt-Zollars prepared for a previous Task Order with the City of Santa Ana.

1. Planning, Resources, and Design
a. Planning Studies and Feasibility Studies
b. Hydraulic Modeling
c. Condition Assessment
d. Design Services
e. Other Related Services
i. Architecture
ii. Structural
iii. Civil
iv. Mechanical, HVAC
v. Landscape Architecture
vi. Geotechnical Engineering Services (provided by subconsultant) vii. Hydrogeology
viii. Environmental Compliance Services (provided by subconsultant) ix. Recycled Water Compliance
x. Electrical, Instrumentation, & Control Services
xi. Engineering Support During Bidding and Construction xii. Plan Check Services

2. Construction Management
a. Construction Management and Coordination with Contractor b. Project Administration
c. Construction Inspection

3. Pipeline Design

4. Electrical, Instrumentation & Control Services

5. Geotechnical Engineering Services (provided by subconsultant) City Council 15 – 503 8/16/2022
City of Santa On-Call Water Resources Engineering Services RFP No. 22-002 16 Mr. Armando Fernandez
HZ Proposal No. P309095.07
February 19, 2019

Page 3 ends

SCOPE OF SERVICES
A. Project Management & Meetings: Includes a kickoff meeting to be held at the City’s corporate yard and two additional progress meetings. Huitt-Zollars will attend meetings and coordinate the project in an effort to promote efficient progress. Huitt-Zollars will provide necessary recordkeeping to ensure quality control of the project.

B. Topography: Huitt-Zollars will set control and provide an aerial topography.

Consideration: The French Park Neighborhood is adjacent to the Lacy Neighborhood. The City has requested proposals for both neighborhoods. Use of one survey consultant for both projects would generate cost savings.

C. Geotechnical Support: Our consultant, Converse Consulting, will provide a geotechnical report to support the design of the sewer improvements. We estimate 12 borings at 10-foot depths.
• Depth of water is assumed at approximately 5 feet
• WATCH Manual will be applicable for Traffic Control
We do not anticipate the use of flagman
• City will issue a no fee permit for field exploration • Consultant will coordinate with Underground Services Alert D. Utility Research/Investigation: The City of Santa Ana will provide sewer, water, and storm drain as-built plans. Huitt-Zollars will provide third party research. Letters on City letterhead will be mailed out to request third party record drawings/atlas. It is assumed that our team can use and rely on the data and information contained in the project related documents. Our staff will not perform a technical review of record documents, therefore it will not be responsible for the content or accuracy.

E. Compile CADD (Micro-Station) Base Files: Huitt-Zollars will compile as-built information in Micro-Station (CADD) files for evaluation and use during design.

F. Water Improvements: Huitt-Zollars will prepare water improvement plans for approximately 15,000 linear feet and related appurtenances. Pipe diameter is anticipated at 8 inches, cross connection and/or pressure reducing stations are not anticipated. This is a water main replacement project, therefore we do not anticipate a need for potholing.

Proposed water improvements limits are delineated in the enclosed exhibit. Utility relocations are not anticipated. The Water Improvement Plans will be prepared to satisfy City of Santa Ana standards and requirements.
• Title Sheet
• General Notes Sheet
• Detail Sheet
• 13-Double Stacked Plan View Only
• 24”x36” Size
• Horizontal Scale of 1"=20'
Example Scope of Services:

City Council 15 – 504 8/16/2022
City of Santa On-Call Water Resources Engineering Services RFP No. 22-002 17 Mr. Armando Fernandez
HZ Proposal No. P309095.07
February 19, 2019

Page 4 ends

Plans will be submitted as follows:
• 2 - Hard Copies Design Plans Only for 30% Progress Submittal (HZ will continue with design during City review)
• 2 - Hard Copies Design Plans Only for 60% Progress Submittal (HZ will continue with design during City review)
• 2 – Hard Copies of PS&E for 90% Submittal
(Design is on hold during review)
• 1- Hard Copy of PS&E for Final Submittal
G. Estimates: Huitt-Zollars will provide water improvements relevant quantities. Probable cost would be estimated using best engineering practices including bid item list.

H. Specifications: The City of Santa Ana will provide sample of special provisions for editing.

I. Construction Administration: Project Manager and staff will remain available during the bidding phase and construction phase to respond to RFI’s and review contractor submittals.

After construction, contractor redlines will be provided to develop record drawings.

Optional Services
J. Environmental Support: Installation of new pipeline with removal of existing pipeline as part of maintenance or repair, would qualify as a statutory exemption if less than one mile in length, unless there are unusual circumstances (i.e., “a reasonable possibility of significant environmental effects”), in which case an MND may be required. We are providing a budget for each. Our environmental consultant will assist the City to determine if an MND is necessary. The MND includes air quality, gas emissions, cultural, and noise/vibrations studies.

Deliverables
♦ Geotechnical Report
♦ CEQA Statutory Exemption or MND (Optional)
♦ Plans Only (30%)
♦ Plans Only (60%)
♦ Plans, Specifications and Quantity Estimates (90%)
♦ Final Plans, Specifications and Quantity Estimates (Title Sheet Mylar) ♦ CADD Files
Provided by the City of Santa Ana
♦ Utility As-Built Plans
♦ Bid List Items
♦ Special Provisions and CADD Standards
City Council 15 – 505 8/16/2022
City of Santa On-Call Water Resources Engineering Services RFP No. 22-002 18 Mr. Armando Fernandez
HZ Proposal No. P309095.07
February 19, 2019

Page 5 ends

Schedule
Our team proposes to deliver the project per the schedule below, we are open minded to any modification necessary to deliver on the project needs. We can deliver more than one project on similar schedules. Please note that the CEQA service will impact the proposed schedule.

Task Date
Kickoff March 4, 2019
30% Progress Submittal April 12
60% Progress Submittal May 3
City Review Complete May 10
90% Submittal May 31
City Review Complete June 14
Final PS&E Package July 12
Reimbursable Expenses: Reimbursable expenses are estimated to include reproduction of documents required for submittal(s) as stated in the scope of services, travel cost (travel and board), and mileage for project purposes. Bidding or construction plan sets are not anticipated.

Expenses shall be compensated monthly based upon the Rate Schedule included in the Agreement.

Assumption
♦ Work not included will not be performed without contract or addendum to the original proposal.

Excluded Services
Construction Estimate
Utility Relocations
Sub-surface Exploration
Construction Survey
Third Party Fees
Task/Studies not specifically delineated
Exhibits

TERMS & CONDITIONS
It is our understanding that the terms and conditions will be as jointly signed by the City of Santa Ana and Huitt-Zollars, Inc. in the “AGREEMENT (#A-2018-160-03) TO PROVIDE ENGINEERING SERVICES ON AN ON-CALL BASIS (WATER RESOURCES)”. Upon acceptance of this proposal, the City of Santa Ana will provide Written Notice to Proceed (WNTP). We are prepared to begin work immediately.

I look forward to our continued participation in this project. Should you have any comments or questions about any aspect of this proposal, please do not hesitate to give me a call.

City Council 15 – 506 8/16/2022
City of Santa On-Call Water Resources Engineering Services RFP No. 22-002 19 Mr. Armando Fernandez
HZ Proposal No. P309095.07
February 19, 2019

Page 6 ends

Sincerely,
HUITT-ZOLLARS, INC.

Miguel Hernandez, P.E.

Associate
CA PE No. 61378
Marc J. Haslinger, P.E.

Vice President/Office Manager
CA PE No. 49158
Attachments
N/P2019Irvine/P309095.07
City Council 15 – 507 8/16/2022
City of Santa On-Call Water Resources Engineering Services RFP No. 22-002 20

APPENDIX
Attachment 3-1 Non Collusion Affidavit
Attachment 3-2 Non-Lobbying Certification
Attachment 3-3 Non-Discrimination Certification
3 FEE PROPOSAL
Separate sealed envelope
City Council 15 – 508 8/16/2022
City Council 15 – 509 8/16/2022
City Council 15 – 510 8/16/2022
Huitt-Zollars, Inc.

Jeffrey T. Okamoto, PE
Vice-President
5/27/2022
City of Santa Ana RFP 22-002
Page A3-2

NON-LOBBYING CERTIFICATION
The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that:

1. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement.

2. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a “Disclosure of Lobbying Activities”.

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

The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly.

Firm
Signed and Printed Name:

Title
Date
City Council 15 – 511 8/16/2022
City of Santa Ana RFP 22-002
Page A3-3

NON-DISCRIMINATION CERTIFICATION
The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows:

1. The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.

2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin.

3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers’ representatives of the Consultant’s commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.

4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.

5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders.

6. In the event of the Consultant’s non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Consultant may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law.

7. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted City Council 15 – 512 8/16/2022
City of Santa Ana RFP 22-002
Page A3-4
by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a sub-consultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States.

8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended,
No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter.

Signed:

Title:

Firm:

Date:

Huitt-Zollars, Inc.

Vice-President
5/27/2022
City Council 15 – 513 8/16/2022
City of Santa Ana RFP 22-002
Page A3-3

NON-DISCRIMINATION CERTIFICATION
The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows:

4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.

7. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted City Council 15 – 514 8/16/2022
City of Santa Ana RFP 22-002
Page A3-4
by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a sub-consultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States.

Signed:

Title:

Firm:

Date:

Senior Vice President
Converse Consultants
May 18, 2022
Siva Sivathasan, PE, GE
City Council 15 – 515 8/16/2022
City of Santa Ana RFP 22-002
Page A3-3

NON-DISCRIMINATION CERTIFICATION
The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows:

4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.

7. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted City Council 15 – 516 8/16/2022
City of Santa Ana RFP 22-002
Page A3-4
by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a sub-consultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States.

Signed:

Title:

Firm:

Date:

VP of Operations
C Below, Inc.
05/23/2022
City Council 15 – 517 8/16/2022
City Council 15 – 518 8/16/2022
City Council 15 – 519 8/16/2022
HCity of Santa On-Call Water Resources Engineering Services RFP No. 22-002 Z32

MISSION STATEMENT

HUITT-ZOLLARS
2603 Main Street, Suite 400
Irvine, CA 92614
(949) 988-5815
www.huitt-zollars.com
Our commitment is to understand the needs of our
clients and to meet those needs by delivering professional services with the highest level of quality & integrity.

City Council 15 – 520 8/16/2022

EXHIBIT C
City Council 15 – 521 8/16/2022
City Council 15 – 522 8/16/2022
City Council 15 – 523 8/16/2022
City Council 15 – 524 8/16/2022
City Council 15 – 525 8/16/2022
City Council 15 – 526 8/16/2022
City Council 15 – 527 8/16/2022
City Council 15 – 528 8/16/2022
1 CITY OF SANTA ANA

CONTRACTOR AGREEMENT FOR

ON-CALL ENGINEERING SERVICES WITH
TAIT & ASSOCIATES, INC.

THIS AGREEMENT is made and entered into on this 16th day of August 2022 by and between Tait & Associates, Inc., (“Contractor”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”).

RECITALS
A. The City desires to retain a Contractor having special skill and knowledge in the field of on-call water resources engineering services pursuant to RFP 22-002.

B. Contractor represents that Contractor is able and willing to provide such services to the City.

C. On April 21, 2020, City Council approved agreements with Tetra Tech, Inc., Michael Baker International, Inc., Psomas, Stantec Consulting Services, Inc., NV5, Inc., HuittZollars, Inc., Kimley-Horn and Associates, Inc., and Tait & Associates, Inc. (“2020 Agreements”) to provide on-call engineering services for the Public Works Agency, Water Resources Division.

D. On March 16, 2021, the City amended the 2020 Agreements to increase the funding amount by $950,000 for the remainder of the term to allow these services to be utilized for additional civil works projects included in the current and future fiscal years’ Capital Improvement Programs (CIPs). These agreements remain in full force and effect.

E. The City finds that new agreements under RFP 22-002 are required for additional services for new civil works projects as the funding capacity has been reached under the 2020 Agreements.

F. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field.

NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows:

1. SCOPE OF SERVICES
Contractor shall perform during the term of this agreement, the services described in the scope of work that was included in RFP No. 22-002 and that is attached as Exhibit A, and as further delineated in Contractor’s proposal, which is attached as Exhibit B and incorporated in full. The Scope of Work under this Agreement is not intended to cover any civil works projects City Council 15 – 529 8/16/2022
2 assigned to the 2020 Agreements.

2. COMPENSATION
a. Contractor under this Agreement. Contractor shall be paid only for services performed under the Agreement at the rates and charges identified in Exhibit C. Contractor is one of six Contractors selected to provide on-call engineering services. The total aggregate amount, among the six contractors, shall not exceed the shared aggregate amount of $2,000,000 during the term of this agreement, including any extension periods. All reimbursable expenses must be approved in writing by the City before they are incurred by Contractor. City shall not be responsible for any reimbursable costs incurred by Contractor without the advance written approval of City.
b. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. City shall not be assessed any late fees for payments rendered after forty-five (45) days.

Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City.

3. TERM
with the option for the City to grant up to This Agreement shall commence ontwothe date first (2) one (1) written year renewal above s,forexercisable by a three (3) year a writing term by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 16, below.

4. PREVAILING WAGES
Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., (“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the performance of other requirements on “public works” and “maintenance” projects. If the services being performed are part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws.

5. INDEPENDENT CONTRACTOR
Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and City Council 15 – 530 8/16/2022
3 regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes.

6. OWNERSHIP OF MATERIALS
This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Contractor under this Agreement (“Documents & Data”). Contractor shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement.

Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Documents & Data which were provided to Contractor by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk.

7. INSURANCE
Coverage shall be at least as broad as:

1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the generalaggregate limit shall be twice the required occurrence limit.

2. Automobile Liability: Insurance Services Office Form Number CA 0001 covering, Code1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non-owned), withlimit no less than $1,000,000 per accident for bodily injury and property damage.

3. Workers’ Compensation insurance as required by the State of California, with StatutoryLimits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease.

4. Professional Liability (Errors and Omissions) Insurance appropriates to the Consultant’sprofession, with limit no less than $1,000,000 per occurrence or claim.

If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the Entity requires and shall be entitled to the broader coverage and/or the higher limits maintained by the contractor. Any available City Council 15 – 531 8/16/2022
4 insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the Entity.

Other Insurance Provisions
The insurance policies are to contain, or be endorsed to contain, the following provisions:

Additional Insured Status
The Entity, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connectionwith such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant’s insurance (at least as broad as ISO Form CG 20 10 11 85 or bothCG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used).

Primary Coverage
For any claims related to this contract, the Consultant’s insurance coverage shall be primary insurance primary coverage at least as broad as ISO CG 20 01 04 13 as respects the Entity, its officers, officials, employees, and volunteers.

Any insurance or self-insurance maintained by the Entity, its officers, officials, employees, or volunteers shall be excess of the Consultant’s insuranceand shall not contribute with it.

Notice of Cancellation
Each insurance policy required above shall state that coverage shall not be canceled, except withnotice to the Entity.

Waiver of Subrogation
Consultant hereby grants to Entity a waiver of any right to subrogation which any insurer of said Consultant may acquire against the Entity by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiverof subrogation, but this provision applies regardless of whether or not the Entity has received a waiver of subrogation endorsement from the insurer.

Self-Insured Retentions
Self-insured retentions must be declared to and approved by the Entity. The Entity may require theConsultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or Entity.

Acceptability of Insurers
Insurance is to be placed with insurers authorized to conduct business in the state with a City Council 15 – 532 8/16/2022
5 current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the Entity.

Claims Made Policies
If any of the required policies provide coverage on a claims-made basis:

1. The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work.

2. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work.

3. If coverage is canceled or non-renewed, and not replaced with another claimsmade policyform with a Retroactive Date prior to the contract effective date, the Consultant must purchase “extended reporting” coverage for a minimum of five (5) years after completion of contract work.

Verification of Coverage
Consultant shall furnish the Entity with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage requiredby this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to Entity before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant’s obligation to provide them.The Entity reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time.

Subcontractors
Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure that Entity is an additional insured on insurance required from subcontractors.

Special Risks or Circumstances
Entity reserves the right to modify these requirements, including limits, based on the nature of therisk, prior experience, insurer, coverage, or other special circumstances.

8. INDEMNIFICATION
Contractor agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial City Council 15 – 533 8/16/2022
6 or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Contractor’s services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor.

9. INTELLECTUAL PROPERTY INDEMNIFICATION
Contractor shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States’ letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Contractor to the City pursuant to this Agreement.

10. RECORDS
Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Contractor shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Contractor under this Agreement.

11. CONFIDENTIALITY
If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. “Confidential Information” shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) City Council 15 – 534 8/16/2022
7 is independently developed by the Contractor without reference to information disclosed by the City.

12. CONFLICT OF INTEREST CLAUSE
Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement.

13. DISCRIMINATION
Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations.

14. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein.

15. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services which are the subject to this Agreement performed by City personnel or by other contractors retained by City.

16. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Contractor to City Council 15 – 535 8/16/2022
8 deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate.
b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement.

17. WAIVER
No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies.

18. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement.

19. PROFESSIONAL LICENSES
Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement.

20. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons:

To City:

Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
City Council 15 – 536 8/16/2022
9 Fax: 714- 647-6956
With courtesy copies to:

To Contractor:

Tait & Associates, Inc.

Attn: Jacob Vandervis
Chief Operations Officer, P.E.
701 N. Parkcenter Dr.

Santa Ana, CA 92705
Fax: 714-560-8233
A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded.

21. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney’s fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement.
[Signatures on the following page]
Executive Director, Public Works Agency
City of Santa Ana
20 Civic Center Plaza (M-21)
P.O. Box 1988
Santa Ana, California 92702
Fax: 714- 647-5635
City Council 15 – 537 8/16/2022
City Council 15 – 538 8/16/2022

EXHIBIT A
City Council 15 – 539 8/16/2022

CITY OF SANTA ANA

REQUEST FOR PROPOSALS
FOR

ON-CALL WATER RESOURCES ENGINEERING SERVICES
RFP NO. 22-002
City of Santa Ana RFP 22-002
Page A1-1

INTRODUCTION/BACKGROUND
The City of Santa Ana intends (City) to select several qualified firms to provide professional services for a variety of projects and programs on an as-needed or “on-call” basis. Each firm selected will enter into a Professional Services Agreement to provide such services. Throughout the term of the Professional Services Agreement, the City may request task order proposals for individual projects and/or programs as the need for such services arises. The task order proposal fee shall be based on the hourly rates provided by the firm in response to this RFP.

If a task order proposal is selected, a Notice-to-Proceed will be issued based on an agreed-upon specific scope of services and fee for that task order. The firm may utilize in-house staff and/or sub-consultants to complete each task order. For specialized work for which the prime consultant shall require a sub-consultant, the prime consultant shall serve as an administrative liaison between the City and the sub-consultant, and include these administrative costs in their proposed project management fees.

Prime consultant mark-ups for sub-consultant work will not be allowed.

SCOPE OF SERVICES
Provide professional engineering services for planning, design, and construction support for domestic water, recycled water, sanitary sewer, storm sewer, and related facility projects.

In general, each task order shall include, at minimum, the following project management services:
 Project Schedule
Create schedules with the critical milestones for the major tasks involved in a project.

Update the schedule monthly, or more often, as required by the City. Schedules shall be submitted in PDF format unless other format is requested by the City.  Meetings
Attend meetings and/or job walks, as requested by the City. Prepare meeting agendas and meeting minutes.
 Monthly Project Status Report
Prepare Monthly Project Status Reports that show an accurate accountability of work effort rendered and a continuous appraising and monitoring of both work progress and financial conditions on a project.

The fee for project management services, including time and related expenses, shall be included in each task order proposal.

City Council 15 – 540 8/16/2022

CITY OF SANTA ANA

REQUEST FOR PROPOSALS
FOR

ON-CALL WATER RESOURCES ENGINEERING SERVICES
RFP NO. 22-002
City of Santa Ana RFP 22-002
Page A1-2
Firms may propose on any category listed below (1-5). The services to be performed may include, but shall not be limited to, the following:

1. PLANNING, RESOURCES, AND DESIGN
Provide water engineering services to conduct water capital improvement projects, which may involve one or multiple disciplines, including planning studies, hydraulic modeling, feasibility studies, design of pipelines, wells, pump stations, pressure regulating stations, reservoirs, water quality and water treatment, waste and recycled water quality and treatment, hydrogeology, engineering support during construction, and encompassing associated services such as Architecture, Structural, Civil, Mechanical, HVAC, Landscape Architecture, Geotechnical, Environmental, Electrical, Instrumentation, and Control. a. Planning Studies and Feasibility Studies
Provide engineering, financial, and planning services to perform pipeline alignment and facility siting studies, water system planning studies, recycled water system planning and feasibility studies, water demand and supply studies, rate studies, asset management, and other studies that may be required in water system planning. Provide consulting services related to water resources and conservation. Studies may include water supply assessments, water supply verifications, urban water management plans, water use surveys and others studies that may be required for water resources and conservation programs b. Hydraulic Modeling
Perform Water System Master Planning including Comprehensive Studies, Hydraulic Analysis, Transient Analysis, Fire Flow Analysis, and Flow Optimization. c. Condition Assessment
Provide comprehensive condition assessment of the City’s water system, including seismic, structural, security and vulnerability. Assessment of the structural integrity of the pipe shall include identifying leaks, pipe damage, pipe defect, loss of pipe wall thickness due to corrosion or erosion, etc., along the length of the pipe. Provide reports and memorandums with maps and exhibits as required to detail results of the study including likelihood of failure, risk and consequence of failure. Reports and/or technical memorandums shall also include detailed explanation of data collected and used for the study, any assumptions made as well as recommendations for short-term and long-term risk mitigation strategies.
d. Design Services
Provide consulting services for the design of water facilities, including water wells, pump stations, pressure regulating stations, reservoirs, water quality and treatment, water mains, City Council 15 – 541 8/16/2022

CITY OF SANTA ANA

REQUEST FOR PROPOSALS
FOR

ON-CALL WATER RESOURCES ENGINEERING SERVICES
RFP NO. 22-002
City of Santa Ana RFP 22-002
Page A1-3
recycled water supply and distribution facilities, associated appurtenances, as well as other related components of the facilities such as buildings, landscape, grading, drainage, etc. for a complete and operative project.
e. Other Related Services
Provide other related services including, but not limited to, the following:
i. Architecture
Provide consulting services for architectural design, architectural renderings, lineof-sight analyses, building sections, code interpretation issues and other architectural related issue.
ii. Structural
Provide consulting services for structural investigations of the City’s existing facilities, seismic analysis, miscellaneous structural calculations, and design on the City’s existing and proposed systems and structures.
iii. Civil
Provide consulting services for general engineering services as required for the project. Scope of work may include but is not limited to site design, street improvements, grading, drainage, preparation of Water Quality Management, Erosion Control, and Stormwater Pollution Prevention Plans, and related calculations and reports as necessary.
iv. Mechanical, HVAC
Provide consultation, engineering, and design services on modification, upgrade, and replacement of existing mechanical and HVAC systems, including piping, plumbing, support systems, controls, code interpretation, and related calculations as necessary.
v. Landscape Architecture
Provide consulting services for landscape architecture design, including landscape planting plans, renderings and views of proposed landscape plantings, and landscape installation inspection services. Provide consultation for irrigation system design and inspection.

City Council 15 – 542 8/16/2022

CITY OF SANTA ANA

REQUEST FOR PROPOSALS
FOR

ON-CALL WATER RESOURCES ENGINEERING SERVICES
RFP NO. 22-002
City of Santa Ana RFP 22-002
Page A1-4
vi. Geotechnical Engineering Services
Conduct geotechnical investigations, including field explorations and tests, laboratory tests, and seismic investigations, to assess the general conditions of a project site area and prepare geotechnical reports of final design and construction recommendations. Field explorations may require drilling plans and classification of underlying soils and must be done under the supervision of a licensed geotechnical engineer or registered geologist. Investigations may include slope stability analysis of reservoir embankments, foundations, retaining walls, and dams and earthen dam monitoring and inspection to comply with California Department of Water Resources, Division of Safety of Dams (DSOD) and other City requirements. Provide seismic hazard analyses and site-specific seismic criteria, as needed, for project design.
vii. Hydrogeology
Provide consulting services on groundwater issues related to and including rehabilitation of existing potable water production wells, siting and design of new potable water production wells, destruction of inactive wells, evaluation of contamination plumes, and groundwater modeling. Evaluate the hydrogeology of proposed potable water production well sites and investigate proposed wells.

Determine design parameters and requirements necessary to drill, operate, and maintain proposed wells; proposed well construction (casing diameter, locations of perforated intervals); and proposed operation of wells. Prepare Drinking Water Source Assessment and Protection (DWSAP) plans for proposed potable water production wells.

Provide inspection, hydrogeologic analysis and recommendations during new potable water production well drilling and existing well destruction activities, including, but not limited to, on site consulting geologists, geological sampling and formation analysis, geophysical logging and interpretation, sieve analyses, final well construction recommendations, and quality assurance and assistance in achieving conformance with the construction specifications and applicable codes and standards.
viii. Environmental Compliance Services
Provide consulting services for the preparation of environmental documents and support studies to comply with California Environmental Quality Act (CEQA), which may include an Initial Study, Negative Declaration, Mitigated Negative Declaration, Addendum, or Environmental Impact Report, or Supplement or Subsequent EIR, National Environmental Policy Act (NEPA) when complying City Council 15 – 543 8/16/2022

CITY OF SANTA ANA

REQUEST FOR PROPOSALS
FOR

ON-CALL WATER RESOURCES ENGINEERING SERVICES
RFP NO. 22-002
City of Santa Ana RFP 22-002
Page A1-5
with federal grants, permit applications with support studies, aesthetic simulations, and other environmental compliance tasks that may be needed. ix. Recycled Water Compliance
Provide assistance with compliance requirements for recycled water treatment and distribution system monitoring and reporting.
x. Electrical, Instrumentation & Control Services
Provide consultation, engineering, and design services on modification, upgrade, troubleshooting, restarting, adjusting control settings, and replacement of existing electrical systems, including motor control centers, motor starters, electrical panels, and instrumentation and control systems, including SCADA systems. xi. Engineering Support During Bidding and Construction Review and respond to RFI’s and review and approve shop drawings submitted by contractor for conformance with the contract documents. Review progress reports and payments as required. Prepare supplementary sketches and details, as required, to resolve field construction problems that may be encountered. Provide project inspection as needed. Provide assistance in ensuring regulatory compliance, as needed. Prepare the “as constructed” corrections to the original drawings and specifications. Attend meetings on behalf of the City and assist in Public Relations, as needed.
xii. Plan Check Services
Provide consulting services for plan checking improvement plans to determine compliance with applicable standards, guidelines, policies, rules, ordinances, and codes.

2. CONSTRUCTION MANAGEMENT
Provide construction management and inspection services during construction. The tasks of construction management and inspection shall include, but not be limited to:
a. Construction Management and Coordination with Contractor Provide construction management and coordinate as needed for the project. Review and coordinate construction schedule and activities; conduct and attend meetings on behalf of the City. Provide permit compliance documentation, follow up, and support for all permits and clearances required on a project. The construction management team may also be asked to attend meetings and assist in maintaining public relations as needed.

City Council 15 – 544 8/16/2022

CITY OF SANTA ANA

REQUEST FOR PROPOSALS
FOR

ON-CALL WATER RESOURCES ENGINEERING SERVICES
RFP NO. 22-002
City of Santa Ana RFP 22-002
Page A1-6
b. Project Administration
Provide review of, recommend, and prepare change order(s) and/or extra work order(s) as needed on construction project. Coordinate and process RFI’s and shop drawings submittals, and ensure construction conformance with the contract documents. Review and adjust progress pay estimates prepared and submitted by the contractor for conformance with the contract documents.
c. Construction Inspection
Provide construction inspection by qualified inspectors and maintain daily inspection reports, construction progress reports, and project logs, etc., of the progress of the construction work. Secure record drawing information from the construction contractor.

Provide start-up support for a Project, including final acceptance testing, support, and final completion sign off. Prepare the Final Construction Report.

3. PIPELINE DESIGN
Provide consulting services for the design of water mains, transmission mains, siphons and associated appurtenances. Provide preliminary and final design services including the preparation of plans, specifications, and cost estimates. Provide bidding assistance, construction support, and final as-builts as needed for projects.

4. ELECTRICAL, INSTRUMENTATION & CONTROL SERVICES
Provide consultation, engineering, and design services on modification, upgrade, troubleshooting, restarting, adjusting control settings, and replacement of existing electrical systems, including motor control centers, motor starters, electrical panels, and instrumentation and control systems, including SCADA systems components, instrumentation, communication system components, security cameras, door/gate access controls, information technology for SCADA system and cybersecurity support for PLC/HMI/OIT software and custom applications for the City Water System.

5. GEOTECHNICAL ENGINEERING SERVICES
Conduct geotechnical investigations, including field explorations and tests, laboratory tests, and seismic investigations, to assess the general conditions of a project site area and prepare geotechnical reports of final design and construction recommendations. Field explorations may require drilling plans and classification of underlying soils and must be done under the supervision of a licensed geotechnical engineer or registered geologist. Investigations may include slope stability analysis of reservoir embankments, foundations, retaining walls, and dams and earthen dam monitoring and inspection to comply with California Department of Water Resources, Division of Safety of Dams (DSOD) and other City requirements. Provide seismic hazard analyses and site-specific seismic criteria, as needed, for project design.

City Council 15 – 545 8/16/2022

CITY OF SANTA ANA

REQUEST FOR PROPOSALS
FOR

ON-CALL WATER RESOURCES ENGINEERING SERVICES
RFP NO. 22-002
City of Santa Ana RFP 22-002
Page A1-7
Proposals shall explicitly state which category listed above (1-5) is being proposing on. If there are any exceptions to the core of requested services above, proposers shall list said exceptions in their proposal (matrix form).

GENERAL REQUIREMENTS AND PROJECT DELIVERABLES
The Consultant’s services for plans specifications and estimates (PS&E) for engineering projects and special studies/investigations shall be in conformance, if applicable, with the following: Title 24 of the California Code of Regulations (California Building Standards Code), American Water Works Association, California Department of Transportation, Americans with Disabilities Act, City of Santa Ana Municipal Code (SAMC), professional Standards established by the City, and any other federal, state, or local guidelines required in the project.

As part of the PS&E package, the Consultant shall prepare the special provisions pertaining to the items of work included in the plans that are not addressed on the latest editions of the applicable standards.

The Consultant shall have complete responsibility for the accuracy and completeness of all documents and plans prepared. The plans will be reviewed by the City of Santa Ana for conformity with the requirements of the Agreement. Reviews by the City of Santa Ana DO NOT include detailed review or checking of design for the accuracy with which such designs are depicted in the documents and the plans. The documents and plans furnished under the Agreement shall be of a quality acceptable to the City of Santa Ana. The criteria for acceptance shall be a product of neat appearance, well organized, technically and grammatically correct, checked and dated, and having the maker and checker identified.

The Consultant shall have project management control procedures in effect during the entire time work is being performed under the Agreement. This task shall include the following:
 Project Management Plan- the consultant shall provide a detail management plan including information and coordination with other agencies to ensure compliance and completion of the (PS&E) packages. This plan shall include all milestones and task breakdown for each of the tasks and subtasks included therein. The project management shall be submitted to the Project Manager for review and within 15 calendar days of the issued Notice to Proceed  Deliverables
 Quality Control/Quality Assurance (QA/QC) Plan
 Project Schedule/Invoicing
 Project Correspondence
City Council 15 – 546 8/16/2022

CITY OF SANTA ANA

REQUEST FOR PROPOSALS
FOR

ON-CALL WATER RESOURCES ENGINEERING SERVICES
RFP NO. 22-002
City of Santa Ana RFP 22-002
Page A1-8
In case of conflict, ambiguities, discrepancies, errors, or omissions, the consultant shall submit the matter to the City for clarification.

CITY RESPONSIBILITIES
The City will provide information in its possession relevant to the preparation of the required information in the RFP. The City will provide only the staff assistance and the documentation specifically in referred to herein.
 Furnish scope of work and provide general direction as needed for the assigned project  All plan check coordination within the City
 Advertise, award, and administer of construction contract  Electronic files (sample plans & specifications, City of Santa Ana’s CADD Standards)  Electronic files for title sheets and sheet borders
 Facilitate meeting space and coordination and City facilities

FEE PROPOSAL
In addition to Section III.B.3 (Submittal Requirements: Fee Proposal) fee schedule shall be structured as follows:

The fee proposal shall include the firm’s standard hourly fee schedule, and/or project fee schedule where applicable and as outlined in this document. A list of all positions and hourly rates required to perform the services described herein.

A more detailed scope of work will be provided when/if a Task Order proposal is requested of a consultant. All tasks orders shall include the staff title, hours, hourly rate and totals as related to the project.

OTHER TERMS AND CONDITIONS

1. The project will be implemented in compliance with the City of Santa Ana’s policies, as well as Prevailing Wages and State/Federal Requirements.

2. The City regards the inclusion of California based designs, engineering, and construction professionals, facilities, and services as part of the Team to be highly desirable, but not mandatory.

City Council 15 – 547 8/16/2022

CITY OF SANTA ANA

REQUEST FOR PROPOSALS
FOR

ON-CALL WATER RESOURCES ENGINEERING SERVICES
RFP NO. 22-002
City of Santa Ana RFP 22-002
Page A1-9

3. The City reserves the right to amend this Request for Proposal by addendum prior to the final dates of submission.

4. All reports, proposals, or other data or materials which are submitted shall become the sole property of the City of Santa Ana with the exception of the confidential Financial Capacity information and fee proposals.

5. All products used or developed in the execution of any contract resulting from this request will remain in the public domain at the completion of this project.

6. The City has an affirmative action program. The purpose of the affirmative action program is to encourage certified minority business enterprises and women business enterprises.

All submitting firms must have established affirmative action programs approvable by the City. During the RFP stage, all firms will need to complete a “Certification of NonDiscrimination by Contractors” for each firm on their team.

City Council 15 – 548 8/16/2022

EXHIBIT B
City Council 15 – 549 8/16/2022
M a y 2 4 , 2 0 22
S u b m i t t e d B y :

T A I T & A s s o c i a t e s, I n c .
7 0 1 P a r k c e n t e r D r i v e
S a n t a A n a , C A
714 - 5 6 0 - 8 2 0 0
w w w . t a i t . c o m
R F P N O . 22 - 0 0 2 :

ON - C A L L W A T E R R E S O U R C E S

E N G I N E E R I N G S E R V I C E S

C I T Y O F S A N T A A N A
S u b m i t t e d T o :

C i t y o f S a n t a A n a
S a n t a A n a P u b l i c W o r k s A g e n c y
2 2 0 S . D a i s y A v e . , M - 85
S a n t a A n a , C A 9 2 7 0 3
A t t n : R o b e r t A g u i r r e , P . E . , P r o j e c t M a n a g e r
City Council 15 – 550 8/16/2022
Page | 1

1.Statement of Qualifications
a. Cover Letter
May 24, 2022
City of Santa Ana
Santa Ana Public Works Agency
220 S. Daisy Ave., M-85
Santa Ana, CA 92703
Attn: Robert Aguirre, P.E., Project Manager
RE: Request for Proposals (RFP) No. 22-002, On-Call Water Resources Engineering Services Categories 1 (Planning, Resources, and Design) and 3 (Pipeline Design) Dear Mr. Aguirre,
TAIT & Associates, Inc. (TAIT) is pleased to submit the enclosed proposal in response to your Request for Proposals for providing On-Call Water Resources Engineering Services for City of Santa Ana (City). TAIT will be submitting on Category 1: Planning, Resources, and Design and Category and Category 3:

Pipeline Design. TAIT has greatly appreciated the opportunity to provide on-call engineering services to the City of Santa Ana for the last 3 years and looks forward to continuing our relationship over the next cycle of consultant services.

TAIT at a Glance. At TAIT, we have provided innovative engineering solutions to our clients for more than 58 years. We understand that public projects have their own specific issues, and with 220 associates, we have the right blend of professional engineers, surveyors, environmental assessors, and construction personnel with the experience necessary to address critical and big picture concerns. Since TAIT was founded in 1964 in Orange County, we have built mature relationships with state and local agencies throughout Southern California, and consistently create successful partnerships with the agencies for which we work.

Experience and Expertise. With our diverse engineering staff, our firm provides the personal touch of a small family owned business that provides the technical expertise of a big engineering firm. TAIT’s engineering diversity in the many facets of civil engineering include planning, design and construction services for water, waste water, storm drains, construction and post-construction water quality, pavement rehabilitation, utility coordination, site development, and surveying. In addition to engineering services, our company also includes architecture, entitlements, and environmental assessment associates which are ready to serve the City should the opportunity arise. Our water project experience over the past five years includes recent projects such as the City of Santa Ana’s Santiago Park Nursery and Pump Station Wall project, City of Chino’s Quadrant III Water Line Replacements; the Golden State Water Company’s Foothill District and the Normandie Ave. & Imperial Hwy. water line replacement projects; the City of Garden Grove’s Harbor Boulevard Water Main & Street City Council 15 – 551 8/16/2022
Page | 2
Reconfiguration project and the Glendale Water and Power’s Hoover, Toll, Keppel Recycled Water and the Kenneth-Ben Lomond Water Main Replacement Projects.

Key Personnel Leaders. With 36 years of experience, Jacob Vandervis, PE, will act as Principal in Charge and Project Manager for TAIT’s services to the City. Jacob has served in this role on TAIT’s recently completed water projects for Golden State Water Company and Glendale Water and Power during the past 9 years.

Samantha Wohlfarth, PE, who will serve as the lead Project Engineer, has worked on nearly all of TAIT’s recent water line projects including TAIT’s recent completed City of Chino project and Glendale Water & Power’s recent recycled water line project. Her knowledge, methodologies and approach to project coordination and design of water projects will ensure speedy and efficient project completion.

M. Todd Broussard, PE, who will be the QA/QC Manager, has over 21 years of municipal design and project management experience as Principal Civil Engineer with the City of Huntington Beach Public Works Department, overseeing an annual Capital Improvement Program budget of approximately $25 million per annum.

Also assisting the project will be David Sloan, PE, who will serve as the Specification Manager as well as provide engineering support for developing cost estimates, construction phasing and Traffic Control Plans and evaluation of the overall construction feasibility. David currently serves as TAIT’s Director of Engineering has extensive public agency experience managing, designing and providing construction management services for public projects and will be a great asset to the project team.

Quality and Cost Effectiveness. TAIT will work with the City on budget limits and always ensure quality services are provided at the most efficient cost possible. We have successfully met all past budgets on similar contracts and projects, creating lasting relationships with other agencies.

We understand that TAIT will have contractual obligation with the City with regard to this project. We aim to act as an extension of the City’s staff and will place an emphasis on Customer Service which has been and will remain one of TAIT’s Corporate Goals “To Completely Satisfy our Customers”. We are excited to have this opportunity to serve the City on this contract.

I will be the contact person for this procurement and can be reached at phone number (714) 560-8200 ext. 677 or email [email protected] at our Santa Ana office at any time should you have any questions regarding our proposal. We thank you for this opportunity to submit to you on this contract and look forward to further discussing with you our qualifications and commitment to working with City of Santa Ana.

Very truly yours,
TAIT & ASSOCIATES, INC.

Jacob Vandervis, P.E.

Chief Operations Officer and Vice President
City Council 15 – 552 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Page | 3
b. Contract Agreement Statement
TAIT accepts the City’s RFP’s Scope of Services, Standard Agreement, and the contractual terms therein. c. Firm and Team Experience

FIRM SUMMARY
TAIT & Associates, Inc. is a Southern California based, family owned engineering firm founded by Dr. Kenneth
E. Tait, P.E., established in 1964, and incorporated in the State of California. TAIT has grown to have 8 offices throughout the Western United States and is
headquartered in Santa Ana, CA. We have
approximately 220 associates who work together as a
team to provide a full range of engineering services.

TAIT has dedicated itself to offering quality design
services throughout the Western United States. Each
project presents new challenges, and we use each one
as an opportunity to learn something new and apply
that knowledge to future projects.

Company Capabilities
Today our multi-disciplined firm offers a full array of consulting services to public agencies and private development clients. More specifically, we offer project management, civil engineering, surveying, architecture, planning, entitlement, right of way engineering, environmental investigation, and remediation. TAIT has been providing public design and management services to local public agencies for many years. Some of the most recent water projects that we are either currently under contract or have recently completed are:
• Quadrant III Water Main Replacements for City of Chino • Hoover, Toll, Keppel Recycled Water Project for Glendale Water & Power • The Kenneth-Ben Lomond Water Main Replacement Project for Glendale Water & Power • Foothill District Water Main Replacement Project for Golden State Water Company • Normandie Ave. Water Main Replacement for Golden State Water Company • Beaudry Terrace Water Main Replacement for Glendale Water & Power • Adams Hill Neighborhood Water Main Replacement for Glendale Water & Power • Harbor Boulevard Water Main and Street Reconfiguration Project for the City of Garden Grove Strengths - What Sets Us Apart
TAIT has built a reputation of successfully managing projects from concept to completion, with both big company expertise and small company culture dedicated to customer service. We have specific expertise in public infrastructure development, land development, natural resource preservation, and environmental management. We also understand the tight time and money constraints under which our clients frequently operate, and strive to provide unique solutions that allow our client’s projects to be completed on time and within budget.

Our Corporate Headquarters—Santa Ana, CA
City Council 15 – 553 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Page | 4
Key Personnel
The TAIT project team selected has provided engineering services on projects similar to those that will be required during this contract. Below is an organization chart depicting our key team members, followed by their qualifications and availability. Full resumes of our key personnel and sub-consultants are included in our Appendix to comply with the RFP’s page limit.

Organizational Chart
Key Personnel Qualifications
Name
Classification/
Designation
Licenses/
Certifications
Years of
Experience
% of
Availability
Jacob Vandervis, P.E. PIC/Project Manager CA No. C46301 36 20% Todd Broussard, P.E., QSD/P QA/QC Manager CA No. C57144 35 20% David Sloan, P.E.

Lead Project Manager/Specs
Manager CA No. C82595 15 20%
Samantha Wohlfarth, P.E. Professional Engineer- Water CA No. 86126 10 50% Bart Mink, P.E., LEED AP Professional Engineer- Water CA No. C86126 24 40% Daniela Malott, P.E.

Professional EngineerDrainage CA No. C86581 10 40%
Chris Engelbach, EIT Project Engineer- Site/Grading E.I.T. 13 40% Michael Furlong, PLS Surveyor CA PLS No. 8899 43 20%
Katie Grimard, EIT Design/Survey Engineer CA ET31300303 9 40% Principal-in-Charge
Jacob Vandervis, P.E.

Lead PM/Specs.

David Sloan, P.E.

Technical Managers
Drew Leino, CAD Manager
Sub-Consultants
SOCALGEO– GEOTECHNICAL
TK1SC – MEP
CDPC – LANDSCAPE ARCHITECT
TAIT Surveying
Michael Furlong, PLS
Katie Grimard, EIT
TAIT Engineering and Surveying Support Staff
Design Team
Samantha Wohlfarth, P.E.

Bart Mink, P.E., LEED AP
Daniela Malott, P.E.

Chris Engelbach, EIT
QA/QC Manager
Todd Broussard, P.E., QSD/P
City Council 15 – 554 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Page | 5
d. Understanding of Need
Approach
Public works engineering contracts require careful planning, effective communication, and precise execution. For each project assigned to TAIT, we will employ our proven 5 step project management protocol (Understand→Assign→Plan→Execute→QA/QC) in order to ensure a successful project:

UNDERSTAND: Upon receipt of an RFP from the City, TAIT will conduct a cursory project review and will research existing conditions in order to ensure we have a full understanding of the scope. We will meet with the City to discuss the project in an effort to understand the City’s needs, and will coordinate with and obtain design requirements from all stakeholders or jurisdictions that will be affected by the project. All records obtained during the proposal will be compiled for future reference and benefit during the design phase.

ASSIGN: TAIT’s engineering division has expertise in public works water, sewer, roadway, storm drain, hydrology/hydraulics, pre/post construction water quality control, surveying, and minor structural engineering and analysis. Based on the scope of the project, TAIT’s project manager will assign a lead project engineer to each contract whose background best matches the needs of the project. Key subconsultants such as geotechnical, traffic, landscaping, environmental, and MEP team members will then be assigned to the project at this phase based on the needs of the project.

PLAN: We will prepare and submit a clear and concise scope of work, project schedule, and fee proposal that includes all necessary tasks to successfully complete the contract. Key considerations in the planning phase will include the funding source (local/state/federal) and associated permitting/documentation requirements, stakeholder requirements/needs, level of design detail desired by the City (plan/plan & profile), storm water quality requirements, coordination and meeting needs, and the overall scheduling needs.

EXECUTE: Upon issuance of the notice to proceed, TAIT will actively and effectively execute the scope of work for the contract. Our assigned project manager will stay in constant contact with the City and will remain available and responsive to the City’s needs through the life of the project.

QA/QC: The final component to each of our projects is the implementation of our Quality Assurance/Quality Control (QA/QC) program. Our QA/QC Program focuses on the following four primary objectives:
• Ensure that a quality design has been provided to the City, by following established in-house design checklists that meets our own requirements as well as the agency’s, • Verify that different disciplines and agencies have been coordinated with in the development of the design plans,
• Verify that the proposed improvements are able to be constructed, and • Verify that a cost effective analysis approach was followed to achieve the City’s specific project goals and objectives.

TAIT utilizes a Total Quality Management approach. TAIT’s philosophy is that quality control begins at day one and does not end until the project is constructed.

City Council 15 – 555 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Page | 6
Quality Control is the responsibility of each and every team member. It includes the selection of project team members who have demonstrated the experience and the ability to understand and apply the project objectives to achieve a specific goal. It also requires open and continuous communication between all team members.

Timely reviews are provided prior to making submittals. Before plans are submitted to outside parties and the City, a senior member of TAIT will conduct a detailed review of the design to verify the quality, constructability and completeness of the documents to be submitted. If a Value Engineering measure is identified by the reviewer, it will be discussed with the Project Manager to determine the next appropriate action (i.e.: implement the measure, review the measure with the City, or conduct additional analysis to determine the feasibility and potential cost savings). At the completion of TAIT’s in-house review, the design documents are returned to the design team for corrections. The Project Manager is then responsible to ensure that all review comments have been properly addressed prior to submittal of the plans and reports for agency review and approvals. TAIT understands the needs of public agencies and their projects, and we look forward to proving our value to the City on your upcoming design engineering projects.

Understanding of Scope of Services
TAIT understands and is committed to fulfilling all items in the RFP’s scope of services for this contract with both our in-house services and our sub-consultants (Sub). Below is a matrix depicting this commitment to the core services.

We can similarly perform all additional services the City needs on a project-by-project basis.

Scope of Services Performed By
Civil-Engineering Design TAIT
Structural TAIT
Geotechnical TAIT Sub-SoCalGeo
Land Surveying TAIT
Architectural TAIT
Landscape Architectural and
Irrigation TAIT Sub-CDPC
Environmental TAIT & TAIT Sub-TBD
Electrical TAIT Sub-tk1sc
Mechanical TAIT Sub-tk1sc
Instrumentation and Control
Systems TAIT
Financial and Economic Consulting
Engineering TAIT & TAIT Sub-TBD
City Council 15 – 556 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Page | 7
e. Relevant Project Experience
Santiago Park Nursery
City of Santa Ana, CA
TAIT provided the City’s Water Department with surveying and design services to define the reuse of the abandoned portion of Santiago Park, once used by the Santa Ana Police Department as a canine training area.

The scope of services included topographic and boundary services to identify the existing improvements for demolition in providing a “clean site” for re-use as a City demonstration area for drought tolerant landscape and irrigation. In addition, new fencing and a pathway to connect this area to other portions of the Park were delineated.

East Station Perimeter Wall Project
City of Santa Ana, CA
TAIT is currently providing the City’s Water Department with surveying, design, and landscape architecture services to design and construct a new CMU perimeter wall at the East Pump Station Located within the City. The new perimeter wall was required to provide higher security for the site which was currently experiencing a high percentage of individuals attempting to enter the site
The scope of services included topographic and record boundary services to identify the existing improvements for demolition, design of new perimeter wall and security system, street improvements, landscape improvements, and coordination of on and off site utilities. The project scope also expanded to include the design and survey of two additional City facilities which required the preparation of an extensive record of survey to document incorrect prior monumentation of the roadway. Survey efforts were extensive and required coordination with City surveyor as well as the County surveyor in order to obtain approval of the revised record of survey.

Design is anticipated to be completed in Summer of 2022 and Construction is currently pending.

Client:

City of Santa Ana
Reference:

Robert Aguirre, PE
Design Cost:
$17,400
Project Dates:

Design: September 2021-
May. 2022
Project Team:

PIC: Jacob Vandervis
PM: Todd Broussard
QA/QC: David Sloan
Reference Contact:

Robert Aguirre, PE
Client:

City of Santa Ana
Design Cost:
$17,400
Project Dates:

Design: September 2021-
May. 2022
Project Team:

PIC: Jacob Vandervis
PM: Todd Broussard
QA/QC: David Sloan
Reference Contact:

Armando Fernandez, PE
Client:

City of Santa Ana
Design Cost:
$132,000
Project Dates:

Design: 2020- 2022
Project Team:

PIC: Jacob Vandervis
PM: David Sloan
QA/QC: Todd Broussard
City Council 15 – 557 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Page | 8
Pipeline Management Program, FY2019-2020-
Phase 1 Project
Glendale Water & Power, Glendale, CA
TAIT was contracted to provide design build services with JDC for the potable waterline project within the various residential neighborhoods of Glendale, CA. The project was located in the residential streets in an area of Glendale which required our team to develop construction documents that could accommodate traffic during construction and a design that would work with many existing utilities. The design involved the preparation of plans and specifications for approximately 9,951 linear feet of 8-inch water pipeline and 1,584 linear feet of 12-inch water pipeline.

TAIT provided the design services along with topographical survey of the neighborhood. Due to the numerous existing utilities and mains within the project, detailed designs were provided to ensure adequate clearance between all utilities. TAIT met and discussed with many of the utility surveyors in order to ensure the final design and construction was approved by all.

Pipeline Management Program, FY2018-
2019-Phase 1 Project
Glendale Water & Power, Glendale, CA
TAIT was contracted to provide design build services with JDC for the potable waterline project within the various residential neighborhoods of Glendale, CA. The project was located in the residential streets in an area of Glendale which required our team to develop construction documents that could accommodate traffic during construction and a design that would work with many existing utilities. The design involved the preparation of plans and specifications for approximately 12,406 linear feet of 8-inch water pipeline and 480 linear feet of 12-inch water pipeline.

Reference Contact:

Coleman Johnson
141 N. Glendale Ave.

Glendale, CA 91206
(818) 551-6910
[email protected]
Client:

Glendale Water & Power
Construction Cost:
$4.4 million
Design Cost:
$193,796
Project Dates:

Design: 2019-2020
Construction: 2020
Project Team:

PIC: Jacob Vandervis
PM/PE: Samantha Wohlfarth
QA/QC: David Sloan
Reference Contact:

Maria Fraser, PE, CIP
Engineering Manager
13220 Central Avenue
Chino, CA 91710
(909) 334-3310
[email protected]
Client:

City of Chino
Construction Cost:
$2.1 million
Design Cost:
$134,998.75
Project Dates:
2018-2022
Project Team:

PIC: Jacob Vandervis
PM: David Sloan
PE: Bart Mink
PE: David Sloan
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Chino Alley Sanitation/Rehabilitation Projects; SN-161 & SN191 City of Chino, CA
TAIT provided full reconstruction design and surveying services to the City of Chino for nine (9) separate alley segments comprising of approximately 8,500 lineal feet of existing alleyways, protection of existing above ground utility appurtenances, PCC alley approaches, PCC ADA curb ramps, PCC ADA sidewalks, proposed bulb-outs, damaged water meter box replacements, and approximately 2,650 LF of a new 8” PVC waterline replacing a similar length of 50+ year old 6” ACP line within one alley. The City required that all points of connection to the existing systems running along crossing alleys be upgraded to include the newer and larger PVC water pipe and the installation of new water values in each cross alley.

Many of the segments between cross alleys required obtaining approvals from the State Division of Drinking Water due to restricted vertical clearances between existing utilities installed in the narrow alley. The contractor is currently finalizing final punch list on this successful project this month, April 2022.

Quadrant III Water Main Replacements
City of Chino, CA
TAIT has provide design services to the City of Chino for approximately 7000 linear feet of new 8-inch PVC water line replacing a similar length of 50-year old 6-inch ACP lines within 13 residential street. Over 170 customers will be affected during construction. The City required that all points of connection to be upgraded to include the newer and larger PVC water pipe and the installation of new water values in each cross street.

Eight of the thirteen segments require obtaining approvals from the State Division of Drinking Water due to restricted horizontal clearances in the narrow residential streets. To assist the City in meeting an early delivery schedule for one of their current water projects Quadrant III water plans were separated into two separate bid contracts. The first segment of 2800 LF was recently awarded at a low bid price of $990,000 and construction commenced in April 2018 and completed in 6 months. The second bid package received City authorization to advertise in February 2018 and was constructed in 2018.

Client:

City of Chino
Reference:

Lupe Camacho
13220 Central Avenue
Chino, CA 91710
[email protected]
(909) 334-3406
Construction Cost:
$2.3 million
Project Dates:

Design: May 2017-Jan. 2018
Construction: 2018
Project Team:

PIC: Jacob Vandervis
PM: Todd Schmieder
PE: Samantha Wohlfarth
QA/QC: David Sloan
Client:

Glendale Water & Power
Reference:

Kevin Runzer
141 N. Glendale Ave.

Glendale, CA 91206
[email protected]
(818) 551-6910
Construction Cost:

Approx. $1.69 M
Project Dates:

Design: 2016-2017
Construction: 2017
Project Team:

PIC/PM: Jacob Vandervis
QA/QC: Todd Schmieder
PE: Samantha Wohlfarth
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Hoover, Toll, Keppel Recycled Water Project
Glendale Water & Power, Glendale, CA
TAIT was contracted to provide design build services with JDC for the recycled water project within the Glenwood residential neighborhood and surrounding schools. The project was located in residential streets in an area of Glendale which required our team to develop construction documents that could accommodate traffic for three public schools and a design that would work with many existing utilities. The design involved the preparation of plans and specifications for approximately 5,890 linear feet of 8-inch recycled water pipeline to bring recycled water to GWP’s customers in the area. In addition, the project provided enough capacity for future extension and expansion. TAIT provided the design services along with topographical survey of the neighborhood. Due to the numerous existing utilities and mains within the project, detailed designs were provided to ensure adequate clearance between all utilities. f. References
City of Chino
Lupe Camacho
(909) 334-3406
13220 Central Avenue, Chino, CA 91710
Projects: Quadrant III Water Main Replacement
Glendale Water & Power
Andy Cheung
(818) 551-6909
141 N. Glendale Ave., Level 4, Glendale, CA 91206
Projects: Hoover, Toll, Keppel Recycled Water Project, Kenneth and Ben Lomond Water Main Replacements Project, Adams Hill Neighborhood Water Main Replacement Project, Beaudry Terrace Water Main Replacement Project
Golden State Water Company
Conde Ventura, PE
(310) 436-6950 x102
630 E. Foothill Boulevard, San Dimas, CA 91773
Projects: Foothill District Water Main Replacements, Normandie Ave. Water Main Replacement Reference Contact:

Kevin Runzer
141 N. Glendale Ave.

Glendale, CA 91206
(818) 551-6910
[email protected]
Client:

Glendale Water & Power
Construction Cost:
$3.1 million
Project Dates:

Design: 2018-2019
Construction: 2019
Project Team:

PIC/PM: Jacob Vandervis
PE: Samantha Wohlfarth
QA/QC: Todd Schmieder
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2. Scope of Services and Schedule
Below is a sample Scope of Work from a recent successful Water Main Replacement Project.

Sample Scope of Work
PHASE 1) ADMINISTRATION
A As-Built Research, Investigation and Review
Review of record Information provided from the City files will be conducted to verify existing field conditions. TAIT will also research and acquire existing available design records and utility information. It is anticipated that the information collected during the research phase will be used to assist in the development of the project base maps.

The records research will include obtaining records from the City, utility providers and all other jurisdictions within the project limits. In addition, TAIT will document, contact, and coordinate with other public and private agencies/entities/jurisdictions involved to inform them about the project and obtain their records, approval, and permit requirements, as applies.

Obtained records will be reviewed and correlated with the Topographic and aerial (Bing Map) data in order to prepare the final project Base map.

Deliverables:
✓ Digital Copies Records, Field Notes, Observations, & Photos B Utility Research & Notification
Utility Notices
At project inception, TAIT will conduct utility research through Dig-Alert and City records and will prepare and distribute the 1st utility notifications which will identify the project intent, limits, and general scope of work and will request that each utility provide our office with the associated As-Built records for the project limits. TAIT will review and compile the received responses in to the project Utility matrix for tracking of existing utilities and conflicting facilities.

Upon completion of the 60% design, TAIT will distribute a 2nd notice to all present utilities and will include a current set of plans for the utility’s review and comment. All foreseen utility relocations or conflicts will be identified in this notice for the Utility’s review and action. TAIT will actively coordinate with all utilities in order to ensure all relocations are coordinated and completed prior to the start of the City’s project.

The final notice will be sent at the design completion stage and will include a signed print of the plans for the utilities records. TAIT will review all obtained record data and will coordinate with utilities that may be affected in order to obtain further design and construction requirements.

All utility coordination, records and data will be compiled at the end of the project and will be submitted to the City for future reference.

Utility Records & Base map
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As utility records are received, TAIT will update the project base map to ensure the plans have the most recent alignment, size, type and depth of utilities currently present.

Utility Coordination
TAIT will coordinate with all present and affected utilities during the course of the design. All potential conflicts with the improvements will be identified, and contact will be made with the appropriate utility coordinator. Utility permits are not anticipated as part of this contract.

Utility Potholing
Tait will develop a potholing plan to identify locations in the field where field potholing may be required to finalize the project’s vertical alignments. Abased on a review of each project segment Tait has identified potentially a total of 30 potholes that may be required.

After the approval of the preliminary water line pipe alignment and connection points, Tait will l identify each pipe crossings using record drawings, field observations and field survey data. Of the total number of pipe crossings identified, Tait will then identify the most critical crossings that would require further investigation. The critical locations will then be used to develop a Potholing Plan for the project. This Plan will then be submitted to the City for approval of the Potholing Plan and the contract required number of potholes being proposed.

Tait’s Fee Proposal provides a cost be pothole, the cost for a full day of potholing (approximately five to six potholes based on the pothole locations and traffic conditions encountered) and the total cost to do the 30 potholes initially identified by Tait in the development of our proposal project understanding. Based on the final Number of Potholes the city will identify the proposed approach to address the cost of conducting field services portion of the project’s utility potholing.

Utility Potholing - Field Services – OPTIONAL TASK
TAIT has obtained the services of Bess Testlab Inc. (BTL) in order to provide any required potholing on this contract. In order to maximize the benefit of the potholing activities, TAIT proposes to conduct all potholing services during the preparation of the 60% plans. Pothole locations will be tied to existing features in the field in order to accurately represent the location of the potholes on the plans.

The proposed potholing approach will use “spotholing” methods in order to minimize the time of traffic impact and damage to the pavement structure. 1’x1’ diameter holes will be cut in the pavement soil will be excavated down to the depth of existing utility via use of a vacuum truck and a high pressure hose.

Deliverables:
✓ Utility Notice & Responses, Utility Records, Utility Correspondence, Dig Alert list of Utilities ✓ Utility Potholing Base map
✓ Utility Pothole Report
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C Field Survey
TAIT will conduct field survey and prepare the base mapping per RFP requirements utilizing our in-house surveying services. Per the RFP requirements, the pricing for surveying services has been included at a prevailing wage rate. The scope of Field Surveying includes:

Design Field Survey
Upon issuance of NTP, TAIT survey will conduct a field control and topographic survey at each project location in order to obtain the required topographic elements.

Project Base Mapping
As part of this contract, TAIT will prepare the following base mapping for incorporation in the project design:
• Topographic
• Right of way
• Existing Utility
It is assumed that the City will provide TAIT with any available GIS and record base maps for the project limits (Right of Way & Utility) to aid in the preparation of the base maps. TAIT will format and update the base mapping with the noted existing records and all other applicable existing improvements (loops, signal equipment, striping, legends, etc.). It is anticipated that right of way base mapping will be per record documents only, and that the City will provide all available right of way and property records to TAIT at the design kickoff meeting.

Survey Shapefile Conversion & Metadata Input
Upon completion of the base mapping activities, TAIT will convert the topographic survey and aerial survey base mapping to the required GIS shapefile format and will input available metadata for the utility facilities which were observed and found during the records research.

All data will be exported per the RFP requirements and submitted to the City via FTP server transfer.

Deliverables:
✓ Field Survey Data
✓ CAD Project Base Map
✓ Topo Shapefile Dataset with Metadata
D.1 Preliminary Engineering Analysis and Alignment Selection During and upon completion of the previous tasks, TAIT will initiate the preliminary engineering analysis and alignment selection task. This project includes the design and analysis of nine separate project segments. The location and proposed alignment for the water mains will be analyzed in order to determine the most ideal location and path for both features. TAIT will utilize the geotechnical investigation provided by the City in conjunction as part of this initial design. This task includes:

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Design Field Walk
This sub-task includes all hours necessary for the field review and design required to observe and document the existing site conditions and to identify anticipated work items. Existing condition photos will be taken along the project limits in order to aid the City in construction coordination. All field notes will be compiled and stored in the design file for reference.

Preliminary Design & Layout (30% Plans)
TAIT will prepare 30% layout plans are part of this task and will submit to the City for review and verification of the proposed alignment and layout of improvements. Upon city review and approval of the proposed alignment and improvements TAIT will initiate the plan and profile preparation stage.

Deliverables:
✓ Field Walk Notes
✓ Preliminary Findings & 30% Layout Plans (Digital & Hard Copies) D.2 Final Plan Preparation
Upon City confirmation of the preferred design alternative, TAIT will initiate the preparation of the 60% PS&E package. The following are the anticipated sheet counts for the proposed plan set:

The key components of the plan package are described below:

Title Sheet
A title sheet will be prepared for each Bid Set (total of two) and will include all City of Chino standard notes, a vicinity map predicting the location of each pipe replacement segment, a list of utility contacts and project abbreviations and legends. The Title Sheet (and the rest of the plan set) will be prepared on the City standard title block on 24”x 36” bond paper.

SHEET

DESCRIPTION
Project area 23 28 30 32 41 38 42 43 46 47 48 49 59
Title Sheet 1 1
Notes, & Typical
Details
2 3
Water Main
Replacement
Plan & Profile
3 2 1 2 1 2 2 1 1 1 1 3 1
Water & Sewer
Main Connection
Details
2 3
2-phase Traffic
Control Plans
2 2 2 2 2
Total Sheet
Count
10 4 3 4 1 9 2 1 1 1 1 5 1

TOTAL ANTICIPATED SHEETS
Bid Package 1 Bid Package 2
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Notes & Typical Project Details
Typical Section Sheets will be prepared for each bid set (a total maximum of five sheets – 2 for Bid Set 1 and 3 for Bid Set 2). The Typical Section sheets will include typical details for each street segment and a water line trenching detail. In addition, details for typical water lateral service connections/extensions, undercrossing, valves and other appurtenances may be included on this sheet. Additional sheets may be included based on the plan development and project needs. If requested by the City, a summary list of bid quantities per Bid Set will be provided on this Sheet.

Special details required for construction of connections will be included on separate Connection Detail sheets. Additionally, notes on connection requirements will be included on the Connection Detail sheets. Phasing requirements for the construction of the water main will be included on the water main replacement plans in order to ensure continuous service to the properties affected by the project (and/or on the traffic control plans, as appropriate).

Water Main Replacement Plan & Profile
Water main replacement plan & profile sheets will be prepared for the entire project limits with a 1”=20’ horizontal and a 1”=2’ or 4’ vertical scale. Roadway stationing will be depicted along the roadway centerline with water improvement stationing being depicted along the proposed water main for all proposed improvements. Location of work items will be called out based on roadway or water main stationing, as applicable.

Existing roadway, striping, private property, and surface features will be depicted on the plans along with callouts for owner, size, and type of all substructure utilities for which records were obtained.

The profile will include an existing ground profiles of the approximate roadway surface and a pipe network projection of all proposed water main improvements including valves, crossings, and any additional water features. Proposed grades and location of the existing sewer main improvement will also be depicted on the water main plans for reference during construction and to ensure conflicts are avoided. Locations of existing sewer laterals, if known based on information provided to Tait, will be identified in the plans. Dry Utilities will be identified by notes based on information may available by Utility providers.

Water Main Connection & Abandonment Details
Connection and abandonment details (as applies) will be provided for all interconnect or major water main connections along the proposed project limits. Details will be prepared in 1”=10’ scale depending on the level of complexity for the location. A maximum of one detail per segment is assumed except for Segment 23, 42, 49 and 59. Segment 23 is assumed to have three connections details and Segments 42, 49 and 59 are assumed to have two connections each. 60%, 90%, & 100% PS&E QA/QC, Compilation, and Submittal The following submittals are anticipated as part of this project:
✓ 60% PS&E
✓ 90% PS&E
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✓ 100% PS&E
Prior to each submittal, TAIT will conduct a full QA/QC review per our quality assurance protocols described at the end of this section. Additionally, TAIT will plot, compile and deliver the noted number and format of PS&E to the City for each submittal per the RFP requirements.

Deliverables:
✓ 60% Plans (4 Hard Copy Sets)
✓ 90% Plans (4 Hard Copy Sets)
✓ 100% Plans (4 Hard Copy Sets)
E Traffic Control Plans
Traffic Handling Concept Coordination with City
A traffic handling concept or approach for the project will be discussed with the City in conjunction with the city’s review of the 60% PS&E documents. The purpose of the traffic handling concept coordination efforts will be to identify site issues/traffic circulation concerns that will form the basis of understanding for final traffic control requirements based on a specific project segment. Based on the discussion with the City, the project segments that require the preparation of a Traffic Control Plans as part of the bid documents will be identified. The actual preparation of the project’s Traffic Control Plans will be provided as an Optional Task.

The Bid Set specifications, developed under Work Task G, and the traffic control/handling notes reflected on the construction plans will be prepared to provide clear delineation of the City’s requirements for the contractor’s implementation of traffic control requirements for project segments where a project specific Traffic Control Plan has not been prepared.

Traffic Control Plans – OPTIONAL TASK
TAIT and TAIT’s Subconsultant (TJW Engineering, Inc.) will prepare two-phase Traffic Control Plans for the City designated project segments based on the results of the conceptual traffic handling discussions with the City as an Optional Task. A cost per a typical single location based on a 2-phased traffic control plan per project segment has been provided.

The City-requested Traffic Control Plans will then be prepared for submittal to the City at the 90% and 100% stages. The Traffic Control Plans will be prepared based on city as-built street plans and images obtain from aerial photographs and will be developed per the California Manual of Uniform Traffic Control.

Deliverables:
✓ Traffic Handling Coordination meeting Notes at 60% Stage ✓ Traffic Control Plans at 90% Stage (Digital & Hard Copy), if requested by the City ✓ Traffic Control Plans at 100% Stage (Digital & Hard Copy), if requested by the City City Council 15 – 566 8/16/2022
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F Engineer’s Quantity and Cost Estimate
TAIT will prepare cost estimates at the 60%, 90% & 100% PS&E stage for City review and input. Unit prices will be checked against recent City projects. Work items will be prepared to correlate with the specifications and will include all work items including mobilization, storm water compliance, traffic control and striping. The cost estimate will be reviewed by the QA/QC Manager prior to each submittal per the quality assurance program.

Deliverables:
✓ 60% Engineer’s Cost Estimate (Digital & Hard Copy)
✓ 90% Engineer’s Cost Estimate (Digital & Hard Copy)
✓ 100% Engineer’s Cost Estimate (Digital & Hard Copy)
G Construction Specifications and Bid Documents
TAIT will prepare technical specifications for the proposed project based on the City boilerplate specifications. Each work item will have a clear measurement and payment clause in order to avoid costly change orders during the construction phase. Specifications will also include clear delineation of the traffic control requirements, water pollution control requirements, survey monument protection and replacement requirements, and construction scheduling parameters as well as coordination requirements with utilities. Utility owners, coordination and contact requirements, and additional permitting requirements will also be included in the specifications. The project specifications will be reviewed by the QA/QC Manager prior to each submittal per the quality assurance program.

The initial Specification submittal at 60% PS&E will include a single set of the Draft Technical Specifications covering both bid packages that will be used to verify City format requirements. (A separate Bid Schedule for each Bid Set will be provided with the 60% Draft Technical Specifications.) The 90% and 100% Project Specifications will include a separate package for each Bid Set.

Deliverables:
✓ 60% Draft Project Specifications (Digital & Hard Copy) ✓ 90% Project Specifications (Digital & Hard Copy)
✓ 100% Project Specifications (Digital & Hard Copy)
H Plan Interpretation and Bidding Assistance:

This task includes the necessary hours for providing limited bidding assistance to the City during the bidding phase. TAIT will remain available to the City and will respond to Contractor RFIs based on the City’s request. This task has been assumed to be billed in a time and material basis. Additional hours and fees may be requested based on the final number of RFIs and correspondence required during the bidding phase.

I Construction Support and Shop Drawing Review
This task includes the following two sub-tasks
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Construction Support:

This task includes the necessary hours for providing limited construction assistance to the City during the construction phase. TAIT will remain available to the City and will respond to Contractor RFIs based on the City’s request. TAIT will also review and provide responses to Contractor submittal documents during the construction phase. It is assumed that the City’s construction manager will take the lead role in reviewing submittal documents and that TAIT will play an assisting role for the submittals that require further attention to detail. For budgeting purposes, this task has been assumed to be billed in a time and material basis. Additional hours and fees will be requested based on the final number of RFIs and submittal review and construction correspondence required during the construction phase.

Deliverables:
✓ Written Response to RFIs (As needed)
✓ Stamped and Reviewed Construction Submittal Documents (As Needed) As-Built Plans
Upon completion of the construction phase, TAIT will incorporate the City provided redlines from the Contractor and the Inspector in to the design plan set in order to prepare a final AsBuilt document for City records. All field changes will be noted via rev cloud and delta note to indicate As-Built revisions. Plans will be prepared and submitted in PDF format to the City for initial review and acceptance.

Deliverables:
✓ As-Built Plans (PDF Copy)
J Project Meetings
Per RFP requirements, a total of 5 meetings have been assumed as part of this task. At a minimum, the following meetings are assumed:

Design Kickoff Meeting
A design kick-off meeting with TAIT’s key team members, City staff, and other affected parties, will be held at the start of the project to identify clear lines of communication and review the final scope, schedule, milestones and other project details of concern. It is anticipated that the City will provide pertinent record information for the existing streets and utilities including asbuilt plans for the project limits. It is also understood that the City will provide standard drawings, templates, and City design standards to TAIT at this time. Based on our actual NTP date, TAIT will prepare and present an update of our project schedule. TAIT will also prepare a meeting agenda for initial circulation. Upon completion of the meetings, TAIT will prepare meeting minutes for circulation, review and comments. All meeting agendas, minutes and exhibits will be filed in our project folder for final submittal to the City at the completion of the project.

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Design Review & Status Update Meetings
Based on City require and project needs, TAIT will schedule design review and status update meetings with City staff and stakeholders to discuss and review the project. TAIT will prepare Agenda/Minutes for the given meetings and will coordinate ahead of time with the City to verify attendees and key points of discussion.

Deliverables:
✓ Meeting Agenda, Minutes, Updated Schedule & Coordination Records Sample Project Schedule
Below is a sample project schedule from a recent successful Water Main Replacement Project.

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3. Fee Proposal
TAIT’s Hourly Fee Schedule is included in a separate document per the RFP’s instructions.

4. Certifications
We’ve included our certification forms in the Appendix to comply with the RFP’s page limit.

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Appendix | 21
Appendix
Resumes
Jacob Vandervis, PE

PRINCIPAL-IN-CHARGE
Mr. Vandervis currently serves as a Vice President/Chief Operations Officer in TAIT’s Corporate Office in Santa Ana. In addition to his management duties, he acts as the primary point of contact for several national retail and residential developers. Mr. Vandervis is a licensed civil engineer with over 36 years of experience with land development projects in the western United States. He has been a member of the TAIT team for the past 25 years. His areas of expertise include site design, grading design, water main design, drainage studies, water pollution control plans, erosion & sediment control plans, as well as street improvement plans. He is experienced in site design of all sizes for commercial development, involved in preliminary design to develop cost estimates & due diligence packages, as well as experienced in the entitlement phase of projects. His surveying experience includes the preparation of ALTA and topographic surveys, parcel maps, record of survey and legal descriptions.

He is a certified Qualified SWPP Developer (QSD), Certified Development, Design & Construction Professional (CDP) and Certified Retail Property Executive (CRX).

Pipeline Management Program, FY2019-2020-Phase 1 Project, Glendale Water & Power, Principal-in-Charge, 2019-2020
Principal-in-Charge of the design build services with JDC for the potable waterline project within the various residential neighborhoods of Glendale, CA.

The project was located in the residential streets in an area of Glendale which required our team to develop construction documents that could accommodate traffic during construction and a design that would work with many existing utilities.

Pipeline Management Program, FY2018-2019 Phase 1 Project, Glendale Water & Power, Principal in Charge, 2018-2019
Principal in Charge of the work being conducted by all TAIT staff to provide Design Engineering Service for the $3.1 M water main replacement project throughout various locations in Glendale, CA. Primary responsibilities were to review and stamp water main replacement plans and specifications, supervise design engineers and coordinate with client and contractor through the design and construction phases.

Education
B.S. -- Civil Engineering
California State University,
Long Beach
Year of TAIT Team
Enlistment
1997
Total Experience
36 Certifications
Registered Professional
Engineer, Civil – California,
Oregon, Arizona, Utah,
Nevada, North Dakota,
Washington, Hawaii, and
Alaska.

Professional Engineer
California No. C46301
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El Salvador Park Regional Infiltration Basin, City of Santa Ana, Principal in Charge & QA/QC Manager, 2020
Principal in Charge & QA/QC Manager of the full service civil engineering design services associated with a planned regional water quality basin at El Salvador Park in the City of Santa Ana. The scope of work included the design and analysis of two parking lots located off of Civic Center Drive as well as a vacant corner lot located at the intersection of Civic Center & English Street for the planned infiltration basin.

Packer Place Linear Park Dry Creek & Drainage Improvements, City of Lake Forest, Principal in Charge & QA/QC Manager, 2019-2020
Principal in Charge & QA/QC Manager of the full service civil engineering design services to mitigate drainage ponding and flooding that was occurring at Packer Place linear park between the Packer Place Cul De Sac and Cavanaugh Drive.

Bristol Street and Civic Center Drive Water Quality Improvements, City of Santa Ana, Principal in Charge & QA/QC Manager, 2020
Principal in Charge & QA/QC Manager of the civil engineering design services associated with water quality improvements on the Bristol Street and Civic Center Drive Improvement Project.

WQMP/BMP Design for the El Toro 20 Acre RV Storage Lease, City of Irvine, Principal in Charge & QA/QC Manager, 2019-2020
Principal in Charge & QA/QC Manager of the Water Quality Best Management Practices (BMP) and included cost estimates, coordination with the client, development of construction plans for the BMP’s installation, and the design and approval of a connection to an existing Orange County Flood Control facility.

Foothill Water Main Replacement Project, Los Angeles County, Golden State Water Company, Project Manager, 2013
Project Manager & Principal in Charge of the work being conducted by all TAIT staff to provide Design Engineering Service for then $2.5 M water main replacement project throughout six locations in Los Angeles County for Golden State Water. Primary responsibilities were to review and stamp water main replacement plans and specifications, supervise design engineers and coordinate with client and contractor through the design and construction phases.

Abridged List of Additional Project Experience by Jake:
➢ Normandie Ave. Water Line Improvements, Golden State Water Company, Principal in Charge, ➢ Harbor Blvd. Storm Drain and Street Reconfiguration Project, City of Garden Grove, Principal-inCharge ➢ On-Call Engineering Services, Orange County Public Works, Principal-In-Charge ➢ 100 Acre Parcel Development El Toro Marine Base, Orange County Public Works, Irvine, CA, Project Director
➢ City Hall Underground Fuel Storage Tank Removal and Replacement, City of Irvine, Principal-InCharge City Council 15 – 572 8/16/2022
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M. Todd Broussard, P.E., QSD/P

QA/QC MANAGER
In addition to 14 years of private development experience (9 of those with TAIT), Mr. Broussard has over 21 years of municipal design and project management experience as Principal Civil Engineer with the City of Huntington Beach Public Works Department, overseeing an annual Capital Improvement Program budget of approximately $25 million per annum. Project specific responsibilities included street improvements, wastewater, stormwater, and special projects outside of the public right of way for the City as detailed below.

Sewer Master Plan, Principal in Charge, 2005
As Principal in Charge, oversaw the consultant preparation of the City’s Sewer Master Plan and subsequent focused Sewer Flow Study to identify capacity related improvements for the City’s approximately 500 miles of sewer mains and 31 sewer lift stations.

Sanitary Sewer Monitoring Program (SSMP), Principal in Charge, 2010 Served as Principal in Charge to develop the City’s initial SSMP and served on the Waste Discharge Regulation (WDR) Steering Committee, to develop the County of Orange SSMP guidelines.

Sewer Lining Projects, Engineer of Record/Principal in Charge, 2002-2021 Served as Engineer of Record and/or Principal in Charge of approximately fifteen individual sewer lining projects, totaling approximately 150,000 lineal feet of 8” to 18” sewer main lines, utilizing both “fold and form” and “cured in place” lining methods. Projects also included lining of adjacent sewer manholes, primarily with polyurethane coatings.

Warner Avenue Sewer Upgrade Project, Principal-in-Charge, 2014 Served as Principal in Charge overseeing consultant designed gravity sewer main upgrade project. This project upsized the existing sewer main utilizing the micro tunneling method of construction.

Sewer Lift Station Rehabilitation Projects, Principal in Charge, 2003-2019 Served as Principal in Charge, overseeing consultant design, for ten sewer lift station rehabilitation projects. Most projects were completely rebuilt adjacent to the existing lift stations, due to effects of the marine environment on the existing structures. Most projects required either dewatering and/or tremie seal insitu construction due to high ground water.

Drainage Master Plans, Principal in Charge, 2005 & 2018 Served as Principal in Charge overseeing two consultant prepared Drainage Master Plans. Many of the City’s approximately 200 miles of storm drains and Education
Master of Public
Administration, California
State University
B.S. -- Civil Engineering,
University of Louisiana,
Lafayette
Year of TAIT Team
Enlistment
2021
(1989-1997) Previous
Total Experience
35 Certifications
Professional Engineer
California No. C57144
CWEA Grade IV
Wastewater Collection
Associations
American Public Works
Association
American Society of Civil
Engineers
California Water
Environment Association
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Appendix | 24
17 storm drain pump stations were constructed prior to County of Orange’s 1986 Hydrology Update, which rendered many of the existing drainage infrastructure deficient. With no dedicated funding source, Federal Grants have been utilized to improve this infrastructure.

Alabama Storm Drain Upgrade Project, Engineer of Record/Principal-in-Charge, 2008 Served as Engineer of Record and Principal in Charge of the Alabama Storm Drain project to upsize approximately 2,200 lineal feet of storm drains. The project utilized a Federal Community Development Block Grant to fund the construction and required a Coastal Development Permit.

Meredith Storm Drain Project, Principal-in-Charge, 2016 Principal in Charge for the Meredith Storm Drain project, which upsized approximately 500 lineal feet of storm drains and adjacent catch basins.

Shields Pump Station Project, Project Manager, 2001
Served as Project Manager for the Shields Pump Station Rebuild overseeing the consultant design for replacement of the pump station, which was land locked and required construction during the rainy season.

Heil Avenue Pump Station Project, Principal in Charge, 2020 Principal in Charge over consultant designed pump station. This project was funded by a Federal PreHazard Mitigation Grant, which required a benefit cost analysis as part of the application process. The project was shelf ready awaiting final FEMA authorization to proceed.

Meredith Pump Station Building Expansion, Principal in Charge, 2016 Served as Principal in Charge overseeing the consultant design for the expansion of the Meredith Pump Station building to accommodate larger pumps.

Beach Outlet Water Quality Project, Engineer of Record/Principal in Charge, 2004 Served as Engineer of Record and Principal in Charge for construction and installation of CDS gross pollutant separators at 12 beach and wetland outfalls. This project was funded by a State grant due to higher-than-normal ocean bacteria levels in the early 2000’s.

Abridged List of Additional Project Experience by Todd:
➢ Arterial Rehabilitation, Engineer of Record/Principal in Charge, 2002-2021 ➢ Residential Overlay, Engineer of Record/Principal-in-Charge, 2011-2021 ➢ Alley Rehabilitation, Engineer of Record/Principal-in-Charge, 2015-2021 ➢ Atlanta Street Widening Project, Principal-in-Charge, 2019 ➢ Newland Street Widening Project, Principal in Charge, 2010 ➢ Beach Blvd. @ I-405 Thru-Lane Improvements, Principal in Charge, 2015 City Council 15 – 574 8/16/2022
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David Sloan, PE

LEAD PROJECT MANAGER/SPECIFICATION MANAGER
As a Project Manager, David has performed and coordinated detailed designs on arterial roadways and pipeline projects, and conducted utility coordination for major relocations projects. He has also prepared designs for temporary construction traffic control plans during his career. David has acted as community coordinator for high profile projects and has coordinated presentations of the project scope, intent, and impact in front of the affected stakeholders and local communities. He is an effective communicator and actively stays in contact with his clients throughout the life of his projects.

David has also been responsible for construction management of multiple public agency projects, which brings added value to the design of projects by fully understanding the methods and costs of construction projects. David is also responsible for supervising staff at TAIT on the preparation of public and private development projects throughout the Southern California region.

Pipeline Management Program, FY2019-2020-Phase 1 Project, Glendale Water & Power, QA/QC Manager, 2019-2020
David served as the QA/QC Manager to provide design build services with JDC for the potable waterline project within the various residential neighborhoods of Glendale, CA. The project was located in the residential streets in an area of Glendale which required our team to develop construction documents that could accommodate traffic during construction and a design that would work with many existing utilities.

Pipeline Management Program, FY2018-2019-Phase 1 Project, Glendale Water & Power, QA/QC Manager, 2018-2019
David served as the QA/QC Manager to provide design build services with JDC for the potable waterline project within the various residential neighborhoods of Glendale, CA. The project was located in the residential streets in an area of Glendale which required our team to develop construction documents that could accommodate traffic during construction and a design that would work with many existing utilities. The design involved the preparation of plans and specifications for approximately 12,406 linear feet of 8-inch water pipeline and 480 linear feet of 12-inch water pipeline.

El Salvador Park Regional Infiltration Basin, City of Santa Ana, Project Manager, 2020 As Project Manager, David provided full service civil engineering design services associated with a planned regional water quality basin at El Salvador Park in the City of Santa Ana. The scope of work included the design and analysis of two parking lots located off of Civic Center Drive as well as a vacant corner lot located at the intersection of Civic Center & English Street for the planned infiltration basin.

Education
BS Civil Engineering – Tau
Beta Pi & Chi Epsilon, USC
BS Physical Science, Biola
Year of TAIT Team
Enlistment
2014
Total Experience
15 Certifications
Professional Engineer
California No. 82595
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Packer Place Linear Park Dry Creek & Drainage Improvements, City of Lake Forest, Project Manager, 2019-2020
As Project Manager, David provided full service civil engineering design services to mitigate drainage ponding and flooding that was occurring at Packer Place linear park between the Packer Place Cul De Sac and Cavanaugh Drive.

Bristol Street and Civic Center Drive Water Quality Improvements, City of Santa Ana, Project Manager, 2020
As Project Manager, David provided civil engineering design services associated with water quality improvements on the Bristol Street and Civic Center Drive Improvement Project.

WQMP/BMP Design for the El Toro 20 Acre RV Storage Lease, City of Irvine, Project Manager, 2019- 2020
As Project Manager, David provided Water Quality Best Management Practices (BMP) and included cost estimates, coordination with the client, development of construction plans for the BMP’s installation, and the design and approval of a connection to an existing Orange County Flood Control facility.

Quadrant III Water Line Replacement Project, City of Chino, Specs/QA/QC Manager, 2017-2018 This City project required the replacement of approximately 8000LF of existing 6-inch ACP water pipe with new 8-inch PVC water pipe within13 local streets for the City. The process included obtaining DDW approvals for 8 of the 13 segments.

Pier G Avenue North Sewer Line Improvement Project, Port of Long Beach, Project Manager, 2017- 2019
As Project Manager, David provided civil engineering services for the review, recommendation, design, and construction support services for the Pier G Avenue North Sewer Line Improvement Project. The project limits spanned approximately 1/3 of a mile within Pier G, and included the review of existing conditions, analysis of tributary areas and hydraulic capacity for the existing system, preliminary design and recommendation for five separate design alternatives which included conventional open trench, pipe bursting, sewer lift stations, sewer force mains, and retrofit of existing sewer lift stations to accommodate the current peak flow conditions. Extensive meetings and coordination efforts were conducted with POLB during the preliminary engineering phase to prepare detailed quality management plans and a basis of design report that outlined all project parameters.

Drainage Improvement Project Phase 1 & 2, City of Diamond Bar, Project Manager/Construction Manager, 2017-2018
As Project Manager, David provided design engineering and construction management services for Phase 1 & Phase 2 of the City’s Drainage Improvement Project. This project included three separate areas: 1. Brea Canyon Road – Parkway Drain System & Perforated Drain; 2. Hipass Drive – Sub drain System, Low Flow Storm Drain & X-gutters; 3. Golden Springs – Sub drain System & Low Flow Storm Drain. This project included extensive coordination with the City and the design team in order to recommend and implement final design scenarios for each location. Appropriate water quality treatment systems were implemented in all systems that have direct storm drain connection (modular wetland system), and the sub drain system and crossing were analyzed to avoid conflicts.

City Council 15 – 576 8/16/2022
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Samantha (McGee) Wohlfarth, P.E.

PROFESSIONAL ENGINEER-WATER
Ms. Wohlfarth has professional experience that includes the preparation of grading plans, water main replacement plans, storm drain plans and drainage reports, sewer plans, cost estimates and storm water management reports for public and private developments throughout Southern California, Western Washington, and North Dakota. Her project experience also includes the preparation of storm water quality reports such as SWPPP, WQMP, SUSMP and LID as mandated by the state and local municipalities. Ms. Wohlfarth has technical knowledge with multiple software programs including AutoCAD 2014, Civil 3D, Land Desktop, Microstation, GeoPak, WWHM2012, RetainPro, and additional specialty programs.

Pipeline Management Program, FY2019-2020 Phase 1 Project Glendale Water & Power, Project Manager/Engineer, 2019-2020 TAIT was contracted to provide design build services with JDC for various neighborhood water main replacement projects. The project required the replacement of approximately 11,535LF of existing ACP water pipe within 8 local streets, while working in residential streets and incorporating a design that would work with many existing utilities. The process included obtaining DDW approvals for many of the segments.

Pipeline Management Program, FY2018-2019 Phase 1 Project Glendale Water & Power, Project Manager/Engineer, 2018-2019 TAIT was contracted to provide design build services with JDC for the Pipeline Management Program, FY2018-2019 Phase 1 water main replacement project.

The project was located in residential streets in various areas of Glendale which required our team to develop construction documents that could accommodate traffic while working in residential streets and a design that would work with many existing utilities.

Chino Quadrant III A, B, and C Water Line Replacement Project, City of Chino Project, Project Manager/Engineer, 2017-2018
This City project required the replacement of approximately 8000LF of existing 6-inch ACP water pipe with new 8-inch PVC water pipe within13 local streets for the City. The process included obtaining DDW approvals for 8 of the 14 segments.

Hoover, Toll, Keppel Recycled Water Project, Glendale Water & Power, Project Manager/Engineer, 2016-2017
TAIT was contracted to provide design build services with JDC for the recycled water project within the Glenwood residential neighborhood and surrounding Education
B.S. -- Civil Engineering
Valparaiso University
Valparaiso, IN, 2012
Year of TAIT Team
Enlistment
2012
Total Experience
10 Certifications
Professional Engineer
California No. 86126
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schools. The project was located in the residential streets in an area of Glendale which required our team to develop construction documents that could accommodate traffic while working and a design that would work with many existing utilities.

Kenneth and Ben Lomond Water Main Replacement Projects, Glendale Water & Power, Project Manager/Engineer, 2015-2016
TAIT was contracted to provide design build services with JDC for the Kenneth and Ben Lomond neighborhoods water main replacement projects. The project was located in residential streets in an area of Glendale which required our team to develop construction documents that could accommodate traffic while working in residential streets and a design that would work with many existing utilities.

Various Projects - Bank of America ADA Upgrades, Southern CA, Project Manager 2018-2020 TAIT was contracted to provide civil engineering and surveying services in upgrading the ADA components of various Bank of America projects across Southern California. TAIT has completed a total of 36 projects to date. The upgrades include ADA parking spaces, path of travels, ramp improvements, and all necessary components to upgrades the existing sites to the latest local, CBC and IBC codes.

Home Depot Pasadena – Project Manager - Pasadena, CA, 2018-2020 TAIT was contracted to provide civil engineering and surveying services at a 12.5 acre site in Pasadena, CA. The site was an existing office building and warehouse development. The project included the redevelopment of the existing buildings, site grading, paving and drainage improvements, wet utility plans, and street improvements. Services included the preparation of a Hydrology Report and Stormwater Management Report for the development. Storm water management improvements included the incorporation of detention basins and drywells, throughout the site to treat storm water runoff. Ms. Wohlfarth has provided construction engineering support services during construction to address City and owner request changes, as well as contractor’s questions.

Monterey Park Marketplace Site Development, Monterey Park Retail Partners, LLC/City of Monterey Park, Project Engineer/Project Coordinator, 2015-Present TAIT was awarded a contract with the developer, Monterey Park Retail Partners, LLC for the design of a 41 acre retail development within the City of Monterey Park and the City of Montebello. The design of the development includes slope stabilization, retaining wall design, street improvement design, utility installation, overall site development, and over 400,000 cubic yards of dirt removal and regrading. The project involves three geotechnical analysis. The geotechnical analysis included recommendations for the design on and near the landfill; for the slope stabilization throughout the site; and for the overall site development and construction. The project utilized detailed retaining wall designs and in some areas, pile designs. These retaining walls and pile designs were specially designed near SCE facilities and towers. Unique construction equipment has been detailed out and coordinated for this construction.

City Council 15 – 578 8/16/2022
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Bart Mink, PE, LEED AP

PROFESSIONAL ENGINEER-WATER
Bart Mink, PE, LEED AP, a registered civil engineer in California and LEED AP certified brings 24 years of multidisciplinary experience to our team. Bart is results-driven and detail-oriented. He is proficient in many facets of civil site engineering, including the municipal, industrial, commercial and residential fields. Bart is proficient in water hydraulic modeling utilizing KY Pipe and WaterCAD. He is also proficient in wastewater modeling using SewerCAD. Bart has in depth knowledge and experience in water/wastewater treatment and design. He is skilled in state and federal funding policies and procedures and is efficient with Autodesk Civil 3D including grading, corridors, and pipe networks.

Bart is experienced and knowledgeable in hydrology and hydraulics utilizing such programs as TR-55 and HEC-RAS. He is also knowledgeable with FEMA Letters of Map Amendment and Map Revision procedures.
7th Street Waterline and Sewer Replacement, Seal Beach, CA Utilities engineer for PS&E for designing replacement of approximately 450 linear feet of existing 6” water and sewer mains. In conjunction with the utility replacement, rehabilitation of approximately 6,750 square feet of asphalt and concrete pavement was also designed.

Pavement Rehabilitation Ximeno Avenue and Redondo Avenue, City of Long Beach, CA
Project engineer for engineering services for the pavement rehabilitation of Ximeno Avenue (from Atherton Street to Los Coyotes Diagonal) and Redondo Avenue (from Reservoir Drive to Stearns Street). Design and support during construction services include supervising, coordinating, monitoring and reviewing design for conformance with local agency standards, policies and procedures. 6th Street Storm Drain, Long Beach, CA
Project engineer for the final design of this key relief storm drain system in the City of Long Beach. The project included an extensive potholing effort, hydrology, hydraulics, traffic control and obtaining encroachment permits from the County.

Del Cerro Park/Burma Road Entrance to Palos Verdes Nature Preserve ADA Access Improvements, City of Rancho Palos Verdes, CA
Project engineer for design engineering services to complete the City's ADA Access Improvements for the Del Cerro Park/Burma Road Entrance to the PV Nature Preserve. The project involved removing vegetation and natural physical impediments to provide unobstructed mobility and access for the elderly and severely disabled adults. The project entailed the construction of three ADA curb ramps, including curb and gutter along the ramps as well as 800 feet of new Education
BS Civil Engineering –
Arkansas State University
Year of TAIT Team
Enlistment
2018
Total Experience
24 Certifications
Professional Engineer
California No. 82953
Arkansas No. 12169
2009/LEED Accredited
Professional
Associations
American Public Works
Association, US Green
Building Council
Leadership in Energy and
Environmental Design,
American Society of Civil
Engineers
Past Memberships:

National Society of
Professional Engineers,
American Water Works
Association, Arkansas
Water Works, and Water
Environment Association
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sidewalk to create pedestrian linkage to the PV Nature Preserve entrance. These improvements are constructed along Crenshaw Boulevard/Burma Road, between Park Place and Burrell Lane.

Vincent Street Sanitary Sewer Rehabilitation, Redondo Beach, CA Project engineer for the design, preparation of the civil plans and construction management for the building of an approximate 745 LF parallel sewer system near the Vincent Street Park and surrounding neighborhoods.

Phase 2 Neighborhood Street Rehabilitation, City of La Mirada, CA Project engineer for roadway improvements, street resurfacing and appurtenant infrastructure repairs.

Provided PS&E as required, for bidding and construction of the proposed improvements. The intent of this project was to renovate the roadway pavement and hardscape leaving the neighborhood with a like new appearance. APP’s initial recommendation was to mill 0.5” of the existing pavement (avoiding impacting the existing macadam), construct 2” of new pavement for much of the roadway, remove 4” of the outside six feet of A.C./macadam, and construct 4” of new A.C. pavement and resulted in significant cost savings for the City relative to the approach they used in previous years.

Firestone Boulevard Median Project, Downey, CA
Project engineer for raised median islands, entry monument sign, street rehabilitation and water facilities improvements on Firestone Boulevard between Old River School Road and West City Limits.

Work includes preparation of traffic study, complete plans, technical specifications and estimate (PS&E) for the proposed improvements, providing the bidding document, suitable for bidding and award of a formal unit price public works construction contract, and construction support.

Lincoln Avenue Widening, Anaheim, CA
Performed hydrology and hydraulic calculations as well as catch basin sizing due to the moving of existing catch basins in Lincoln Avenue.

Brookshire Avenue Pavement Rehabilitation, Downey, CA
Served as project engineer responsible for assisting the project engineer on the road rehabilitation project for the City of Downey, CA. The project included rehabilitation of the street to a new centerline profile while utilizing the existing curb and gutter location and elevation.

Sidewalk Evaluation and Analysis, Santa Fe Springs, CA
Served as project engineer responsible for assisting the project team and the City of Santa Fe Springs by analyzing sidewalk inspection data, developing a representative unit price cost estimate for repairs, preparation of a summary report and incorporation of the evaluation into the City’s existing GIS system.

Richmond Street Arterial Improvements, El Segundo, CA
Project engineer responsible for providing engineering services for Richmond Street arterial improvements located between El Segundo Blvd. and Holly Ave. within the downtown area for 1,600 lineal feet with 60 feet of street and sidewalk width. Design work includes street, sidewalk, parking, survey, traffic and landscape improvements.

City Council 15 – 580 8/16/2022
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Daniela Malott, P.E.

PROFESSIONAL ENGINEER-DRAINAGE
Ms. Malott has a strong civil engineering background with a water resources and surface runoff focus. Her engineering experience includes hydrology, storm drain design, and hydraulics. Her computer modeling background includes the application of the U.S. Army Corps of Engineers HEC-HMS (Hydraulic Modeling System), HEC-SSP (Statistical Software package), and HEC-RAS (River Analysis Software), Watershed Modeling System (WMS), Advanced Engineering Software (AES) for hydrologic/hydraulic analysis in Southern California, Water Surface Pressure Gradient (WSPGW) Software, XP-Solutions Storm Water and Wastewater Management Model (XP-SWMM), AutoCAD Civil 3D, and ArcGIS.

She has worked for projects in the County of Los Angeles, County of Orange, and San Bernardino County. The projects she has been involved with are both in the private and public sector. In the private sector she worked on projects for developers including Rancho Mission Viejo and the Irvine Company. Her public sector experience includes working on projects for the County of Orange, the City of Rancho Palos Verdes, the City of Chino, the City of Chino Hills, and the City of Santa Ana. She is an out of the box thinker with great energy and a hard working ethic. She has great communication, writing, organizational and leadership skills.

WQMP/BMP Design for Bristol Street Improvements and Civic Center Street Improvements, City of Santa Ana, Project Manager/Project Engineer, 2020 The City of Santa Ana Bristol Street and Civic Center Improvements Water Quality Management Plans (WQMP) Project included the development of a Water Quality Best Management Practices (BMP) design, cost benefit analysis, cost estimates, coordination with the client, and development of construction plans for the BMP’s installation. As part of the cost benefit analysis, several alternatives location and solutions for the type and configurations of BMP were analyzed and preliminary design was completed to determine the most optimal solution for the City. After an alternative was selected project design plans for the BMP installation were prepared and proprietary manufacturer detail design and coordination was completed. As part of this project Mrs. Malott served as the Project Manager/Project Engineer, she provided client coordination, scheduling tracking, reviewed internal scheudling and supported the City in a timely manner and under the budget to achieve the project goals.

El Salvador Park Multipurpose Regional Basin, City of Santa Ana, Project Manager, 2020
The City of Santa Ana El Salvador Park Multipurpose Regional Basin Project sought the development and construction of a Regional Infiltration Basin to provide Water Quality Treatment for an 88 acre residential neighborhood in the City of Santa Ana. The purpose of this project was to improve the stormwater Education
M.S. - Civil Engineering
(Hydrology and Water
Resources), University of
California at Irvine
B.S. - Civil Engineering,
California State
University, Long Beach
Year of TAIT Team
Enlistment
2017
Total Experience
10 Certifications
Professional Engineer,
California No. C86581
Affiliations
American Society of Civil
Engineers (ASCE), OC
YMF
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quality discharge to the downstream receiving waters which ultimately is the Newport Beach Bay and to improve the Park parking facilitates for a disadvantage community in the City of Santa Ana. As part of this project Mrs. Malott supported Project Management, and led the team’s efforts for the Hydrology, Hydraulics and Water Quality Analysis and Calculations.

Dana Point Harbor Revitalization, City of Dana Point Harbor, Project Manager, 2018-Present As part of the Dana Point Harbor project team Ms. Malott has provided stormwater technical design for the Master Plan of Drainage for Planning Areas 1 and 2, supported the development of the Hydrology and Hydraulics Basis of Design Report and WQMP for Planning Areas 3 and 4 for the Coastal Commission Project Application. Starting 2020, she has assisted as the Project Manager for the Commercial Core and Marina development portions of the DPH Revitalization Plan. As the Project Manager, Mrs. Malott has overseen the preliminary design of different aspects of the project, and the construction documents design and development for the Phase 2 of the Commercial Core Portion of the DPH Revitalization Plan.

Additionally, Mrs. Malott has led a team of 10 Civil Engineering Designers to support the Projects efforts, while maintaining and providing coordination with the client and other subconsultants. Her organizational skills, civil design knowledge and experience, and communication abilities resulted in timely submittals and project reviews to achieve deadlines and project schedule, as well as to maintain project budget goals.

Pier G Avenue North Sewer Line Improvement Project, Port of Long Beach, Project Engineer, 2017- 2019
Task managed the Hydraulics Analysis and Basis of Design Report for the Pier G Avenue North Sewer Line Improvement Project for the Port of Long Beach (POLB). The project limits spanned approximately 1/3 of a mile within The Port’s Pier G, and included the review of existing conditions, analysis of tributary areas and hydraulic capacity for the existing system, preliminary design and recommendation for five separate design alternatives which included conventional open trench, pipe bursting, sewer lift stations, sewer force mains, and retrofit of existing sewer lift stations to accommodate the current and future demand peak flow conditions. Mrs. Malott supported all project coordination efforts and was a vital part of the project team.

Newport Heights Alley and Sewer Replacement Project, City of Newport Beach, Project Engineer, 2016-2017
Mrs. Malott was an Assistant Engineer for the Newport Heights Alley and Sewer Replacement Project.

The project included the preparation of design plan and profile for each alley that was repaired, prepared of design cross sections at 25-foot intervals for review of proposed cross falls, preparation of sewer main replacement and lateral replacement plans, field review of all alley locations to field locate existing utilities, conflicts, and join locations, identification of sewer laterals that were recently replaced for protection, and the detailing of all alley approaches for compliance with the Americans with Disabilities Act (ADA). As part of the project team Mrs. Malott provided plan production assistance, alley design, and completed field visits.

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Christopher Engelbach, E.I.T.

PROJECT ENGINEER- SITE-WORK/GRADING
Chris is an experienced Project Engineer in design, approval, and quality control of residential and commercial land development as well as public work projects.

He has expertise in preparation of tentative tract maps, street, rough grading, erosion control, storm drain, sewer and water, and precise grading plans; hydrology and hydraulic calculations utilizing Civil-D and WSPG; WQMP employing new low impact development methods; coordination with clients, sub-consultants, site managers, contractors, and survey crew. Chris technical skills include AutoCAD Civil 3D, Water Surface Profile Gradient Software (WSPG), Civil-D, and Microsoft Project.

Balboa Peninsula Alley Reconstruction and Sewer Repair Project, City of Newport Beach, Project Engineer, 2020-Current
The Balboa Peninsula Project will extend the existing alley, provide needed additional width, correct existing drainage, provide accessible paths of travel, and repair damaged portions of the existing public sewer line. Mr. Engelbach’s familiarity with the City’s standards along with his knowledge of roadway design and drainage are an asset in facilitating the client’s budgetary and scheduling needs.

Dana Point Harbor, Project Engineer, 2018-Current
The Dana Point Harbor Project includes the redesign of entire guest experience at the Harbor. Mr. Engelbach is the Project Engineer providing design solutions for the harbor which includes an all new retail and dining area, roadways, parking fields, boater services, as well as updated drainage management facilities and wet utilities. Mr. Engelbach’s knowledge of Civil 3D, drainage, grading and roadway design are providing the client the best possible solutions for their vision of the new Dana Point Harbor Experience.

Newport Heights Alley and Sewer Replacement Project, City of Newport Beach, Project Engineer, 2016-2017
Project Engineer for the services on Newport Height Alley and Sewer Replacement Projects. The project limits spanned across an entire neighborhood in the City’s coastal community of Newport Heights and include a total of 3+ miles of alley reconstructions as well as the review and repair of existing alley sewer and lateral connections. In order to facilitate the City’s budget and timelines, the design project was split in to three phases which required separate design PS&E for each project. Phase 1 included all sewer main replacements while Phases 2 and 3 included the alley removal and replacements in the neighborhoods.

Education
BS Civil Engineering,
California State
Polytechnic University,
Pomona
Year of TAIT Team
Enlistment
2016
Total Experience
13 Certifications
E.I.T.

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Michael Furlong, PLS

PROJECT SURVEYOR
Mr. Furlong is a Land Surveyor licensed in the State of California with 40 years of experience, over 30 of those being in the Field on all types of Projects from Boundary Surveys to Construction Services with some of the largest listed below. More recently he has spent years providing Mapping Services preparing Tract Maps, Parcel Maps, Record of Surveys, Corner Records and Exhibits of all kinds as well as providing Support to Engineering and Field Support for the Survey Crews.

Public Works Related Projects
• On-call Services for Caltrans District 7 East Contact Area providing Construction Staking and Topographical Surveys on various large widening and reconstruction Highway Projects including the 10, 110, 134 and 210 Freeways.
• Topo and mapping of various rivers at bridge crossings along HWY 101, Santa Clara County.
• SR 71 Segments 1 through 3 in Chino, 6 miles of new Freeway Construction.
• I-10 Segments 1 and 2 in Montclair and Ontario, 10 Miles of Freeway widening.
• SR 30/210 Segments 4, 5 and 7 in Rancho Cucamonga and Fontana, 6 miles of new Freeway Construction.
• I-10 in El Monte, 2 Miles of Freeway widening with 12 Undercrossing structures to be widened.
• SR 60 in Moreno Valley, 8 miles of Freeway widening.

Subdivisions
• Coyote Canyon, a 400 Lot Development in North Fontana with extensive Storm Drain Improvements.
• Sunnymead Ranch a 2000 Lot Development in Moreno Valley. • Infrastructure for Moreno Valley Ranch a large Development in Moreno Valley.
• Many other Residential and Commercial Development Projects in Orange, San Bernardino and Riverside County.

Education
Southern California Joint
Apprenticeship Program
for Certified Party Chief
Including classes at:

Riverside Community
College and San
Bernardino Valley College
Year of TAIT Team
Enlistment
2019
Total Experience
43 Certifications
CA PLS 8899
Experience
2019– Present Tait and
Associates
2012 – 2019 O.K.O.

Engineering Inc.
2008 – 2012 Hernandez,
Kroone and Associates
2005 – 2007 AEI-CASC
Consuling
1997 – 2005 David
Evans and Associates,
Inc.
1981 – 1997 J.F.

Davidson and Associates,
Inc.

Equipment
GPS-Trimble & Lieca,
Total Stations Trimble &
Leica, Data CollectorsTrimble, Leica & Allegro,
Electronic Levels,
AutoCADCity Council 15 – 584 8/16/2022
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Katherine Grimard

DESIGN/SURVEY ENGINEER
Katie is a graduate of Purdue University, Class of May 2013. Katie works in TAIT’s Survey Department developing Basemaps for roadway and pipeline replacement projects. She has been an essential team member by applying her understanding of engineering design and survey on TAIT’s public and private projects. Recent projects include Lome Ridge Underground Basemaps for Orange County Sheriff Department and OC Public Works and Chino Quadrant III Water Main Replacements.

Loma Ridge Undergrounds –Design Engineer, 2019
Katie developed Basemaps and underground plans for new Dry Utilities Extended from Newport Road in Orange, CA to Loma Ridge Emergency Operations Center (approximately 4 miles).

Chino Quadrant III Water Main Replacements, City of Chino – Design Engineer, 2018-2019
Katie developed Basemaps and water line replacement plans for 7000 linear feet 8” water line replacement on 12 residential streets.

Kenneth and Ben Lomond Water Main Replacement Projects, Glendale Water & Power – Design Engineer, 2015-2016
Katie developed Basemaps and water line replacement plans for approximately 11,340 linear feet of new 12-inch and 8-inch diameter ductile-iron water mains. Existing galvanized and copper services smaller than 1 inch were replaced with 1-inch copper services. Existing fire hydrants were replaced and spacing was increased to provide current fire protection to the neighborhood.

Pipeline Management Program – City of Glendale Water and Power, Design Engineer, 2015-Present Designed the base maps from record maps and aided in coordination of as-built plans with waterline contractor and city plan checker.

FY 13/14 Major Street Rehabilitation – City of Pomona, Design Engineer, 2014-2015 Pavement and partial sidewalk and ramp replacement. Aided in site walk coordination and plan design.

Columbia Square – Kilroy Realty Corp, Design Engineer, 2013- Present Katie assisted in the design and calculation of the SUSMP controls for the runoff of water into planters.

Fullerton Crossings- M&H Realty Partners V, L.P., Design Engineer, 2013- 2015 Katie aided in the design of Fullerton Crossings in the second phase. Responsibilities and tasks assigned included redesign of storm-water drains to meet client’s request, movement of roof run-off drains to resemble architect plans, and erosion control and utility modifications.

Promenade at Downey – Alberta Development Partners, Design Engineer, 2013-2015 Katie assisted in the procurement of permits and applications through communication with multiple counties to ensure success of project without impediments.

Education
B.S. -- Civil Engineering,
General Emphasis
Purdue University, 2013
Year of Tait Team
Enlistment
2013
Total Experience
9 Certifications
Engineer in Training
ET31300303
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Gregory K. Mitchell
Principal Engineer
Professional Registrations
Registered Civil Engineer, California
Registered Geotechnical Engineer, California
Education
BS Civil Engineering, University of New Mexico, 1987
Professional Training
Shallow Foundation Short Course,
University of Missouri-Rolla, 1987
USEPA 40-hour HAZWOPER Training, 1987
Slope Stability and Landslides Short Course
University of Wisconsin, 1997
Experience
Over thirty years’ experience in the geotechnical field. Began career as a field engineer on both environmental and geotechnical assignments. The geotechnical assignments included supervision of drilling rigs during geotechnical investigations, and field density testing as part of grading control operations.

Mr. Mitchell managed the geotechnical operations at a branch office of a national engineering firm for three years, and was the regional manager for a second national firm for 7 years. In addition to the management activities, also had responsibility as a senior-level engineer, and obtained extensive experience in preparing and supervising geotechnical studies for commercial, industrial, residential and retail properties, including warehouses, manufacturing facilities, bridges, towers and single-family residences. Many of the commercial/industrial projects consisted of distribution centers in excess of 1,000,000 square feet. Projects have also included mid- and high-rise office buildings, parking structures and industrial equipment such as concrete batch plans and aggregate processing facilities. Provided designs for shallow foundations, drilled piers, driven piles, pavements, floor slabs and retaining walls. Geotechnical experience also includes liquefaction studies, fault studies, forensic investigations, pavement studies, groundwater studies, landslide evaluations, slope stability studies, and general geotechnical consulting services.

Mr. Mitchell currently has joint responsibility for overall management, administration and operations of the Corporation. Duties include proposal and report preparation, development and implementation of field and laboratory testing programs for geotechnical and environmental investigations, and preparation of comprehensive geotechnical reports.

City Council 15 – 586 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Appendix | 37
Pablo Montes
Staff Engineer
Professional Registrations
Engineer in Training, June 2005
Nuclear Density Gauge Certification, December 2005
Education
BS Civil Engineering, California State Polytechnic University, 2005 Experience
Mr. Montes is involved with all phases of project coordination, scope definition, proposals, design and analysis, and report preparation.

Mr. Montes’ duties at Southern California Geotechnical include assistance in preparing of Geotechnical Investigations, drafting geotechnical plans, performing slope stability analyses, pile design, cost estimates, and supervising lab work. Mr. Montes’ duties also include grading and earthwork observation and testing at construction sites as well as preparing compaction reports.

Professional History
Southern California Geotechnical, Inc.

Yorba Linda, California
Staff Engineer
November 2005 to Present
City Council 15 – 587 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Appendix | 38
Robert G. Trazo
Principal Engineer
Professional Registrations
Registered Civil Engineer, California
Registered Geotechnical Engineer, California
Education
BS Civil Engineering, University of California, Los Angeles, 1995 MS Civil Engineering, California State University, Long Beach, 1998 Professional Training
Deep Foundations Short Course,
Austin, Texas 2003
Slope Stability and Landslides Short Course
University of California, Los Angeles, 2000
State of the Art Liquefaction Short Course
University of Southern California, 1999
Experience
Mr. Trazo has over 26 years of progressively responsible engineering experience in a wide variety of geotechnical engineering projects. He has extensive experience in preparing geotechnical studies for residential, commercial, and public works projects including single family residences, bridges, sewer lift stations, and commercial buildings. Geotechnical experience includes landslide evaluation and mitigation, liquefaction evaluation, geotechnical instrumentation, mechanically stabilized earth walls, forensic studies and general geotechnical consulting services. Mr. Trazo has also served as City Geotechnical Consultant for the Cities of Laguna Niguel, Chino Hills and Vista. Mr. Trazo is involved with all phases of project coordination and management including scope definition, proposals, subsurface investigation, lab scheduling, design and analysis, report preparation and coordination of field and office staff.

Mr. Trazo has served as a lecturer in the Geotechnical Engineering Department at California Polytechnic University, Pomona since 2003. He has taught all the geotechnical courses required of undergraduates. On behalf of the American Society of Civil Engineers (ASCE), he has also taught short courses designed to prepare civil engineers to pass their California State Board examinations since 2001.

Mr. Trazo currently has joint responsibility for overall management, administration and operations of the Corporation. Duties include proposal and report preparation, development and implementation of field and laboratory testing programs for geotechnical and environmental investigations, and preparation of comprehensive geotechnical reports.

City Council 15 – 588 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Appendix | 39
City Council 15 – 589 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Appendix | 40
City Council 15 – 590 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Appendix | 41
City Council 15 – 591 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Appendix | 42
City Council 15 – 592 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Appendix | 43
Certifications
Non-Collusion Affidavit
City Council 15 – 593 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Appendix | 44
City Council 15 – 594 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Appendix | 45
Non-Lobbying Certification
City Council 15 – 595 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Appendix | 46
Non-Discrimination Certification
City Council 15 – 596 8/16/2022
TAIT & Associates, Inc.

On-Call Water Resources Engineering Services
Appendix | 47
City Council 15 – 597 8/16/2022

EXHIBIT C
City Council 15 – 598 8/16/2022
City Council 15 – 599 8/16/2022
Public Works Agency
www.santa-ana.org/pw
Item # 16
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 16, 2022
TOPIC: Median Landscape Maintenance Services

AGENDA TITLE
Amend Agreement with Landscape West Management Services, Inc. to Increase the Annual Contract Amount by $1,112,000 for Fiscal Year 2022-23 for Right-of-Way and Median Landscape Maintenance Services (General and Non-General Fund)

RECOMMENDED ACTION
Authorize the City Manager to execute an amendment to the agreement with Landscape West Management Services, Inc. for right-of-way and median landscape maintenance services to increase the contract amount by $1,112,000 for FY 2022-23 only, for a total agreement amount not to exceed $5,922,000 for the remaining term of the agreement ending on June 30, 2023, with an option for one 2-year extension exercisable by the City Manager and the City Attorney, subject to non-substantive changes approved by the City Manager and City Attorney.

DISCUSSION
The Public Works Agency’s Maintenance Services Division (Maintenance Services Division) is responsible for maintaining over 30 miles of City street medians and neighborhood entry areas. The services include, but are not limited to, mowing, weed mitigation and removal, trash removal, and irrigation system maintenance. On July 2, 2019, the City Council approved an agreement with Landscape West Management Services, Inc. for $770,000 to provide median landscape maintenance and right-of-way cleaning services.

In December 2020, the agreement was increased by $250,000, for a total amount not to exceed $1,020,000. The increase to the contract was necessary to maintain and preserve the City’s new median improvements and address an increased need for service due to vandalism, theft of the watering control systems, and destruction of plants.

In July 2021, the agreement was increased by $250,000, for a total amount not to exceed $1,270,000. The increase to the contract was necessary to continue to maintain the aesthetic appearance of medians and address the increased need for service.

City Council 16 – 1 8/16/2022
Amend Median Landscape Maintenance Services Agreement
August 16, 2022

Page 2 ends

In September 2021, the agreement was increased by $1,000,000 for FY 2021-22 only.

This increase to the contract was to quickly implement enhanced cleaning and sanitization services at high-traffic pedestrian and bicyclist areas as part of the Revive Santa Ana spending plan which is funded by the American Rescue Plan Act of 2021 (ARPA). Due to unforeseen delays in procurement, approximately $612,000 of the funding was unspent in FY 2021-22. Staff recommends carrying forward the funding to FY 2022-23 to continue providing this service enhancement to the community.

Furthermore, the City Council approved an additional $500,000 for City median maintenance. Funding will assist in the long-term maintenance of all medians and address the increased need for service due to vandalism, theft of the watering control systems, and destruction of plants.

Staff recommends increasing the agreement with Landscape West Management Services, Inc. by $1,112,000 for FY 2022-23 only, for a total of $2,382,000 (Exhibit 1).

The annual agreement amount thereafter would be reduced to $1,770,000.

ENVIRONMENTAL IMPACT
There is no environmental impact associated with the action.

FISCAL IMPACT
Funds are available for expenditure in Public Works Agency, Special Gas Tax Median Landscaping and General Fund PWA Service Enhancement account (No. 02917635- 62320 & 01117017-62320) and will be budgeted in subsequent fiscal years. The American Rescue Plan Act funds were appropriated in Fiscal Year 2021-22. As part of the Citywide carry forward process, the Public Works agency will submit to the Finance Department a request for these funds to be carried forward into Fiscal Year 2022-23. This carry forward request will be presented to Council at a future date.

Funds will be spent according to the spending plan below:

Fiscal Year Accounting Unit
– Account #
Fund
Description
Accounting Unit,
Account
Description
Amount
CURRENT ANNUAL CONTRACT (1ST TWO-YEAR EXTENSION – YEAR 2 of 2) FY 2022-23 02917635-62320 Special Gas
Tax
Median
Landscaping,
Maintenance &
Repair Building &
Grounds
$1,270,000

REQUESTED AMENDMENT
FY 2022-23 18117013-62300
American
Rescue Plan
Act
American Rescue
Plan Act-PWA,
$612,000
City Council 16 – 2 8/16/2022
Amend Median Landscape Maintenance Services Agreement
August 16, 2022

Page 3 ends

Fiscal Year Accounting Unit
– Account #
Fund
Description
Accounting Unit,
Account
Description
Amount
Contract ServicesProfessional
01117017-62320 General
Fund
PWA Service
Enhancement,
Maintenance &
Repair Building &
Grounds
$500,000
ADJUSTED SUBTOTAL $2,382,000

OPTIONAL TWO-YEAR EXTENSION
02917635-62320 Special Gas
Tax
Median
Landscaping,
Maintenance &
Repair Building &
Grounds
$1,270,000
FY 2023-24
01117017-62320 General
Fund
PWA Service
Enhancement,
Maintenance &
Repair Building &
Grounds
$500,000
02917635-62320 Special Gas
Tax
Median
Landscaping,
Maintenance &
Repair Building &
Grounds
$1,270,000
FY 2024-25
01117017-62320 General
Fund
PWA Service
Enhancement,
Maintenance &
Repair Building &
Grounds
$500,000
OPTIONAL EXTENSION SUBTOTAL $3,540,000
GRAND TOTAL $5,922,000

EXHIBIT(S)

1. Amendment to Agreement with Landscape West Management, Inc.

Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Kristine Ridge, City Manager
City Council 16 – 3 8/16/2022

Page 1 of 2 ends

SIXTH AMENDMENT TO AGREEMENT TO PROVIDE RIGHT OF WAY

AND MEDIAN LANDSCAPE MAINTENANCE SERVICES
THIS SIXTH AMENDMENT to the above-referenced agreement is entered into on August 16, 2022, by and between Landscape West Management Services, Inc. (“Contractor”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”).

RECITALS
A. The parties entered into Agreement No. A-2019-103, dated July 2, 2019, by which Contractor agreed to provide right-of-way and median landscape maintenance services for the Maintenance Services Division of the Public Works Agency (“Agreement”).

B. On September 26, 2019, the parties entered into First Amendment No. N-2019-195 to increase the scope of services and the amount expended under the Agreement from $770,000 to $1,020,000 for the period ending June 30, 2020.

C. On May 5, 2020, the parties entered into Second Amendment No. A-2020-095 to further increase the amount expended under the Agreement from $1,020,000 to $1,055,000 for the period ending June 30, 2020.

D. On December 1, 2020, the parties entered into the Third Amendment No. A-2020-248 to further increase the amount expended under the Agreement for the period ending June 30, 2021 and any extension periods to $1,020,000 annually.

E. The original term of the Agreement was for two years until June 30, 2021 with one, two (2) year extension that was authorized on April 23, 2021. The Agreement remains in effect through June 30, 2023.

F. On July 20, 2021, the parties entered into the Fourth Amendment A-2021-133 to further increase the amount expended under the Agreement from $1,020,000 annually to $1,270,000 annually.

G. On September 7, 2021, the parties entered into the Fifth Amendment A-2021-181 to further increase the amount expended under the Agreement for FY 2021-2022 only, from $1,270,000 to $2,270,000.

G. The parties now wish to further amend the Agreement to increase the amount to be expended under the Agreement for fiscal year (“FY”) 22-23.

The Parties therefore agree:

1. Section 2, Compensation, is hereby amended to increase the annual sum to be expended under the Agreement for FY 2022-2023 only from $1,270,000 to $2,382,000 for enhanced sanitization and cleaning services. The annual amount for the second optional extension (if exercised) shall reduce to $1,770,000.

EXHIBIT 1
City Council 16 – 4 8/16/2022
City Council 16 – 5 8/16/2022
Public Works Agency
www.santa-ana.org/pw
Item # 17
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 16, 2022
TOPIC: Traffic Signal Modification Project
AGENDA TITLE:

Approve Appropriation Adjustments, Reallocation of Funds, and Award a Construction Contract to International Line Builders, Inc. in the Amount of $734,930 for a Traffic Signal Modification Project with an Estimated Project Delivery Cost of $929,687 (Project No. 18- 6919) (Non-General Fund)

RECOMMENDED ACTION

1. Approve an appropriation adjustment reappropriating $596,328 in Fiscal Year 2017- 18 Highway Safety Improvement Program grant funds into the Federal Aid Safety Program, Federal Grant-Indirect revenue account, and appropriate the same amount into the Public Services Street Safety Projects, Improvements Other Than Building expenditure account. (Requires five affirmative votes)

2. Approve an appropriation adjustment recognizing $119,400 in Fiscal Year 2022-23 Highway Safety Improvement Program grant funds into the Federal Aid Safety Program, Federal Grant-Indirect revenue account, and appropriate the same amount into the Public Services Street Safety Projects, Improvements Other Than Building expenditure account. (Requires five affirmative votes)

3. Approve an amendment to the Fiscal Year 2022-23 Capital Improvement Program to include $213,959 in General Fund monies from Public Works Traffic /Transportation - Service Enhancements funding and an additional $119,400 in Highway Safety Improvement Program grant funds into the project’s construction funds for the Traffic Signal Modifications Project for a total of $333,359.

4. Award a construction contract to International Line Builders, Inc., the second lowest responsible bidder, in accordance with the base bid in the amount of $734,930, for construction of the 1st Street at Jackson Street and 5th Street at Euclid Street Traffic Signal Modification Project, for the term beginning August 16, 2022, and ending upon project completion, subject to non-substantive changes approved by the City Manager and City Attorney.

City Council 17 – 1 8/16/2022
Traffic Signal Modification Project
August 16, 2022

Page 2 ends

5. Approve the Project Cost Analysis for a total estimated construction delivery cost of $929,687, which includes $734,930 for the construction contract; $121,264 for contract administration, inspection and testing; and a $73,493 project contingency for unanticipated or unforeseen work to be funded from Highway Safety Improvement Program grant funds.

DISCUSSION
The recommended actions are needed to proceed with the modification of two existing traffic signals which add left-turn arrow indications at the intersections of 1st Street at Jackson Street and 5th Street at Euclid Street (Exhibits 1 and 2). Once completed, these traffic signal improvements will increase safety for motorists and pedestrians at this intersection.

The Public Works Agency was awarded a $726,128 Highway Safety Improvement Program (HSIP) grant for this project, which was recognized in the City Council-approved Fiscal Year 2017-18 Capital Improvement Program (CIP). A total of $129,800 was earmarked for Preliminary Engineering. The spending authorization for the remaining $596,328 in construction funding was received in April 2021. Staff is requesting City Council approval to recognize and re-appropriate this grant allocation for expenditure in Fiscal Year 2022-23.

In June 2022, an additional $119,400 in HSIP grant funds was authorized, bringing the total HSIP grant funds available for the project to $715,728. The additional $119,400 in HSIP grant funds received has been allocated from additional available funds within the HSIP grant program administered by the State. Staff is requesting City Council approval to recognize and appropriate the additional grant allocation of $119,400 in construction phase grant funding for expenditure in Fiscal Year 2022-23.

Upon approval of the requested appropriation adjustments and the existing project funds, the total funds available for construction will be $929,687, which is composed of $715,728 in grant funding and $213,959 in General Fund monies were budgeted and appropriated as part of the FY 2022-23 City budget in the Public Works Traffic /Transportation-Service Enhancements expenditure account. The proposed Capital Improvement Program amendment allows for these signalized intersection traffic safety enhancements to add the additional grant funds of $119,400 and local funds of $213,959 for construction in the capital improvements program (Exhibit 3).

Public Outreach and Contractor Participation
To provide an opportunity for local vendors to submit bids, a Notice Inviting Bids was advertised in the Orange County Register newspaper on October 26 and November 2, 2021. The project was also advertised on PlanetBids on October 26, 2021, and bids were received electronically via PlanetBids on November 16, 2021. The City notified a total of 355 regional vendors via PlanetBids and 26 vendors requested bidding documents.

City Council 17 – 2 8/16/2022
Traffic Signal Modification Project
August 16, 2022

Page 3 ends

Bid Results Summary
A total of six bids were received, with the lowest bid deemed not responsive and all other bids being deemed responsive. No bids were received from Santa Ana contractors.

RANK BIDDER’S NAME LOCATION BASE BID
1 KDC, Inc. dba Dynalectric L.A. Los Alamitos $661,467
2 International Line Builders, Inc. Corona $734,930
3 Elecnor Belco Electric, Inc. Chino $737,881
4 Select Electric, Inc. Vista $765,500
5 Crosstown Electrical & Data, Inc/ Irwindale $775,983
6 California Professional Engineering, Inc. La Puente $806,716 International Line Builders, Inc. submitted the second lowest responsive base bid in the amount of $734,930 (Exhibit 4). Based on the bid analysis and a contractor’s reference check, staff recommends awarding the construction contract to International Line Builders, Inc., in the amount bid (Exhibit 5). International Line Builders, Inc. has performed quality work on several projects in the last five years, including replacing traffic signal heads and complete signal pole replacements. Staff is confident that this contractor will continue to perform and produce quality work for the City.

Project Delivery
To deliver a complete project, in addition to the construction contract, the estimated total project delivery cost includes construction administration, inspection, and testing, along with an allowance for contingencies to account for unexpected or unforeseen conditions.

Construction administration and inspection include the following: construction management; implementation of the City’s Community Workforce Agreement; inspection of the Contractor’s work to ensure contract compliance, workmanship, and quality; and material testing. As indicated in the Cost Analysis (Exhibit 6) and as summarized in the table below, the estimated total construction delivery cost of the project is $929,687.

Construction Contract $734,930
Construction Administration, Inspection, and Testing $121,264 Contingencies $73,493
ESTIMATED CONSTRUCTION DELIVERY COST $929,687
City Council 17 – 3 8/16/2022
Traffic Signal Modification Project
August 16, 2022

Page 4 ends

ENVIRONMENTAL IMPACT
In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER2018-9 was filed for this project.

FISCAL IMPACT
Approval of the requested appropriation adjustments will provide $715,728 in HSIP grant funding for this project through the following transactions:
• Reappropriate $596,328 in Fiscal Year 2017-18 Highway Safety Improvement Program grant funds into the Federal Aid Safety Program, Federal Grant-Indirect revenue account (No. 14717002-52001), and appropriate the same amount into the Public Services Street Safety Projects, Improvements Other Than Building expenditure account (No. 14717002-66220).
• Recognize $119,400 in Fiscal Year 2022-23 Highway Safety Improvement Program grant funds into the Federal Aid Safety Program, Federal Grant-Indirect revenue account (No. 14717002-52001), and appropriate the same amount into the Public Services Street Safety Projects, Improvements Other Than Building expenditure account (No. 14717002-66220)
All funds will be available for expenditure in Fiscal Year 2022-23. However, any remaining balances not expended at the end of the fiscal year will be carried forward into FY 2023-

24. The following table summarizes the funds budgeted for expenditure to deliver construction of this project:

Fiscal
Year
Accounting UnitAccount #Fund
Description
Accounting Unit,
Account Description
Amount

APPROPRIATION ADJUSTMENTS
2022-23 14717002-66220
(18-6919)
Federal Aid
Safety Program
Public Services–Street
Safety Projects,
Improvements Other Than
Building
$596,328
2022-23 14717002-66220
(18-6919)
Federal Aid
Safety Program
Public Services–Street
Safety Projects,
Improvements Other Than
Building
$119,400

EXISTING BUDGET
2022-23
01117620-66220
(18-6919) General Fund
Public Works Traffic
/Transportation - Service
Enhancements,
Improvements Other Than
Building
$213,959
Total: $929,687
City Council 17 – 4 8/16/2022
Traffic Signal Modification Project
August 16, 2022

Page 5 ends

EXHIBIT(S)

1. Location Map

2. Construction Plans

3. Amended FY 2022-23 CIP Project Sheet

4. Bid Proposal

5. Construction Contract

6. Cost Analysis
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Kristine Ridge, City Manager
City Council 17 – 5 8/16/2022
PWA

SANTA ANA

PUBLIC WORKS AGENCY
Project No. 18-6919:
1 st St at Jackson St and 5th St at Euclid St
Traffic Signal Modifications
Project
Location

WALNUT ST ROUSSELLE ST

OCCIDENTAL ST

ST GERTRUDE PL

ANAHURST PL
EXHIBIT 1

ST GERTRUDE PL
15TH ST
Jackson ST
5 th ST
City Council 17 – 6 8/16/2022
RE-BID
City Council 17 – 7 8/16/2022
RE-BID
 City Council 17 – 88/16/2022  RE-BID
 City Council 17 – 98/16/2022  RE-BID
 City Council 17 – 108/16/2022  CITY OF SANTA ANA FY 22/23CIP

CAPITAL IMPROVEMENT PROJECT WORKSHEET
PROJECT DESCRIPTION:

Design and installation of left turn arrows at 1st Street/Jackson Street and 5th Street/Euclid Street.

PROJECT NEED:

This project designed to enhance traffic safety.

PROJECT TITLE:
1st Street/Jackson and 5th
Street/Euclid Signal Modifications
PROJECT CATEGORY:

Traffic Improvements
Traffic Safety / Mobility

LOCATION MAP
AGENCY: DIVISION: CONTACT: DATE:

Public Works Traffic Engineering Zdenek Kekula, Principal Civil Engineer 04-Aug-2022

PROJECT COSTS
Total
Project
Cost FY 22/23 FY 23/24 FY 24/25 FY 25/26 FY 26/27 FY 27/28 FY 28/29 Construction 929,759 333,359 - - - - - -
Engineering 129,800 - - - - - - -
TOTAL 1,059,559 333,359 - - - - - -

SOURCE OF FUNDS
Total
Project
Cost FY 22/23 FY 23/24 FY 24/25 FY 25/26 FY 26/27 FY 27/28 FY 28/29 213,959 213,959 - - - - - -
HSIP 845,600 119,400 - - - - - -
TOTAL 1,059,559 333,359 - - - - - -
EXHIBIT 3
City Council 17 – 11 8/16/2022
City Council 17 – 12 8/16/2022
City Council 17 – 13 8/16/2022
City Council 17 – 14 8/16/2022

CITY OF SANTA ANA

CONSTRUCTION CONTRACT
PROJECT 18-6919
1ST ST AT JACKSON ST & 5TTT ST AT EUCLID ST SIGNAL MODIFICATION This CONSTRUCTION CONTRACT is made and entered into this 166 day of August, 2022 by and between the City of Santa Ana, Califomia, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of Califomia (hereinafter *CITY), and Intemational Line Builders (hereinafter "CONTRACTOR').

WITNESSETH:

The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows:

1. CONTRACTOR agrees to perform all the work and fumish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the city Engineer of the GITY, the lsr sT AT JACKSON ST & 5rH ST AT EUCLID ST SIGNAL MODIFICATION (hereinafter referred to as the "WORK OF IMPROVEMENT") identified in and in accordance with the Contract Documents prepared by the City's Public Works Agency and approved by the City Council.

2. The complete Construction Contract consists ofthe "Contract Documents" as defined by the Standard Specifications for Public Works Construction and which include the following:
o Notice lnviting Bids
o Information to Bidders
o Bid Proposal
. Bid Bond
. Contract Form
o Contract Bonds
o General Provisions
o Special Provisions
o Technical Provisions and Project Plans
o Community Workforce Agreement
o ApPendices
In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications for Public Works Construction.

3. CITY agrees to pay and CONTRACTOR agrees to accept in full payment to complete the WORK OF IMPROVEMENT the sum total amount not to exceed Seven Hundred Thirty Four Thousand Nine Hundred Thirty Dollars and No Cents ($734,930.00), as set forth and identified in the BID PROPOSAL, which is attached hereto and incorporated herein as Exhibit "A." The BID PROPOSAL contains a schedule of unit price(s) or lump sum(s) based on approximate quantities only, and the City does not expressly or by implication agree that the actual amount of work will correspond therewith, but reserves the right to increase or decrease the amount of any class or portion of the work or to omit portions of the work as may be deemed necessary or advisable. rev . 091011201 7 Page 1 of3
EXHIBIT 5
City Council 17 – 15 8/16/2022

4. CONTRACTOR agrees to complete the WORK OF IMPROVEMENT within the time specified in the Time for Completion of Improvements section of the BID PROPOSAL (Exhibit "A") including commencing construction within the timeframe therein specified after issuance of a Notice to Proceed.

5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the WORK OF IMPROVEMENT a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law.

6. If applicable, the CONTRACTOR shall adhere to the CITY'S Community Workforce Agreement (CWA), a pre-hire collective bargaining agreement, which establishes the labor relations policies and procedures for CONTRACTOR to follow in the crafts persons employed to complete the WORK OF IMPROVEMENT as more fully described in the CWA. The CWA may be found on the City's website htto://www.santa-ana. orp/pwa/documents/CWA.odf

8. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, fumish a warranty performance and payment bond (Wananty Bond). Said Warranty Bond shall also be required as a condition ofproject acceptance. For projects up to Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the geater of Ten Thousand Dollars ($ 10,000) or Twenty Percent (20%) of the final contract price. For projects above Five Hundred Thousand Dollars ($500,000), the Wananty Bond amount shall be the greater of One Hundred Thousand Dollars ($100,000) or Ten Percent ( l0%) ofthe final contract price.

9. CONTRACTOR shall, after award of this Contract, fumish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY.

IO. INDEMNIFICATION.

To the fullest extent allowed by law, CONTRACTOR and its Subcontractors hereby agree to defend, indemnifu, and hold harmless CITY, its City Council, boards and commissions, officers, agents, employees, representatives and volunteers (hereinafter collectively referred to as "lndernnitees"), through legal counsel acceptable to CITY, from and against any liability, claims, actions, costs, damages or losses, including reasonable costs and attomey's fees, for injury, including death to any person or damage to any property, arising directly or indirectly from, or in any manner relating to, any of the following:
(D Performance or nonperformance of the Work of Improvement by CONTRACTOR or its Subcontractors of any lower tier; (iD Performance or nonperformance by CONTRACTOR or its Subcontractors of any lower tier, ofany of the obligations under the Contract Documents;

Page 2 of 3 ends

7. CONTRACTOR shall, after award of this Contract, fumish wo bonds to be approved by the CITY, one in the amount ofOne Hundred Percent (100%) of the Contract price, to guarantee the faithful performance ofthe work (Performance Bond), and one in the amount of One Hundred Percent (100%) of the Contract price to guarantee payment of all claims for labor and materials fumished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY.

City Council 17 – 16 8/16/2022
(iiD
(iv)
(v)
The construction activities of CONTRACTOR or its Subcontractors of any lower tier, either on the project site or on other properties;
The paymetrt or nonpayment by CONTRACTOR of any of its Subcontractors of any lower tier, for Work of lmprovement performed on or offthe project site; and Any personal injury, property damage or economic loss to third persons related to and arising from the performance or nonperformance by CONTRACTOR or its Subconfactors of any lower tier, of the Work of lmprovement.

The indemnity obligations of Subcontractors provided by this Section shall be included in all subcontract documents issued by CONTRACTOR.
(vi)
Nothing in the Contract Documents shall be construed to give rise to any implied right of indemnity in favor of CONTRACTOR against CITY or any other Indemnitee.

IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written.

ATTEST: CITY OF SANTA ANA

DAISY GOMEZ
Clerk of the Council
APPROVED AS TO FORM:

SONIA R. CARVALHO
City Attomey

KRISTINE RIDGE
City Manager
CONTRACTOR:
lnternational Line Builders
NAME: Re'vu- CAVLLOS
TITLE: V P Br._tSl^reg Da,e_cp.^a_O

JOHN FUNK
Chief Assistant City Attorney
By: wturu
RECOMMENDED FOR APPROVAL:

NABIL SABA, PE
Executive Director
Public Works Agency

Page 3 ends

City Council 17 – 17 8/16/2022
Exhibit A cITy oF sAI\trA ANA rr r. -tu I)

PROPOSAL
PROJECT NO.: l8-6919
I ST ST AT JACKSON ST & 5TH ST AT EUCLID ST TRAFFIC SIGNAL MODIFICATION FEDERAL PROJECT NO: HSIPL 5063 (190)

BID SAL
TO: CITY COUNCIL OF THE CITY OF SANTA ANA
FROM: lnternational Line Builders, lnc. dba ILB Electric REQUIREMENT:

The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or lump sum(s) set forth in the following schedule:

Item Description QW Unit Unit Price Amount
Mobilization I LS s j7,/q (
2 Traffic Signal Modification at lst St
and Jackson St
I LS s/&t,Llz' S
3 Traffic Signal Modification at 5th St
and Euclid St
I LS $/ {o, r s} S
4 Furnish and Install Type E Loop 34 EA
5 Furnish and lnstall Type D or Q Loop 23 EA s '3a,2 - $2, trt6 Install 2" PVC Conduit Per Plan 65 LF $ --) 5l . kcs s
?)
z^ O q
7 Install 3" PVC Conduit Pcr Plan 1490 LF s57 $ grl, ?3uP- I of P-52 I $ 37,/4f -
S.

City Council 17 – 18 8/16/2022
CITY OF SANTA ANA r{1.-riil)

PROPOSAL
PROJECT NO.: l8-6919
IST ST AT JACKSON ST & 5TH ST AT EUCLID ST TRAFFIC SIGNAL MODIFICATION FEDERAL PROJECT NO: HSIPL 5063 (190)
Item DescriDtion Qtv Unit Unit Price ArDouol
8 Install 4" PVC Conduit Per Plan 530 LF
9 Install No. 6 Pullbox 26 EA sQ: z' S
l0 Install No. 6E Pullbox 3 EA 5 :) s3,3ol'
lt lnstall SCE Pull Box I EA S. S
t2 Install 120 Strand SMFO Cable t600 s(/ s,/.-',
l3 Fusion Splice I Strand SMFO 24 EA $, /, cD?
Install IP Communication System at
I st St and Jackson St I LS S
l5 Pothole Pole Locations for Utility
Conflicts 9 EA S:
l6 Pothole Utilities not Shown on Plan 5 EA S 3 f, {<x> '
l'l Temporary Overhead Wiring at lst St
and Jackson St I LS s /7qzr
t8 Tonporary Ovcrhead Wiring at 5th
St and Euclid St I LS (- s 9,3/f
l9 Unclassifi ed Excavation 25 CY s/,/t{-
20 Construct ADA Wheel Chair Ramp
Per City of Santa Ana Std. Plan No.
||22.

SF $ 57,3?o'
P-2 ol'P-52
s/c?- sLF
s 4z'
l4 S
s
s / 7, ?zs'-
s22,i,a'
2250 $22.91
City Council 17 – 19 8/16/2022
The lowesl responsible bidder shall be selected based on the Totrl Bese Bid. The City reserves the right to award the Base Bid, and any, all. or none of the add-altemate bid items (if any).

The quantity for this bid item is shown for bid comparison only. This bid item shall not be subject to the "25%" limit as stated in Section 3-2 of the Standard Specifications. The actual urmount for this item will be dictated by the actual quantity used, and the Agency reserves the righl to increase or decreasc lhe quantity ofthis item accordingly.
t This bid item is considered a Specialty ltem per Section 2-3.2 ofthe Standard Specifications.

TIME FOR COMPLETION OF IMPROVEMENTS AND LIOUIDATED DAMAGES The undersigned bidder hcreby proposes to complcte the Work for the total base bid amount shown above, within Eisht), (80) workine davs after the commencement date stated in the Notice to Proceed.

The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $500.00 per calandar day.

Name of Firm lnternational Line Builders, lnc. dba ILB Electric -)/,
Signarure of BIDDER / I -ga dl,,.^Eedr
Title Vir.;,o},,. r,rL,-r.
(lfan individual, so state. lfa firm or co-partnership. statc the fimr name and give the names of all individual co-partners composing the firm, Ifa corporation, state legal name of corporarion. and names of Presidcnt. Sccretary. Treasurer and Managcr. thereof. ) k"(,fu
Item Description Otv IInit Unit Price Amount
Signing and Striping I LS S- : -
S s
'Q,.t
22 As-Built Plans I LS s5.000
2l Constnrction Permits I LS s 10.000 S . r-(.

TOTAL BASE BID
P-3 of P-52
CITY OF SANTA ANA IT}-.IIII)

PROPOSAL
PROJECT NO.: l8-6919
IST ST AT JACKSON ST & sTH ST AT EUCLID ST TRAFFIC SIGNAL MODIFICATION FEDERAL PROJECT NO: HSIPL 5063 (190)
s73,/,QSo -
2l
S
City Council 17 – 20 8/16/2022
EXHIBIT 6
Construction Contract $ 734,930
Contract Administration, Inspection and Testing (15%) $ 121,264 Contingencies (10%) $ 73,493
TOTAL ESTIMATED CONSTRUCTION COSTS $ 929,687
CONSTRUCTION OF PROJECT NO. 18-6919: 1st Street at Jackson Street & 5th Street and Euclid Street Traffic Signal Modification

COST ANALYSIS
City Council 17 – 21 8/16/2022
Police Department
www.santa-ana.org/police
Item # 18
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 16, 2022
TOPIC: FY 2021 Emergency Management Performance Grant
AGENDA TITLE:

Adopt a Resolution, Approve an Agreement and Appropriation Adjustment Accepting the FY 2021 Emergency Management Performance Grant (Non-General Fund)

RECOMMENDED ACTION

1. Adopt a resolution authorizing the City Manager to act on behalf of the City of Santa Ana for obtaining federal funds related to homeland security, emergency management and/or disaster recovery, provided by the U.S. Department of Homeland Security and sub-granted through the State of California and the County of Orange.

2. Authorize the City Manager to execute a two-year agreement with the County of Orange, for the period of July 1, 2021 through June 30, 2023, for the FY 2021 Emergency Management Performance Grant in an amount not to exceed $51,210, subject to non-substantive changes approved by the City Manager and City Attorney.

3. Approve an appropriation adjustment recognizing $51,210 in Law Enforcement Grants Revenue account, and appropriating same to the Emergency Management Performance Grant expenditure account. (Requires five affirmative votes)

DISCUSSION
The Emergency Management Performance Grant (EMPG) is funded by the U.S.

Department of Homeland Security and is passed through the State of California Office of Emergency Services. The EMPG grant is designed to assist state and local emergency management and disaster preparedness programs with employment and development of emergency management staff, development of emergency plans and procedures, and preparing cities for disaster response. The EMPG grant is distributed by population to counties and cities that maintain emergency management staff and meet training, exercising and reporting requirements. The County of Orange, Sheriff-Corner Department is the lead agency for the county.

In January 2022, the Police Department submitted an initial application for the EMPG City Council 18 – 1 8/16/2022
FY 2021 Emergency Management Performance Grant
August 16, 2022

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Grant and has been awarded $51,210. The Police Department will utilize this funding for the following projects:
• Purchase and installation of audio-visual displays in the Police Chief’s Conference Room to be networked to the display systems in the Emergency Operations Center (EOC)
• Purchase computer tables for the EOC
• Purchase shelter supplies (cots, blankets, and hygiene kits) for persons who have been evacuated from their homes during emergencies

ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.

FISCAL IMPACT
The appropriation adjustment will recognize $51,210 in Law Enforcement Grants Revenue Federal Grant-Indirect revenue account (no. 12814002-52001), and appropriate same to EMPG Grant expenditure account (no. 12814414-63001) for expenditure as follows:

Fiscal
Year
Accounting Unit
– Account #
Fund
Description
Accounting Unit, Account
Description Amount
FY 22-23 12814414-63001 Law Enforcement
Grants
EMPG Grant,
Miscellaneous Operating
Expenses
$ 51,210
Total $ 51,210

EXHIBIT(S)

1. Resolution

2. Agreement with County of Orange
Submitted By: David Valentin, Police Chief
Approved By: Kristine Ridge, City Manager
City Council 18 – 2 8/16/2022
Resolution No. 2022-XXX

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RESOLUTION NO. 2022-xxx

A RESOLUTION OF THE CITY COUNCIL OF THE CITY

OF SANTA ANA AUTHORIZING THE CITY MANAGER
OR HER DESIGNEE(S) TO OBTAIN 2021

EMERGENCY MANAGEMENT PERFORMANCE

GRANT FUNDS THROUGH THE COUNTY OF
ORANGE

BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS:

Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows:

A. TheState of California Office ofEmergency Services is responsible for implementing the United States Department of Homeland Security's Emergency Management Performance Grant Program (EMPG). The funds cover the salary costs for personnel involved in emergency management activities as well as the cost of miscellaneous equipment identified on the OHS approved equipment list.

B. The County of Orange is a subgrantee of the 2021 EMPG funds and will provide funds to local governments for implementation of countywide emergency management capabilities.

C. The City of Santa Ana is one of the subrecipients of the EMPG funds and has been allocated $51,210 of the County of Orange's EMPG fund.

Section 2. The City Council of the City of Santa Ana hereby authorizes the City Manager, on terms acceptable to the City Attorney, to execute a sub-recipient transfer agreement (also called a transfer agreement) with the County of Orange and/or Orange County Sheriff's Department in an amount not to exceed $51,210.

Section 3. The City Council of the City of Santa Ana hereby authorizes and directs the City Manager or her designee, on terms acceptable to the City Attorney, to prepare reimbursement agreements for salary costs, equipment, services, or training with the County of Orange pursuant to the guidelines set for in the EMPG program and EMPG Articles, Assurances, Certifications, Terms and Conditions.

Section 4. The City Council of the City of Santa Ana hereby approves an Appropriation Adjustment recognizing the FY 2021 Emergency Management EXHIBIT 1
City Council 18 – 3 8/16/2022
Resolution No. 2022-XXX

Page 2 of 2 ends

Performance Grant in the amount of $51,210 and appropriates same in the FY 2021 Emergency Management Performance Grant expenditure accounts.

Section 5. This Resolution shall take effect immediately upon the signing of this Resolution by the City Council and the Clerk of the Council shall attest to and certify this the vote adopting this Resolution.

SIGNED this day of August, 2022.
______________________________
Vicente Sarmiento
Mayor
APPROVED AS TO FORM:

Sonia R. Carvalho, City Attorney
By: Tamara Bogosian
Senior Assistant City Attorney
AYES: Councilmembers
NOES: Councilmembers
ABSTAIN: Councilmembers
NOTPRESENT: Councilmembers

CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, , Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2022-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on , 2022.

Date:_______________ _____________________________
Clerk of the Council
City of Santa Ana
City Council 18 – 4 8/16/2022
CFDA: 97.042
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AGREEMENT TO TRANSFER FUNDS
FOR 2021 EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM THIS AGREEMENT is entered into this ______ day of ________ 20____, which date is enumerated for purposes of reference only, by and between the COUNTY OF ORANGE, a political subdivision of the State of California, hereinafter referred to as “COUNTY,” and ___________________, a municipal corporation, hereinafter referred to as “SUBRECIPIENT.” WHEREAS, COUNTY, acting through its Sheriff-Coroner Department, hereinafter referred to as SHERIFF, in its capacity as the lead agency for the Operational Area, has applied for, received and accepted the Emergency Management Performance Grant (hereinafter referred to as “the grant”) from the California Office of Emergency Services (“CalOES”).

WHEREAS, the purpose of the grant is to support comprehensive emergency management at the state, tribal and local levels and to encourage the improvement of prevention, protection, mitigation, response and recovery capabilities for all hazards, as set forth in Attachment A hereto (FEMA Preparedness Grants Manual), which is attached hereto and incorporated herein by reference.

NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:

1. COUNTY shall transfer to SUBRECIPIENT grant funds, in arrears, as necessary to reimburse SUBRECIPIENT for reasonable and permissible expenditures for the grant purposes. In order to obtain grant funds, SUBRECIPIENT shall comply with the instructions and submit to SHERIFF all required information and documentation, as set forth in Attachment B (FY2021 EMPG Financial Management Forms Workbook), which is attached hereto and incorporated herein by reference.

2. Throughout their useful life, grant property and equipment shall be used by SUBRECIPIENT only for grant purposes in accordance with Attachment A hereto.

3. SUBRECIPIENT shall exercise due care to preserve and safeguard grant property and equipment from damage or destruction and shall provide regular maintenance and such repairs for grant property and equipment as are necessary, in order to keep said grant property and equipment continually in good working order.

EXHIBIT 2
City Council 18 – 5 8/16/2022
CFDA: 97.042
Emergency Management Performance Grant
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4. If grant property or equipment becomes obsolete, SUBRECIPIENT shall dispose of it only in accordance with the instructions of COUNTY or the agency from which COUNTY received the grant funds.

5. SUBRECIPIENT shall submit to the COUNTY grant program reporting documents and information in accordance with requirements set out in the Attachment C (FY2021 Emergency Management Performance Grant Program: California Supplement to the FEMA Preparedness Grants Manual; or, The State Guidance), which is attached hereto and incorporated herein by reference.

6. By executing this Agreement, SUBRECIPIENT agrees to comply with and be fully bound by this Agreement and all applicable provisions of Attachments A, B, C, and D (Standard Assurances for all CalOES Federal Grant Programs) hereto. SUBRECIPIENT shall notify COUNTY immediately upon discovery that it has not abided or no longer will abide by any applicable provision of this Agreement or Attachments A, B, C, or D hereto.

7. SUBRECIPIENT agrees to indemnify, defend and save harmless COUNTY and the agency from which COUNTY received grant funds, and their elected and appointed officials, officers, agents and employees from any and all claims and losses accruing or resulting to any and all contractors, subcontractors, laborers, and any other person, firm or corporation furnishing or supplying work, services, materials or supplies in connection with SUBRECIPIENT’s performance of this Agreement, including Attachments A, B, C, and D hereto, and from any and all claims and losses accruing or resulting to any person, firm, or corporation who may be injured or damaged by SUBRECIPIENT in the performance of this Agreement, including Attachments A, B, C, and D hereto.

8. No alteration or variation of the terms of this Agreement shall be valid unless made in writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or agreement not incorporated herein shall be binding on any of the parties hereto.

9. SUBRECIPIENT may not assign this Agreement in whole or in part without the express written consent of COUNTY.

10. SUBRECIPIENT shall provide to COUNTY all records and information requested by COUNTY for inclusion in quarterly reports and such other reports or records as COUNTY may be City Council 18 – 6 8/16/2022
CFDA: 97.042
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required to provide to the agency from which COUNTY received grant funds or other persons or agencies.

11. For a period of three years after the final Federal Financial Report hereunder or until all claims related to this Agreement are finally settled, whichever is later, SUBRECIPIENT shall preserve and maintain all documents, papers and records relevant to the work performed or property or equipment acquired in accordance with this Agreement, including Attachments A, B, C, and D hereto. For the same time period, SUBRECIPIENT shall make said documents, papers and records available to COUNTY and the agency from which COUNTY received the grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of SUBRECIPIENT, upon request, during usual working hours.

12. SUBRECIPIENT and COUNTY shall be subject to examination and audit by the State Auditor General with respect to this Agreement for a period of three years after the final Federal Financial Report hereunder.

13. COUNTY may terminate this Agreement and be relieved of the payment of any consideration to SUBRECIPIENT if a) SUBRECIPIENT fails to perform any of the covenants contained in this Agreement, including the applicable terms of Attachments A, B, C, and D hereto, at the time and in the manner herein provided, or b) COUNTY loses funding under the grant. In the event of termination, COUNTY may proceed with the work in any manner deemed proper by COUNTY.

14. SUBRECIPIENT and its agents and employees shall act in an independent capacity in the performance of this Agreement, including Attachments A, B, C, and D hereto, and shall not be considered officers, agents or employees of COUNTY or SHERIFF or of the agency from which COUNTY received grant funds.

15. By signing this Agreement, SUBRECEIPIENT understands and agrees that:
a. Failure to follow grant guidance, including those detailed below, will result in ineligibility for any reimbursement under the FY21 EMPG:
b. A SUBRECIPIENT representative must attend half of the Orange County Emergency Managers Organization meetings held from July 1, 2021 through June 30, 2023; City Council 18 – 7 8/16/2022
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c. SUBRECIPIENT must maintain National Incident Management System (NIMS) compliance;
d. For any personnel whose salary is charged to the grant, that specific individual must meet the training and exercise requirements set forth in the grant guidance; e. Only those expenditures specifically detailed in the Financial Management Forms Workbook are approved for funding; any changes must be pre-approved by the California Office of Emergency Services;
IN WITNESS WHEREOF, the parties have executed this Agreement in the County of Orange, State of California.

DATED: ________________, 20___ COUNTY OF ORANGE, a political subdivision of the State of California
By ____________________________________
Sheriff-Coroner
“COUNTY”

APPROVED AS TO FORM

COUNTY COUNSEL
By ___________________________________
Wendy J. Phillips, Senior Deputy
DATED: ________________, 20___ SUBRECIPIENT ________________________ By ____________________________________
ATTEST:
_________________________________
City Clerk
DATED:

APPROVED AS TO FORM:

Sonia R. Carvalho
City Attorney
Tamara Bogosian
Senior Assistant City Attorney
City Council 18 – 8 8/16/2022
Preparedness Grants Manual | February 2021 1
FEMA
Preparedness Grants
Manual
FEMA Grant Programs Directorate
Version 2, February 2021
Attachment A
City Council 18 – 9 8/16/2022
Preparedness Grants Manual | February 2021 2
Table of Contents
Table of Contents 2
About the Federal Emergency Management Agency (FEMA) 7
Overview of FEMA 7
Overview of Preparedness Grant Programs 7
Homeland Security Grant Program (HSGP) 7
Tribal Homeland Security Grant Program (THSGP) 7
Nonprofit Security Grant Program (NSGP) 8
Transit Security Grant Program (TSGP) 8
Intercity Bus Security Grant Program (IBSGP) 8
Intercity Passenger Rail (IPR) Program – Amtrak 8
Port Security Grant Program (PSGP) 8
Emergency Management Performance Grant (EMPG) Program 8 Foreword 9
The National Preparedness Goal 9
Pre-Award Application and Submission 10
Pre-Submission Information 10
Agreeing to Terms and Conditions of the Award 10
Address to Request Application Package 11
Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application 11
Electronic Delivery 12
How to Register to Apply through Grants.gov 12
How to Submit an Initial Application to DHS/FEMA via Grants.gov 14 Submitting the Final Application in ND Grants 16
Timely Receipt Requirements and Proof of Timely Submission 16 Content and Form of Application Submission 17
Intergovernmental Review 17
Funding Restrictions and Allowable Costs 17
Award Determination and Obligation 20
Allocations 20
Risk Methodology 20
Application Evaluation Criteria 20
Supplemental Financial Integrity Review 21
Review and Selection Process 21
Federal Award Administration Information 21
Notice of Award 21
Pass-Through Requirements 22
City Council 18 – 10 8/16/2022
Preparedness Grants Manual | February 2021 3
Administrative and National Policy Requirements 22
Post-Award Management and Implementation 26
Reporting 26
Federal Financial Reporting Requirements 26
Federal Financial Report (FFR) 26
Financial Reporting Periods and Due Dates 26
Program Performance Reporting Requirements 27
Performance Progress Report (PPR) 27
Program Performance Reporting Periods and Due Dates 27
Additional Programmatic Reporting Requirements and Information 27 Biannual Strategy Implementation Report (BSIR) 27
Closeout Reporting Requirements 28
Administrative Closeout 28
Disclosing Information per 2 C.F.R. § 180.335 29
Reporting of Matters Related to Recipient Integrity and Performance 29 Single Audit Report 29
Additional Information 30
Monitoring and Oversight 30
Overview 30
Financial Monitoring Overview and Approach 31
Programmatic Monitoring Overview and Approach 33
Environmental Planning and Historic Preservation (EHP) 34 Case Studies and Use of Grant-Funded Resources During Real-World Incident Operations 34 Conflicts of Interest in the Administration of Federal Awards or Subawards 35 Procurement Integrity 35
Important Changes to Procurement Standards in 2 C.F.R Part 200 36 Competition and Conflicts of Interest 36
Supply Schedules and Purchasing Programs 37
Termination Provisions 39
Period of Performance (POP) Extensions 39
Actions to Address Noncompliance 41
Audits 42
Payment Information 43
Disability Integration 43
National Campaigns and Programs 45
Whole Community Preparedness 45
Active Shooter Preparedness 45
Soft Targets and Crowded Places 46
Community Lifelines 46
Strategic Framework for Countering Terrorism and Targeted Violence 47 Program Appendix A: Homeland Security Grant Program (HSGP) A-1 Alignment of HSGP to the National Preparedness System A-1 City Council 18 – 11 8/16/2022
Preparedness Grants Manual | February 2021 4
HSGP Funding Guidelines A-2
Reporting on the Implementation of the National Preparedness System A-20 Identifying and Assessing Risk and Estimating Capability Requirements A-20 Building and Sustaining Capabilities A-21
National Incident Management System (NIMS) Implementation A-21 Planning to Deliver Capabilities A-22
Validating Capabilities A-22
Fusion Centers A-23
Fusion Center Performance Measures A-25
Continuity of Operations A-26
Governance A-27
Supplemental SHSP and UASI Guidance A-31
Supplemental OPSG Program Guidance A-34
OPSG Operational Guidance A-36
HSGP Supplemental Material A-42
Supplemental Emergency Communications Guidance A-44
Program Appendix B: Tribal Homeland Security Grant Program (THSGP) B-1 Alignment of THSGP to the National Preparedness System B-1 THSGP Funding Guidelines B-4
THSGP Priorities B-4
Allowable Costs B-4
THSGP Investment Modifications – Changes in Scope or Objective B-12 Program Appendix C: Nonprofit Security Grant Program (NSGP) C-1 NSGP Funding Guidelines C-1
NSGP Priorities C-1
Allowable Costs C-1
NSGP Investment Modifications – Changes in Scope or Objective C-7 Pass-Through Requirements C-8
DUNS/SAM Requirements for Recipients and Subrecipients C-8 Program Appendix D: Transit Security Grant Program (TSGP) D-1 TSGP Funding Guidelines D-1
Pre-Award Costs D-1
TSGP Priorities D-1
Security Plan Requirements D-1
Allowable Direct Costs D-2
Allowable Indirect Costs D-12
Unallowable Costs D-12
Maintenance and Sustainment Costs D-12
Encouraged Use of Certain Products Produced in the United States D-13 Program Appendix E: Intercity Bus Security Grant Program (IBSGP) E-1 IBSGP Priorities E-1
Pre-Award Costs E-1
City Council 18 – 12 8/16/2022
Preparedness Grants Manual | February 2021 5
Allowable Direct Costs E-1
Indirect Costs (Facilities and Administration [F&A]) E-7 Unallowable Costs E-8
Other Allowable Costs E-8
Encouraged Use of Certain Products Produced in the United States E-9 Program Appendix F: Intercity Passenger Rail (IPR) Program F-1 IPR Funding Guidelines F-1
IPR Priorities F-1
Security Plan Requirements F-1
Allowable Costs F-2
Operational Activities F-2
Funding Availability for OPacks F-4
Specific Guidance on EDCT F-5
EDCT Submission Requirements F-5
Requirements for Small Unmanned Aircraft Systems F-7
Cybersecurity Projects F-8
Capital (Construction) Projects Guidance F-8
Training and Awareness Campaigns F-9
Management and Administration (M&A) F-11
Indirect Costs F-12
Unallowable Costs F-12
Maintenance and Sustainment Costs F-12
Encouraged Use of Certain Products Produced in the United States F-13 Program Appendix G: Port Security Grant Program (PSGP) G-1 PSGP Funding Guidelines G-1
PSGP Priorities G-1
Limitations on Funding G-1
Allowable Direct Costs G-2
Allowable Indirect Costs G-14
Unallowable Costs G-14
Maintenance and Sustainment Costs G-15
Port-Wide Risk Management Plans G-16
Sample Memorandum of Understanding/Agreement (MOU/MOA) G-16 Program Appendix H: Emergency Management Performance Grant Program H-1 Alignment of the EMPG Program to the National Preparedness System H-1 Implementation of the National Preparedness System H-2
Logistics Planning H-3
Evacuation Planning H-5
Disaster Housing Planning H-5
State Disaster Recovery Coordinator H-7
Disaster Financial Management Policies and Procedures H-7 Training and Exercises H-9
Reviewing and Updating Planning Products H-12
City Council 18 – 13 8/16/2022
Preparedness Grants Manual | February 2021 6
Additional Considerations H-13
Program Performance Reporting Requirements H-13
EMPG Program Funding Guidelines H-15
Allowable Costs H-15
Planning H-15
Continuity Planning H-17
Organization H-17
Equipment H-18
Training H-19
Exercises H-20
Construction and Renovation H-21
Acquisition of Real Property H-23
Leasing of Real Property H-23
Maintenance and Sustainment H-24
Unallowable Costs H-24
EMPG Program Work Plan H-25
City Council 18 – 14 8/16/2022
Preparedness Grants Manual | February 2021 7
About the Federal Emergency Management
Agency (FEMA)
Overview of FEMA
FEMA has helped people before, during, and after disasters for more than 40 years. FEMA remains committed to building and developing a culture of preparedness across the country and unifying all levels of community and government in an integrated approach to emergency management. FEMA is part of a larger team of federal agencies, state, local, tribal, and territorial (SLTT) governments, and nongovernmental partners that share responsibility for emergency management and national preparedness.

Those closest to impacted areas are the true first responders during any emergency or disaster— individuals, families, neighbors, and local communities. FEMA’s role is to coordinate federal resources to supplement SLTT capabilities. FEMA does this by coordinating through the levels of government, meaning that states and their local political subdivisions, tribes, and territories are our primary partners.

Overview of Preparedness Grant Programs
FEMA has the statutory authority to deliver numerous disaster and non-disaster financial assistance programs in support of its mission, and that of the Department of Homeland Security, largely through grants and cooperative agreements. These programs account for a significant amount of the federal funds for which FEMA is accountable. FEMA officials are responsible and accountable for the proper administration of these funds pursuant to federal laws and regulations, Office of Management and Budget circulars, and federal appropriations law principles. FEMA has developed this Manual to provide additional direction on grant policy and implementation for the following grant programs:

Homeland Security Grant Program (HSGP)
The HSGP includes a suite of risk-based grants to assist SLTT efforts in preventing, preparing for, protecting against, and responding to acts of terrorism. The grants under HSGP include:
• State Homeland Security Program (SHSP)
SHSP assists state, local, tribal, and territorial efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against, and respond to acts of terrorism. • Urban Area Security Initiative (UASI)
UASI assists high-threat, high-density urban areas’ efforts to build, sustain, and deliver the capabilities necessary to prevent, prepare for, protect against and respond to acts of terrorism. • Operation Stonegarden (OPSG)
OPSG supports enhanced cooperation and coordination among Customs and Border Protection (CBP), United States Border Patrol (USBP), and federal, state, local, tribal, and territorial law enforcement agencies to improve overall border security. OPSG provides funding to support joint efforts to secure the United States’ borders along routes of ingress/egress to and from international borders, to include travel corridors in states bordering Mexico and Canada, as well as states and territories with international water borders. SLTT law enforcement agencies utilize their own law enforcement authorities to support the border security mission and do not receive any additional authority as a result of participation in OPSG.

Tribal Homeland Security Grant Program (THSGP)
The THSGP provides funding directly to eligible tribes to strengthen their capacity to prevent, prepare for, protect against, and respond to potential terrorist attacks.

City Council 18 – 15 8/16/2022
Preparedness Grants Manual | February 2021 8
Nonprofit Security Grant Program (NSGP)
The NSGP provides funding for physical security enhancements and other security-related activities to nonprofit organizations that are at high risk of a terrorist attack. The NSGP also seeks to integrate the preparedness activities of nonprofit organizations with broader state and local preparedness efforts.

Transit Security Grant Program (TSGP)
The TSGP provides funds to eligible public transportation systems (which include intra-city bus, ferries, and all forms of passenger rail) to protect critical transportation infrastructure and the travelling public from terrorism, and to increase transportation infrastructure resilience.

Intercity Bus Security Grant Program (IBSGP)
The IBSGP provides funds to eligible private operators of intercity over-the-road bus transportation systems to protect critical transportation infrastructure and travelling public from acts of terrorism, and to increase transportation infrastructure resilience.

Intercity Passenger Rail (IPR) Program – Amtrak
The IPR provides funds to the National Railroad Passenger Corporation (Amtrak) to protect critical transportation infrastructure and the travelling public from terrorism, and to increase transportation infrastructure resilience.

Port Security Grant Program (PSGP)
The PSGP provides funding to port authorities, facility operators, and state and local agencies for activities associated with implementing Area Maritime Security Plans, facility security plans, and other port-wide risk management efforts.

Emergency Management Performance Grant (EMPG) Program
The EMPG Program provides funds to assist state, local, tribal, and territorial emergency management agencies in obtaining the resources required for implementation of the National Preparedness System and the National Preparedness Goal of a secure and resilient nation.

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Foreword
FEMA has developed this Preparedness Grants Manual to guide applicants and grant recipients on how to manage their grants and other resources. Recipients seeking guidance on policies and procedures for managing preparedness grants should reference this Manual for further information on both programspecific information as well as overall guidance on rules and regulations that guide the proper management of FEMA grants.

The National Preparedness Goal
The National Preparedness Goal (the Goal) is “[a] secure and resilient Nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk.” See Department of Homeland Security, National Preparedness Goal, Second Edition, 1 (Sept. 2015). The Goal essentially defines what it means for all communities to be prepared collectively for the threats and hazards that pose the greatest risk to the nation. The Goal identifies 32 distinct activities, called core capabilities, needed to address the risks. The Goal organizes these core capabilities into five categories, called mission areas. Some core capabilities apply to more than one mission area. For example, the first three core capabilities—Planning, Public Information and Warning, and Operational Coordination—are cross-cutting capabilities, meaning they apply to each of the five mission areas. The Goal describes the five mission areas as follows:

• Prevention: Prevent, avoid or stop an imminent, threatened or actual act of terrorism. • Protection: Protect our citizens, residents, visitors, and assets against the greatest threats and hazards in a manner that allows our interests, aspirations and way of life to thrive. • Mitigation: Reduce the loss of life and property by lessening the impact of future disasters. • Response: Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of an incident.
• Recovery: Recover through a focus on the timely restoration, strengthening and revitalization of infrastructure, housing and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by an incident.

The mission areas and core capabilities organize the activities and tasks performed before, during, and after disasters into a framework for achieving the goal of a secure and resilient Nation. Resilience is the desired outcome, defined in the Goal as the “ability to adapt to changing conditions and withstand and rapidly recover from disruption due to emergencies.” Id. at A-2. For more information about the Goal, go to https://www.fema.gov/national-preparedness-goal.

Recipients will use the National Preparedness System to build, sustain, and deliver these core capabilities.

The components of the National Preparedness System are: Identifying and Assessing Risk, Estimating Capability Requirements, Building and Sustaining Capabilities, Planning to Deliver Capabilities, Validating Capabilities, and Reviewing and Updating. Additional information on the National Preparedness System is available at http://www.fema.gov/national-preparedness-system. Additional details regarding the National Preparedness System and how it is supported by these grant programs can be found in the program-specific appendices.

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Pre-Award Application and Submission
Pre-Submission Information
These instructions apply to the following programs:
• Homeland Security Grant Program1
• Tribal Homeland Security Grant Program
• Nonprofit Security Grant Program
• Transit Security Grant Program
• Intercity Bus Security Grant Program
• Intercity Passenger Rail Program
• Port Security Grant Program
• Emergency Management Performance Grant Program
All applications must be received by the established deadline established in each program’s Notice of Funding Opportunity (NOFO). The Non-Disaster (ND) Grants System has a date stamp that indicates when an application is submitted. Applicants will receive an electronic message confirming receipt of their submission. For additional information on how an applicant will be notified of application receipt, see the section titled “Timely Receipt Requirements and Proof of Timely Submission.” FEMA will not review applications that are received after the deadline nor will it consider these late applications for funding. FEMA may, however, extend the application deadline on request for an applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an extension may include technical problems outside of the applicant’s control that prevent submission of the application by the deadline, other exigent or emergency circumstances, or statutory requirements for FEMA to make an award.

Applicants experiencing technical problems outside of their control must notify the respective FEMA Preparedness Officer or Program Manager as soon as possible and before the application deadline. Failure to timely notify FEMA of the issue that prevented the timely filing of the application may preclude consideration of the award. “Timely notification” of FEMA means the following: prior to the application deadline and within 48 hours after the applicant became aware of the issue.

For additional assistance using the ND Grants System, please contact the ND Grants Service Desk at (800) 865-4076 or [email protected]. The ND Grants Service Desk is available Monday through Friday, 9:00 a.m. – 6:00 p.m. ET. For programmatic or grants management questions, please contact your Preparedness Officer or Program Manager. If applicants do not know their FEMA Preparedness Officer or if there are programmatic questions or concerns, please contact the Centralized Scheduling and Information Desk (CSID) by phone at (800) 368-6498 or by e-mail at [email protected], Monday through Friday, 9:00 a.m. – 5:00 p.m. ET.

Agreeing to Terms and Conditions of the Award
By submitting an application, the applicant agrees to comply with the requirements of the applicable NOFO, this Manual, and the applicable appendix to this Manual, as well as the terms and conditions of its award should it receive an award.
1 Under this program, these instructions apply to SHSP, UASI, and OPSG.

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Address to Request Application Package
Initial applications are processed through the Grants.gov portal. Final applications are completed and submitted through FEMA’s ND Grants System. Application forms and instructions are available on Grants.gov; hard copies of the NOFO and associated application materials are not available. To access these materials, go to http://www.grants.gov, select “Applicants” then “Apply for Grants”. In order to obtain the application package, select “Download a Grant Application Package”. Enter the Assistance Listing (formerly CFDA) and/or the funding opportunity number located on the cover of the program’s NOFO, select “Download Package,” and then follow the prompts to download the application package. In addition, the following Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service (FIRS) number available for this Notice and all relevant NOFOs is (800) 462-7585.

Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application
Applying for an award under the programs covered by this Manual is a multi-step process and requires time to complete. Applicants are encouraged to register early. The registration process can take four or more weeks to be completed. Therefore, registration should be done with enough sufficient time to ensure it does not impact the applicant’s ability to meet required submission deadlines. Failure of an applicant to comply with any of the required steps in submitting an application before the deadline may disqualify that application from funding consideration.

In order to apply for an award, all applicants must:

1. Apply for, update, or verify their Data Universal Numbering System (DUNS) number from Dun & Bradstreet and Employer Identification Number (EIN) from the Internal Revenue Service;

2. In the application, provide a valid DUNS number, which is currently the unique entity identifier;

3. Have an account with login.gov;

4. Register for, update, or verify their SAM account and ensure the account is active before submitting the application;

5. Create a Grants.gov account;

6. Add a profile to a Grants.gov account;

7. Establish an Authorized Organizational Representative (AOR) in Grants.gov;

8. Register in ND Grants;

9. Submit an initial application in Grants.gov;

10. Submit the final application in ND Grants, including electronically signing applicable forms; and

11. Continue to maintain an active SAM registration with current information at all times during which it has an active federal award or an application or plan under consideration by a federal awarding agency.

Specific instructions on how to apply for, update, or verify a DUNS number or SAM registration or establish an AOR are included in the steps below for applying through Grants.gov. Applicants are advised that FEMA may not make a federal award until the applicant has complied with all applicable DUNS and SAM requirements. Therefore, an applicant’s SAM registration must be active not only at the time of application, but also during the application review period and when FEMA is ready to make a federal award. Further, as noted above, an applicant’s or recipient’s SAM registration must remain active for the duration of an active federal award. If an applicant’s SAM registration is expired at the time of application, expires during application review, or expires any other time before award, FEMA may determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

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Electronic Delivery
FEMA is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. FEMA requires applicants to submit their initial applications online through Grants.gov and to submit their final applications through ND Grants.

How to Register to Apply through Grants.gov

1. Instructions: Registering and applying for an award under these programs is a multi-step process and requires time to complete. Read the instructions below about registering to apply for FEMA funds. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information.

The registration process can take up to four weeks to complete. To ensure an application meets the deadline, applicants are advised to start the required steps well in advance of their submission.

Organizations must have a DUNS Number, EIN, and an active SAM registration.

Organizations must also have a Grants.gov account to apply for an award under these programs.

Creating a Grants.gov account can be completed online in minutes, but DUNS and SAM registrations may take several weeks. Therefore, an organization’s registration should be done in sufficient time to ensure it does not impact the entity’s ability to meet the required application submission deadlines. Complete organizational instructions can be found on Grants.gov.

If individual applicants are eligible to apply for a grant funding opportunity, refer to https://www.grants.gov/web/grants/applicants/registration.html to create an account with Grants.gov.

2. Obtain a DUNS Number: All entities applying for funding, including renewal funding, must have a DUNS number from Dun & Bradstreet. Applicants must enter the DUNS number in the data entry field labeled "Organizational DUNS" on the SF-424 form.

For more detailed instructions for obtaining a DUNS number, refer to https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-dunsnumber.html.

Note: At some point, the DUNS Number will be replaced by a “new, non-proprietary identifier” requested in, and assigned by, SAM.gov. This new identifier is being called the Unique Entity Identifier (UEI), or the Entity ID. Grants.gov has begun preparing for this transition by educating users about the upcoming changes and updating field labels and references to the DUNS Number (the current identifier) within the Grants.gov system. Users should continue using the DUNS Number in UEI fields until further notice. To learn more about SAM’s rollout of the UEI, please visit https://gsa.gov/entityid.

3. Obtain Employer Identification Number: In addition to having a DUNS number, all entities applying for funding must provide an EIN. The EIN can be obtained from the IRS by visiting:
https://www.irs.gov/businesses/small-businesses-self-employed/apply-for-an-employeridentification-number-ein-online.

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4. Create a login.gov account: Applicants must have a login.gov account in order to register with SAM or update their SAM registration. Applicants can create a login.gov account here:
https://secure.login.gov/sign_up/enter_email?request_id=34f19fa8-14a2-438c-8323- a62b99571fd3.

Applicants only have to create a login.gov account once. For applicants that are existing SAM users, use the same email address for the login.gov account as with SAM.gov so that the two accounts can be linked.

For more information on the login.gov requirements for SAM registration, refer to:
https://www.sam.gov/SAM/pages/public/loginFAQ.jsf.

5. Register with SAM: In addition to having a DUNS number, all organizations applying online through Grants.gov must register with SAM. Failure to register with SAM will prevent your organization from applying through Grants.gov. SAM registration must be renewed annually.

For more detailed instructions for registering with SAM, refer to https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-withsam.html.

Note: As a new requirement per 2 C.F.R. § 25.200, applicants must also provide the applicant’s immediate and highest-level owner, subsidiaries, and predecessors that have been awarded federal contracts or federal financial assistance within the last three years, if applicable. a. Additional SAM Reminders
Existing SAM.gov account holders should check their account to make sure it is “ACTIVE.” SAM registration should be completed at the very beginning of the application period and should be renewed annually to avoid being “INACTIVE.” Please allow plenty of time before the grant application submission deadline to obtain a DUNS number and then to register in SAM. It may be four weeks or more after an applicant submits the SAM registration before the registration is active in SAM, and then it may be an additional 24 hours before FEMA’s system recognizes the information.

It is imperative that the information applicants provide is correct and current. Please ensure that your organization’s name, address, DUNS number, and EIN are up to date in SAM and that the DUNS number used in SAM is the same one used to apply for all other FEMA awards.

Payment under any FEMA award is contingent on the recipient’s having a current SAM registration.
b. Help with SAM
The SAM quick start guide for new recipient registration and SAM video tutorial for new applicants are tools created by the General Services Administration to assist those registering with SAM. If applicants have questions or concerns about a SAM registration, please contact the Federal Support Desk at https://www.fsd.gov/fsd-gov/home.do or call toll free (866) 606- 8220.

6. Create a Grants.gov Account: The next step in the registration process is to create an account with Grants.gov. Applicants must know their or their organization’s DUNS number to complete this process.

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For more information, follow the on-screen instructions or refer to https://www.grants.gov/web/grants/applicants/registration.html.

7. Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single applicant organization the user represents (i.e. an applicant) or an individual applicant. If you work for or consult with multiple organizations and have a profile for each, you may log in to one Grants.gov account to access all of your grant applications. To add an organizational profile to your Grants.gov account, enter the DUNS Number for the organization in the DUNS field while adding a profile.

For more detailed instructions about creating a profile on Grants.gov, refer to https://www.grants.gov/web/grants/applicants/registration/add-profile.html.

8. EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an Organization Applicant Profile, the organization applicant’s request for Grants.gov roles and access are sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been assigned the AOR role.

For more detailed instructions about creating a profile on Grants.gov, refer to https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html.

9. Track Role Status: To track your role request, refer to https://www.grants.gov/web/grants/applicants/registration/track-role-status.html.

10. Electronic Signature: When applications are submitted through Grants.gov, the name of the organization applicant with the AOR role that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize individuals who are able to make legally binding commitments on behalf of the organization as an AOR. Please ensure you have been authorized by the EBiz POC as this step is often missed, and it is crucial for valid and timely submissions.

How to Submit an Initial Application to DHS/FEMA via Grants.gov Standard Form 424 (SF 424) is the initial application form.

Grants.gov applicants can apply online using a workspace. A workspace is a shared, online environment where members of a grant team may simultaneously access and edit different web forms within an application. For each NOFO, you can create individual instances of a workspace. Applicants are encouraged to submit their initial applications in Grants.gov at least seven days before the application deadline.

In Grants.gov, applicants need to submit the following forms:
• SF-424, Application for Federal Assistance
• Grants.gov Lobbying Form, Certification Regarding Lobbying Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities using a workspace, refer to: https://www.grants.gov/web/grants/applicants/workspaceoverview.html City Council 18 – 22 8/16/2022
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1. Create a Workspace: Creating a workspace allows you to complete it online and route it through your organization for review before submitting.

2. Complete a Workspace: Add participants to the workspace to work on the application together, complete all the required forms online or by downloading PDF versions, and check for errors before submission.

3. Adobe Reader: If you decide not to apply by filling out web forms, you can download individual PDF forms in Workspace so that they will appear similar to other Standard or DHS/FEMA forms.

The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, and then accessed through Adobe Reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at https://www.grants.gov/web/grants/applicants/adobe-softwarecompatibility.html.

4. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

5. Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and DUNS number. To trigger this feature, an applicant must complete the SF-424 information first. Once it is completed, the information will transfer to the other forms.

6. Submit a Workspace: An application may be submitted through workspace by clicking the “Sign and Submit” button on the Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24-48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

7. Track a Workspace: After successfully submitting a workspace package, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the application. The number will be listed on the confirmation page that is generated after submission. Using the tracking number, access the Track My Application page under the Applicants tab or the Details tab in the submitted workspace.

Additional Training and Applicant Support: For additional training resources, including video tutorials, refer to https://www.grants.gov/web/grants/applicants/applicant-training.html.

Grants.gov provides applicants 24/7 support via the toll-free number 1-800-518-4726 and email at [email protected]. For questions related to a specific grant contact the number listed in the NOFO of the grant for which you are applying.

If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist FEMA with tracking your issue and understanding background information on the issue.

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Submitting the Final Application in ND Grants
After submitting the initial application in Grants.gov, eligible applicants will be notified by FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of the NOFO announcement or, at the latest, seven days before the application deadline. Early registration will allow applicants to have adequate time to start and complete their applications.

Applicants needing assistance registering for the ND Grants system should contact [email protected] or (800) 865-4076. For step-by-step directions on using the ND Grants system and other guides, please see https://www.fema.gov/grants/guidance-tools/non-disaster-grantsmanagement-system.

In ND Grants, applicants will be prompted to submit the standard application information required as described in the “Content and Form of Application Submission” section below. The Standard Forms (SFs) are auto-generated in ND Grants, but applicants may access these forms in advance through the Forms tab under the SF-424 family on Grants.gov. Applicants should review these forms before applying to ensure they have all the information required.

An application submitted by an otherwise eligible non-federal entity (i.e., the applicant) may be deemed ineligible when the person that submitted the application is not: 1) a current employee, personnel, official, staff, or leadership of the non-federal entity; and 2) duly authorized to apply for an award on behalf of the non-federal entity at the time of application.

Further, the AOR must be a duly authorized current employee, personnel, official, staff or leadership of the recipient and provide an email address unique to the recipient at the time of application and upon any change in assignment during the period of performance. Consultants or contractors of the recipient are not permitted to be the AOR of the recipient.

For program-specific application submission requirements, please refer to the applicable program NOFO and applicable appendix to this Manual.

Timely Receipt Requirements and Proof of Timely Submission As application submission is a two-step process, the applicant with the AOR role who submitted the application in Grants.gov will receive an acknowledgement of receipt, a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of its initial application. This notification does not serve as proof of timely submission, as the application is not complete until it is submitted in ND Grants. Applicants can also view the ND Grants Agency Tracking Number by accessing the Details tab in the submitted workspace section in Grants.gov, under the Agency Tracking Number column. Should the Agency Tracking Number not appear, the application has not yet migrated from Grants.gov into the ND Grants system. Please allow 24 hours for your ND Grants application tracking number to migrate.

All applications must be received in ND Grants by 5:00 PM ET on the application deadline. Proof of timely submission is automatically recorded by ND Grants. An electronic date/time stamp is generated within the system when the application is successfully received by ND Grants. Additionally, the applicant(s) listed as contacts on the application will receive a system-generated email to confirm receipt.

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Content and Form of Application Submission
Standard Required Application Forms and Information
For all programs, the following forms or information are required to be submitted in either Grants.gov or ND Grants. The SFs are submitted either through Grants.gov, through forms generated in ND Grants, or as an attachment in ND Grants. Applicants may also access the SFs at https://www.grants.gov/web/grants/forms/sf-424-family.html.

Grants.gov:
• SF-424, Application for Federal Assistance, submitted through Grants.gov • Grants.gov Lobbying Form, Certification Regarding Lobbying, submitted through Grants.gov
ND Grants:
• SF-424A, Budget Information (Non-Construction), submitted via the forms generated by ND Grants
o For construction under an award, submit: SF-424C, Budget Information (Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424A
• SF-424B, Standard Assurances (Non-Construction), submitted via the forms generated by ND Grants
o For construction under an award, submit: SF-424D, Standard Assurances (Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424B
• SF-LLL, Disclosure of Lobbying Activities, submitted via the forms generated by ND Grants • Indirect Cost Agreement or Proposal, submitted as an attachment in ND Grants if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement or proposal. If the applicant does not have or is not required to have an indirect cost rate agreement or proposal, please see the “Funding Restrictions and Allowable Costs” section in the relevant program NOFO and the section below on indirect costs for further information regarding allowability of indirect costs and whether alternatives to an indirect cost rate agreement or proposal might be available, or contact the relevant Preparedness Officer or Program Manager for further instructions.

Generally, applicants have to submit either the non-construction forms (i.e., SF-424A and SF-424B) or construction forms (i.e., SF-424C and SF-424D), meaning that applicants that only have construction work and do not have any non-construction work need only submit the construction forms (i.e., SF-424C and SF-424D) and not the non-construction forms (i.e., SF-424A and SF-424B), and vice versa. However, applicants who have both construction and non-construction work under these programs need to submit both the construction and non-construction forms.

Intergovernmental Review
An intergovernmental review may be required. Applicants must contact their state’s Single Point of Contact to comply with the state’s process under Executive Order 12372.

See https://www.archives.gov/federal-register/codification/executive-order/12372.html; https://www.whitehouse.gov/wp-content/uploads/2020/01/spoc_1_16_2020.pdf.

Funding Restrictions and Allowable Costs
All costs charged to awards covered by this Manual must comply with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated City Council 18 – 25 8/16/2022
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in this Manual, the applicable program NOFO, or the terms and conditions of the award. This includes, among other requirements, that costs must be incurred, and products and services must be delivered, within the period of performance of the award. See 2 C.F.R. § 200.403(h) (referring to budget periods, which for FEMA preparedness grant awards is the same as the period of performance).

Federal funds made available through these awards may be used for the purposes set forth in this Manual, the applicable program NOFO, and the terms and conditions of the award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other federal awards, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other government entity.

In general, the Cost Principles establish standards for the allowability of costs, provide detailed guidance on the cost accounting treatment of costs as direct or administrative costs, and set forth allowability principles for selected items of cost. More specifically, except as otherwise stated in the applicable program appendix to this Manual, the program NOFO, or the terms and condition of an award, costs charged to awards covered by this Manual must be consistent with the Cost Principles for Federal Awards located at 2 C.F.R. Part 200, Subpart E. In order to be allowable, all costs charged to a FEMA award or applied to the cost share must be reasonable in nature and amount and allocable to the particular FEMA award.

Additionally, all costs charged to awards must comply with the grant program’s applicable statutes, policies, NOFOs, and requirements in this Manual as well as with the terms and conditions of the award.

If FEMA staff identify costs that are inconsistent with any of these requirements, these costs may be disallowed, and FEMA may recover funds as appropriate, consistent with applicable laws, regulations, and policies.

As part of those requirements, grant recipients and subrecipients may only use federal funds or funds applied to a cost share for the purposes set forth in this Manual, applicable NOFOs, and the terms and conditions of the award and must be consistent with the statutory authority for the award.

Specific investments made in support of the funding priorities discussed in the appendices to this Manual generally fall into one of the following eight allowable expense categories:

1. Construction

2. Equipment

3. Exercises

4. Management & Administration (M&A)

5. Organization

6. Operational Activities

7. Planning

8. Training
Please refer to the relevant program-specific appendix for more information on funding restrictions, funding priorities, and these categories.

Authorized Equipment List
The Authorized Equipment List (AEL) is a list of approved equipment types allowed under FEMA’s preparedness grant programs. The intended audience of this tool is emergency managers, first responders, and other homeland security professionals. The list consists of equipment categories divided into categories, sub-categories and then individual equipment items.

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Prohibitions on Expending Grant or Cooperative Agreement Funds for Certain Telecommunications and Video Surveillance Services or Equipment Recipients and subrecipients of FEMA federal financial assistance are subject to the prohibitions described in section 889 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (FY 2019 NDAA), Pub. L. No. 115-232 (2018) and 2 C.F.R. §§ 200.216, 200.326, 200.471, and Appendix II to 2 C.F.R. Part 200. Beginning August 13, 2020, the statute – as it applies to FEMA recipients, subrecipients, and their contractors and subcontractors – prohibits obligating or expending federal award funds on certain telecommunications and video surveillance products and contracting with certain entities for national security reasons. For additional guidance, please refer to FEMA Policy #405- 143-1, Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services (Interim).

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Award Determination and Obligation
Allocations
Risk Methodology
DHS defines risk as: “potential for an adverse outcome assessed as a function of hazard/threats, assets and their vulnerabilities, and consequences.” See DHS Lexicon Terms and Definitions: 2017 Edition – Revision 2, (Oct. 2017). The FEMA risk methodology is focused on three elements:
• Threat: the likelihood of an attack being attempted by an adversary • Vulnerability: the likelihood that an attack is successful, given that it is attempted • Consequence: the effect of an event, incident, or occurrence Please see the applicable appendix of this Manual for each award program for specific information on the risk methodology applied for each program.

Application Evaluation Criteria
Programmatic Criteria
See the Manual appendices and relevant program NOFOs for specific information on the application criteria specific to each program.

Financial Integrity Criteria
Prior to making a federal award, FEMA is required by 31 U.S.C. § 3354, as amended by the Payment Integrity Information Act of 2019, Pub. L. No. 116-117 (2020); 41 U.S.C. § 2313; and 2 C.F.R. § 200.206 to review information available through any Office of Management and Budget (OMB)-designated repositories of governmentwide eligibility qualification or financial integrity information, including whether the applicant is suspended or debarred. FEMA may also pose additional questions to the applicant to aid in conducting the pre-award risk review. Therefore, application evaluation criteria may include the following risk-based considerations of the applicant:
i. Financial stability.
ii. Quality of management systems and ability to meet management standards. iii. History of performance in managing federal award.
iv. Reports and findings from audits.
v. Ability to effectively implement statutory, regulatory, or other requirements.

All investments selected for recommendation will also undergo an additional risk review conducted by the FEMA Grants Management Specialist to evaluate the risk for noncompliance in carrying out the federal award. Using their subject-matter expertise, the questions the FEMA Grants Management Specialist may assess include, but are not limited to:
• Is the applicant on any exclusion lists as identified in SAM.gov? • If the applicant has received federal funding in the past, has the applicant performed all audits required by the Single Audit requirements under 2 C.F.R. Part 200, Subpart F? • Has the applicant provided sufficient budget information and justification as required by the NOFO?
• Are the costs proposed by the applicant in the budget information and justification allowable and reasonable based on the criteria set forth in this Manual and the applicable appendix, NOFO, and regulations?
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• Is the budget representative of the total cost of performance of the projects? • If indirect costs are included, is the applicant required to have an approved indirect cost rate agreement? If so, has the applicant provided an approved indirect cost rate agreement? • Is the applicant delinquent on any federal debt?
• Has the applicant had substandard performance in a prior award? • Is the applicant on the Do Not Pay List?
Based on the outcome of this review, FEMA may determine that it will not make an award to an applicant that poses a risk of noncompliance. FEMA may also determine that it will make an award to an at-risk applicant, subject to additional terms and conditions as described in 2 C.F.R. § 200.208.

Supplemental Financial Integrity Review
Prior to making a federal award where the anticipated federal share will be greater than the simplified acquisition threshold, currently $250,000:
• FEMA is required to review and consider any information about the applicant in the designated integrity and performance system accessible through SAM, which is currently the Federal Awardee Performance and Integrity Information System (FAPIIS) and is accessible through the SAM website.
• An applicant, at its option, may review information in FAPIIS and comment on any information about itself that a federal awarding agency previously entered. • FEMA will consider any comments by the applicant, in addition to the other information in FAPIIS, in making a judgment about the applicant’s integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants, as described in 2 C.F.R. § 200.206.

Review and Selection Process
FEMA will follow all applicable statutes, rules, and requirements and will take into consideration materials accompanying the annual appropriations acts, such as the Joint Explanatory Statement, as appropriate, in reviewing and selecting recipients.

Please see the applicable NOFO for the review and selection process for that program.

Federal Award Administration Information
Notice of Award
Before accepting the award, the AOR and recipient should carefully review the award package. The award package includes instructions on administering the grant award and the terms and conditions associated with responsibilities under federal awards. Recipients must accept all conditions in the applicable program NOFO as well as this Manual, in addition to any special terms and conditions in the Notice of Award to receive an award under the applicable program.

Notification of award approval is made through the ND Grants system through an automatic electronic mail to the recipient’s authorized official listed in the initial application. The award date will be the date that FEMA approves the award. The recipient should follow the directions in the notification to confirm acceptance of the award. Funds will remain on hold until the recipient accepts the award through the ND Grants system and all other conditions of the award have been satisfied or until the award is otherwise rescinded.

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Recipients must accept their awards no later than 60 days from the award date. The recipient shall notify FEMA of its intent to accept and proceed with work under the award or provide a notice of intent to decline through the ND Grants system. For instructions on how to accept or decline an award in the ND Grants system, please see the Grant Recipient User Guide. Failure to accept a grant award within the 60- day timeframe may result in a loss of funds.

Pass-Through Requirements
Please see the applicable NOFO and appendix to this Manual for information on pass-through requirements for that program.

Administrative and National Policy Requirements
All successful applicants for all FEMA grant and cooperative agreements are required to comply with DHS Standard Terms and Conditions.

The applicable DHS Standard Terms and Conditions will be those in effect at the time the award was made. The specific terms and conditions that will apply for the award will be clearly stated in the award package at the time of award.

Environmental Planning and Historic Preservation (EHP) Compliance As a federal agency, FEMA is required to consider the effects of its actions on the environment and historic properties to ensure that all activities and programs funded by FEMA, including grant-funded projects, comply with federal EHP regulations, laws, and Executive Orders, as applicable.

Recipients and subrecipients proposing projects that have the potential to impact the environment, including, but not limited to, the construction of communication towers, modification or renovation of existing buildings, structures, and facilities, new construction including replacement of facilities, and some training activities, must participate in the FEMA EHP review process. The EHP review process involves the submission of a detailed project description along with any supporting documentation requested by FEMA in order to determine whether the proposed project has the potential to impact environmental resources or historic properties. A GPD EHP screening form and supporting documentation for preparedness projects requiring EHP review should be submitted to [email protected].

In some cases, FEMA is also required to consult with other regulatory agencies and the public in order to complete the review process. The EHP review process must be completed before funds are released to carry out the proposed project; otherwise, FEMA may not be able to fund the project due to noncompliance with EHP laws, Executive Orders, regulations, and policies.

DHS and FEMA EHP policy is found in directives and instructions available on the FEMA.gov EHP page, the FEMA website page that includes documents regarding EHP responsibilities and program requirements, including implementation of the National Environmental Policy Act and other EHP regulations and Executive Orders.

The GPD EHP screening form is located at https://www.fema.gov/media-library/assets/documents/90195.

Additionally, all recipients under this funding opportunity are required to comply with the FEMA GPD EHP Policy Guidance, FEMA Policy #108-023-1, available at https://www.fema.gov/medialibrary/assets/documents/85376.

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Ensuring the Protection of Civil Rights
As the Nation works towards achieving the National Preparedness Goal, it is important to continue to protect the civil rights of individuals. Recipients must carry out their programs and activities, including those related to the building, sustainment, and delivery of core capabilities, in a manner that respects and ensures the protection of civil rights for protected populations.

Federal civil rights statutes, such as Section 504 of the Rehabilitation Act of 1973 and Title VI of the Civil Rights Act of 1964, along with FEMA regulations, prohibit discrimination on the basis of race, color, national origin, sex, religion, age, disability, limited English proficiency, or economic status in connection with programs and activities receiving federal financial assistance from FEMA.

The DHS Standard Terms and Conditions include a fuller list of the civil rights provisions that apply to recipients. These terms and conditions can be found in the DHS Standard Terms and Conditions.

Additional information on civil rights provisions is available at https://www.fema.gov/office-equal-rights.

Monitoring and oversight requirements in connection with recipient compliance with federal civil rights laws are also authorized pursuant to 44 C.F.R Part 7.

FirstNet
The Middle Class Tax Relief and Job Creation Act of 2012, Pub. L. No. 112-96, as amended (codified in part at 47 U.S.C. §§ 1401-1473) established the First Responder Network Authority (hereinafter FirstNet Authority) as an independent authority within the National Telecommunications and Information Administration (NTIA). 47 U.S.C. § 1424(a). The FirstNet Authority’s statutory mission is to establish a nationwide public safety broadband network (FirstNet). 47 U.S.C. § 1426(b). FirstNet uses the 700 MHz D block spectrum to provide Long-Term Evolution (LTE)-based broadband services and applications to public safety entities. 47 U.S.C. §§ 1401(2), 1421(a). FirstNet became operational in March 2018 and is based on a single, national network architecture that evolves with technological advances and consists of a physically separate evolved packet core (EPC) network and radio access networks (RANs).

FirstNet provides public safety entities with mission-critical broadband data capabilities and services including, but not limited to messaging, image sharing, video streaming, group text, voice, data storage, application, location-based services, and Quality of Service, Priority, and Preemption. Public safety entities seeking to enhance their operational capabilities using broadband technology may seek grant funding from appropriate programs to support the following:
• Planning for integration of information technology (IT) infrastructure, software, and site upgrades necessary to connect to FirstNet
• Handheld broadband devices including smartphones, feature phones, tablets, wearables, push-totalk (PTT) devices • Vehicle-mounted or otherwise field operated data devices, such as ruggedized laptops • Network access devices, including portable Wi-Fi devices, Universal Serial Bus (USB) modems/dongles, trunk-mounted modems, routers
• Customer-Owned and Managed (COAM) broadband deployable equipment, enabling public safety to own and dispatch coverage expansion or capacity enhancement equipment within their jurisdiction
• Broadband device accessories that enable efficient and safe public safety operations such as headsets, belt clips, earpieces, remote Bluetooth sensors, ruggedized cases • Subscriber Identification Modules (SIMs)/Universal Integrated Circuit Cards (UICCs) to allow public safety users to update existing devices to operate on public safety prioritized services.

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• One-time purchase and subscription-based applications for public safety use which could include, among several other options, enterprise mobility management (EMM), mobile device management (MDM), mobile Virtual Private Network (VPN), identity services, or cloud service tools
As FirstNet is built out in all 56 states and territories and coverage and capacity for first responders expands, recipients are strongly encouraged to coordinate with the Statewide Interoperability Coordinator (SWIC) and FirstNet on the planning, deployment timelines, and operational availability of the network deployment within a specific state or territory and to ensure that project does not conflict with network planning efforts and complies with all technical requirements. FirstNet requires participating agencies to demonstrate a subscription to public safety-prioritized broadband services to purchase FirstNet broadband devices or applications. FEMA Information Bulletin (IB) #386 has been rescinded by prior NOFOs and remains rescinded as the technical requirements and nationwide network architecture has been developed, and FirstNet is operational. Recipients, however, must coordinate with FirstNet in advance of any strategic acquisition of broadband LTE equipment to ensure that purchases adhere to all applicable standards for public safety entities. Recipients with questions on FirstNet should contact [email protected]. Please also refer to the most recent SAFECOM Guidance on Emergency Communications Grants for additional guidance.

National Incident Management System (NIMS) Implementation NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness System.

The NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictions clarify the NIMS implementation requirements in FEMA preparedness grant Notices of Funding Opportunities. As recipients and subrecipients of federal preparedness (non-disaster) grant awards, jurisdictions and organizations must achieve, or be actively working to achieve, all of the NIMS Implementation Objectives. The objectives can be found on the NIMS webpage at https://www.fema.gov/emergencymanagers/nims/implementation-training.

Emergency management and incident response activities require carefully managed resources (personnel, teams, facilities, equipment, and/or supplies) to meet incident needs. Utilization of the standardized resource management concepts such as typing, credentialing, and inventorying promote a strong national mutual aid capability needed to support the delivery of core capabilities. Additional information on resource management, NIMS resource typing definitions, job titles, and position qualifications is available at https://www.fema.gov/emergency-managers/nims/components. Please also see the individual program appendices in this Manual for additional requirements regarding NIMS implementation for specific programs.

FEMA developed the NIMS Guideline for the National Qualification System to describe the basic principles of standard qualification, certification, and credentialing processes. This guideline supersedes the NIMS Guideline for the Credentialing of Personnel.

The National Qualification System doctrine promotes interoperability by establishing a common language for defining job titles and by enabling jurisdictions and organizations to plan for, request, and have confidence in the capabilities of personnel deployed for disasters and emergencies from other entities through mutual aid agreements and compacts. Following the concepts and processes in this Guideline will enhance national preparedness by expanding the network of qualified incident management and support personnel who can be deployed nationwide.

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State, local, tribal, territorial, and private sector partners (including nongovernmental organizations) are not required but are strongly encouraged to credential their personnel in accordance with the NIMS National Qualification System guidelines.

Additional information about NIMS implementation is available at https://www.fema.gov/emergencymanagers/nims/implementation-training.

SAFECOM Guidance Compliance
All entities using preparedness grant funding to support emergency communications investments are required to comply with the SAFECOM Guidance on Emergency Communications Grants (SAFECOM Guidance). The SAFECOM Guidance provides current information on emergency communications policies, eligible costs, best practices, and technical standards for SLTT recipients investing federal funds in emergency communications projects. It is also designed to promote and align with the National Emergency Communications Plan (NECP). Conformance with the SAFECOM Guidance helps ensure that federally funded investments are compatible, interoperable, resilient, and support national goals and objectives for improving emergency communications. Applicants should use the SAFECOM Guidance during planning, development, and implementation of emergency communications projects and in conjunction with other planning documents (e.g., SCIPs). Specifically, Appendix D of the SAFECOM Guidance contains compliance instructions for FEMA grant recipients.

Emergency communications investments also will be reviewed jointly by FEMA and the Cybersecurity and Infrastructure Security Agency (CISA) to verify compliance with SAFECOM Guidance. FEMA will coordinate directly with the recipient on any compliance concerns and will provide technical assistance as necessary to help ensure full compliance.

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Post-Award Management and Implementation
Reporting
Recipients are required to submit various financial and programmatic reports as a condition of award acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent.

Consultants or contractors are not permitted to be the AOR of the recipient. The AOR, as the Authorized Official for the award, is responsible for submitting programmatic and financial performance reports, accepting award packages, signing assurances and certifications, and submitting award amendments.

Federal Financial Reporting Requirements
Federal Financial Report (FFR)
Recipients must report obligations and expenditures to FEMA on a quarterly basis through the FFR form (SF-425). Recipients may review the FFR Form (SF-425) at https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1. Recipients must file the FFR electronically using the Payment and Reporting Systems (PARS).

Financial Reporting Periods and Due Dates
An FFR must be submitted quarterly throughout the period of performance (POP), including partial calendar quarters, as well as in periods where no grant award activity occurs. The final FFR is due within 90 days after the end of the POP. Future awards and fund drawdowns may be withheld if these reports are delinquent, demonstrate a lack of progress, or are insufficient in detail.

Except for the final FFR due at closeout
(and the last quarterly FFR) the
following reporting periods and due
dates apply for the FFR Reporting Period
Report Due Date
October 1 – December 31 January 30
January 1 – March 31 April 30
April 1 – June 30 July 30
July 1 – September 30 October 30
Because of a system limitation, if at the end of the POP a recipient still has funds to draw down, PARS requires an FFR be submitted within 30 days of the end of the POP in order to access those funds. In that case, the recipient will need to submit an FFR within 30 days of the end of the POP in addition to the final FFR within 120 days of the end of the POP. All other recipients who do not need to draw down funds after the end of the POP are only required to submit the final FFR within 120 days after the end of the POP.

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Program Performance Reporting Requirements
Performance Progress Report (PPR)
Recipients are responsible for providing updated performance reports on a biannual basis as an attachment in ND Grants. The PPR should include the following:
• A brief narrative of overall project(s) status
• A summary of project expenditures
• A description of any potential issues that may affect project completion Note: This requirement does NOT apply to the EMPG Program, which has different performance reporting requirements. These are described in the EMPG Program Appendix in this Manual.

Program Performance Reporting Periods and Due Dates
The following reporting periods and due dates apply for the PPR:

Reporting Period Report Due Date
January 1 – June 30 July 30
July 1 – December 31 January 30
Additional Programmatic Reporting Requirements and Information Biannual Strategy Implementation Report (BSIR)2
In addition to the quarterly financial and biannual performance progress reports, recipients are responsible for completing and submitting BSIRs through the Grants Reporting Tool (GRT). The BSIR is due within 30 days after the end of the reporting period: July 30 for the reporting period of January 1 through June 30 (summer BSIR report); and January 30 for the reporting period of July 1 through December 31 (winter BSIR report). All required attributes of each project must be included. Updated obligations, expenditures, and significant developments must be provided within the BSIR to show the progress of implementation for every project as well as how expenditures support Planning, Organization, Equipment, Training, and Exercises (POETE). The first BSIR will be due by January 30, or 30 days after the end of the first reporting period of the award. Subsequent BSIR reports will require recipients to report on a project-byproject basis.

Recipients also are responsible for completing and submitting a closeout BSIR. When an award’s POP or the liquidation period ends in the middle of a reporting period, a “regular” BSIR must be submitted with full accounting of actual project information/expenditures before a Closeout BSIR can be created/ submitted. The last “regular” BSIR is required because the Closeout BSIR does NOT contain full functionality to edit any project information/expenditures. Once the last “regular” BSIR is approved by GPD, the Closeout BSIR can be created/submitted. Please contact your HQ Preparedness Officer for guidance on the information required for the Closeout BSIR. 2 BSIR requirements are applicable to the following grant programs: HSGP (SHSP, UASI, and OPSG), THSGP, EMPG, and NSGP.

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Closeout Reporting Requirements
Within 120 days after the end of the POP for the prime award or after an amendment has been issued to close out an award before the original POP ends, whichever occurs first, recipients must liquidate all financial obligations and submit the following documentation in ND Grants:

1. The final request for payment, if applicable;

2. The final FFR (SF-425);

3. The final PPR;

4. A qualitative narrative summary of the impact of those accomplishments throughout the entire POP submitted to the respective FEMA Preparedness Officer; and

5. Other documents required by program guidance, NOFOs, appendices to this Manual, terms and conditions of the award, or other FEMA guidance.

In addition, any recipient that issues subawards to any subrecipient is responsible for closing out those subawards as described in 2 C.F.R. § 200.344; subrecipients are still required to submit closeout materials within 90 days of the subaward POP end date. When a subrecipient completes all closeout requirements, pass-through entities must promptly complete all closeout actions for subawards in time for the recipient to submit all necessary documentation and information to FEMA during the closeout of their prime award.

After the prime award closeout reports have been reviewed and approved by FEMA, a closeout notice will be completed to close out the grant. The notice will indicate the POP as closed, list any remaining funds that will be deobligated, and address the requirement of maintaining the award records for at least three years from the date of the final FFR. The record retention period may be longer than three years due to an audit, litigation, for equipment or real property used beyond the period of performance or other circumstances outlined in 2 C.F.R. § 200.334.

Recipients are responsible for refunding to FEMA any unobligated cash that FEMA paid that are not authorized to be retained per 2 C.F.R. § 200.344(d).

Administrative Closeout
Administrative closeout is a mechanism for FEMA to unilaterally move forward with closeout of an award using available award information in lieu of final reports from the recipient per 2 C.F.R. § 200.344(h)-(i). It is a last resort available to FEMA, and if FEMA needs to administratively close an award, this may negatively impact a recipient’s ability to obtain future funding. This mechanism can also require FEMA to make cash or cost adjustments and ineligible cost determinations based on the information it has, which may result in identifying a debt owed to FEMA by the recipient.

When a recipient is not responsive to FEMA’s reasonable efforts to collect required reports needed to complete the standard closeout process, FEMA is required under 2 C.F.R. § 200.344(h) to start the administrative closeout process within the regulatory timeframe. FEMA will make at least three written attempts to collect required reports before initiating administrative closeout. If the recipient does not submit all required reports in accordance with 2 C.F.R. § 200.344, the relevant program NOFO, this Manual, and the terms and conditions of the award, FEMA must proceed to administratively close the award with the information available within one year of the POP end date. Additionally, if the recipient does not submit all required reports within one year of the POP end date, per 2 C.F.R. § 200.344(i), FEMA must report in FAPIIS the recipient’s material failure to comply with the terms and conditions of the award.

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If FEMA administratively closes an award where no final FFR has been submitted, FEMA uses that administrative closeout date in lieu of the final FFR submission date as the start of the three-year record retention period under 2 C.F.R. § 200.334.

In addition, if an award is administratively closed, FEMA may decide to impose remedies for noncompliance per 2 C.F.R. § 200.339, consider this information in reviewing future award applications, or apply special conditions to existing or future awards.

Disclosing Information per 2 C.F.R. § 180.335
This reporting requirement pertains to disclosing information related to government-wide suspension and debarment requirements. Before a recipient enters into a grant award with FEMA, the recipient must notify FEMA if it knows if it or any of the recipient’s principals under the award fall under one or more of the four criteria listed at 2 C.F.R. § 180.335:
• Are presently excluded or disqualified;
• Have been convicted within the preceding three years of any of the offenses listed in 2 C.F.R. § 180.800(a) or had a civil judgment rendered against it or any of the recipient’s principals for one of those offenses within that time period;
• Are presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state, or local) with commission of any of the offenses listed in 2 C.F.R. § 180.800(a); or • Have had one or more public transactions (federal, state, or local) terminated within the preceding three years for cause or default.

At any time after accepting the award, if the recipient learns that it or any of its principals falls under one or more of the criteria listed at 2 C.F.R. § 180.335, the recipient must provide immediate written notice to FEMA in accordance with 2 C.F.R. § 180.350.

Reporting of Matters Related to Recipient Integrity and Performance Per 2 C.F.R. Part 200, Appendix I § F.3, the additional post-award reporting requirements in 2 C.F.R. Part 200, Appendix XII may apply to applicants who, if upon becoming recipients, have a total value of currently active grants, cooperative agreements, and procurement contracts from all federal awarding agencies that exceeds $10,000,000 for any period of time during the period of performance of an award under these funding opportunities.

Recipients that meet these criteria must maintain current information reported in FAPIIS about civil, criminal, or administrative proceedings described in paragraph 2 of Appendix XII at the reporting frequency described in paragraph 4 of Appendix XII.

Single Audit Report
For fiscal years beginning on or after December 26, 2014, recipients that expend $750,000.00 or more from all federal funding sources during their fiscal year are required to submit an organization-wide financial and compliance audit report, also known as a “single audit” report.

The audit must be performed in accordance with the requirements of Government and Accountability Office’s (GAO) Government Auditing Standards, located at https://www.gao.gov/yellowbook/overview, and the requirements of Subpart F of 2 C.F.R. Part 200, located at http://www.ecfr.gov/cgi-bin/textidx?node=sp2.1.200.f.

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Additional Information
Monitoring and Oversight
Overview
Per 2 C.F.R. § 200.337, FEMA, through its authorized representatives, has the right, at all reasonable times, to make site visits or conduct desk reviews to review project accomplishments and management control systems to review award progress and to provide any required technical assistance. During site visits or desk reviews, FEMA will review recipients’ files related to the award. As part of any monitoring and program evaluation activities, recipients must permit FEMA, upon reasonable notice, to review grantrelated records and to interview the organization’s staff and contractors regarding the program. Recipients must respond in a timely and accurate manner to FEMA requests for information relating to the award.

Effective monitoring and oversight help FEMA ensure that recipients use grant funds for their intended purpose(s), verify that projects undertaken are consistent with approved plans, and ensure that recipients make adequate progress towards stated goals and objectives. Additionally, monitoring serves as the primary mechanism to ensure that recipients comply with applicable laws, rules, regulations, program guidance, and requirements. FEMA regularly monitors all grant programs both financially and programmatically in accordance with federal laws, regulations (including 2 C.F.R. Part 200), program guidance, and the terms and conditions of the award. All monitoring efforts ultimately serve to evaluate progress towards grant goals and proactively target and address issues that may threaten grant success during the period of performance.

FEMA staff will periodically monitor recipients to ensure that administrative processes, policies and procedures, budgets, and other related award criteria are meeting Federal Government-wide and FEMA regulations. Aside from reviewing quarterly financial and programmatic reports, FEMA may also conduct enhanced monitoring through desk-based reviews, onsite monitoring visits, or both. Enhanced monitoring will involve the review and analysis of financial compliance and administrative processes, policies, activities, and other attributes of each federal assistance award, and it will identify areas where the recipient may need technical assistance, corrective actions, or other support Financial and programmatic monitoring are complementary processes within FEMA’s overarching monitoring strategy that function together to ensure effective grants management, accountability, and transparency; validate progress against grant and program goals; and safeguard federal funds against fraud, waste, and abuse. Financial monitoring primarily focuses on statutory and regulatory compliance with administrative grant requirements, while programmatic monitoring seeks to validate and assist in grant progress, targeting issues that may be hindering project goals and ensuring compliance with the purpose of the grant and grant program. Both monitoring processes are similar in that they feature initial reviews of all open awards, and in-depth monitoring of grants requiring additional attention.

Recipients and subrecipients who are pass-through entities are responsible for monitoring their subrecipients in a manner consistent with the terms of the federal award at 2 C.F.R. Part 200, including 2 C.F.R. § 200.332. This includes the pass-through entity’s responsibility to monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, in compliance with federal statutes, regulations, and the terms and conditions of the subaward; and that subaward performance goals are achieved.

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In terms of overall award management, recipient and subrecipient responsibilities include, but are not limited to: accounting of receipts and expenditures, cash management, maintaining adequate financial records, reporting and refunding expenditures disallowed by audits, monitoring if acting as a pass-through entity, other assessments and reviews, and ensuring overall compliance with the terms and conditions of the award or subaward, as applicable, including the terms of 2 C.F.R. Part 200.

Financial Monitoring Overview and Approach
FEMA’s approach to financial monitoring provides a standard monitoring framework that promotes consistent processes across all monitoring staff. There are four core components of the monitoring process:

1. Monitoring Assessment: Monitoring staff measure each grant’s monitoring needs using a system of pre-determined evaluation criteria. The criteria help assess the recipient and potential challenges to the success of the grant award.

2. Monitoring Selection and Scheduling: Monitoring staff make selection and scheduling decisions in accordance with applicable statutory requirements, such as the Homeland Security Act of 2002, as amended (hereafter “HSA”), and consider the results of the monitoring assessment process.

3. Monitoring Activities: Monitoring activities include cash analysis, desk reviews, and site visits.

Grants Management Specialists are responsible for conducting quarterly or semi-annual reviews of all grants via cash analysis. Desk reviews and site visits are additional monitoring activities conducted on grants where the monitoring assessment process identified the need for additional monitoring and validated the use of FEMA resources for these activities.

4. Post-Monitoring Actions: Monitoring staff may follow up with recipients via post-monitoring actions based on the outcomes of monitoring activities. Post-monitoring actions include conducting additional monitoring; reviewing Corrective Action Plans (CAP) and monitoring the progress of CAP deliverables; documenting the resolution of identified corrective actions and issues; providing technical assistance and recipient training; and debt collection.

In addition to the monitoring guidance outlined above, section 2022(a)(2)(A) of the HSA mandates the frequency of monitoring activities for applicable preparedness grants. The applicable section of the HSA reads as follows:

Not less than once every 2 years, the Administrator shall conduct, for each state and high-risk urban area receiving a grant administered by the Department, a programmatic and financial review of all grants awarded by the Department to prevent, prepare for, protect against, or respond to natural disasters, acts of terrorism, or other man-made disasters, excluding assistance provided under section 203, title IV, or title V of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5133, 5170 et seq., and 5191 et seq.).

The following preparedness grant programs covered by this Manual are subject to HSA monitoring requirements:
• EMPG
• HSGP
o SHSP
o UASI
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o OPSG
• NSGP
• TSGP
• PSGP
Standard Monitoring Activity: Cash Analysis
Through cash analysis, a Grants Management Specialist assesses and reports on the recipients’ cash-onhand, expenditures, and unliquidated obligations; gauges potential cost share shortfalls; cash on hand issues; and spend down activities within the POP. The analysis reconciles and compares grant disbursement records with the recipient-submitted FFR. This process identifies recipients that may require additional monitoring due to issues identified with drawdowns or FFR submissions.

Enhanced Monitoring Activities: Desk Review, Site Visit Desk reviews and site visits are two forms of additional monitoring that FEMA conducts on a recipient.

Table 1 defines the key differences and similarities.

Table 1 - Enhanced Financial Monitoring Activities (Desk Review and Site Visit) Attribute Desk Review Site Visit
Location/
Logistics
A detailed, paper-based review and
evaluation conducted at a FEMA office.

Desk reviews do not require travel.

A visit by FEMA grants management staff
conducted at the site of the recipient’s
operations and/or selected performance
sites. Site visits may require travel.

Materials
Reviewed
Required reports, correspondence, and
other documentation, including policies
and procedures, to substantiate
compliance. Additional documentation
available remotely may include
information available through the grant
file, financial reports, interviews, and
other documentation and correspondence
to verify compliance.

Includes documents listed under the desk
review in addition to all applicable
documents and required reports necessary
to assess recipient capability and progress,
validate records, and substantiate
compliance with laws, regulations, and
policies.

Goal of
Monitoring
Activity
The goals of FEMA’s financial desk
review monitoring activities are, as
applicable, to:
• Review grant files to verify
compliance, conduct interviews to
confirm adherence to approved
program plans, and confirm
equipment acquisition, allowable
use, and inventory controls;
• Document that recipient
institutions possess adequate
internal controls, policies,
processes, and systems to manage
FEMA grants effectively;
• Assist the recipient with the grant
process and provide guidance to
The goals of FEMA’s financial site visit
monitoring activities are, as applicable, to:
• Review grant files to verify
compliance, conduct interviews to
confirm adherence to approved
program plans, and confirm
equipment acquisition, allowable
use, and inventory controls;
• Document that recipient institutions
possess adequate internal controls,
policies, processes, and systems to
manage FEMA grants effectively;
• Assist the recipient with the grant
process and provide guidance to
improve recipient administrative
efficiencies;
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Attribute Desk Review Site Visit
improve recipient administrative
efficiencies;
• Identify and analyze relevant
problems that might prevent the
program from achieving its
internal and external objectives;
and
• Provide technical assistance.
• Identify and analyze relevant
problems that might prevent the
program from achieving its
internal and external objectives;
and
• Provide technical assistance.

Programmatic Monitoring Overview and Approach
Programmatic monitoring involves oversight throughout the award lifecycle in order for FEMA to verify that programs and projects undertaken by recipients are consistent with approved plans and comply with applicable laws, regulations, program guidance, and the terms and conditions of the award.

FEMA’s monitoring approach complies with the monitoring requirements described in section 2022 of the HSA. Programmatic monitoring also plays an important role in ensuring that FEMA preparedness grant funding builds and sustains capabilities at the SLTT levels that advance the National Preparedness Goal. Programmatic monitoring also is an opportunity for FEMA staff to build relationships with recipients and to work collaboratively to identify and mitigate factors that may impede programmatic performance.

Programs covered by this Manual that are included in the programmatic monitoring approach are listed below, including the programs subject to section 2022 of the HSA and three additional programs (THSGP, IPR, and IBSGP):
• EMPG
• HSGP
o SHSP
o UASI
o OPSG
• THSGP
• NSGP
• PSGP
• TSGP
• IBSGP
• IPR
FEMA uses a risk- and project-based programmatic monitoring framework for its preparedness grant programs that is designed for data-driven grants management and which interacts seamlessly with other aspects of the grant lifecycle. FEMA uses monitoring as a vehicle to validate data previously self-reported by recipients in applications and reporting tools. FEMA does not utilize monitoring as a data collection tool in and of itself. By specializing monitoring in this way, FEMA avoids duplicative data collection, targets its resources more effectively, and provides stronger and more proactive technical assistance to its recipients. The framework also comprehensively documents grant management decisions for resource allocation.

This programmatic monitoring approach establishes baseline monitoring of all open awards across the FEMA preparedness grant portfolio using a First Line Review (FLR). The FLR identifies recipients and City Council 18 – 41 8/16/2022
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awards with a high potential for noncompliance with regulations or failure to meet project objectives. The FLR uses quantifiable measures (criteria) to prioritize and rank recipients and awards according to identified risks that threaten the success of FEMA’s preparedness grant awards. Results of this prioritization process determine which high-risk recipients and awards will receive advanced monitoring.

Post-monitoring actions document and communicate findings and recommendations for resolution to the recipients and FEMA leadership and allow for increasingly cohesive programmatic and financial monitoring processes.

Environmental Planning and Historic Preservation (EHP)
As a federal agency, FEMA is required to consider the effects of its actions on the environment and historic properties to ensure that all activities and programs funded by FEMA, including grant-funded projects, comply with federal EHP laws, Executive Orders, regulations, and policies, as applicable.

Recipients and subrecipients proposing projects that have the potential to impact the environment, including, but not limited to, the construction of communication towers, modification or renovation of existing buildings, structures, and facilities, or new construction including replacement of facilities, must participate in the FEMA EHP review process. The EHP review process involves the submission of a detailed project description along with any supporting documentation requested by FEMA in order to determine whether the proposed project has the potential to impact environmental resources or historic properties.

In some cases, FEMA is also required to consult with other regulatory agencies and the public in order to complete the review process. Federal law requires EHP review to be completed before federal funds are released to carry out proposed projects. FEMA may not be able to fund projects that are not incompliance with applicable EHP laws, Executive Orders, regulations, and policies.

The GPD EHP screening form is located at https://www.fema.gov/media-library/assets/documents/90195.

Additionally, all preparedness grants recipients are required to comply with the FEMA GPD EHP Policy Guidance, FEMA Policy #108-023-1, available at https://www.fema.gov/medialibrary/assets/documents/85376.

Please refer to the program appendices for additional program-specific EHP requirements and information.

Case Studies and Use of Grant-Funded Resources During Real-World Incident Operations
Analyzing the use of grant-funded investments in real-world incidents will improve the ability of FEMA and its SLTT partners to assess the effectiveness of these investments and to better understand how grant funds support improvements in nationwide capability levels. Currently, FEMA conducts case studies with a limited number of grant recipients each year to explore how jurisdictions prioritize grant investments based on risk and capability assessments and the ways specific investments improve SLTT preparedness (https://www.fema.gov/grants/preparedness/about/case-studies). By accepting the award, the recipient agrees to participate in a case study or evaluation if requested.

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Conflicts of Interest in the Administration of Federal Awards or Subawards
For conflicts of interest under grant-funded procurements and contracts, refer to the section on Procurement Integrity in the applicable NOFO, this Manual, and 2 C.F.R. §§ 200.317 – 200.327.

To eliminate and reduce the impact of conflicts of interest in the subaward process, recipients and passthrough entities must follow their own policies and procedures regarding the elimination or reduction of conflicts of interest when making subawards. Recipients and pass-through entities are also required to follow any applicable federal or SLTT statutes or regulations governing conflicts of interest in the making of subawards.

The recipient or pass-through entity must disclose to the respective Preparedness Officer or Program Manager, in writing, any real or potential conflict of interest that may arise during the administration of the federal award, as defined by the federal or SLTT statutes or regulations or their own existing policies, within five days of learning of the conflict of interest. Similarly, subrecipients, whether acting as subrecipients or as pass-through entities, must disclose any real or potential conflict of interest to the recipient or next-level pass-through entity as required by the recipient or pass-through entity’s conflict of interest policies, or any applicable federal or SLTT statutes or regulations.

Conflicts of interest may arise during the process of FEMA making a federal award in situations where an employee, officer, or agent, any members of his or her immediate family, his or her partner has a close personal relationship, a business relationship, or a professional relationship, with an applicant, subapplicant, recipient, subrecipient, or FEMA employees.

Procurement Integrity
Through audits conducted by the DHS Office of Inspector General (OIG) and FEMA grant monitoring, findings have shown that some FEMA recipients have not fully adhered to the proper procurement requirements when spending grant funds. Anything less than full compliance with federal procurement requirements jeopardizes the integrity of the grant as well as the grant program. To assist with determining whether an action is a procurement or instead a subaward, please consult 2 C.F.R § 200.331.

The below highlights the federal procurement requirements for FEMA recipients when procuring goods and services with federal grant funds. FEMA will include a review of recipients’ procurement practices as part of the normal monitoring activities. All procurement activity must be conducted in accordance with federal procurement standards at 2 C.F.R. §§ 200.317 – 200.327. Select requirements under these standards are listed below. The recipient and any of its subrecipients must comply with all requirements, even if they are not listed below.

Under 2 C.F.R. § 200.317, when procuring property and services under a federal award, states (including territories) must follow the same policies and procedures they use for procurements from their non-federal funds; additionally, states must now follow 2 C.F.R. § 200.321 regarding socioeconomic steps, § 200.322 regarding domestic preferences for procurements, § 200.323 regarding procurement of recovered materials, and § 200.327 regarding required contract provisions.

All other non-federal entities, such as tribes (collectively, non-state entities), must have and use their own documented procurement procedures that reflect applicable SLTT laws and regulations, provided that the procurements conform to applicable federal law and the standards identified in 2 C.F.R. Part 200.

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These standards include, but are not limited to, providing for full and open competition consistent with the standards of 2 C.F.R. § 200.319 and § 200.320.

Important Changes to Procurement Standards in 2 C.F.R Part 200 OMB recently updated various parts of Title 2 of the Code of Federal Regulations, among them, the procurement standards. States are now required to follow the socioeconomic steps in soliciting small and minority businesses, women’s business enterprises, and labor surplus area firms per 2 C.F.R. § 200.321.

All non-federal entities should also, to the greatest extent practicable under a federal award, provide a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States per 2 C.F.R. § 200.322.

The recognized procurement methods in 2 C.F.R. § 200.320 have been reorganized into informal procurement methods, which include micro-purchases and small purchases; formal procurement methods, which include sealed bidding and competitive proposals; and noncompetitive procurements. The federal micro-purchase threshold is currently $10,000, and non-state entities may use a lower threshold when using micro-purchase procedures under a FEMA award. If a non-state entity wants to use a micropurchase threshold higher than the federal threshold, it must follow the requirements of 2 C.F.R. § 200.320(a)(1)(iii)-(iv). The federal simplified acquisition threshold is currently $250,000, and a non-state entity may use a lower threshold but may not exceed the federal threshold when using small purchase procedures under a FEMA award.

See 2 C.F.R. §§ 200.216, 200.471, and Appendix II as well as FEMA Policy #405-143-1, the relevant program NOFO, and this Manual regarding prohibitions on covered telecommunications equipment or services.

Competition and Conflicts of Interest
Among the requirements of 2 C.F.R. § 200.319(b) applicable to all non-federal entities other than states, in order to ensure objective contractor performance and eliminate unfair competitive advantage, contractors that develop or draft specifications, requirements, statements of work, or invitations for bids or requests for proposals must be excluded from competing for such procurements. FEMA considers these actions to be an organizational conflict of interest and interprets this restriction as applying to contractors that help a non-federal entity develop its grant application, project plans, or project budget.

This prohibition also applies to the use of former employees to manage the grant or carry out a contract when those former employees worked on such activities while they were employees of the non-federal entity.

Under this prohibition, unless the non-federal entity solicits for and awards a contract covering both development and execution of specifications (or similar elements as described above), and this contract was procured in compliance with 2 C.F.R. §§ 200.317 – 200.327, federal funds cannot be used to pay a contractor to carry out the work if that contractor also worked on the development of those specifications.

This rule applies to all contracts funded with federal grant funds, including pre-award costs, such as grant writer fees, as well as post-award costs, such as grant management fees.

Some of the situations considered to be restrictive of competition include but are not limited to:
• Placing unreasonable requirements on firms in order for them to qualify to do business; • Requiring unnecessary experience and excessive bonding; • Noncompetitive pricing practices between firms or between affiliated companies; • Noncompetitive contracts to consultants that are on retainer contracts; • Organizational conflicts of interest;
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• Specifying only a “brand name” product instead of allowing “an equal” product to be offered and describing the performance or other relevant requirements of the procurement; and • Any arbitrary action in the procurement process.

Per 2 C.F.R. § 200.319(c), non-federal entities other than states must conduct procurements in a manner that prohibits the use of statutorily or administratively imposed SLTT geographical preferences in the evaluation of bids or proposals, except in those cases where applicable federal statutes expressly mandate or encourage geographic preference. Nothing in this section preempts state licensing laws. When contracting for architectural and engineering services, geographic location may be a selection criterion provided its application leaves an appropriate number of qualified firms, given the nature and size of the project, to compete for the contract.

Under 2 C.F.R. § 200.318(c)(1), non-federal entities other than states are required to maintain written standards of conduct covering conflicts of interest and governing the actions of their employees engaged in the selection, award, and administration of contracts. No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a federal award if he or she has a real or apparent conflict of interest. Such conflicts of interest would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization that employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a contract.

The officers, employees, and agents of the non-federal entity may neither solicit nor accept gratuities, favors, or anything of monetary value from contractors or parties to subcontracts. However, non-federal entities may set standards for situations in which the financial interest is not substantial, or the gift is an unsolicited item of nominal value. The standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the non-federal entity. If the recipient or subrecipient (other than states) has a parent, affiliate, or subsidiary organization that is not a state, local, tribal, or territorial government, the non-federal entity must also maintain written standards of conduct covering organizational conflicts of interest. In this context, organizational conflict of interest means that because of a relationship with a parent company, affiliate, or subsidiary organization, the nonfederal entity is unable or appears to be unable to be impartial in conducting a procurement action involving a related organization. 2 C.F.R. § 200.318(c)(2). The non-federal entity must disclose in writing any potential conflicts of interest to FEMA or the pass-through entity in accordance with applicable FEMA policy.

Supply Schedules and Purchasing Programs
Generally, a non-federal entity may seek to procure goods or services from a federal supply schedule, state supply schedule, or group purchasing agreement.

General Services Administration Schedules
States, tribes, and local governments, and any instrumentality thereof (such as local education agencies or institutions of higher education) may procure goods and services from a General Services Administration (GSA) schedule. GSA offers multiple efficient and effective procurement programs for state, tribal, and local governments, and instrumentalities thereof, to purchase products and services directly from prevetted contractors. The GSA Schedules (also referred to as the Multiple Award Schedules and the Federal Supply Schedules) are long-term government-wide contracts with commercial firms that provide access to millions of commercial products and services at volume discount pricing.

Information about GSA programs for states, tribes, and local governments, and instrumentalities thereof, can be found at https://www.gsa.gov/resources-for/programs-for-State-and-local-governments and City Council 18 – 45 8/16/2022
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https://www.gsa.gov/buying-selling/purchasing-programs/gsa-schedules/schedule-buyers/state-and-localgovernments.

For tribes, local governments, and their instrumentalities that purchase off of a GSA schedule, this will satisfy the federal requirements for full and open competition provided that the recipient follows the GSA ordering procedures; however, tribes, local governments, and their instrumentalities will still need to follow the other rules under 2 C.F.R. §§ 200.317 – 200.327, such as solicitation of minority businesses, women’s business enterprises, small businesses, or labor surplus area firms (§ 200.321), domestic preferences (§ 200.322), contract cost and price (§ 200.324), and required contract provisions (§ 200.327 and Appendix II).

Other Supply Schedules and Programs
For non-federal entities other than states, such as tribes, local governments, and nonprofits, that want to procure goods or services from a state supply schedule, cooperative purchasing program, or other similar program, in order for such procurements to be permissible under federal requirements, the following must be true:
• The procurement of the original contract or purchasing schedule and its use by the non-federal entity complies with state and local law, regulations, and written procurement procedures; • The state or other entity that originally procured the original contract or purchasing schedule entered into the contract or schedule with the express purpose of making it available to the nonfederal entity and other similar types of entities; • The contract or purchasing schedule specifically allows for such use, and the work to be performed for the non-federal entity falls within the scope of work under the contract as to type, amount, and geography;
• The procurement of the original contract or purchasing schedule complied with all the procurement standards applicable to a non-federal entity other than states under at 2 C.F.R. §§ 200.317 – 200.327; and
• With respect to the use of a purchasing schedule, the non-federal entity must follow ordering procedures that adhere to applicable state, tribal, and local laws and regulations and the minimum requirements of full and open competition under 2 C.F.R. Part 200.

If a non-federal entity other than a state seeks to use a state supply schedule, cooperative purchasing program, or other similar type of arrangement, FEMA recommends the recipient discuss the procurement plans with its FEMA Preparedness Officer or Program Manager.

Procurement Documentation
Per 2 C.F.R. § 200.318(i), non-federal entities other than states and territories are required to maintain and retain records sufficient to detail the history of procurement covering at least the rationale for the procurement method, contract type, contractor selection or rejection, and the basis for the contract price.

States and territories are encouraged to maintain and retain this information as well and are reminded that in order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g).

Examples of the types of documents that would cover this information include but are not limited to:
• Solicitation documentation, such as requests for quotes, invitations for bids, or requests for proposals;
• Responses to solicitations, such as quotes, bids, or proposals; • Pre-solicitation independent cost estimates and post-solicitation cost/price analyses on file for review by federal personnel, if applicable;
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• Contract documents and amendments, including required contract provisions; and • Other documents required by federal regulations applicable at the time a grant is awarded to a recipient.

Termination Provisions
FEMA may terminate a federal award in whole or in part for one of the following reasons. FEMA and the recipient must still comply with closeout requirements at 2 C.F.R. §§ 200.344-200.345 even if an award is terminated in whole or in part. To the extent that subawards are permitted under the respective program’s NOFO, pass-through entities should refer to 2 C.F.R. § 200.340 for additional information on termination regarding subawards.

1. Noncompliance. If an applicant fails to comply with the terms and conditions of a federal award, FEMA may terminate the award in whole or in part. If the noncompliance can be corrected, FEMA may first attempt to direct the recipient to correct the noncompliance. This may take the form of a Compliance Notification. If the noncompliance cannot be corrected or the recipient is non-responsive, FEMA may proceed with a Remedy Notification, which could impose a remedy for noncompliance per 2 C.F.R. § 200.339, including termination. Any action to terminate based on noncompliance will follow the requirements of 2 C.F.R. §§ 200.341-200.342 as well as the requirement of 2 C.F.R. § 200.340(c) to report in FAPIIS the recipient’s material failure to comply with the award terms and conditions.

2. With the Consent of the Recipient. FEMA may also terminate an award in whole or in part with the consent of the recipient, in which case the parties must agree upon the termination conditions, including the effective date, and in the case of partial termination, the portion to be terminated.

3. Notification by the Recipient. The recipient may terminate the award, in whole or in part, by sending written notification to FEMA setting forth the reasons for such termination, the effective date, and in the case of partial termination, the portion to be terminated. In the case of partial termination, FEMA may determine that a partially terminated award will not accomplish the purpose of the federal award, so FEMA may terminate the award in its entirety. If that occurs, FEMA will follow the requirements of 2 C.F.R. §§ 200.341-200.342 in deciding to fully terminate the award
Period of Performance (POP) Extensions
Extensions to the POP for programs addressed in this Manual are allowed under limited circumstances.

Extensions to the initial POP identified in the award will only be considered through formal, written requests to the recipient’s FEMA Preparedness Officer or Program Manager and must contain specific and compelling justifications as to why an extension is required. Recipients are advised to coordinate with the FEMA Preparedness Officer or Program Manager as needed when preparing an extension request.

All extension requests must address the following:

1. The grant program, fiscal year, and award number;

2. Reason for the delay–including details of the legal, policy, or operational challenges that prevent the final outlay of awarded funds by the deadline;

3. Current status of the activity(is);

4. Approved POP termination date and new project completion date;

5. Amount of funds drawn down to date;

6. Remaining available funds, both federal and, if applicable, non-federal; City Council 18 – 47 8/16/2022
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7. Budget outlining how remaining federal and, if applicable, non-federal funds will be expended;

8. Plan for completion, including milestones and timeframes for achieving each milestone and the position or person responsible for implementing the plan for completion; and

9. Certification that the activity(ies) will be completed within the extended POP without any modification to the original statement of work, as described in the investment justification and as approved by FEMA.

Extension requests will be granted only due to compelling legal, policy, or operational challenges.

Extension requests will only be considered for the following reasons:
• Contractual commitments by the recipient or subrecipient with vendors prevent completion of the project within the existing POP;
• The project must undergo a complex environmental review that cannot be completed within the existing POP;
• Projects are long-term by design, and therefore acceleration would compromise core programmatic goals; or
• Where other special or extenuating circumstances exist.

Recipients should submit all proposed extension requests to FEMA for review and approval at least 120 days prior to the end of the POP to allow sufficient processing time. Extensions are typically granted for no more than a six-month period. Recipients are advised to coordinate with the FEMA Preparedness Officer as needed when preparing an extension request.

Records Retention
Record Retention Period
Financial records, supporting documents, statistical records, and all other non-federal entity records pertinent to a federal award generally must be maintained for at least three years from the date the final FFR is submitted. See 2 C.F.R. § 200.334. Further, if the recipient does not submit a final FFR and the award is administratively closed, FEMA uses the date of administrative closeout as the start of the general record retention period.

The record retention period may be longer than three years or have a different start date in certain cases. These include:
• Records for real property and equipment acquired with federal funds must be retained for three years after final disposition of the property. See 2 C.F.R. § 200.334(c). • If any litigation, claim, or audit is started before the expiration of the three-year period, the records must be retained until all litigation, claims, or audit findings involving the records have been resolved and final action taken. See 2 C.F.R. § 200.334(a). • The record retention period will be extended if the recipient is notified in writing of the extension by FEMA, the cognizant or oversight agency for audit, or the cognizant agency for indirect costs. See 2 C.F.R. § 200.334(b).
• Where FEMA requires recipients to report program income after the period of performance ends, the program income record retention period begins at the end of the recipient’s fiscal year in which program income is earned. See 2 C.F.R. § 200.334(e). • For indirect cost rate proposals, cost allocation plans, or other rate computations records, the start of the record retention period depends on whether the indirect cost rate documents were submitted for negotiation. If the indirect cost rate documents were submitted for negotiation, City Council 18 – 48 8/16/2022
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the record retention period begins from the date those documents were submitted for negotiation. If indirect cost rate documents were not submitted for negotiation, the record retention period begins at the end of the recipient’s fiscal year or other accounting period covered by that indirect cost rate. See 2 C.F.R. § 200.334(f).

Types of Records to Retain
FEMA requires that non-federal entities maintain the following documentation for federally funded purchases:
• Specifications
• Solicitations
• Competitive quotes or proposals
• Basis for selection decisions
• Purchase orders
• Contracts
• Invoices
• Cancelled checks
Non-federal entities should keep detailed records of all transactions involving the grant. FEMA may at any time request copies of any relevant documentation and records, including purchasing documentation along with copies of cancelled checks for verification. See, e.g., 2 C.F.R. §§ 200.318(i), 200.334, 200.337.

In order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g). Nonfederal entities who fail to fully document all purchases may find their expenditures questioned and subsequently disallowed.

Actions to Address Noncompliance
Non-federal entities receiving financial assistance from FEMA are required to comply with requirements in the terms and conditions of their awards or subawards, including the terms set forth in applicable federal statutes, regulations, NOFOs, policies, and this Manual. Throughout the award lifecycle or even after an award has been closed, FEMA or the pass-through entity may discover potential or actual noncompliance on the part of a recipient or subrecipient. This potential or actual noncompliance may be discovered through routine monitoring, audits, closeout, or reporting from various sources.

In the case of any potential or actual noncompliance, FEMA may place special conditions on an award per 2 C.F.R. §§ 200.208 and 200.339, FEMA may place a hold on funds until the matter is corrected, or additional information is provided per 2 C.F.R. § 200.339, or it may do both. Similar remedies for noncompliance with certain federal civil rights laws are authorized pursuant to 44 C.F.R Parts 7 and 19.

In the event the noncompliance is not able to be corrected by imposing additional conditions or the recipient or subrecipient refuses to correct the matter, FEMA might take other remedies allowed under 2 C.F.R. § 200.339. These remedies include actions to disallow costs, recover funds, wholly or partly suspend or terminate the award, initiate suspension and debarment proceedings, withhold further federal awards, or take other remedies that may be legally available. For further information on termination due to noncompliance, see the section on Termination Provisions in the relevant NOFO.

FEMA may discover and take action on noncompliance even after an award has been closed. The closeout of an award does not affect FEMA’s right to disallow costs and recover funds as long as the City Council 18 – 49 8/16/2022
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action to disallow costs takes place during the record retention period. See 2 C.F.R. §§ 200.334, 200.345(a). Closeout also does not affect the obligation of the non-federal entity to return any funds due as a result of later refunds, corrections, or other transactions. See 2 C.F.R. § 200.345(a)(2).

The types of funds FEMA might attempt to recover include, but are not limited to, improper payments, cost share reimbursements, program income, interest earned on advance payments, or equipment disposition amounts.

FEMA may seek to recover disallowed costs through a Notice of Potential Debt Letter, a Remedy Notification, or other letter. The document will describe the potential amount owed, the reason why FEMA is recovering the funds, the recipient’s appeal rights, how the amount can be paid, and the consequences for not appealing or paying the amount by the deadline.

If the recipient neither appeals nor pays the amount by the deadline, the amount owed will become final.

Potential consequences if the debt is not paid in full or otherwise resolved by the deadline include the assessment of interest, administrative fees, and penalty charges; administratively offsetting the debt against other payable federal funds; and transferring the debt to the U.S. Department of the Treasury for collection.

FEMA notes the following common areas of noncompliance for the preparedness grant programs:
• Insufficient documentation and lack of record retention. • Failure to follow the procurement under grants requirements. • Failure to submit closeout documents in a timely manner. • Failure to follow EHP requirements.
• Failure to comply with the POP deadline.

Audits
FEMA grant recipients are subject to audit oversight from multiple entities including the DHS OIG, the GAO, the pass-through entity, or independent auditing firms for single audits, and may cover activities and costs incurred under the award. Auditing agencies such as the DHS OIG, the GAO, and the passthrough entity (if applicable), and FEMA in its oversight capacity, must have access to records pertaining to the FEMA award. Recipients and subrecipients must retain award documents for at least three years from the date the final FFR is submitted, and even longer in many cases subject to the requirements of 2 C.F.R. § 200.334. In the case of administrative closeout, documents must be retained for at least three years from the date of closeout, or longer subject to the requirements of 2 C.F.R. § 200.334. If documents are retained longer than the required retention period, the DHS OIG, the GAO, and the pass-through entity, as well as FEMA in its oversight capacity, have the right to access these records as well. See 2 C.F.R. §§ 200.334, 200.337.

Additionally, non-federal entities must comply with the single audit requirements at 2 C.F.R. Part 200, Subpart F. Specifically, non-federal entities, other than for-profit subrecipients, that expend $750,000 or more in federal awards during their fiscal year must have a single or program-specific audit conducted for that year in accordance with Subpart F. 2 C.F.R. § 200.501. A single audit covers all federal funds expended during a fiscal year, not just FEMA funds. The cost of audit services may be allowable per 2 C.F.R. § 200.425, but non-federal entities must select auditors in accordance with 2 C.F.R. § 200.509, including following the proper procurement procedures. For additional information on single audit reporting requirements, see the section in this Manual titled “Single Audit Report.” City Council 18 – 50 8/16/2022
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The objectives of single audits are to:
• Determine if financial statements conform to generally accepted accounting principles (GAAP); • Determine whether the schedule of expenditures of federal awards is presented fairly; • Understand, assess, and test the adequacy of internal controls for compliance with major programs; and
• Determine if the entity complied with applicable laws, regulations, and contracts or grants.

For single audits, the auditee is required to prepare financial statements reflecting its financial position, a schedule of federal award expenditures, and a summary of the status of prior audit findings and questioned costs. The auditee also is required to follow up and take appropriate corrective actions on new and previously issued but not yet addressed audit findings. The auditee must prepare a corrective action plan to address the new audit findings. See 2 C.F.R. §§ 200.508, 200.510, 200.511.

Non-federal entities must have an audit conducted, either single or program-specific, of their financial statements and federal expenditures annually or biennially pursuant to 2 C.F.R. § 200.504. Non-federal entities must also follow the information submission requirements of 2 C.F.R. § 200.512, including submitting the audit information to the Federal Audit Clearinghouse within the earlier of 30 calendar days after receipt of the auditor’s report(s) or nine months after the end of the audit period. The audit information to be submitted include the data collection form described at 2 C.F.R. § 200.512(c) and Appendix X to 2 C.F.R. Part 200 as well as the reporting package described at 2 C.F.R. § 200.512(b).

The non-federal entity must retain one copy of the data collection form and one copy of the reporting package for three years from the date of submission to the Federal Audit Clearinghouse. 2 C.F.R. § 200.512; see also 2 C.F.R. § 200.517 (setting requirements for retention of documents by the auditor and access to audit records in the auditor’s possession).

FEMA, the DHS OIG, the GAO, and the pass-through entity (if applicable), as part of monitoring or as part of an audit, may review a non-federal entity’s compliance with the single audit requirements. In cases of continued inability or unwillingness to have an audit conducted in compliance with 2 C.F.R. Part 200, Subpart F, FEMA and the pass-through entity, if applicable, are required to take appropriate remedial action under 2 C.F.R. § 200.339 for noncompliance, pursuant to 2 C.F.R. § 200.505.

Payment Information
FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients. To enroll in the DD/EFT, the recipient must complete the SF-119A, Direct Deposit Form.

FEMA utilizes the Payment and Reporting System (PARS) for financial reporting, invoicing and tracking payments. For additional information, refer to
https://isource.fema.gov/sf269/execute/LogIn?sawContentMessage=true.

Disability Integration
Pursuant to Section 504 of the Rehabilitation Act of 1973, recipients of FEMA financial assistance must ensure that their programs and activities do not discriminate against other qualified individuals with disabilities.

Preparedness grant recipients should engage with the whole community to advance individual and community preparedness and to work as a nation to build and sustain resilience. In doing so, recipients City Council 18 – 51 8/16/2022
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are encouraged to consider the needs of individuals with disabilities into the activities and projects funded by the grant.

FEMA expects that the integration of the needs of people with disabilities will occur at all levels, including planning; alerting, notification, and public outreach; training; purchasing of equipment and supplies; protective action implementation; and exercises/drills.

The following are examples that demonstrate the integration of the needs of people with disabilities in carrying out FEMA awards:
• Include representatives of organizations that work with/for people with disabilities on planning committees, work groups and other bodies engaged in development and implementation of the grant programs and activities.
• Hold all activities related to the grant in locations that are accessible to persons with physical disabilities to the extent practicable.
• Acquire language translation services, including American Sign Language, that provide public information across the community and in shelters.
• Ensure shelter-specific grant funds are in alignment with FEMA’s Guidance on Planning for Integration of Functional Needs Support Services in General Population Shelters. • If making alterations to an existing building to a primary function area utilizing federal funds, complying with the most recent codes and standards and making path of travel to the primary function area accessible to the greatest extent possible. • Implement specific procedures used by public transportation agencies that include evacuation and passenger communication plans and measures for individuals with disabilities. • Identify, create, and deliver training to address any training gaps specifically aimed toward whole-community preparedness. Include and interact with individuals with disabilities, aligning with the designated program capability.
• Establish best practices in inclusive planning and preparedness that consider physical access, language access, and information access. Examples of effective communication access include providing auxiliary aids and services such sign language interpreters, Computer Aided Real-time Translation (CART), and materials in Braille or alternate formats.

FEMA grant recipients can fund projects towards the resiliency of the whole community, including people with disabilities, such as training, outreach, and safety campaigns, provided that the project aligns with the applicable NOFO, this Manual, applicable appendix to this Manual, and the terms and conditions of the award. For specific guidelines on funding a disability inclusive project, please refer to the programspecific appendix in this Manual.

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National Campaigns and Programs
Preparedness grant funding can generally be used to support the following campaigns and programs that have been developed by or in partnership with DHS or FEMA.

Whole Community Preparedness
Preparedness is a shared responsibility that calls for the involvement of everyone—not just the government—in preparedness efforts. By working together, everyone can help keep the nation safe from harm and help keep it resilient when struck by hazards, such as natural disasters, acts of terrorism, and pandemics.

Whole Community includes:
• Individuals and families, including those with access and functional needs • Businesses
• Faith-based and community organizations
• Nonprofit groups
• Schools and academia
• Media outlets
• All levels of government, including state, local, tribal, territorial, and federal partners The phrase “Whole Community” often appears repeatedly in preparedness materials, as it is one of the guiding principles. It means two things:

1. Involving people in the development of national preparedness documents.

2. Ensuring their roles and responsibilities are reflected in the content of the materials.

Additional information on incorporating whole community preparedness is available in the relevant program-specific appendix to this Manual, as applicable.

Active Shooter Preparedness
DHS aims to enhance national preparedness through a whole-community approach by providing the necessary products, tools, and resources to help all stakeholders prepare for and respond to an active shooter incident. To that end, DHS has developed a comprehensive Active Shooter Preparedness website, which includes informational resources, available at https://www.cisa.gov/active-shooter-preparedness.

An additional resource, the Joint DHS and Federal Bureau of Investigation (FBI) Countering Violent Extremism (CVE) and Active Shooter Web Portal is located within the Homeland Security Information Network (HSIN). The portal provides a restricted-access forum to share Unclassified, For Official Use Only (FOUO), Sensitive but Unclassified (SBU), and Law Enforcement Sensitive (LES) information. The portal provides users and training practitioners with accurate, appropriate, and relevant CVE and Active Shooter training development resources, subject-matter expert information, and outreach initiatives. It also has forums to provide feedback, products useful to others, and allows participants to ask questions concerning CVE or the Active Shooter Program. Persons with a job-related duty, public service interest, or who support a CVE and/or Active Shooter program can request access to this Portal. Additional information can be found at: https://www.dhs.gov/cveas-portal#.

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States and Urban Areas are encouraged to review the referenced active shooter guidance, evaluate their preparedness needs, and consider applying for funding to address any needs identified in this area (please see the most current NOFO for allowable costs). To address training needs associated with active shooter incidents, FEMA’s Emergency Management Institute provides a free, web-based training course entitled IS-907: Active Shooter: What You Can Do, available at the following website:
https://training.fema.gov/is/courseoverview.aspx?code=is-907.

Soft Targets and Crowded Places
There are continued and growing threats facing Soft Targets and Crowded Places (ST-CP) throughout the nation. ST-CPs are those locations or environments that are easily accessible to large numbers of people on a predictable or semi-predictable basis that have limited security or protective measures in place.

These locations are vulnerable to attack using simple tactics and readily accessible weapons such as small arms, edged weapons, vehicles, improvised explosive devices, and unmanned aircraft systems. ST-CPs can include places such as town centers, shopping malls, open-air venues, outside hard targets/venues perimeters, and other places of meeting and gathering. DHS is committed to reducing the risk of attacks against ST-CPs and the impact of attacks if they do occur. However, the protection and security of STCPs is a shared responsibility among whole community partners including the public, ST-CP owners and operators, security industry partners, the Federal Government, and SLTT government partners. States, territories, urban areas, and public and private sector partners are encouraged to identify security gaps and build capabilities that address security needs of ST-CPs, understanding the unique challenges related to protecting locations that are open to the public. States, territories, urban areas, and public and private sector partners are also encouraged to use resources to instill a culture of awareness, vigilance, and preparedness. For more information and additional resources, please see the DHS’s Hometown Security Program.

Community Lifelines
FEMA created Community Lifelines to reframe incident information, understand and communicate incident impacts using plain language, and promote unity of effort across the whole community to prioritize efforts to stabilize the lifelines during incident response. While lifelines were developed to support response planning and operations, the concept can be applied across the entire preparedness cycle.

Efforts to protect lifelines, prevent and mitigate potential impacts to them, and build back stronger and smarter during recovery will drive overall resilience of the nation. Applying the lifelines construct allows decision-makers to:
• Prioritize, sequence, and focus response efforts towards maintaining or restoring the most critical services and infrastructure;
• Utilize a common lexicon to facilitate unity of purpose among all stakeholders; • Promote a response that facilitates unity of purpose and better communication among the whole community (federal, state, tribal, territorial, and local governments, and private sector and nongovernmental entities); and • Clarify which components of the disaster are complex (multifaceted) or complicated (difficult), requiring cross-sector coordination.

Lifelines are used to:
• Enhance the ability to gain, maintain, and communicate situational awareness for the whole community in responding to disasters;
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• Analyze impacts to the various lifelines and develop priority focus areas for each operational period during response;
• Identify and communicate complex interdependencies to identify major limiting factors hindering stabilization; and
• Update the National Response Framework to reflect use of lifelines in response planning.

Lifelines include opportunities to:
• Enable a true unity of effort between government, non-governmental organizations, and the private sector, including infrastructure owners and operators; • Integrate preparedness efforts, existing plans, and identify unmet needs to better anticipate response requirements; and
• Refine reporting sources and products to enhance situational awareness, best determine capability gaps, and demonstrate progress towards stabilization.

For more information on lifelines, please visit Community Lifelines | FEMA.gov and https://www.fema.gov/media-library/assets/documents/177222.

Strategic Framework for Countering Terrorism and Targeted Violence The United States faces increasingly complex threats from terrorism and targeted violence. Both continue to pose a grave threat in ways that have evolved dramatically in the nearly two decades since the 9/11 attacks. Although foreign terrorist organizations remain intent on striking our Homeland, we also face a growing threat from domestic actors. Combating terrorism and targeted violence requires the combined efforts of DHS, our federal and SLTT government partners, and civil society.

To address these threats, in September 2019 DHS adopted the DHS Strategic Framework for Countering Terrorism and Targeted Violence which explains how the department will use the tools and expertise that have protected and strengthened the country from foreign terrorist organizations to address the evolving challenges of today. DHS has also now finalized a corresponding Public Action Plan. Preparedness grant recipients are encouraged to familiarize themselves with these documents and consider adopting the concepts, principals, and goals they outline.

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Program Appendix A:

Homeland Security Grant Program (HSGP)
As a reminder, while this appendix contains HSGP-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the HSGP. Please be sure to read the main content of this Manual in addition to the program-specific appendices.

Alignment of HSGP to the National Preparedness System
The Nation uses the National Preparedness System to build, sustain, and deliver core capabilities to achieve the National Preparedness Goal (the Goal). Recipients will use the National Preparedness System to support their efforts to build, sustain, and deliver these core capabilities. The components of the National Preparedness System are Identifying and Assessing Risk, Estimating Capability Requirements, Building and Sustaining Capabilities, Planning to Deliver Capabilities, Validating Capabilities, and Reviewing and Updating. Additional information on the National Preparedness System is available at http://www.fema.gov/national-preparedness-system.

As the National Preparedness System matures, we are getting better data on our capabilities as a Nation that can be used to drive our focus and our resources at all levels. States and territories provide annual data on their proficiency across 32 core capabilities through the Threat and Hazard Identification and Risk Assessment (THIRA), Stakeholder Preparedness Review (SPR), exercise and real world after-action reports, and other preparedness data. This data feeds into the National Preparedness Report and forms a shared national picture of needs relative to capability gaps—including what threats and hazards are posing the greatest risks, and what core capabilities are most in need of improvement or sustainment.

Communities and federal agencies alike use this data to prioritize, synchronize, and guide programs and activities to build and sustain capabilities. Analytic results help shape prioritization decisions at FEMA and across the nation to make sure we are focusing our time and our resources in the right areas.

The HSGP provides financial support to state, local, tribal, and territorial (SLTT) jurisdictions to help them build, sustain, and deliver core capabilities identified in the Goal. A key focus and requirement of the HSGP is to prevent terrorism and other catastrophic events and to prepare the Nation for the threats and hazards that pose the greatest risk to the security of the United States, including risks along the Nation’s borders. When applicable, funding should support deployable assets that can be used anywhere in the Nation through automatic assistance and mutual aid agreements, including, but not limited to, the Emergency Management Assistance Compact (EMAC).

The HSGP supports investments that improve the ability of jurisdictions nationwide to:
• Prevent a threatened or an actual act of terrorism;
• Protect citizens, residents, visitors, and assets against the threats that pose the greatest risk to the security of the United States;
• Mitigate the loss of life and property by lessening the impact of future catastrophic events; • Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; and/or • Recover through a focus on the timely restoration, strengthening, accessibility, and revitalization of infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, City Council 18 – 56 8/16/2022
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historic, and environmental fabric of communities affected by a catastrophic incident, and do so in a manner that engages the whole community while ensuring the protection of civil rights.

HSGP Funding Guidelines
Recipients must comply with all the requirements in 2 C.F.R. Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards). In general, recipients should consult with their FEMA HQ Preparedness Officer prior to making any investment that does not clearly meet the allowable expense criteria. Funding guidelines established within this section support the five mission areas—Prevention, Protection, Mitigation, Response, and Recovery—and associated core capabilities within the Goal. Allowable investments made in support of the national priorities, as well as other capability-enhancing projects must have a nexus to terrorism preparedness and fall into the categories of planning, organization, exercises, training, or equipment, aligned to closing capability gaps or sustaining capabilities identified in the THIRA/SPR. Recipients are encouraged to use grant funds for evaluating grant-funded project effectiveness and return on investment. FEMA encourages recipients to provide the results of that analysis to FEMA.

Multiple Purpose or Dual-Use of Funds
For both the State Homeland Security Program (SHSP) and Urban Area Security Initiative (UASI), many activities that support the achievement of core capabilities related to the national priorities and terrorism preparedness may simultaneously support enhanced preparedness for other hazards unrelated to acts of terrorism. However, all SHSP- and UASI-funded projects must assist recipients and subrecipients in achieving core capabilities related to preventing, preparing for, protecting against, or responding to acts of terrorism per section 2008(c) of the Homeland Security Act of 2002 (6 U.S.C. § 609(c)).

Planning (SHSP and UASI)
SHSP and UASI funds may be used for a range of emergency preparedness and management planning activities such as those associated with the development, review, and revision of the THIRA, SPR, continuity of operations plans, and other planning activities that support the Goal and placing an emphasis on updating and maintaining a current Emergency Operations Plan (EOP) that conforms to the guidelines outlined in Comprehensive Preparedness Guide (CPG) 101 v2.

Organization (SHSP and UASI)
States and high-risk urban areas must justify proposed expenditures of SHSP or UASI funds to support organization activities within their Investment Justification (IJ) submission. Organizational activities include:
• Program management
• Development of whole community partnerships, through groups such as Citizen Corp Councils • Structures and mechanisms for information sharing between the public and private sector • Implementing models, programs, and workforce enhancement initiatives to address ideologically inspired radicalization to violence in the homeland • Tools, resources, and activities that facilitate shared situational awareness between the public and private sectors
• Operational Support
• Utilization of standardized resource management concepts such as typing, inventorying, organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources before, during, and after an incident
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• Responding to an increase in the threat level under the National Terrorism Advisory System (NTAS) or needs resulting from a National Special Security Event • Paying salaries and benefits for personnel to serve as qualified Intelligence Analysts. Per the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act (PRICE Act), Pub. L. No. 110-412, § 2, codified in relevant part, as amended, at 6 U.S.C. § 609(a), SHSP and UASI funds may be used to hire new staff and/or contractor positions to serve as intelligence analysts to enable information/intelligence sharing capabilities, as well as support existing intelligence analysts previously covered by SHSP or UASI funding. See 6 U.S.C. § 609(a). To be hired as an intelligence analyst, staff and/or contractor personnel must meet at least one of the following criteria:
o Complete training to ensure baseline proficiency in intelligence analysis and production within six months of being hired; and/or,
o Previously served as an intelligence analyst for a minimum of two years either in a federal intelligence agency, the military, or state and/or local law enforcement intelligence unit.
• All fusion center analytical personnel must demonstrate qualifications that meet or exceed competencies identified in the Common Competencies for state, local, and tribal intelligence analysts, which outlines the minimum categories of training needed for intelligence analysts. A certificate of completion of such training must be on file with the State Administrative Agency (SAA) and must be made available to the recipient’s respective FEMA HQ Preparedness Officer upon request.
• Migrating online services to the “.gov” internet domain.

All SAAs are allowed to use up to 50% of their SHSP funding, and all high-risk urban areas are allowed to use up to 50% of their UASI funding, for personnel costs per 6 U.S.C. § 609(b)(2)(A). Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Personnel expenses may include, but are not limited to training and exercise coordinators, program managers and planners, intelligence analysts, and Statewide Interoperability Coordinators (SWICs).

At the request of a recipient, the FEMA Administrator (or their designee) may grant a waiver of this 50% limitation under 6 U.S.C. § 609(b)(2)(B). Requests for waivers to the personnel cap must be submitted by the authorized representative of the SAA to FEMA in writing on official letterhead, with the following information:
• Documentation explaining why the cap should be waived • Conditions under which the request is being submitted • A budget and method of calculation of personnel costs both in percentages of the grant award and in total dollar amount.

Please see IB 421b for additional information on the waiver request process.

Organizational activities under SHSP and UASI include:

Operational Overtime Costs. In support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism and other catastrophic events, operational overtime costs are allowable for increased protective security measures at critical infrastructure sites or other high-risk locations and to enhance public safety during mass gatherings and high-profile events. In that regard, HSGP recipients are urged to consider using grant funding to support soft target preparedness activities. SHSP or UASI funds may be used to support select operational expenses associated with increased security measures City Council 18 – 58 8/16/2022
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in the authorized categories cited in the table below, but this table is not exhaustive. FEMA retains the discretion to approve other types of requests that do not fit within one of the categories of the table.

Table 2 - Authorized Operational Overtime Categories
Category Description
1 National Terrorism
Advisory System
(NTAS)
Security measures in response to an increase in the threat level under the NTAS to an “elevated” or “imminent” alert status. FEMA Information Bulletin No. 367, Impact of National Terrorism Advisory System on Homeland Security Grant Programs, remains applicable; therefore, advance authorization from FEMA is not required. Refer to https://www.dhs.gov/topic/ntas for additional information on the NTAS.
2 National Security
Special Event (NSSE)
Security measures for a designated NSSE. NSSEs are events of national or international significance deemed by DHS to be a potential target for terrorism or other criminal activity. 3 Special Event
Assessment Rating
(SEAR) Level 1 through
Level 4 Events
Security measures required for SEAR Level 1 through Level 4 events as designated by DHS and included in the DHS National Special Events List, as defined below:
• SEAR 1: A significant event with national and/or
international importance that may require extensive federal interagency support.
• SEAR 2: A significant event with national and/or
international importance that may require some level of federal interagency support.
• SEAR 3: An event of national and/or international
importance that requires only limited federal support.
• SEAR 4: An event with limited national importance that is managed at state and local level.

NOTE: In cases where a threat of terrorism can be associated with a SEAR Level 5 event, the event planners should coordinate with their state or territory Homeland Security Advisor to seek re-adjudication of the SEAR rating. Operational overtime for security measures associated with such events will be considered for approval by FEMA if re-adjudication results in a SEAR 1 through 4 rating. 4 States of Emergency
Declarations of states of emergency by the Governor associated with a terrorism-related threat or incident. This excludes Presidentially declared major disasters or emergencies where federal funding support for the proposed grant-funded activity is made available through the FEMA Public Assistance program or other federal disaster grants.
5 National Critical
Infrastructure
Prioritization Program
(NCIPP)
Protection of Level 1 and Level 2 facilities identified through DHS’s NCIPP based on a terrorism-related threat to critical infrastructure. 6 Directed Transit Patrols Targeted security patrols in airports and major transit hubs based on a terrorism-related threat to transportation systems.

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Category Description
7 Other Related Personnel
Overtime Costs
Overtime costs may be authorized for personnel assigned to directly support any of the security activities relating to the categories above.

Examples include firefighters and emergency medical services personnel; public works employees who may be responsible for installing protective barriers and fencing; public safety personnel assigned to assist with event access and crowd control; emergency communications specialists; backfill and overtime for staffing state or major urban area fusion centers; state Active Duty National Guard deployments to protect critical infrastructure sites, including all resources that are part of the standard National Guard deployment package (note: consumable costs, such as fuel expenses, are not allowed except as part of the standard National Guard deployment package); contract security services for critical infrastructure sites; participation in Regional Resiliency Assessment Program activities, increased border security activities in coordination with USBP, etc.
8 Operational Support to
a Federal Agency
Overtime costs are allowable for personnel to participate in information, investigative, and intelligence sharing activities related to homeland security/terrorism preparedness and specifically requested by a federal agency. Allowable costs are limited to overtime associated with federally requested participation in eligible activities, including anti-terrorism task forces, Joint Terrorism Task Forces (JTTFs), Area Maritime Security Committees (as required by the Maritime Transportation Security Act of 2002), DHS Border Enforcement Security Task Forces, and Integrated Border Enforcement Teams. In addition, reimbursement for operational overtime law enforcement activities related to combating transnational crime organizations in support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism is an allowable expense under SHSP and UASI on a case-by-case basis. Grant funding can only be used in proportion to the federal man-hour estimate and only after funding for these activities from other federal sources (i.e., FBI JTTF payments to state and local agencies) has been exhausted.

All allowable operational overtime costs are also subject to the administration requirements outlined in the following subsection.

Administration of Operational Overtime Requests
• Except for an elevated NTAS alert, SHSP or UASI funds may only be spent for operational overtime costs upon prior written approval by FEMA. The SAA must submit operational overtime requests in writing to its assigned FEMA Preparedness Officer. FEMA will consider requests for special event activities up to one year in advance. However such requests must be within the award’s current POP and must not result in the need for a request to extend the period of performance. SAAs should contact the Centralized Scheduling and Information Desk (CSID) for Preparedness Officer contact information. CSID can be reached by phone at (800) 368-6498 or by e-mail at [email protected], Monday through Friday, 9:00 a.m. – 5:00 p.m. ET.

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• All operational overtime requests must clearly explain how the request meets the criteria of one or more of the categories listed in the table above. Requests must address the threat environment as it relates to the event or activity requiring operational overtime support and explain how the overtime activity is responsive to the threat. Request letters sent to FEMA must be UNCLASSIFIED but may be labeled “For Official Use Only.” If explaining the threat will require the sharing of classified information, the letter should state that fact. FEMA will then plan for the sharing of classified information through official channels. • Post-event operational overtime requests will only be considered on a case-by-case basis, where it is demonstrated that exigent circumstances prevented submission of a request in advance of the event or activity.
• Under no circumstances may FEMA grant funding be used to pay for costs already supported by funding from another federal source.
• States with UASI jurisdictions can use funds retained at the state level to reimburse eligible operational overtime expenses incurred by the state (per the above guidance limitations). Any UASI funds retained by the state must be used in direct support of the high-risk urban area. States must provide documentation to the Urban Area Working Group (UAWG) and FEMA upon request demonstrating how any UASI funds retained by a state would directly support the highrisk urban area. • FEMA will consult and coordinate with appropriate DHS components as necessary to verify information used to support operational overtime requests. For example, the review of operational overtime requests for the protection of critical infrastructure will be coordinated with DHS Office of Cyber and Infrastructure Analysis to verify the Level I or Level II NCIPP designation. Also, DHS Office of Intelligence and Analysis will be consulted to validate reported threat information associated with the event or activity.

Personnel Costs. Personnel hiring, overtime, and backfill expenses are permitted under this grant to perform allowable HSGP planning, training, exercise, and equipment activities. Personnel may include but are not limited to training and exercise coordinators, program managers for activities directly associated with SHSP and UASI funded activities, intelligence analysts, and SWICs.

For further details, SAAs should refer to Information Bulletin (IB) #421b, Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008 (Public L. No. 110–412 – the PRICE Act), October 30, 2019, or contact their FEMA Preparedness Officer. HSGP funds may not be used to support the hiring of any personnel to fulfill traditional public health and safety duties nor to supplant traditional public health and safety positions and responsibilities. The following definitions apply to personnel costs:
• Hiring. State and local entities may use grant funding to cover the salary of newly hired personnel who are exclusively undertaking allowable FEMA grant activities as specified in this guidance.

This may not include new personnel who are hired to fulfill any non-FEMA program activities under any circumstances. Hiring will always result in a net increase of Full Time Equivalent (FTE) employees.
• Overtime. These expenses are limited to the additional costs that result from personnel working over and above 40 hours of weekly work time as the direct result of their performance of FEMAapproved activities specified in this guidance. Overtime associated with any other activity is not eligible.
• Backfill-Related Overtime. Also called “Overtime as Backfill,” these expenses are limited to overtime costs that result from personnel who are working overtime (as identified above) to perform the duties of other personnel who are temporarily assigned to FEMA-approved activities City Council 18 – 61 8/16/2022
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outside their core responsibilities. Neither overtime nor backfill expenses are the result of an increase of FTE employees.
• Supplanting. Grant funds will be used to supplement existing funds and will not replace (supplant) funds that have been appropriated for the same purpose. Applicants or recipients may be required to supply documentation certifying that a reduction in non-federal resources occurred for reasons other than the receipt or expected receipt of federal funds.

Organization (OPSG)
Personnel Costs
OPSG funds may be used for domestic travel and per diem, including costs associated with the deployment/redeployment of personnel to border areas and for travel associated with law enforcement entities assisting other local jurisdictions in law enforcement activities. In addition, allowable costs include supporting up to six-month deployment of law enforcement personnel to critical Southwest Border locations for operational activities (travel costs must be in accordance with applicable travel regulations).

Operational Overtime Costs
OPSG funds should be used for operational overtime costs associated with law enforcement activities in support of border law enforcement agencies for increased border security enhancement. Overtime pay is for enhanced patrol for certified public safety officers, along with limited support for other law enforcement direct support personnel (e.g., Communication Officers/Dispatchers, non-sworn patrol pilots, etc.). Overtime shall be reimbursed consistent with the non-federal entity’s overtime policy and the requirements as stated below:
• Overtime is time worked that exceeds the required number of hours during an employee’s designated shift.
• Overtime must be worked to increase patrol capacity and be in support of identified and approved United States Border Patrol (USBP) border security operations. • The OPSG overtime hourly rate of pay will be no more than the approved overtime rate per local law and policy and must be in accordance with applicable state and federal regulations. • All overtime expenses under OPSG must be reasonable for the services rendered and conform to the non-federal entity’s established written policy, which must apply to both federally funded and non-federally funded activities and comply with the other applicable requirements under 2 C.F.R. §§ 200.430-200.431.
• The non-federal entity may not utilize OPSG funding to pay for an employee’s overtime hours or pay that exceeds 16 hours worked in any 24-hour period.

Personnel Costs
Up to 50% of an OPSG award may be used to pay for all personnel costs (only to the extent that such expenses are for the allowable activities within the scope of the grant). At the request of a recipient or subrecipient, the FEMA Administrator (or designee) may waive the 50% personnel cap. Waiver decisions are at the discretion of the FEMA Administrator and will be considered on a case-by-case basis in accordance with IB 421b. 6 U.S.C. § 609(b)(2). A formal OPSG personnel waiver request should:
• Be on official letterhead, include a written justification, and be signed by the local jurisdiction. • Include a budget and method of calculation of personnel costs both in the percentage of the grant award and in total dollar amount, reflecting the change in scope or objective to the project. • Include an approved Operations Order from the USBP Sector office that supports the local jurisdiction’s written justification.

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• Be coordinated with the USBP Sector, SAA, and the DHS/Customs and Border Protection (CBP) Office of the Border Patrol (OBP).

Further, changes in scope or objective also require FEMA’s prior written approval pursuant to 2 C.F.R. § 200.308(c)(1). If the cost changes are allowable under the grant, a Fragmentary Order (FRAGO) must be submitted to HSIN to obtain FEMA’s prior written approval of such changes in accordance with 2 C.F.R. § 200.308(c)(1). These modifications will be annotated in the annex section of the FRAGO.

OPSG funds may be used to pay additional current part-time law enforcement personnel salaries to bring them to temporary full-time status. OPSG funds may support a Governor’s request to activate, deploy, or redeploy specialized National Guard Units/Package and/or elements of state law enforcement serving as friendly forces to increase or augment specialized/technical law enforcement elements’ operational activities. Costs associated with backfill for personnel supporting operational activities are allowable.

As with all OPSG personnel costs, OPSG grant funds will be used to supplement existing funds and will not replace (supplant) funds that have been appropriated for the same purpose. Applicants or recipients may be required to supply documentation certifying that a reduction in non-federal resources occurred for reasons other than the receipt or expected receipt of federal funds.

Intelligence Support
OPSG funds may as applicable and operationally beneficial be used to pay salaries and benefits for personnel to serve as qualified Intelligence Analysts. Per 6 U.S.C. § 609(a), OPSG funds may be used to hire new staff and/or contractor positions to serve as intelligence analysts to enable and enhance information/intelligence sharing capabilities, as well as support existing intelligence analysts previously covered by OPSG funding. Qualified OPSG-funded intelligence analysts can be assigned to an applicable law enforcement facility/intelligence function as long as information/intelligence sharing is maintained.

To serve as an OPSG-funded intelligence analyst, staff and/or contractor personnel must meet at least one of the following criteria:
• Complete training to ensure baseline proficiency in intelligence analysis and production within six months of being hired; and/or,
• Previously served as an intelligence analyst for a minimum of two years either in a federal intelligence agency, the military, or state and/or local law enforcement intelligence unit.

OPSG-funded intelligence analysts must demonstrate qualifications that meet or exceed competencies identified in the Common Competencies for state, local, and tribal intelligence analysts, which outlines the minimum categories of training needed for intelligence analysts. A certificate of completion of such training must be on file with the SAA and must be made available to the recipient’s respective FEMA HQ Preparedness Officer upon request.

As with all allowable expenditures under HSGP, the SAA or its OPSG subrecipient jurisdictions must agree to and approve the use of funds for this purpose and request to amend applicable grant awards accordingly. Under OPSG, SAAs and subrecipients requesting to use grant funds in this manner must also collaborate regarding prioritization of funds for the provision of allowable associated costs for intelligence analysts with the applicable USBP sector and memorializing the collaboration through an Operations, Fragmentary or Supplemental Operations Order approved by the USBP sector, USBP Headquarters, and the FEMA Grant Programs Directorate.

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Temporary or Term Appointments
• Subrecipients may utilize temporary or term appointments to augment the law enforcement presence on the borders. However, applying funds toward hiring full-time or permanent sworn public safety officers is unallowable.
• OPSG-funded temporary or term appointments may not exceed the approved period of performance.
o For OPSG purposes, temporary appointments are non-status appointments for less than one year.
o For OPSG purposes, term appointments are non-status appointments for one year, extendable for one year as necessary.
• OPSG funding for temporary or term appointments may pay for salary only. Benefits are not allowable expenses for term or temporary employees.
• OPSG remains a non-hiring program. Appropriate uses of temporary or term appointments include:
o To carry out specific enforcement operations work for ongoing OPSG-funded patrols throughout the Sector Area of Operation;
o To staff operations of limited duration; such as OPSG-enhanced enforcement patrols targeting specific locations or criminal activity; and, o To fill OPSG positions in activities undergoing transition or personnel shortages and local backfill policies (medical/military deployments)
• OPSG term and temporary appointments must have all necessary certifications and training to enforce state and local laws. OPSG funds will not be used to train or certify term or temporary appointments except as otherwise stated in this Manual and the HSGP NOFO. • FEMA provides no guarantee of funding for temporary or term appointments. In addition to the terms of this Manual and the HSGP NOFO, subrecipients must follow their own applicable policies and procedures regarding temporary or term appointments.

Management and Administration
Management and administration (M&A) activities are those directly relating to themanagement and administration of HSGP funds, such as financial management and monitoring. A maximum of up to five percent of HSGP funds awarded may be retained by the state, and any funds retained are to be used solely for M&A purposes associated with the HSGP award. Subrecipients may also retain a maximum of up to five percent of the funding passed through by the state solely for M&A purposes associated with the HSGP award.

Recipients or subrecipients may apply or credit M&A funding toward the recipient’s requirement to allocate funding toward the four National Priority Areas. For example, if a recipient spends $5,000 to manage or administer its funding dedicated toward its enhancing cybersecurity investment, the recipient may credit that funding toward its requirement to allocate at least 7.5 percent of its award to the enhancing cybersecurity National Priority Area.

A state’s HSGP funds for M&A calculation purposes includes the total of its SHSP, UASI, and OPSG awards. While the SAA may retain up to five percent of this total for M&A, the state must still ensure that all subrecipient award amounts meet the mandatory minimum pass-through requirements that are applicable to each HSGP program. To meet this requirement, the percentage of SHSP and UASI funds passed through to local or tribal jurisdictions must be based on the state’s total HSGP award prior to withholding any M&A.

In retaining these funds, states may retain a maximum of 2.5 percent of the OPSG allocation, which must be withheld from the pass-through to each subrecipient county or tribe in an equal percentage. The SAA City Council 18 – 64 8/16/2022
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may also retain additional funding from its SHSP award to manage and administer the OPSG award, but that additional amount is also capped at an amount equal to 2.5 percent of the OPSG award. Examples applying this principle:

SAA 1:

SHSP: $1,000,000 OPSG: $2,500,000 UASI: $2,500,000
M&A Maximum: $300,000 (5 percent of $6,000,000)
Maximum M&A for SHSP = $50,000
Maximum M&A for OPSG = $125,000. Of that amount, $62,500 (2.5 percent) may be retained from the OPSG allocation, and the other $62,500 would come from the SHSP allocation. Any amount used to manage and administer OPSG that is charged to SHSP may be above and beyond the $50,000 available to manage the SHSP allocation.

Maximum M&A for UASI = $125,000
SAA 2:

SHSP: $3,500,000 OPSG: $1,000,000
M&A Maximum: $225,000 (5 percent of $4,500,000)
Maximum M&A for SHSP = $175,000
Maximum M&A for OPSG = $50,000. Of that amount, $25,000 (2.5 percent) may be retained from the OPSG allocation, and the other $25,000 would come from the SHSP allocation. Any amount used to manage and administer OPSG that is charged to SHSP may be above and beyond the $175,000 available to manage the SHSP allocation.

HSGP recipients are also reminded that any M&A charged to a recipient’s or subrecipient’s UASI funding must be directly allocable to administration of the UASI grant program and cannot be used to cover M&A costs that are directly allocable to SHSP or OPSG funding. Similarly, any M&A charged to a recipient’s or subrecipient’s SHSP or OPSG funding cannot be used to cover M&A costs directly allocable to UASI funding
Additionally, if a state/territory receives Nonprofit Security Grant Program (NSGP) funding, it may use SHSP M&A funding to cover M&A costs related to the management of NSGP-State awards, and UASI M&A funding to cover M&A costs related to the management of NSGP-Urban Area awards..

Specific for OPSG, subrecipients and friendly forces may retain funding for M&A purposes; however, the total amount retained cannot exceed 5% of the subrecipient’s subaward. Friendly forces are local law enforcement entities that are subordinate subrecipients under OPSG. In other words, friendly forces are entities that receive a subaward from a subrecipient under the OPSG program. Friendly forces must comply with all requirements of subrecipients under 2 C.F.R. Part 200.

Equipment (SHSP and UASI)
The 21 allowable prevention, protection, mitigation, response, and recovery equipment categories for HSGP are listed on the Authorized Equipment List (AEL). Some equipment items require prior approval from FEMA before obligation or purchase of the items. Please reference the grant notes for each equipment item to ensure prior approval is not required or to ensure prior approval is obtained if necessary. Recipients and subrecipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA.

Unless otherwise stated, all equipment must meet all mandatory regulatory and/or FEMA-adopted standards to be eligible for purchase using these funds. In addition, recipients will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment.

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Investments in emergency communications systems and equipment must meet applicable SAFECOM Guidance. Such investments must be coordinated with the SWIC and the State Interoperability Governing Body (SIGB) to ensure interoperability and long-term compatibility.

Grant funds may be used for the procurement of medical countermeasures. Procurement of medical countermeasures must be conducted in collaboration with state, city, or local health departments that administer federal funds from the Department of Health and Human Services for this purpose and with existing Metropolitan Medical Response System committees where available, to sustain their long-term planning for appropriate, rapid, and local medical countermeasures, including antibiotics and antidotes for nerve agents, cyanide, and other toxins. Procurement must have a sound threat-based justification with an aim to reduce the consequences of mass casualty incidents during the first crucial hours of a response.

Prior to procuring pharmaceuticals, recipients must have in place an inventory management plan to avoid large periodic variations in supplies due to coinciding purchase and expiration dates. Recipients are encouraged to enter into rotational procurement agreements with vendors and distributors. Purchases of pharmaceuticals must include a budget for the disposal of expired drugs within each fiscal year’s POP for HSGP. The cost of disposal cannot be carried over to another FEMA grant or grant period.

EMS electronic patient care data systems should comply with the most current data standard of the National Emergency Medical Services Information System (www.NEMSIS.org).

SHSP and UASI funds can also be used for school hardening measures, including:
• Bullet resistant doors and glass;
• Hinge-locking mechanisms;
• Immediate notification to emergency 911 systems;
• Mechanisms that provide real time actionable intelligence directly to law enforcement and first responders;
• Installation of distraction devices or other countermeasures administered by law enforcement; and • Other measures determined to provide significant improvements to schools’ physical security.

Equipment (OPSG)
OPSG equipment is intended to be incidental to the enhanced border security operations being performed.

The grant is not intended to be used to outfit or supply general equipment to SLTT law enforcement agencies. Equipment must be relatable to and justified by the operational benefit it will provide. Each appropriate OPSG sector coordinator is required to keep an inventory of OPSG purchased equipment that includes at a minimum: 1) grant funding year; 2) purchase amount; 3) purchase date; 4) purchase quantity; 5) equipment ID; 6) source of funding for the property, including the Federal Award Identification Number; 7) who holds title to the property; 8) federal share percent of the property; 9) location of the property; 10) use and condition of the property; 11) disposal date; and 12) brief disposal justification information and sale price if sold. Each Operations Order/FRAGO will require that each friendly force submit the equipment inventory for each Operations Order/FRAGO submission. • Equipment Marking. Because equipment purchased with OPSG funding is intended to be used to support OPSG activities, it may be appropriately marked to ensure its ready identification and primary use for that purpose. When practicable, any equipment purchased with OPSG funding should be prominently marked as follows: "Purchased with DHS funds for Operation Stonegarden Use."
• Fuel Cost and Mileage Reimbursement. There is no cap for reimbursement of fuel or mileage costs in support of operational activities. Subrecipients and friendly forces may not claim reimbursements for both mileage and fuel/maintenance for the same equipment at the same time. • Vehicle and Equipment Acquisition, Including Leasing and Rentals. Allowable purchases City Council 18 – 66 8/16/2022
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under OPSG include patrol vehicles and other mission-specific equipment whose primary purpose is to increase operational capabilities on or near a border nexus in support of approved border security operations. A detailed justification must be submitted to the respective FEMA HQ Preparedness Officer prior to purchase.
• Medical Emergency Countermeasures: Allowable purchases under OPSG include narcotic antagonist pharmaceuticals, detection and identification equipment, safe storage and transportation, personnel protective equipment, and initial equipment training, as reflected in the AEL and explained in IB 438.

Requirements for Small Unmanned Aircraft System (SHSP, UASI, and OPSG) All requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply with IB 426 and IB 438 and also include a description of the policies and procedures in place to safeguard individuals’ privacy, civil rights, and civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment.

Acquisition and Use of Technology to Mitigate UAS (Counter-UAS) In August 2020, FEMA was alerted of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission:
https://www.dhs.gov/publication/interagency-legal-advisory-uas-detection-and-mitigation-technologies.

The purpose of the advisory guidance document is to help non-federal public and private entities better understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate threats posed by UAS operations (i.e., Counter-UAS or C-UAS).

The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do they conduct legal reviews of commercially available product compliance with those laws. The advisory does not address state and local laws nor potential civil liability, which UAS detection and mitigation capabilities may also implicate.

It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws. Entities should conduct their own legal and technical analysis of each UAS detection and/or mitigation system and should not rely solely on vendors’ representations of the systems’ legality or functionality. Please also see the DHS press release on this topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-usetechnology-detect-and-mitigate-unmanned-aircraft.

Training (SHSP and UASI)
Allowable training-related costs under HSGP include the establishment, support, conduct, and attendance of training specifically identified under the SHSP and UASI program and/or in conjunction with emergency preparedness training by other federal agencies (e.g., HHS and Department of Transportation [DOT]).

Training conducted using HSGP funds should address a performance gap identified through an Integrated Preparedness Plan (IPP) or other assessments (e.g., National Emergency Communications Plan [NECP] Goal Assessments) and contribute to building a capability that will be evaluated through a formal exercise.

Any training or training gaps, including training related to under-represented diverse populations that may be more impacted by disasters, including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity and other underserved populations, should be identified in an IPP and addressed in the state or high-risk urban area training cycle. Recipients are encouraged to use existing training rather than developing City Council 18 – 67 8/16/2022
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new courses. When developing new courses, recipients are encouraged to apply the Analyze, Design, Develop, Implement, and Evaluate (ADDIE) model of instructional design.

Recipients are also encouraged to utilize the National Training and Education Division’s National Preparedness Course Catalog. Trainings include programs or courses developed for and delivered by institutions and organizations funded by FEMA. This includes the Center for Domestic Preparedness (CDP), the Emergency Management Institute (EMI), and FEMA’s Training Partner Programs, including the Continuing Training Grants (CTG), the National Domestic Preparedness Consortium (NDPC), the Rural Domestic Preparedness Consortium (RDPC), and other partners.

The catalog features a wide range of course topics in multiple delivery modes to meet FEMA’s mission scope as well as the increasing training needs of federal, state, local, territorial, and tribal audiences. The catalog can be accessed at http://www.firstrespondertraining.gov.

Some training activities require Environmental and Historic Preservation (EHP) Review, including exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities designed to conduct training and exercises.

Additional information on training requirements and EHP review can be found online at:
https://www.fema.gov/media-library/assets/documents/90195.

Exercises (SHSP and UASI)
Exercises conducted with grant funding should be managed and conducted consistent with Homeland Security Exercise and Evaluation Program (HSEEP). HSEEP guidance for exercise design, development, conduct, evaluation, and improvement planning is located at https://www.fema.gov/emergencymanagers/national-preparedness/exercises/hseep.

Some exercise activities require EHP review, including exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities designed to conduct training and exercises. Additional information on training requirements and EHP review can be found online at https://www.fema.gov/media-library/assets/documents/90195.

Maintenance and Sustainment (SHSP, UASI, and OPSG)
Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already-owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty, and it may only cover equipment purchased with HSGP funds or for equipment dedicated for HSGP-related purposes. As with warranties and maintenance agreements, this extends to licenses and user fees as well.

The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Except for maintenance plans or extended warranties purchased incidental to the original purchase of the equipment, the period covered by maintenance or warranty plan must not exceed the POP of the specific grant funds used to purchase the plan or warranty.

Grant funds are intended to support the Goal by funding projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from City Council 18 – 68 8/16/2022
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those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in FEMA’s IB 379, Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding, initially for FY 2007-2011, allows for the expansion of eligible maintenance and sustainment costs which must be in (1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program; (3) be tied to one of the core capabilities in the five mission areas contained within the Goal, and (4) shareable through the EMAC. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars.

Law Enforcement Terrorism Prevention Activities Allowable Costs (SHSP and UASI) Activities eligible for the use of Law Enforcement Terrorism Prevention Activities (LETPA) focused funds include but are not limited to:
• Maturation, enhancement, and sustainment of designated state and major urban area fusion centers, including information sharing and analysis, threat recognition, terrorist interdiction, and training/ hiring of intelligence analysts;
• Coordination between fusion centers and other intelligence, operational, analytic, or investigative efforts including, but not limited to JTTFs, Field Intelligence Groups (FIGs), HighIntensity Drug Trafficking Areas (HIDTA), Regional Information Sharing Systems (RISS) Centers, criminal intelligence units, real-time crime analysis centers and DHS intelligence, operational, analytic, and investigative entities;
• Implementation and maintenance of the nationwide Suspicious Activity Reporting (SAR) Initiative (NSI), including training for front-line personnel on identifying and reporting suspicious activities, tips/leads, and online/social media-based threats, as well as the execution and management of threat assessment programs to identify, evaluate, and analyze indicators and behaviors indicative of terrorism, targeted violence, threats to life, and other criminal activity; • Management and operation of activities that support the execution of the intelligence process and fusion centers, including but not limited to: Fusion Liaison Officer (FLO) programs, security programs to protect the facility, personnel, and information, and the protection of privacy, civil rights, and civil liberties.
• Implementation of the “If You See Something, Say Something®” campaign to raise public awareness of indicators of terrorism and terrorism-related crime and associated efforts to increase the sharing of information with public and private sector partners, including nonprofit organizations. Note: DHS requires that all public and private sector partners wanting to implement and/or expand the DHS “If You See Something, Say Something®” campaign using grant funds work directly with the DHS Office of Partnership and Engagement (OPE) to ensure all public awareness materials (e.g., videos, posters, tri-folds, etc.) are consistent with DHS’s messaging and strategy for the campaign and compliant with the initiative’s trademark, which is licensed to DHS by the New York Metropolitan Transportation Authority. Coordination with OPE, through the Campaign’s Office ([email protected]), must be facilitated by the FEMA HQ Preparedness Officer;
• Increase physical security, through law enforcement personnel and other protective measures, by implementing preventive and protective measures at critical infrastructure sites or at-risk nonprofit organizations;
• Building and sustaining preventive radiological and nuclear detection capabilities, including those developed through the Securing the Cities initiative; and • Integration and interoperability of systems and data, such as computer aided dispatch (CAD) and record management systems (RMS), to facilitate the collection, evaluation, and assessment of suspicious activity reports, tips/leads, and online/social media-based threats.

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Law Enforcement Readiness (SHSP, UASI, and OPSG)
OPSG grant funds may be used to increase operational, material, and technological readiness of SLTT law enforcement agencies. The Delegation of Immigration Authority, Section 287(g) of the Immigration and Nationality Act (INA) program allows a state or local law enforcement entity to enter into a partnership with Immigration and Customs Enforcement (ICE), under a joint Memorandum of Agreement (MOA), to receive delegated authority for immigration enforcement within their jurisdictions.

SHSP, UASI, or OPSG grant funds may be requested and may be approved on a case-by-case basis for immigration enforcement training in support of the border security mission. Requests for training will be evaluated on a case-by-case basis and can only be used for certification in the section 287(g) program provided by DHS/ICE. SHSP, UASI, or OPSG subrecipients with agreements under section 287(g) of the INA (8 U.S.C. § 1357(g)) to receive delegated authority for immigration enforcement within their jurisdictions may also be reimbursed for section 287(g) related operational activities with approval from FEMA on a case-by-case basis. For OPSG, subrecipients must be authorized by USBP Headquarters and Sectors, and operational activities must be coordinated through a USBP Sector.

Regional Border Projects (OPSG)
Recipients are encouraged to prioritize the acquisition and development of regional projects on the borders to maximize interoperability and coordination capabilities among federal agencies and with state, local, and tribal law enforcement partners. Such regional projects include:
• Communications equipment
• Radio systems and repeaters
• Integration with regional intelligence and information sharing effort (i.e., fusion centers) o Intelligence analysts
• Situational Awareness equipment:
o License Plate Reader Networks
o Visual detection and surveillance systems
o Sensor Systems
o Radar Systems (for air and/or marine incursions)
o Aircraft systems (manned or unmanned)
Critical Emergency Supplies (SHSP and UASI)
Critical emergency supplies, such as shelf stable products, water, and medical equipment and supplies are an allowable expense under SHSP and UASI. Prior to the allocation of grant funds for stockpiling purposes, each state must have FEMA’s approval of a five-year viable inventory management plan, which should include a distribution strategy and related sustainment costs if planned grant expenditure is over $100,000.00.

If grant expenditures exceed the minimum threshold, the five-year inventory management plan will be developed by the recipient and monitored by FEMA. FEMA will provide program oversight and technical assistance as it relates to the purchase of critical emergency supplies under UASI. FEMA will establish guidelines and requirements for the purchase of these supplies under UASI and monitor development and status of the state’s inventory management plan.

SAAs (through their Emergency Management Office) are strongly encouraged to consult with their respective FEMA Regional Logistics Chief regarding disaster logistics-related issues. States are further encouraged to share their FEMA approved plan with local jurisdictions and tribes.

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Construction and Renovation (SHSP and UASI)
Project construction using SHSP and UASI funds may not exceed the greater of $1,000,000 or 15% of the grant award. For the purposes of the limitations on funding levels, communications towers are not considered construction. See guidance on communication towers below.

All construction and renovation projects require EHP review. Recipients and subrecipients are encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening Form, can be found online at: https://www.fema.gov/medialibrary/assets/documents/90195. EHP review materials should be sent to [email protected].

Written approval must be provided by FEMA prior to the use of any HSGP funds for construction or renovation. When applying for construction funds, recipients must submit evidence of approved zoning ordinances, architectural plans, and any other locally required planning permits. Additionally, recipients are required to submit a SF-424C form with budget detail citing the project costs, and an SF-424D Form for standard assurances for the construction project.

Recipients using funds for construction projects must comply with the Davis-Bacon Act (codified as amended at 40 U.S.C. §§ 3141 et seq.). See 6 U.S.C. § 609(b)(4)(B) (cross-referencing 42 U.S.C. § 5196(j)(9), which cross-references Davis-Bacon). Recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character like the contract work in the civil subdivision of the state in which the work is to be performed. Additional information regarding compliance with the Davis-Bacon Act, including Department of Labor (DOL) wage determinations, is available online at https://www.dol.gov/whd/govcontracts/dbra.htm.

Construction and Renovation (OPSG)
OPSG funds may not be used for any construction.

Communications Towers
All construction of communication towers requires EHP review. When applying for funds to construct communication towers, recipients and subrecipients must submit evidence that the Federal Communication Commission’s Section 106 of the National Historic Preservation Act, Pub. L. No. 89- 665, as amended, review process has been completed and submit all documentation resulting from that review to FEMA with a GPD EHP Screening Form and supporting materials for EHP review. Recipients and subrecipients are encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an EA may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening City Council 18 – 71 8/16/2022
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Form, can be found online at: https://www.fema.gov/media-library/assets/documents/90195. EHP review materials should be sent to [email protected].

Western Hemispheric Travel Initiative (SHSP)
In addition to the expenditures outlined above, SHSP funds may be used to support the implementation activities associated with the Western Hemisphere Travel Initiative (WHTI), including the issuance of WHTI-compliant tribal identification cards.

Emergency Management Accreditation Program
States can encourage their local jurisdictions to pursue assessment and accreditation under the Emergency Management Accreditation Program (EMAP). EMAP’s assessment and accreditation of emergency management organizations against consensus-based, American National Standards Institute (ANSI)- certified standards allows for standardized benchmarking of critical functions necessary for an emergency management organization to meet the core capabilities identified in the Goal. Additional information on the EMAP Standard is available at http://www.emap.org.
28 C.F.R. Part 23 Guidance
FEMA requires that any information technology system funded or supported by these funds comply with 28 C.F.R. Part 23, Criminal Intelligence Systems Operating Policies if this regulation is determined to be applicable. Additionally, please see 28 C.F.R. Part 23 requirements that pertain to fusion centers at http://www.dhs.gov/homeland-security-grant-programs-hsgp.

Unallowable Costs (OPSG)
OPSG unallowable costs include costs associated with evidence collection, arrest processing, prosecution, and Traffic/DUI checkpoints, such as evidence documentation cameras, fingerprinting supplies, alcohol breathalyzers, portable work lights, traffic barricades, and similar law enforcement expenses. OPSG unallowable costs also include costs associated with staffing and general IT computing equipment and hardware, such as personal computers, faxes, copy machines, modems, etc. OPSG is not intended as a hiring program. Therefore, applying funds toward hiring full-time or permanent sworn public safety officers is unallowable. OPSG funding shall not be used to supplant inherent routine patrols and law enforcement operations or activities not directly related to providing enhanced coordination between local and federal law enforcement agencies. Finally, construction and/or renovation costs are prohibited under OPSG. Applicants should refer to IB 421b, or contact their FEMA HQ Preparedness Officer for guidance and clarification. Due to the nature of OPSG, exercise expenses are not allowable costs under OPSG.

Unallowable Costs (SHSP, UASI, and OPSG)
• Per FEMA policy, the purchase of weapons and weapons accessories, including ammunition, is not allowed with HSGP funds.
• Grant funds may not be used for the purchase of equipment not approved by FEMA. Grant funds must comply with IB 426 and may not be used for the purchase of the following equipment:
firearms; ammunition; grenade launchers; bayonets; or weaponized aircraft, vessels, or vehicles of any kind with weapons installed.
• Unauthorized exercise-related costs include:
o Reimbursement for the maintenance or wear and tear costs of general use vehicles (e.g., construction vehicles), medical supplies, and emergency response apparatus (e.g., fire trucks, ambulances).
o Equipment that is purchased for permanent installation and/or use, beyond the scope of the conclusion of the exercise (e.g., electronic messaging sign).

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Indirect (Facilities and Administrative [F&A]) Costs
Indirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement.

Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the Grants Management Specialist for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon the de minimis rate or cost allocation plan, as applicable.

Resources for Planning, Training, and Exercising (SHSP, UASI, and OPSG) Planning Assistance
FEMA’s National Preparedness Directorate (NPD) offers technical assistance (TA) that is designed to provide recipients and subrecipients with specialized expertise to improve and enhance the continuing development of state and local emergency management across the five mission areas of the Goal and across all core capabilities. TA provides the opportunity to engage emergency managers, emergency planners, and appropriate decision-makers in open discussion of options to improve plans and planning considering their jurisdiction’s needs. Although there is no direct cost to approved jurisdictions for FEMA TA, jurisdictions are expected to invest staff resources and take ownership of the resulting products and tools.

TA deliveries combine current emergency management best practices with practical consideration of emerging trends, through discussion facilitated by FEMA contract specialists and with the support of FEMA Region operational specialists. Additionally, peer-to-peer representation may also be included from other jurisdictions that have recently addressed the same planning issue. The TA request form can be accessed at https://www.fema.gov/emergency-managers/nims/implementation-training.

Training Information
Per IB 432, Review and Approval Requirements for Training Courses Funded Through Preparedness Grants, issued on July 19, 2018, states, territories, tribal entities, and high-risk urban areas are no longer required to request approval from FEMA for personnel to attend non-DHS FEMA training as long as the training is coordinated with and approved by the state, territory, tribal, or high-risk urban area Training Point of Contact (TPOC) and falls within the FEMA mission scope and the jurisdiction’s EOP. For additional information on review and approval requirements for training courses funded with preparedness grants, please refer to the following policy:
http://www.fema.gov/https://www.fema.gov/sites/default/files/2020-09/fema_gpd-review-approvalrequirements-training-policy_09-10-13.pdf.

FEMA will conduct periodic reviews of all state, local, territory, tribal entities, and high-risk urban area training funded by FEMA. These reviews may include requests for all course materials and physical observation of, or participation in, the funded training. If these reviews determine that courses are outside the scope of this guidance, recipients will be asked to repay grant funds expended in support of those efforts. For further information on developing courses using the instructional design methodology and City Council 18 – 73 8/16/2022
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tools that can facilitate the process, SAAs and TPOCs are encouraged to review the NTED Responder Training Development Center (RTDC) website.

Some training and exercise activities require EHP Review, including exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities designed to conduct training and exercises. Additional information on training requirements and EHP review can be found online at https://www.fema.gov/medialibrary/assets/documents/90195.

DHS/FEMA Provided Training and Education
FEMA offers tuition-free training and education programs and courses through several providers including the Center for Domestic Preparedness, the Emergency Management Institute, and the National Training and Education Division’s Training Partners Program (TPP). TPP includes the Center for Homeland Defense and Security, National Domestic Preparedness Consortium, Rural Domestic Preparedness Consortium, and training partners through the Continuing Training Grants program.

FEMA’s National Preparedness Course Catalog
This online searchable catalog features a wide range of course topics in multiple delivery modes to meet FEMA’s mission scope as well as the increasing training needs of federal, state, local, territorial, and tribal audiences. The catalog can be accessed at http://www.firstrespondertraining.gov.

Training Not Provided by DHS/FEMA
These trainings include courses that are either state-sponsored or federal-sponsored (non-DHS/FEMA), coordinated and approved by the SAA or their designated TPOC, and fall within the FEMA mission scope to prepare SLTT personnel to prevent, protect against, mitigate, respond to, and recover from acts of terrorism or catastrophic events.
• State Sponsored Courses. These courses are developed for and/or delivered by institutions or organizations other than federal entities or FEMA and are sponsored by the SAA or their designated TPOC.
• Joint Training and Exercises with the Public and Private Sectors. These courses are sponsored and coordinated by private sector entities to enhance public-private partnerships for training personnel to prevent, protect against, mitigate, respond to, and recover from acts of terrorism or catastrophic events. In addition, states, territories, tribes, and high-risk urban areas are encouraged to incorporate the private sector in government- sponsored training and exercises.

Additional information on both FEMA provided training and other federal and state training can be found at http://www.firstrespondertraining.gov.

Training Information Reporting System (“Web-Forms”)
Web-Forms is an electronic data management system built to assist SAA TPOCs and federal agencies with submitting non-NTED provided training courses for inclusion in the State/Federal-Sponsored Course Catalog through electronic forms. The information collected is used in a two-step review process to ensure the training programs adhere to the intent of the HSGP guidance and the course content is structurally sound and current. As these programs may be delivered nationwide, it is vital to ensure each training program’s viability and relevance to the Homeland Security mission. Reporting training activities through Web-Forms is not required under present funding. However, the system remains available and can be accessed through the FEMA Toolkit to support recipients in their own tracking of training deliveries.

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Exercise Information
Recipients that use HSGP funds to conduct an exercise(s) are encouraged to complete a progressive exercise series. Exercises conducted by states and high-risk urban areas may be used to fulfill similar exercise requirements required by other grant programs. Recipients are encouraged to invite representatives/planners involved with other federally mandated or private exercise activities. States and high-risk urban areas are encouraged to share, at a minimum, the multi- year training and exercise schedule with those departments, agencies, and organizations included in the plan. • Validating Capabilities. Exercises examine and validate capabilities-based planning across the Prevention, Protection, Mitigation, Response, and Recovery mission areas. The extensive engagement of the whole community, including but not limited to examining the needs and requirements for individuals with disabilities, individuals with limited English proficiency, and others with access and functional needs, is essential to the development of an effective and comprehensive exercise program. Exercises are designed to be progressive – increasing in scope and complexity and drawing upon results and outcomes from prior exercises and real-world incidents – to challenge participating communities. Consistent with HSEEP guidance and tools, the National Exercise Program (NEP) serves as the principal exercise mechanism for examining national preparedness and measuring readiness. Exercises should align with priorities and capabilities identified in a multi-year IPP.
• Special Event Planning. If a state or high-risk urban area will be hosting a special event (e.g., Super Bowl, G-8 Summit), the special event planning should be considered as a training or exercise activity for the multi-year IPP. States must include all confirmed or planned special events in the multi-year IPP. The state or high-risk urban area may plan to use SHSP or UASI funding to finance training and exercise activities in preparation for those events. States and high-risk urban areas should also consider exercises at major venues (e.g., arenas, convention centers) that focus on evacuations, communications, and command and control. • Regional Exercises. States should also anticipate participating in at least one regional exercise annually.
• Role of Non-Governmental Entities in Exercises. Non-governmental participation in all levels of exercises is strongly encouraged. Leaders from non-governmental entities should be included in the planning, design, and evaluation of an exercise. SLTT jurisdictions are encouraged to develop exercises that test the integration and use of resources provided by non-governmental entities, defined as the private sector and private non-profit, faith-based, and community organizations. Participation in exercises should be coordinated with local Citizen Corps Whole Community Council(s) or their equivalents and other partner agencies.

Reporting on the Implementation of the National Preparedness System
Identifying and Assessing Risk and Estimating Capability Requirements By December 31, 2021, states, territories, and high-risk urban areas are required to complete a THIRA/SPR that addresses all 32 core capabilities and is compliant with CPG 201, Third Edition.

Specific guidance on the requirements for each core capability will be forthcoming in 2021, as some core capabilities have fewer reporting requirements than others. Beginning in 2020, jurisdictions began the requirement to respond to a series of planning-related questions as part of the THIRA/SPR.

Jurisdictions are required to submit a THIRA every three (3) years to establish a consistent baseline for assessment. While the THIRA will be only required every three years, jurisdictions will continue to be City Council 18 – 75 8/16/2022
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required to submit an SPR annually. For additional guidance on the THIRA/SPR, please refer to Comprehensive Preparedness Guide (CPG) 201, Third Edition.

Reporting
• States and territories will submit their THIRA and SPR through the Unified Reporting Tool (URT) on Prep Toolkit no later than December 31 of the applicable year (every three years for THIRA and each year for SPR).
• High-risk urban areas that receive UASI funding will submit their THIRA/SPR through the URT on Prep Toolkit no later than December 31 for the years during which they have UASI funding. • States, territories and high-risk urban areas should work collaboratively to create the most accurate THIRA and SPR possible. States, territories, and high-risk urban areas may share scenarios, targets, and assessed capabilities when appropriate. • Please contact [email protected] if you have questions.

Building and Sustaining Capabilities
States, territories, and high-risk urban areas must prioritize and align SHSP and UASI grant funding investments in building and sustaining capabilities in areas that align with the national priorities in the annual HSGP NOFO and capability gaps identified in their THIRA and SPR.

Reporting
In each HSGP recipient’s Biannual Strategy and Implementation Report (BSIR), as part of programmatic monitoring, the recipient must describe how expenditures support closing capability gaps or sustaining capabilities identified in the THIRA and SPR. HSGP recipients must, on a project-by-project basis, check one of the following:
• Building a capability with HSGP funding
• Sustaining a capability with HSGP funding
National Incident Management System (NIMS) Implementation Recipients receiving HSGP funding are required to implement NIMS. NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness System. HSGP recipients must use standardized resource management concepts for resource typing, credentialing, and an inventory to facilitate the effective identification, dispatch, deployment, tracking, and recovery of resources.

The NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictions clarify the NIMS implementation requirements in FEMA preparedness grant NOFOs. As recipients and subrecipients of federal preparedness (non-disaster) grant awards, jurisdictions and organizations must achieve, or be actively working to achieve, all of the NIMS Implementation Objectives. The objectives can be found on the NIMS webpage at https://www.fema.gov/emergency-managers/nims/implementationtraining.

Reporting
• Recipients report in the applicable secondary NIMS assessment portion of the URT as part of their THIRA/SPR submission, as outlined in the HSGP NOFO.

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Planning to Deliver Capabilities
Recipients shall develop and maintain, jurisdiction-wide, all threats and hazards Emergency Operations Plans (EOPs) consistent with Comprehensive Preparedness Guide 101, Version 2.0 (CPG 101 v2), Developing and Maintaining Emergency Operations Plans (November 2010). Recipients must update their EOPs at least once every two years.

Reporting
• Recipients report EOP compliance with CPG 101 v2 by completing the secondary CPG-101 assessment in the URT.

Validating Capabilities
All recipients will develop and maintain a progressive exercise program consistent with HSEEP guidance in support of the NEP. The NEP serves as the principal exercise mechanism for examining national preparedness and measuring readiness. The NEP is a two-year cycle of exercises across the nation that validates capabilities in all preparedness mission areas. The two-year NEP cycle is guided by Principals’ Strategic Priorities, established by the National Security Council and informed by preparedness data from jurisdictions across the Nation.

To develop and maintain a progressive exercise program consistent with HSEEP and in support of the NEP, recipients should engage senior leaders and other whole community stakeholders to identify preparedness priorities. These priorities should be informed by various factors, including jurisdictionspecific threats and hazards (i.e., the THIRA); areas for improvement identified by real-world events and exercises; external requirements such as state or national preparedness reports, homeland security policy, and industry reports; and accreditation standards, regulations, or legislative requirements. Recipients should document these priorities and use them to deploy a schedule of preparedness events in a multi-year IPP. Information related to Integrated Preparedness Planning Workshops (IPPWs) can be found on the HSEEP website at https://www.fema.gov/emergency-managers/national-preparedness/exercises/hseep and https://preptoolkit.fema.gov/.

The NEP provides exercise sponsors the opportunity to receive exercise design and delivery assistance, tools and resources, enhanced coordination, and the ability to directly influence and inform policy and preparedness programs. If you have any questions, or would like to request assistance through the NEP, please visit the NEP website at: https://www.fema.gov/national-exercise-program, or reach out to the National Exercise Program directly at [email protected]. • Recipients must have a current multi-year IPP that identifies preparedness priorities and activities. The current multi-year IPP must be submitted to [email protected] before January 31 of each year.
o Recipients are encouraged to enter their exercise information into the Preparedness Toolkit at https://preptoolkit.fema.gov/.
• Recipients must submit After-Action Report (AAR)/Improvement Plans (IPs) to [email protected] and indicate which fiscal year’s funds were used (if applicable). • Submission of AAR/IPs must take place no later than December 31 of each year. For exercises that occur within the final quarter of a calendar year, submission of AAR/IPs must occur within 90 days after completion of the single exercise. Regardless of conduct date, recipients are encouraged to submit AAR/IPs within 90 days after completion of the single exercise or progressive series.
o Recipients are encouraged to submit AAR/IPs reflecting tabletop exercises that validate critical plans or those reflecting large-scale functional or full-scale exercises that took City Council 18 – 77 8/16/2022
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place at the state, territorial, tribal, or UASI level. Recipients are discouraged from submitting AAR/IPs specific to local jurisdictions that reflect drills. o If a recipient endures a significant real-world incident during the calendar year that delays or prevents conduct of a grant-funded exercise, they can submit the AAR from that event in place of the exercise AARs. Jurisdictions submitting real world AARs should include an explanation with the AAR submission to [email protected]. o Recipients can access a sample AAR/IP template at:
https://preptoolkit.fema.gov/web/hseep-resources/improvement-planning.

Fusion Centers
A critical component of the national response to the 9/11 terrorist attacks was the development of a national-level, decentralized, and coordinated terrorism-related information sharing environment (ISE).

State and local governments, supported by federal investments from DHS, the Department of Justice (DOJ), Department of Health and Human Services (HHS), and other federal agencies, established the National Network of Fusion Centers (National Network), which became the backbone of the national ISE.

This National Network, comprised of 80 state and major urban area fusion centers, collaborates and shares information with partners from all levels of government and the private sector, as well as other field-based information sharing partners, including HIDTAs, RISS Centers, JTTFs, major city/county intelligence units, and real-time crime analysis centers, among others.

National Network participation in the Nationwide SAR Initiative (NSI) enables fusion centers to identify, receive and analyze suspicious activity reporting and other tips/leads from frontline public safety personnel, the private sector, and the public, and ensure the sharing of SARs with DHS and the FBI’s JTTFs for further investigation. In addition to those activities identified in the National Prevention Framework, fusion centers are also required to collaborate with those intelligence, operational, analytic, investigative, and information-sharing focused entities to combat a wide array of threats – noted below – in support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism, targeted violence, and other threats. Such entities include, but are not limited to JTTFs, Area Maritime Security Committees, Border Enforcement Security Task Forces, Integrated Border Enforcement Teams, HIDTAs, and RISS Centers as well as other federal intelligence, operational, analytic, and investigative entities. Applicants should describe their collaboration plan and proposed efforts in their required Fusion Center project as part of the Intelligence and Information Sharing National Priority.

Today’s threats—including international and domestic terrorism, drugs, gangs, active shooters, targeted violence, transnational organized crime, and cyber—require federal, state, and local governments to leverage this national capacity to effectively respond to the evolving nature of the various national and homeland security threats confronting our Nation. Ultimately, timely identification and analysis of key indicators from local, state, and federal partners will enable all stakeholders to address emerging threats and develop and implement data-driven strategies to prevent, protect against, mitigate, and respond effectively, while ensuring the protection of privacy, civil rights, and civil liberties.

To underscore the importance of the National Network as a critical component of our Nation’s distributed homeland security and counterterrorism architecture, FEMA preparedness grants will continue to prioritize support for designated fusion centers (http://www.dhs.gov/fusion-center-locations-and-contactinformation) and the maturation of the ISE. Fusion centers must prioritize the following capabilities to further enable and mature this national asset and strengthen the collective capacity to identify, collect, analyze, and share information, and to disseminate actionable and strategic intelligence to key stakeholders:

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• Addressing Emerging Threats: Fusion centers provide a national-level, decentralized, and coordinated ISE across all levels of government and disciplines that can be leveraged and applied to address emerging threats to homeland security, national security, public safety, and/or public health, and especially those threats that may have little or no warning. Fusion centers should leverage and build upon their terrorism-focused analytic and information-sharing capabilities so they can be applied to address threats across the DHS mission space, including threats from both international terrorism and domestic violent extremists, threats to life and targeted violence, transnational organized criminal activity, cyber threats, and natural hazards, among others that require close collaboration with DHS operational, investigative, and analytic entities such as CBP, ICE, United States Secret Service (USSS), Cybersecurity and Infrastructure Security Agency (CISA), the United States Coast Guard (USCG), and FEMA. • Analytic Capability: Fusion centers must maintain strong analytic capabilities at tactical, operational, and strategic levels to address a wide array of threats or hazards that could have implications for homeland security or national security. These capabilities directly support operational, investigative, and information sharing efforts across all levels of government. These capabilities include, but are not limited to:
o Building and sustaining a capable workforce of analysts who have the necessary experience and training; access to open source, unclassified and classified information, products, data, suspicious activity reporting; tips/leads and online/social media-based threats; as well as necessary services and technology to facilitate analytic capabilities and collaboration.
o Assessing, evaluating, and deconflicting acts of targeted violence, threats to life, and other criminal or suspicious activity, to include potential indicators and behaviors, for potential connection to or implications for international or domestic terrorism, or other threats within the DHS mission space.
o Providing analytic support and responses to requests for information from federal, state, and local partners during no notice emerging threats, attacks, or incidents, as well as other planned events such as NSSEs.
o Conducting threat assessments within their respective jurisdictions, including the identification of threats, intelligence gaps, and mitigation efforts. o Establishing, formalizing, and maintaining bi-directional information sharing with federal and other state agencies in accordance with jurisdictional authorities. o Leveraging available resources and capabilities to conduct target and event deconfliction in support of threat identification, officer safety, and information sharing. o Maintaining an ability to routinely support federal government efforts to watchlist terrorists and transnational organized crime actors.
o Appropriately planning for, and assessing/forecasting, prioritizing, and executing against both known and emerging threat vectors, and ensuring the safety and security of all operations, while protecting privacy, civil rights, and civil liberties.

Fusion centers should also consider their operational capacity when aligning manpower and resources in support of this capability (e.g., the ability to maintain watch and analytic support functions over a 24/7 operational tempo).
• Technological Integration: Access to data, information, and products is essential for fusion centers and the federal government to effectively identify, collect, analyze, and share information.

Just as threats do not stop at jurisdictional borders, fusion centers must be able to effectively access and share appropriate information and data across jurisdictions, agencies, and disciplines.

Fusion centers must ensure and certify via the Fusion Center Assessment they have the necessary technological capacity to access, analyze, and share information, including criminal intelligence and online/social media threat information, both within their jurisdictions, as well as City Council 18 – 79 8/16/2022
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with other fusion centers across the country and with the Federal Government through a variety of systems, databases, tools, and technologies that allow for federated searching and data/information analysis that protects Personally Identifiable Information and includes appropriate security, privacy, civil rights, and civil liberties protections. This includes maintenance of the ability to collect, integrate, evaluate, and assess SAR, tips/leads, data resident in CAD and RMS, and online/social media-based threats from agencies across the jurisdiction.

Such approaches should also address the evaluation and use of emerging capabilities, including social network analysis, federated search technology across CAD, RMS, and other data systems, complex data indexing, social media, open source, facial recognition, unmanned aircraft systems, geographic information systems (GIS), license plate reader technologies, and other artificial intelligence technologies.
• Interagency Collaboration: Fusion centers must maintain strong partnerships to enable intelligence, operational, investigative, and analytic collaboration and deconfliction of threat information with other partners located within their jurisdiction and across their region, including HIDTAs, RISS Centers, DHS intelligence, operational, investigative, and analytic entities, FBI Field Offices, JTTFs, and major city/county intelligence units.

State and urban area fusion centers receiving SHSP or UASI grant funds will be evaluated based on compliance with the guidance and requirements for the National Network as set forth by DHS Intelligence and Analysis (I&A) through the annual Fusion Center Assessment. • Additional fusion center grant requirements are listed at http://www.dhs.gov/homeland-securitygrant-program-hsgp. • FEMA approved analyst courses that meet the grant requirement are listed at http://www.dhs.gov/fema-approved-intelligence-analyst-training-courses.

Through the Program Performance Report (PPR), fusion centers will report on the compliance with measurement requirements within the fusion centers through the annual Fusion Center Assessment managed by DHS I&A and reported to FEMA. In addition to the activities identified in the National Prevention Framework, fusion centers are also required to collaborate with those analytic, investigative, and information-sharing entities focused on preventing, detecting, deterring, and disrupting acts of terrorism and combating transnational criminal organizations. Such entities include, but are not limited to JTTFs, Area Maritime Security Committees, Border Enforcement Security Task Forces, Integrated Border Enforcement Teams, HIDTAs, and RISS Centers, as well as other federal intelligence, operational, analytic, and investigative entities. Applicants will be required to provide information regarding their information sharing partnerships, including how they will identify, address, and overcome any existing laws, policies, and practices that prevent information sharing, via the Information and Intelligence National Priority Investment and supporting data via the annual Fusion Center Assessment.

Fusion Center Performance Measures
Reference
Number Performance Measures
2021.1 Percentage of federal Information Intelligence Reports (IIRs) originating from fusion center information that address a specific Intelligence Community need 2021.2 Percentage of federal IIRs originating from fusion center information that the Intelligence Community otherwise used in performing its mission (e.g., contained first-time reporting; City Council 18 – 80 8/16/2022
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Reference
Number Performance Measures
corroborated existing information; addressed a critical intelligence gaps; or helped to define an issue or target).
2021.3 Number of SARs vetted and submitted by fusion centers that result in the initiation or enhancement of an investigation by the FBI
2021.4 Number of SAR vetted and submitted by fusion centers that involve an individual on the Watchlist 2021.5 Percentage of Requests for Information (RFIs) from the Terrorist Screening Center (TSC) for which fusion centers provided information for a TSC case file 2021.6 Percentage of I&A Watchlist nominations that were initiated or updated existing case files based on information provided by fusion centers
2021.7 Number of distributable analytic products co-authored by one or more fusion centers and/or federal agencies
2021.8 Percentage of fusion center distributable analytic products that address Homeland Security topics 2021.9 Percentage of fusion center distributable analytic products that address state/local customer information needs
2021.10 Percentage of key customers reporting that fusion center products are relevant 2021.11 Percentage of key customers reporting that fusion center services are relevant 2021.12 Percentage of key customers reporting that fusion center products are timely for mission needs 2021.13 Percentage of key customers reporting that fusion center services are timely for mission needs 2021.14 Percentage of key customers reporting that fusion center products influenced their decision making related to threat response activities within their AOR
2021.15 Percentage of key customers reporting that fusion center services influenced their decision making related to threat response activities within their AOR
2021.16 Percentage of key customers reporting that fusion center products resulted in increased situational awareness of threats within their AOR
2021.17 Percentage of key customers reporting that fusion center services resulted in increased situational awareness of threats within their AOR
2021.18 Number of tips and leads vetted by the fusion center 2021.19 Number of tips and leads vetted by the fusion center that were provided to other F/SLTT agencies for follow up action
2021.20 Number of responses to RFIs from all sources
2021.21 Number of situational awareness products developed and disseminated by fusion centers 2021.22 Number of case support and/or tactical products developed and disseminated by fusion centers 2021.23 Percentage of federally designated special events in which fusion centers played a direct role 2021.24 Percentage of federally declared disasters in which fusion centers played a direct role 2021.25 Number of public safety incidents in which fusion centers played a direct role Continuity of Operations
Continuity planning and operations are an inherent element of each core capability and the coordinating structures that provide them. Continuity operations increase resilience and the probability that organizations can perform essential functions in the delivery of core capabilities that support the mission areas. FEMA is responsible for coordinating the implementation and development, execution, and City Council 18 – 81 8/16/2022
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assessment of continuity capabilities among executive departments and agencies. To support this role, FEMA develops and promulgates the Continuity Guidance Circular (CGC) for federal and SLTT governments, non-governmental organizations, and private sector critical infrastructure owners and operators. Federal Continuity Directives (FCDs) establish continuity program and planning requirements for executive departments and agencies. This direction and guidance assist in developing capabilities for continuing the essential functions of federal and SLTT governmental entities, as well as public/private critical infrastructure owners, operators, and regulators enabling them.

Presidential Policy Directive 40, FCD 1, FCD 2, and CGC outline the overarching continuity requirements and guidance for organizations and provides methodology and checklists. For additional information on continuity programs, guidance, and directives, visit https://www.fema.gov/continuityguidance-circular-cgc and https://www.fema.gov/about/offices/continuity.

Governance
In keeping with the guiding principles of governance for all FEMA preparedness programs, recipients must coordinate activities across preparedness disciplines and levels of government, including state, territorial, local, and tribal governments. A cohesive planning framework should incorporate FEMA resources as well as those from other federal and SLTT entities, the private sector, and faith-based community organizations. Specific attention should be paid to how available preparedness funding sources can effectively support a whole community approach to emergency preparedness and management and the enhancement of core capabilities. To ensure this, the SAA must establish or reestablish a unified Senior Advisory Committee. Additionally, urban areas are required to establish UAWGs representative of the counties, cities, towns, and tribes within the high-risk urban area, including, as appropriate, representatives of rural jurisdictions, high-population jurisdictions, and high-threat jurisdictions.

Senior Advisory Committee (SAC)
The SAC builds upon previously established advisory bodies under the SHSP, UASI program, Nonprofit Security Grant Program (NSGP), Transit Security Grant Program (TSGP), and Port Security Grant Program (PSGP). Examples of advisory bodies that should be included on a SAC include UAWGs, SIGB, Area Maritime Security Committees (AMSCs), Regional Transportation Security Working Groups (RTSWGs), Citizen Corps Whole Community Councils, Disability Inclusion Working Groups, and Children’s Working Groups. The membership of the SAC must reflect a state’s unique risk profile and the interests of the five mission areas as outlined in the Goal. Further, the SAC must include representatives that were involved in the production of the state’s THIRA and SPR.

SAC Composition and Scope
SAC membership shall include at least one representative from relevant stakeholders including:
• Individuals from the counties, cities, towns, and Indian tribes within the state or high-risk urban area, including, as appropriate, representatives of rural, high-population, and high-threat jurisdictions of UASI-funded urban areas
• Representatives that were involved in the production of the state’s THIRA and SPR • State and urban area Chief Information Officers (CIOs) and Chief Information Security Officers (CISOs)
• SWIC and SIGB members
• Citizen Corps Whole Community Councils
• Local or tribal government officials
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• Tribal organizations
• Emergency response providers, including representatives of the fire service, law enforcement, emergency medical services, and emergency managers
• Public health officials and other appropriate medical practitioners • Hospitals
• Individuals representing educational institutions, including elementary schools, middle schools, junior high schools, high schools, community colleges, and other institutions of higher education • State and regional interoperable communications coordinators, as appropriate • State and major urban area fusion centers, as appropriate • Nonprofit, faith-based, and other voluntary organizations, such as the American Red Cross Additionally, program representatives from the following entities should be members of the SAC (as applicable): State Primary Care Association, State Homeland Security Advisor (HSA) (if this role is not also the SAA), State Emergency Management Agency (EMA) Director, State Public Health Officer, State Awardee for HHS’ Hospital Preparedness Program, State Public Safety Officer (and SAA for Justice Assistance Grants, if different), State Coordinator for the DoD 1033 Program (also known as the Law Enforcement Support Office [LESO] Program), State Court Official, State Emergency Medical Services (EMS) Director, State Trauma System Manager, Statewide Interoperability Coordinator, State Citizen Corps Whole Community Council, the State Emergency Medical Services for Children (EMSC) Coordinator, State Education Department, State Human Services Department, State Child Welfare Services, State Juvenile Justice Services, Urban Area POC, Senior Members of AMSCs, Senior Members of the RTSWG, Senior Security Officials from Major Transportation Systems, and the Adjutant General.

SACs are encouraged to develop subcommittee structures, as necessary, to address the issue or regionspecific considerations. The SAC must include whole community intrastate and interstate partners as applicable and have balanced representation among entities with operational responsibilities for terrorism/disaster prevention, protection, mitigation, response, and recovery activities within the state, and include representation from the stakeholder groups and disciplines identified above.

The above membership requirement does not prohibit states, urban areas, regional transit and port entities, or other recipients of FEMA preparedness funding from retaining their existing structure under separate programs; however, at a minimum, those bodies must support and feed into the larger SAC. The composition, structure, and charter of the SAC should reflect this focus on building core capabilities, instead of simply joining previously existing advisory bodies under other grant programs. For designated high-risk urban areas, the SAA Point of Contacts (POCs) are responsible for identifying and coordinating with the POC for the UAWG, which should be a member of the SAC. The POC’s contact information must be provided to FEMA with the grant application. SAAs must work with existing urban areas to ensure that information for current POCs is on file with FEMA.

Finally, FEMA recommends that organizations advocating on behalf of youth, older adults, individuals with disabilities, individuals with limited English proficiency and others with access and functional needs, socio-economic factors and cultural diversity be invited to participate in the SAC. Applicants must submit the list of SAC members and the SAC charter at the time of application as an attachment in ND Grants.

SAAs will use the URT to verify compliance with SAC charter requirements.

SAC Responsibilities
The responsibilities of a SAC include:

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• Integrating preparedness activities across disciplines, the private sector, nonprofit, faith-based, and community organizations, and SLTT governments, with the goal of maximizing coordination and reducing duplication of effort;
• Creating a cohesive planning network that builds and implements preparedness initiatives using FEMA resources, as well as other federal, SLTT, private sector, and faith-based community resources;
• Management of all available preparedness funding sources to ensure their effective use and to minimize duplication of effort;
• Ensuring investments support closing capability gaps or sustaining capabilities identified in the THIRA/SPR;
• Assist in preparation and revision of the state, regional, or local homeland security plan or the threat and hazard identification and risk assessment, as the case may be; and • Assist in determining effective funding priorities for SHSP grants.

SAC Charter
The governance of the SHSP and UASI programs through the SAC should be directed by a charter. All members of the SAC should sign and date the charter showing their agreement with its content and their representation on the Committee. Revisions to the governing charter must be sent to the recipient’s assigned FEMA HQ Preparedness Officer. The SAC charter must at a minimum address the following:
• A detailed description of the SAC’s composition and an explanation of key governance processes, including how the SAC is informed by the state’s and urban area’s THIRA/SPR; • A description of the frequency at which the SAC will meet; • How the committee will leverage existing governance bodies; • A detailed description of how decisions on programmatic priorities funded by SHSP and UASI are made and how those decisions will be documented and shared with its members and other stakeholders, as appropriate; and
• A description of defined roles and responsibilities for financial decision making and meeting administrative requirements.

To ensure ongoing coordination efforts, SAAs are encouraged to share community preparedness information submitted in a state’s BSIR with members of the SAC. SAAs are also encouraged to share their THIRA/SPR data with members of the SAC who are applying for other FEMA preparedness grants to enhance their understanding of statewide capability gaps. The charter should be made available upon request to promote transparency in decision-making related to SHSP and UASI activities.

To manage this effort and to further reinforce collaboration and coordination across the stakeholder community, a portion of the 20% holdback of a state or territory award may be utilized by the SAA to support the SAC and to ensure representation and active participation of SAC members. Funding may be used for hiring and training planners, establishing and maintaining a program management structure, identifying and managing projects, conducting research necessary to inform the planning process, and developing plans that bridge mechanisms, documents, protocols, and procedures.

Urban Area Working Group (UAWG)
UASI program implementation and governance must include regional partners and should have balanced representation among entities with operational responsibilities for prevention, protection, mitigation, response, and recovery activities within the region. In some instances, high-risk urban area boundaries cross state borders. States must ensure that the identified urban areas take an inclusive regional approach City Council 18 – 84 8/16/2022
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to the development and implementation of the UASI program and involve the contiguous jurisdictions, mutual aid partners, port authorities, rail and transit authorities, state agencies, Statewide Interoperability Coordinators, Citizen Corps Whole Community Council(s), and campus law enforcement in their program activities.

UAWG Composition and Scope
Pursuant to section 2003(b) of the Homeland Security Act of 2002 (codified as amended at 6 U.S.C. § 604(b)), eligible high-risk urban areas were determined based on an analysis of relative risk of the 100 most populous Metropolitan Statistical Areas (MSAs), as defined by the Office of Management and Budget (OMB). MSAs are used by FEMA to determine eligibility for participation in the program.

Geographical areas queried do not equate to minimum mandated membership representation of an urban area, nor does this guarantee funding for geographical areas queried. UAWGs are not required to expand or contract existing urban area participation to conform to MSA composition. Detailed information on MSAs is publicly available from the United States Census Bureau at https://www.census.gov/programssurveys/metro-micro.html.

An SAA must confirm a specific POC with the designated high-risk urban area. The SAA POC is responsible for identifying and coordinating with the POC for the UAWG. This information must be provided to FEMA with the grant application. SAAs must work with existing high-risk urban areas to ensure that information for current POCs is on file with FEMA.

Membership in the UAWG must provide either direct or indirect representation for all relevant jurisdictions and response disciplines (including law enforcement, fire service, EMS, hospitals, public health, and emergency management) that comprise the defined high-risk urban area. It must also be inclusive of local Whole Community Citizen Corps Council and tribal representatives. The UAWG should also include at least one representative from each of the following significant stakeholders:
• Local or tribal government officials
• CIO and CISO
• Emergency response providers, which shall include representatives of the fire service, law enforcement, emergency medical services, and emergency managers • Public health officials and other appropriate medical practitioners, including Health Care Coalitions (HCCs)
• Individuals representing educational institutions, including elementary schools, middle schools, junior high schools, high schools, community colleges, and other institutions of higher education • State and regional interoperable communications coordinators, as appropriate state and major urban area fusion centers, as appropriate
In addition to representatives from the local jurisdictions and tribes within the state or high-risk urban area, the UAWG should include officials responsible for the administration of Centers for Disease Control and Prevention’s (CDC) and the HHS Assistant Secretary for Preparedness and Response’s (ASPR) cooperative agreements. Finally, it must be inclusive of members advocating on behalf of youth, older adults, individuals with disabilities, individuals with limited English proficiency and others with access and functional needs, socio-economic factors, and cultural diversity.

High-risk urban areas will use the URT to verify UAWG structure and membership. The list of UAWG members must also be submitted at the time of application as an attachment in ND Grants. High-risk urban areas must notify the SAA and the FEMA Headquarters Preparedness Officer of any updates to the UAWG structure or membership after the application is submitted.

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UAWG Responsibilities
UAWGs must ensure that applications for funding under the UASI program support closing capability gaps or sustaining capabilities identified in the high-risk urban area’s THIRA/SPR. The UAWG should support state efforts to develop the SPR, particularly as it relates to UASI-funded activities. The UAWG, in coordination with the SAA POC, must develop a methodology for allocating funding available through the UASI program. The UAWG must reach consensus on all UASI funding allocations. If consensus cannot be reached within the 45-day period allotted for the state to obligate funds to subrecipients, the SAA must make the allocation determination. The SAA must provide written documentation verifying the consensus of the UAWG or the failure to achieve otherwise on the allocation of funds and submit it to FEMA immediately after the 45-day period allotted for the state to obligate funds to subrecipients. Any UASI funds retained by the state must be used in direct support of the high-risk urban area. States must provide documentation to the UAWG, and FEMA upon request, demonstrating how any UASI funds retained by a state are directly supporting the high-risk urban area.

UAWG Charter
In keeping with sound project management practices, the UAWG must ensure that its approach to critical issues such as membership, governance structure, voting rights, grant management and administration responsibilities, and funding allocation methodologies are formalized in a working group charter or another form of standard operating procedure related to the UASI program governance. The charter must also outline how decisions made in UAWG meetings will be documented and shared with UAWG members. The UAWG charter must be submitted at the time of application as an attachment in ND Grants and must be on file with FEMA prior to drawing down UASI funding. It also must be available to all UAWG members to promote transparency in decision making related to the UASI program.

Supplemental SHSP and UASI Guidance
Collaboration
Collaboration with Other Federal Preparedness Programs
FEMA strongly encourages states, high-risk urban areas, tribes, and territories to understand other federal preparedness programs in their jurisdictions and to work with them in a collaborative manner to leverage all available resources and avoid duplicative activities. For example, HHS has two robust preparedness programs—CDC’s Public Health Emergency Preparedness (PHEP) cooperative agreement and ASPR’s Hospital Preparedness Program (HPP) cooperative agreement—that focus on preparedness capabilities.

CDC’s 15 public health preparedness capabilities and ASPR’s 4 healthcare preparedness capabilities serve as operational components for many of the core capabilities, and collaboration with the PHEP directors and HPP coordinators can build capacity around shared interests and investments that fall in the scope of these HHS cooperative agreements and the HSGP.

States and urban areas should coordinate among the entire scope of federal partners, national initiatives, and grant programs to identify opportunities to leverage resources when implementing their preparedness programs. These may include but are not limited to: Medical Reserve Corps; Emergency Medical Services for Children grants; ASPR HPP; CDC PHEP; CDC Cities Readiness Initiative; Strategic National Stockpile Programs; EMS; DOJ grants; the Department of Defense 1033 Program (also known as the LESO Program); and the Resilience Directorate/Office of Infrastructure Protection’s (OIP) Regional Resilience Assessment Program (RRAP). However, coordination is not limited to grant funding.

It also includes leveraging assessments such a Transportation Security Agency’s (TSA) Baseline Assessment for Security Enhancement (BASE), reporting from the Intelligence Community, risk City Council 18 – 86 8/16/2022
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information such as USCG’s Maritime Security Risk Analysis Model (MSRAM), and USBP Sector Analysis.

Each SHSP- and UASI-funded investment that addresses biological risk, patient care, or health systems preparedness should be implemented in a coordinated manner with other federal programs that support biological and public health incident preparedness such as those administered by HHS ASPR, CDC, and DOT’s National Highway Traffic Safety Administration (NHTSA).

Collaboration with Health Care Coalitions (HCCs)
HCCs are regional entities comprised of health care, public health, emergency management, and emergency medical services organizations that plan and respond together, leverage resources, and address challenges in health care delivery brought on by public health and medical incidents. Given that many of the risks being mitigated include the potential for a range of mass casualties, including those across the chemical, biological, radiological, nuclear, explosive (CBRNE) spectrum, planning efforts should include the participation of HCCs and should take into account the elements and capabilities articulated in the 2017-2022 Health Care Preparedness and Response Capabilities (https://www.phe.gov/Preparedness/planning/hpp/reports/Documents/2017-2022-healthcare-prcapablities.pdf ).

Collaboration with Nonprofit Organizations
SHSP and UASI recipients are encouraged to work with the nonprofit community to address terrorism and all-hazards prevention concerns, seek input on the needs of the nonprofit sector, and support the goals of their investments.

Collaboration with Tribes
FEMA strongly encourages states, high-risk urban areas, and territories to work with tribal nations in overall initiatives such as whole community preparedness and emergency management planning.

Whole Community Preparedness
SHSP and UASI recipients should engage with the whole community to advance community and individual preparedness and to work as a nation to build and sustain resilience. Recipients should consider the three goals of the 2018-2022 FEMA Strategic Plan in their program design and delivery, specifically Strategic Goal 1: Build a Culture of Preparedness, and Strategic Goal 2: Ready the Nation for Catastrophic Disasters. Recipients should integrate program design and delivery practices that ensure representation and services for under-represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved populations. Individual preparedness must be coordinated by an integrated body of government and nongovernmental representatives as well, including but not limited to, elected officials, the private sector (especially privately owned critical infrastructure), private nonprofits, nongovernmental organizations (including faith-based, community-based, and voluntary organizations), advocacy groups for under-represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved populations.

In addition to Community Emergency Response Team (CERT) programs, the following preparedness programs are allowable expenses:

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• Financial Preparedness Activities that encourage and assist Americans in preparing for the true cost of disasters. Allowable activities include encouraging emergency savings, promoting home and renter’s insurance, and promoting flood insurance for individuals and families. Partnerships with local financial wellness organizations such as credit unions, financial counselors, community banks, and others that reach a variety of audiences are encouraged. • Preparedness of Community-Based Organizations that serve as a critical safety net for Americans disproportionately impacted by disasters. Examples of community-based organizations include but are not limited to food banks, food pantries, homeless shelters, school readiness and after school centers, adult day care centers, job training centers, legal assistance centers, and cultural centers. Allowable activities include Whole Community exercises, trainings, and activities focused on staff preparedness, information sharing with clients and government, and continuity of essential functions in the event of an emergency. • Youth Preparedness Resources are available on www.ready.gov/kids. Bolstering youth preparedness across the nation is a priority for FEMA as the Agency works with state, local, tribal, and territorial partners to create a culture of preparedness in the United States. Information on youth-centric educational curricula, games, planning materials, and other relevant resources can be found at www.ready.gov/kids. Furthermore, FEMA’s Individual and Community Preparedness Division (ICPD) and regional-based Community Preparedness Officers (CPOs) are available to provide grant recipients with guidance and assistance. Please email FEMA[email protected] to contact one of the Agency’s subject matter experts.

The following are examples of youth preparedness activities that grantees are encouraged to undertake as allowable costs:
o Reach out to a local school board or elementary school to encourage the adoption of the Student Tools for Emergency Planning (STEP) curriculum. STEP is a classroom-based emergency preparedness curriculum for 4th- and 5th-graders in an easy, ready-to-teach format. Students will learn about disasters, emergencies, and hazards, and how to create a disaster supply kit and family emergency communication plan. An overview of the STEP program along with the instructor guide and student activity book is available at https://www.ready.gov/student-tools-emergency-planning-step. o Sponsor the creation of a Teen Community Emergency Response Team (CERT) in your jurisdiction. The CERT Program is a national program of volunteers trained in disaster preparedness and emergency response. Volunteers come from all ages and all walks of life, including teenagers. Additional information, including a step-by-step guide on how to start a Teen CERT, is available at https://www.ready.gov/teen-cert.

The following tools are available to order from FEMA’s warehouse free of charge:
o “Prepare with Pedro” is a joint product of FEMA and the American Red Cross. The “Prepare with Pedro: Disaster Preparedness Activity Book” is designed to teach young children and their families about how to stay safe during disasters and emergencies. The book follows Pedro around the United States and offers safety advice through crosswords, coloring pages, matching games, and more. Additional information, including an ordering form, is available at https://www.ready.gov/prepare-pedro. o The Ready 2 Help card game is a fun way for kids to learn how to respond to emergencies by working with friends and using skills that will help in a real emergency.

Ready 2 Help teaches five simple steps to stay safe and make a difference until help arrives:
• Stay Safe
• Stay Calm
• Get Help
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• Give Info
• Give Care
Ready 2 Help is designed for children ages 8 and up. Additional information, including an ordering form, is available at https://www.ready.gov/ready-2-help.

Supplemental OPSG Program Guidance
OPSG supports enhanced cooperation and coordination among CBP, USBP, and federal and SLTT law enforcement agencies to improve overall border security. OPSG provides funding to support joint efforts to secure the United States’ borders along routes of ingress/egress to and from international borders to include travel corridors in states bordering Mexico and Canada, as well as states and territories with international water borders. OPSG also further enhances the sharing of threat information and intelligence between federal, state, local, tribal, and territorial law enforcement agencies through the development and sustainment of a capable workforce of analysts that have the necessary experience and training, access to open source, unclassified and classified information, products, data, suspicious activity reporting, tips/leads, and online/social media-based threats, as well as necessary services and technology to facilitate analytic capabilities and collaboration.

SLTT law enforcement agencies will utilize their own law enforcement authorities to support the CBP and USBP border security mission and will not receive any additional authority as a result of participation in the grant. An OPSG award does not provide any additional authority to SLTT law enforcement agencies. More specifically, SLTT law enforcement agencies are not empowered through OPSG to enforce immigration authorities under Title 8 of the U.S. Code (i.e., the Immigration and Nationality Act).

SLTT law enforcement agencies are expected utilize their own jurisdictional authority in support of enhanced border security unless some other agreement applies. SLTT law enforcement agencies are further expected to operate within the bounds of all applicable laws, to include federal laws, state statutes, and local laws, policies, and procedures.

OPSG is intended to support border states and territories of the United States in accomplishing the following objectives:
• Increase intelligence and operational capabilities to prevent, protect against, and respond to border security issues
• Increase coordination and collaboration among federal and SLTT law enforcement agencies • Continue the distinct capability enhancements required for border security and border protection • Provide intelligence-based operations through USBP Sector Level experts to ensure safety and operational oversight of federal and SLTT law enforcement agencies participating in OPSG operational activities
• Support a request to any Governor to activate, deploy, or redeploy specialized National Guard Units/Packages and/or elements of state law enforcement to increase or augment specialized/technical law enforcement elements operational activities • Continue to increase operational, material, and technological readiness of SLTT law enforcement agencies
• Enhance the sharing of threat information and intelligence between federal and SLTT law enforcement agencies
• Develop and sustain a capable workforce of analysts that have the necessary experience and training, as well as access to open source, unclassified, and/or classified information, products, City Council 18 – 89 8/16/2022
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data, suspicious activity reporting, tips/leads, and online/social media-based threats, and the necessary services and technology to facilitate these analytic activities OPSG funds must be used to provide an enhanced law enforcement presence and to increase operational and intelligence capabilities of federal and SLTT law enforcement, promoting a layered, coordinated approach to law enforcement within border states and territories of the United States. • Federal and SLTT OPSG Integrated Planning Team (IPT). Federal and SLTT partners must establish and maintain a formalized OPSG IPT with representation from all participating law enforcement agencies, co-chaired by representatives from USBP, the SAA, and participating law enforcement agencies’ OPSG program representatives.
• No fewer than two IPT meetings must take place during every funding year:
o Prior to submitting the Concept of Operations (application) o Prior to submitting the Campaign Plan
• OPSG funds may be used for travel and per diem in support of the IPTs and OPSG strategic planning events as long as the costs are otherwise compliant with other program and regulatory requirements.

Coordination Requirements
All operational plans should be crafted in cooperation and coordination among federal and SLTT partners. Consideration will be given to applications that are coordinated across multiple jurisdictions. All applicants must coordinate with the USBP Sector Headquarters with geographic responsibility for the applicant’s location in developing and submitting an Operations Order with an embedded budget to the SAA. OPSG funds must be used to provide increased operational capabilities to SLTT partners in support of enhanced border security through:
• Enhanced Law Enforcement Presence
• Enhanced Situational Awareness
• Enhanced Intelligence Collection and Distribution
After awards are announced, prospective recipients will re-scope the draft Operations Order and resubmit it as a final Operations Order with an embedded budget based on actual dollar amounts awarded. The appropriate Sector Headquarters will approve final Operations Orders and forward those orders to Headquarters, Office of Border Patrol, Washington, DC, before funding is released. Recipients may not begin operations, obligate, or expend any funds until FEMA and USBP Headquarters have approved the final Operations Order and the embedded budget and removed any existing special conditions and/or restrictions.

Transportation Costs and Costs Related to the Provision of Acute Medical Care Please see IB 438 for information on transportation costs and costs related to the provision of acute medical care under an OPSG award.

OPSG Operations Order Template and Instructions
Operations Order Template Instructions
To access the OPSG Operations Order Template:
• Find the Homeland Security Grant Program posting via the search function on Grants.gov City Council 18 – 90 8/16/2022
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• Select the Related Documents tab on the posting
• Click on the OPSG Operations Order Template and fill out all sections of the template Executive Summary Overview
Operations Order Executive Summary
Operations Order Executive Summary must:
• Identify the organization name, point of contact, committees, and other structures accountable for implementing OPSG in the jurisdiction (typically this will be a program lead or manager overseeing operations and individuals assigned to that agency). • Describe how federal and SLTT law enforcement agencies will work together to establish and enhance coordination and collaboration on border security issues.

Budget Requirements Overview
Operations Order Detailed Annual Budget must:
• Explain how costs and expenses were estimated.
• Provide a narrative justification for costs and expenses. Supporting tables describing cost and expense elements (e.g., equipment, fuel, vehicle maintenance costs) may be included.

Submission Requirements
Operations Orders must meet the following submission requirements:
• Must be submitted as an Adobe PDF document.
• All documents submitted must use the unique identifier created by the OPSG data management system from the original associated operation order.
• Applicable OPSG sector representatives must coordinate with the SAA and OPSG participants to submit an accurate inventory of all specified OPSG purchased property with each Operations Order/FRAGO.

Due to the competitive nature of this program, separate attachments will neither be accepted nor reviewed.

OPSG Operational Guidance
This section provides operational guidance to OPSG applicants on the development of a concept of operations and campaign planning, the tactical operation period, and reporting procedures. This guidance also delineates specific roles and responsibilities, expectations for operations, and performance measures.

Successful execution of these objectives will promote situational awareness among participating agencies and ensure a rapid, fluid response to emerging border-security conditions.

OPSG uses an integrated approach to address transnational criminal activity. Federal and SLTT partners are required to establish and maintain an OPSG IPT with representation from all participating law enforcement agencies, co-chaired by representatives from USBP, the SAA, and participating local law enforcement agencies’ OPSG program representatives. Each operational order will address specific threats, gaps, and vulnerabilities identified by the USBP. All requests in the operational plan will be reviewed and approved by the corresponding sector's Chief Patrol Agent or his/her designee for border security value. USBP will provide routine monitoring and technical expertise to each participating City Council 18 – 91 8/16/2022
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agency. The content of each operational plan, to include the requested items will be reviewed for bordersecurity value and approved by the corresponding sector’s Chief Patrol Agent or his/her designee.

All operational plans should be crafted in cooperation and coordination with federal and SLTT partners to meet the needs of the USBP Sector. Consideration will be given to applications that are coordinated across multiple jurisdictions. All applicants must coordinate with the CBP/USBP Sector Headquarters with geographic responsibility for the applicant’s location in developing and submitting an Operations Order with an embedded budget to the SAA. Operations are to be crafted so that resources are allocated to one or more of the supportable categories:
1) Law Enforcement Presence
2) Situational Awareness
3) Intelligence Collection, Analysis, and Distribution
Law Enforcement Presence includes activities and costs associated to having an SLTT partner provide a law enforcement patrol presence in an area designated by the USBP Sector in support of border security efforts. Situational Awareness includes technology to provide current and immediately relevant information about currently active border security threats. Intelligence Collection and Distribution includes both technology and manpower related to the gathering and analysis of intelligence with a nexus to border security.

The terms of an OPSG award do not extend to an SLTT partner any authority to enforce additional laws, statues, or regulations beyond their own authorities; SLTT partners are not empowered through OPSG to enforce immigration authorities under Title 8 of the U.S. Code (i.e., the INA). Participation in the grant does not grant participants the power to operate outside of their own jurisdictional boundaries.

Concept of Operations and Campaign Planning
Post-Allocation Announcement/Pre-Award
The overarching operational cycle involves three stages: 1) application; and 2) concept of operations to formulate a Campaign Plan, which are all developed by the IPT. All Operations Orders: Concept of Operations (CONOPS), Operation Orders (OO) or Campaign Plans and FRAGOs shall be submitted through the CBP Stonegarden Data Management System. All OPSG grant Application packages shall be submitted to the SAA for entry into Grants.gov.

Application: Please refer to the current fiscal year’s HSGP NOFO and relevant information in this Manual.

Campaign Plan: After awards are announced, participants will create and submit an operations order that forms a campaign plan and captures the initial, generalized-budgetary intent to their IPT.

The campaign plan should articulate the participant agency’s long-term border security objectives and goals designed to mitigate border-security risk.

Funds should be obligated as needed to target specific threats or vulnerabilities and ensure that OPSG usage is commensurate to the unique risk of each border region. This may require several short-term operations that combine to form an ongoing operational cycle, ensuring that USBP commanders and SLTT agency partners reserve the flexibility to respond to the ever-changing elements of border security.

The operations plan also will articulate the budgetary intent of how funds are to be used throughout the performance period. The operations plan will project planned expenditures in the following categories:

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overtime, equipment, travel, maintenance, fuel, and administrative funds. The subrecipient can initiate the procurement of equipment as well as state how much the county intends to use for M&A while keeping funds for overtime or residual equipment funds available for use as needed. If the subrecipient intends to spend more than 50% of its award on overtime over the course of the performance period, a PRICE Act waiver request must be submitted in accordance with the policy initially outlined in IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding. The operations plan will meet both the SAA expectations to obligate the funds within 45 days of the award announcement and the demands of the grant’s operational intent. Sector approved campaign plans must be submitted to USBP Headquarters no later than four months after the official awards announcement has been made.

Investment Modifications - Changes in Scope or Objective: Changes in scope or objective of the award – including those resulting from intended actions by the recipient or subrecipients – require FEMA’s prior written approval, in accordance with 2 C.F.R. §§ 200.308(c)(1), 200.407.

In the event that changes must be made to the original operational plan, such as additional funding requests or other changes to the original scope or objectives, a FRAGO must be submitted in HSIN to obtain FEMA’s prior written approval of such changes in accordance with 2 C.F.R. § 200.308(c)(1).

These modifications will be annotated in the annex section of the FRAGO.

Operational Execution
In the event that changes or additional funding requests to the original operational order must be made, a FRAGO will be created. These modifications will be annotated in the annex section of the FRAGO.

Operational discipline is necessary for the success of OPSG. Deliberate, adaptive, integrated, and intelligence-driven planning is critical to conducting targeted enforcement operations consistent with the objectives of the OPSG. By participating in the OPSG, the state, local, tribal, and territorial agencies agree to conduct operations designed to reduce border-security risk.

Operations are composed of six critical elements: 1) a pre-planning meeting with the IPT; 2) specified beginning and ending dates; 3) the integration of intelligence and border security; 4) use of targeted enforcement techniques; 5) clearly stated objectives; and 6) an after-action meeting. These operations require deliberate on-going planning to ensure command, staff, and unit activities synchronize to current and future operations. The cyclical nature of the process will ensure OPSG activities align with the fluctuating border-security threats and vulnerabilities. The IPT should leverage information provided by the fusion center, Border Intelligence Centers or other local intelligence center, when possible, and establish a common operational vision.

The USBP Sector’s Chief Patrol Agent, or his/her designee, will ensure that the information or intelligence has a clear nexus to border security. Intelligence will be shared and vetted for border security value, driving the focus of operations. Once intelligence-driven targets are identified, the IPT will decide on operational objectives that reflect the intended impact of operations. The objectives should outline how the operation will deter, deny, degrade, or dismantle the operational capacity of the targeted transnational criminal organizations.

Each operational period will begin on a predetermined date and end on a predetermined date, but the dates may be subject to change commensurate with emerging security conditions. The starting date of the operational period should be established to allow sufficient time for the order to be submitted and approved by the corresponding USBP Sector and in concurrence with its SAA and USBP Headquarters.

The USBP Sectors will upload copies of operations order in the corresponding folder in the CBP Stonegarden Data Management System.

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Reporting Procedures
Participation in OPSG requires accurate, consistent, and timely reporting of how funds are used, and how the state, local and tribal agencies’ operations have impacted border security through the mitigation of threat or vulnerability and the overall reduction of risk. Reporting will focus on monitoring program performance; determining the level of integration and information sharing; and developing best practices for future operations. To ensure consistent reporting each state, local, and tribal agency will identify a single point of contact to represent their agency as a member of the IPT and to coordinate the submission of reports or execute other aspects of the grant.

The Daily Activity Report (DAR), which can be found by selecting the link for the current fiscal year HSGP NOFO on FEMA’s preparedness grants page (https://www.fema.gov/homeland-security-grantprogram) to be used to submit the ongoing results and outputs from OPSG operations conducted. The information and statistics included in the DAR will be delineated by agency (friendly forces). The DAR must be submitted to the USBP sector or the participating agency’s OPSG coordinator within 48 hours of the conclusion of each OPSG shift. Subrecipients and Sectors are responsible to ensure that DARs are submitted in the proper format and in a timely manner. DARs will be submitted using the CBP Stonegarden Data Management System. Friendly Forces receiving funding through a subrecipient will submit DARs within 48 hours. Border Patrol Sectors and OPSG subrecipients will implement internal protocols to ensure operational data from subrecipients and friendly force DARs are properly collected following the established guidelines.

In addition to the ongoing reporting of outputs, subrecipient participants will be required to submit AARs to USBP sectors within 10 days of closing the operational POP for that funding year. The AAR should carefully articulate outcomes and outputs as well as how the results of the operation compare with the objectives identified during the pre-planning meeting. Failure to submit the AAR in a timely manner may prevent the approval of future operations requests. All AARs and other OPSG reporting requirements will be submitted through the CBP Stonegarden Data Management System. Sectors are responsible for submitting AARs into Border Patrol Enforcement Tracking System (BPETS) as applicable.

Operational Roles and Responsibilities
To achieve unity of effort, it is essential that each participant know the roles and responsibilities within the IPT. The USBP sector’s Chief Patrol Agent, or his/her designee, will:
• Coordinate and chair the area IPT’s meetings
• Coordinate with all interested and eligible SLTT agencies in the sector’s area of operation during the open period of the OPSG application process by:
o Assisting applicants in completing the operations planning portion of the application, which is like the Operations Order used by the USBP
o Forwarding the approved operation portion of the application to CBP/USBP Headquarters as well as to the SAA to complete the application process set by FEMA o Detailing what operational support the USBP Sector anticipates for specific periods and matching the capabilities of partners to fill those gaps • Following the announcement of grant awards, coordinate and chair a meeting with SLTT agencies that received OPSG awards to develop an individualized campaign plan. This includes:
o Working with SLTT agencies, along with other federal law enforcement agencies to determine the dates, focus, and needs of each operational period, ensuring that each operation has a nexus to border security
o Receiving the first periodic operations order from the SLTT agencies and ensuring that the operation is conducted as outlined in the Campaign Planning section o Monitoring and supporting the Operational Cycle throughout the performance period City Council 18 – 94 8/16/2022
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o Ensuring the DAR and the AAR are submitted by state, local, and tribal agencies in the proper format and within the established timeframes
o Providing instruction, when possible, to state, local, and tribal agencies regarding techniques, methods, and trends used by transnational criminal organizations in the area o Providing a single point of contact to participants as a subject-matter expert in OPSG that can coordinate, collect, and report operational activities within the established reporting procedures
o Providing verification that operations are conducted
o Documenting and conducting random, on-site operational verification of OPSG patrols by subrecipients and friendly forces
o Verifying that subrecipients are performing OPSG enforcement duties in accordance with the applicable grant, statute, and regulatory guidance and instructions o Ensuring that grant funds are appropriately expended to meet sector border enforcement operational requirements and assist in enhancing subrecipient/friendly force capabilities to provide for enhanced enforcement presence, operational integration, and intelligence sharing in border communities.

The state, local or tribal agency lead, or their designee, will:
• Coordinate with the SAA on all grant management matters including but not limited to the development and review of operations orders, expenditure of funds, allowable costs, reporting requirements;
• Upon receiving a grant award, coordinate and meet as a member of the IPT to develop an individualized campaign plan that covers the length of the grant performance period; • Work within the IPT to develop an initial Operational Cycle and determine the duration of the first operational period based on the tactical needs specific to the area; • Submit all operations orders for review and submit the operations order to the Border Patrol and ensure the operation meets the six criteria established in the Operations Section; o Conduct operations on an as-needed basis throughout the length of the grant performance period;
o Integrate law enforcement partners from contiguous counties and towns into their tactical operations to expand the layer of security beyond existing areas; o Ensure all required reports, including reports from friendly forces, are submitted to the Border Patrol and the SAA, when applicable, in the proper format and within established timeframes;
o Ensure applicable OPSG-derived data is shared with the designated fusion center in the state or high-risk urban areas;
o Ensure applicable intelligence is shared with the designated fusion center in the state and/or urban areas;
o Request instruction and information from the SAA, when applicable, and/or USBP and other federal law enforcement agencies regarding techniques, methods, and trends used by transnational criminal organizations in the area;
o Provide the SAA and USBP a single point of contact that maintains subject-matter expertise in OPSG who can coordinate, collect, and report operational activities within the established reporting procedures; and
o Assist as required with the coordination, management, and operational aspects of the grant.

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The SAA will:
• Actively engage in the IPT meetings;
• Work in direct coordination and communication with the local or tribal agency lead on all grant management matters;
• Review all operations orders created by the local or tribal agency; • Acts as the fiduciary agent for the program and provide expertise in state policy and regulations; • Enter into a subaward agreement to disburse the allocated funding awarded through FEMA; • Generate biannual reports to FEMA capturing the subrecipients’ obligations and expenditures of funds;
• Determine if the grant’s performance period requires additional refinement over the federally established 36-month period; and
• Conduct audits of the program to ensure that the subrecipients are following program guidance. • Assist as required with the coordination, management, and operational aspects of the grant.

Definitions (OPSG only)
Area of Interest: A specific area, areas, or facilities known to be used by transnational criminal organizations in furtherance of their criminal activity.

Border-security related crime: Any action or enterprise that constitutes an offense which is punishable by law:
• That results in a favorable environment for criminal enterprise network, transnational criminal, or terrorist organizations; the smuggling/trafficking of humans, contraband, narcotics, or weapons of mass destruction across or in proximity to the U.S. border or; • That has a direct nexus to illicit cross-border activity; and • For which prosecution would serve established border security goals as outlined by the CBP for a whole of community approach.

Campaign Plan: The first Operational Order based on the CONOP aimed at accomplishing a strategic or operational objective within a given time and space.

Concept of Operations (CONOP): A written statement that clearly and concisely expresses what the State, local, or tribal commander intends to accomplish and how it will be done using available resources (and funding). It is also the operational equivalent of the OPSG grant application.

Fragmentary Order (FRAGO): A fragmentary order is a modification of the approved campaign plan, reflecting changes to the scope or objective pursuant to 2 C.F.R. § 200.308(c)(1). After an operation order has been approved, any changes to a campaign plan will be submitted via HSIN as a FRAGO for FEMA’s approval. Subsequent FRAGOs are permissible, subject to FEMA’s prior written approval, consistent with the requirements of 2 C.F.R. §§ 200.308, 200.407.

Friendly Forces: Local law enforcement entities with whom OPSG subrecipients provide funding to support border security operations.

Integrated Planning Team (IPT): Group that coordinates on all aspects of OPSG application, planning, and de-briefings.

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Operational Cycle: A deliberate on-going cycle of command, staff, and unit activities intended to synchronize current and future operations (driven by current intelligence and short-term goals that support the campaign).

Operational Discipline: The organized manner in which an organization plans, coordinates, and executes the OPSG mission with common objectives toward a particular outcome.

Operation/Operational Order (OO): A formal description of the action to be taken to accomplish or satisfy a CONOP, Campaign Plan, or FRAGO. The OO includes a detailed description of actions to be taken and required logistical needs to execute an operation.

Opioid Receptor Antagonists: Any medically approved drug or medical substance that can be utilized by first responder personnel in an emergency situation that is designed to counteract the effects of an opioid overdose.

Performance Measure: A numerical expression that quantitatively conveys how well the organization is doing against an associated performance goal, objective, or standard.

Risk: Potential for an adverse outcome assessed as a function of threats, vulnerabilities, and consequences associated with an incident, event, or occurrence.

Targeted Enforcement: The leveraging of all available assets against a specific action, area, individual, or organization and using those deemed most appropriate to mitigate risk.

Target of Interest: A specific person, group of persons, or conveyance known to be part of, or used by transnational criminal organizations to advance their criminal activity.

Threat: Information expressing intent to conduct illegal activity often derived from intelligence sources, the overall context, a specific event or series of events, or observation of suspicious activity.

Tier: Tier refers to the geographical location of a municipality, county, or tribe with respect to the United States national border, i.e., Tier 1 is a county located on the border; a Tier 2 county is a county contiguous to a Tier 1 county; and a. Tier 3 is a county not located on the physical border but is a contiguous to a Tier 2 county.

Unity of Effort: Coordination and cooperation among all organizational elements, even though they may not be part of the same command structure, to achieve success.

Vulnerability: The protective measures in place are less than the protective measures needed to mitigate risk.

HSGP Supplemental Material
FEMA collaborates with various subject-matter experts and acknowledges the value and expertise these Federal partner agencies provide to help shape the development and implementation of the HSGP. This continued partnership and collaboration helps provide recipients with the greatest number of resources required to effectively manage and implement funds as well as promotes transparency. Therefore, FEMA is providing hyperlinks to information on various subjects and policies that are relevant to the mission and intent of the FEMA and its preparedness grant programs.

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Chemical, Biological, Radiological, and Nuclear (CBRN) Detection The Countering Weapons of Mass Destruction (CWMD) Office is a support component within DHS established in December 2017 to counter attempts by terrorists or other threat actors to carry out an attack against the United States or its interests using a weapon of mass destruction. The CWMD Office provides guidance to improve national coordination on CBRN issues and works with federal and SLTT agencies to ensure operators have better access to current data and subject matter expertise they need. CWMD offers THIRA Technical Assistance for CBRN threats to provide guidance to SLTT partners seeking to build or sustain CBRN detection and response capabilities. For more information or assistance, please contact [email protected].

National Information Exchange Model (NIEM)
NIEM is a common vocabulary that enables efficient information exchange across diverse public and private organizations. NIEM can save time and money by providing consistent, reusable data terms and definitions and repeatable processes. To support information sharing, all recipients of grants for projects implementing information exchange capabilities are required to use NIEM and to adhere to the NIEM conformance rules. Go to https://niem.gov/ for guidance on how to utilize FEMA award funding for information sharing, exchange, and interoperability activities.

The NIEM Emergency Management domain supports emergency-related services (including preparing first responders and responding to disasters), information sharing, and activities such as homeland security and resource and communications management. The NIEM Emergency Management domain has an inclusive governance structure that includes federal, state, local, industry, and, where necessary, international partnerships. The NIEM Emergency Management domain is committed to community support via technical assistance and NIEM training. For more information on the NIEM Emergency Management domain, to request training or technical assistance or to just get involved, go to https://niem.gov/EM.

Integrated Public Alert and Warning System (IPAWS)
The current IPAWS Supplemental Guidance on Public Alert and Warning provides guidance on eligible public alert and warning activities and equipment standards for prospective SLTT recipients. The intent of this document is to promote consistency in policy across federal grant programs and to ensure compatibility among federally-funded projects. For more information on the IPAWS, go to https://www.fema.gov/informational-materials.

Homeland Security Information Network (HSIN)
HSIN is a user-driven, web-based, information sharing platform that connects all homeland security professionals including the DHS and its federal, state, local, tribal, territorial, international, and private sector partners across all homeland security mission areas. HSIN is used to support daily operations, events, exercises, natural disasters, and incidents. To support user mission needs, HSIN provides three sets of services for secure information sharing. The first service provides a shared place for communities to securely collaborate on homeland security issues and includes core functions such as a web conferencing and instant messaging tools with white boarding, video, and chat services for real-time communication and situational awareness. The second set provides secure dissemination and sharing capabilities for homeland security alerts, reports, and products. The third set allows users to access and query a variety of shared data and services from all homeland security mission areas and trusted federal partners. Preparedness grant funds may be used to support planning, training and development costs associated with developing and managing, mission critical, HSIN communities of interest and sites. Learn more about HSIN at http://www.dhs.gov/hsin-hsgp-guidance.

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SLTT Cybersecurity Engagement Program
CISA is responsible for enhancing the security, resilience, and reliability of the Nation’s cyber and communications infrastructure. CISA works to prevent or minimize disruptions to critical information infrastructure to protect the public, the economy, and government services. CISA leads efforts to protect the Federal “.gov” domain of civilian government networks and to collaborate with the private sector— the “.com” domain—to increase the security of critical networks.

The DHS SLTT Cybersecurity Engagement Program within CISA was established to help non-federal public stakeholders and associations manage cyber risk. The program provides appointed and elected SLTT government officials with cybersecurity risk briefings, information on available resources, and partnership opportunities to help protect their citizens online. Through these and related activities, the program coordinates DHS’s cybersecurity efforts with its SLTT partners to enhance and protect their cyber interests. More information on all of the CISA resources available to support SLTT governments is available at https://us-cert.cisa.gov/resources.

Regional Resiliency Assessment Program (RRAP)
The Regional Resiliency Assessment Program (RRAP) is a cooperative assessment of specific critical infrastructure within a designated geographic area and a regional analysis of the surrounding infrastructure that address a range of infrastructure resilience issues that could have regionally and nationally significant consequences. These voluntary, non-regulatory RRAP projects are led by the Infrastructure Security Division and are selected each year by DHS with input and guidance from federal, state, and local partners. For additional information on the RRAP, visit https://www.cisa.gov/regionalresiliency- assessment-program.

Law Enforcement Support Office (LESO), or 1033 Program
The LESO facilitates a law enforcement support program, which originated from the National Defense Authorization Act of Fiscal Year 1997. This law allows the transfer of excess Department of Defense property that might otherwise be destroyed by law enforcement agencies across the United States and its territories.

No equipment is purchased for distribution. All items were excess that had been turned in by military units or had been held as part of reserve stocks until no longer needed. Requisitions cover the gamut of items used by America’s military ― clothing and office supplies, tools, and rescue equipment, vehicles, small arms, and more. There is no fee for the equipment itself, however, the law enforcement agencies are responsible for the shipping costs.

For additional information on the LESO, please visit
http://www.dla.mil/DispositionServices/Offers/Reutilization/LawEnforcement.aspx.

Supplemental Emergency Communications Guidance
Lessons learned from recent major disasters, unplanned events, and full-scale exercises have identified a need for greater coordination of emergency communications among senior elected officials, emergency management agencies, and first responders at all levels of government. Federal responders arriving on the scene of a domestic incident are not always able to communicate with SLTT response agencies, as well as key government officials. State and local first responders sometimes experience similar problems, particularly when the incident requires a multi-agency, regional response effort or when primary communications capabilities fail. This lack of operability and interoperability between federal and SLTT agencies―further complicated by problems with communications survivability and resilience―has City Council 18 – 99 8/16/2022
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hindered the ability to share critical information, which can compromise the unity-of-effort required for an effective incident response.

Departments and agencies at all levels of government have identified a need for improvement in a number of high-priority areas, including: Governance, Planning, Training and Exercises, Operational Coordination, and Technology. In addition, communications resilience and continuity should be viewed as a critical component within each of these areas. These priorities are explained in detail in Section 2 of the SAFECOM Guidance. By addressing these priorities, which are reflective of proven best practices, emergency communications can be significantly improved at all levels of government. The end goal is to ensure operable, interoperable, and resilient communications that maintain a continuous flow of critical information, under all conditions, among multi-jurisdictional and multi-disciplinary emergency responders, command posts, agencies, critical infrastructure sectors, and government officials for the duration of an emergency response operation, and in accordance with NIMS and the National Emergency Communications Plan, which describes goals and objectives for improving emergency communications nationwide.

To help meet this goal, the SAFECOM Guidance outlines requirements for grant applications, including alignment to national, regional, and state communications plans (e.g., NECP, Statewide Communications Interoperability Plan (SCIP), Tactical Interoperability Communications Plan (TICP), FEMA Regional Emergency Communications Plan (RECP)), project coordination, and technical standards for emergency communications technologies. SCIPs define the current and future direction for interoperable and emergency communications within a state or territory, while TICPs are designed to allow urban areas, counties, regions, states/territories, tribes, or federal departments/agencies to document interoperable communications governance structures, technology assets, and usage policies and procedures. In addition, FEMA’s formal planning process has produced 10 RECPs and their associated state and/or tribal/territorial annexes that identify emergency communications capability shortfalls and potential resource requirements. Grant recipients are encouraged to leverage these planning resources as a source of input and reference for all emergency communications grant applications and investment justifications.

In addition, FEMA formally recognizes several statewide emergency communications governance bodies (e.g., SWIC, SIGB, Statewide Interoperability Executive Committee (SIEC), FirstNet State Single Point of Contact (SPOC)), and strongly encourages grant recipients to closely coordinate with these entities when developing an emergency communications investment to ensure projects support the state or territory’s strategy to improve their communications capabilities with the goal of achieving fully operable, interoperable, and resilient communications. In addition, grant applicants should work with public and private entities, and across jurisdictions and disciplines, to demonstrate engagement with the Whole Community in accordance with Presidential Policy Directive-8 (PPD-8).

For regional, cross-border initiatives, FEMA requires applicants to coordinate projects with national level emergency communications coordination bodies, such as the National Council of Statewide Interoperability Coordinators (NCSWIC) and the Regional Emergency Communications Coordination Working Groups (RECCWGs). The NCSWIC promotes and coordinates state-level activities designed to ensure the highest level of public safety communications across the nation. RECCWGs are congressionally-mandated planning and coordination bodies located in each FEMA Region and provide a collaborative forum to assess and address the survivability, sustainability, operability, and interoperability of emergency communications systems at all levels of government. Grant-funded investments that are coordinated with these bodies will help ensure that federally-funded emergency communications investments are interoperable and support national policies.

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Resilient Communications Guidance
Nothing better demonstrates a modern nation than its ability to effectively communicate. The risk imposed by the reliance on communication systems by government and the private sector can be reduced by understanding dependencies, analyzing effects, and taking action. Entities planning to use HSGP funding for communications investments are encouraged to work with state emergency management agencies, SWICs, SIGBs, and appropriate stakeholders at the regional, state, local, territorial, and tribal levels to:
• Establish robust, resilient, reliable and interoperable communications capabilities. Account for the mission impact of communication system disruptions in your planning; • Ensure mission-related communications (voice, video, data and network security requirements) are adequately planned for and understood. It is important to maintain current documentation of your communication systems architecture and perform regular audits. Your ability to continue operations is dependent on the availability of and access to communications systems with sufficient resiliency, redundancy, and accessibility to perform essential functions and provide critical services during a disruption;
• Ensure critical communication systems connectivity among key government leadership, internal elements, other supporting organizations, and the public under all conditions. As such, organizations should ensure current copies of vital records, including electronic files and software, are backed-up and maintained off-site;
• Ensure all communications systems/networks are traced from end to end to identify all Single Points of Failure (SPF). In doing so, grantees should work with communication service providers to add redundancy at key critical infrastructure facilities as needed; • Ensure key communication systems resiliency through:
o Ensuring availability of backup systems
o Ensuring diversity of network element components and routing o Ensuring geographic separation of primary and alternate transmission media o Ensuring availability of back-up power sources
o Ensuring availability and access to systems that are not dependent on commercial infrastructure
o Maintain spares for designated critical communication systems o Work with commercial suppliers to remediate communication Single Points of Failure • All communications system owners are encouraged to address the following issues:
o Integrate communications needs into continuity planning efforts by incorporating mitigation options to ensure uninterrupted communications support o Establish a cybersecurity plan that includes continuity of a communications component such as Radio Frequency (RF)-based communications that do not rely on public infrastructure
o Maintain communications capabilities to ensure their readiness when needed o Frequently train and exercise personnel required to operate communications capabilities o Test and exercise communications capabilities
o Consider Electromagnetic Pulse (EMP) protective measures for communications systems where practical.

DHS/FEMA Communications Support Services
CISA and FEMA offer a variety of technical assistance and other support services to assist state and local entities in their efforts to comply with the above requirements, including the SAFECOM Guidance, with the goal of ensuring interoperable and resilient emergency communications. A summary of DHS/FEMA support services is provided below. Grant recipients are encouraged to refer to the respective websites for additional information.

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CISA Support:

CISA assists agencies through a myriad of services, including direct TA and training provided at no cost to the jurisdiction. The TA offerings include (but are not limited to):
• Coordinated statewide governance (e.g., State Mapping Tool, Interoperable Communications Reference Guides)
• Comprehensive emergency communications planning (e.g., SCIPs, TICPs, and Field Operations Guides)
• Next Generation 911 planning and implementation
• Data operability and interoperability
• Alerts and warnings
• Broadband deployment
• Cybersecurity education and awareness
• Communications Unit (COMU) planning and procedures
Information on these services is available at https://www.cisa.gov/safecom/ictapscip-resources and https://www.cisa.gov/interoperable-communications-technical-assistance-program.

FEMA Disaster Emergency Communications Division (DEC) Support:

DEC has developed State Communications Annexes for all 56 states and territories. DEC provides technical assistance, coordinated through the FEMA Region’s Regional Emergency Communications Coordinator (RECC) in scheduling with the states and territories for major updates to the Annexes. Major updates are scheduled on a 3 to 5-year cycle. FEMA DEC supports the major update with a team of communications and emergency management specialists that facilitate a process of interaction with state representatives. This process is coordinated through the SWIC or state designated representative. All documentation is the responsibility of the FEMA support team and validated through state interaction.

Minor yearly updates to the State Annexes are accomplished through the RECCWG process. FEMA DEC support staff, working in coordination with the region-specific RECC, incorporate pertinent update information provided by state and local representatives. Additionally, operational information identified through exercises and incident response activities is a source of update data. The FEMA RECC, with the support of the DEC team, is responsible for maintaining the State Annexes ― changes and modifications to the Annexes are validated with the state through RECC coordination with the SWIC or designated state representative.

FEMA National Preparedness Directorate (NPD) Support:

NPD provides training, exercises, and technical assistance to SLTT stakeholders that support operational and emergency communications. Descriptions and resources specific to operational communication are available on FEMA’s website (https://www.fema.gov/core-capability-development-sheets) within the Response Mission Area and include the following information to support jurisdictions:
• Description of the operational communications core capability • Training for building and sustaining operational communication with specific course titles o Trainings can also be found at https://www.firstrespondertraining.gov/frt/. • Example capability targets to complete a THIRA
o Help in developing targets can be found at www.preptoolkit.fema.gov/urt or requested at [email protected]
• Resources types that support operational communications City Council 18 – 102 8/16/2022
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o Additional resource types and position qualifications can be found at https://www.fema.gov/preparedness-checklists-toolkits.
• Tools to validate capabilities through exercises
o Technical assistance and support from subject matter experts can be requested through www.fema.gov/national-exercise-program.

FEMA National Continuity Programs (NCP) Support:

NCP’s support services focus on holistic continuity planning, of which communications continuity is an important component. Currently, continuity communications training and technical assistance is limited to the FEMA National Radio System (FNARS) and IPAWS and is delivered either on an ad hoc basis at the request of the state entity, through a FEMA Region, or via a requirement for terms of use. Entities interested in NCP support services should contact [email protected] or consult NCP’s Continuity Resources Toolkit webpage at https://www.fema.gov/continuity-resource-toolkit.

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Program Appendix B:

Tribal Homeland Security Grant Program (THSGP)
As a reminder, while this appendix contains THSGP-specific information and requirements, the main content of this Manual (non-appendix information) contains important information relevant to all preparedness grant programs, including the THSGP. Please be sure to read the main content of this Manual in addition to the program-specific appendices.

Alignment of THSGP to the National Preparedness System
The THSGP plays an important role in the implementation of the National Preparedness Goal by supporting the building, sustainment, and delivery of the core capabilities. The core capabilities are essential for the execution of critical tasks for each of the five mission areas outlined in the Goal.

Delivering core capabilities requires the combined effort of the whole community, rather than the exclusive effort of any single organization or level of government. THSGP allowable costs support efforts to build and sustain core capabilities across the prevention, protection, mitigation, response, and recovery mission areas described in the Goal.

Particular emphasis in THSGP will be placed on capabilities that address the greatest risks to the security and resilience of tribal communities and the United States and that provide a clear nexus to preventing acts of terrorism. Funding will support deployable assets that can be utilized through automatic assistance and mutual aid agreements. THSGP supports investments that improve the ability of jurisdictions nationwide to:
• Prevent a threatened or an actual act of terrorism;
• Protect our citizens, residents, visitors, and assets against the greatest threats and hazards; • Mitigate the loss of life and property by lessening the impact of future disasters; • Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; and/or
• Recover through a focus on the timely restoration, strengthening, and revitalization of infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by a catastrophic incident.

To support building, sustaining, and delivering these core capabilities, recipients will use the components of the National Preparedness System, which include: Identifying and Assessing Risk, Estimating Capability Requirements, Building and Sustaining Capabilities, Planning to Deliver Capabilities, Validating Capabilities, and Reviewing and Updating. Additional information on the National Preparedness System is available at: http://www.fema.gov/national-preparedness-system.

FEMA requires recipients to prioritize grant funding to demonstrate how investments support identified national priorities and closing capability gaps or sustaining capabilities identified in the Threat and Hazard Identification and Risk Assessment (THIRA)/Stakeholder Preparedness Review (SPR) process.

Recipients are also expected to consider national areas for improvement identified in the most recent National Preparedness Report as they relate to terrorism preparedness. They include cybersecurity, economic recovery, housing, infrastructure systems, natural and cultural resources, and supply chain integrity and security. Addressing these areas for improvement will enhance preparedness nationwide.

Minimum funding amounts are not prescribed by the Department for these priorities; however, recipients City Council 18 – 104 8/16/2022
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are expected to support state, local, regional, and national efforts in achieving the desired outcomes of these priorities.

Reporting on the Implementation of the National Preparedness System By December 31, 2021, THSGP recipients are required to complete a THIRA/SPR that addresses all 32 core capabilities and is compliant with the Comprehensive Preparedness Guide (CPG) 201, Third Edition.

Specific guidance on the requirements for each core capability will be forthcoming in 2021, as some core capabilities have fewer reporting requirements than others.

THSGP recipients must complete every step of the THIRA/SPR for the following eight core capabilities:

Cybersecurity; Infrastructure Systems; Mass Care Services; Mass Search and Rescue Operations; Onscene Security, Protection, and Law Enforcement; Operational Communications; Operational Coordination; and Public Information and Warning. For the remaining 24 core capabilities, THSGP recipients are only required to indicate planning, organization, equipment, training, and exercise gaps in functional areas related to those capabilities. THSGP recipients may optionally complete additional portions of the THIRA/SPR for these 24 core capabilities.

Beginning in 2020 and continuing in 2021, THSGP recipients are required to respond to a series of planning-related questions as part of the THIRA/SPR. THSGP recipients are required to submit a THIRA every three (3) years to establish a consistent baseline for assessment. While the THIRA will be only required every three years, THSGP recipients will continue to be required to submit an SPR annually. For additional guidance on the THIRA/SPR, please refer to the Comprehensive Preparedness Guide (CPG) 201, Third Edition. Recipients must align THSGP grant investments in building and sustaining capabilities with closing capability gaps and/or sustaining capabilities they identified in their THIRA and SPR.

Reporting Requirements
• THSGP recipients must submit their THIRA and SPR through the Unified Reporting Tool (URT) on Prep Toolkit no later than December 31 of the applicable year (every three years for THIRA and each year for SPR). FY 2021 THSGP Recipients must also update their SPR inputs in 2022 and 2023.
• Please contact [email protected] if you have questions. • In each THSGP recipient’s Biannual Strategy and Implementation Report (BSIR), as part of programmatic monitoring, recipients will be required to describe how investments support closing capability gaps or sustaining capabilities identified in the THIRA/SPR. THSGP recipients will, on a project-by-project basis, check one of the following:
o Building a capability with THSGP funding; or
o Sustaining a capability with THSGP funding.

National Incident Management System (NIMS) Implementation Recipients receiving THSGP funding are required to implement the National Incident Management System (NIMS). NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness Goal.

THSGP recipients must utilize standardized resource management concepts such as typing, credentialing, and inventorying resources that facilitates the effective identification, dispatch, deployment, tracking and recovery of their resources.

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The NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictions clarifies the NIMS implementation requirements in FEMA preparedness grant Notices of Funding Opportunities (NOFOs). As recipients and subrecipients of federal preparedness (non-disaster) grant awards, jurisdictions and organizations must achieve, or be actively working to achieve, all of the NIMS Implementation Objectives. The objectives can be found on the NIMS webpage at https://www.fema.gov/emergency-managers/nims/implementation-training.

Reporting Requirements
Recipients report in the applicable secondary NIMS assessment portion of the URT as part of their THIRA/SPR submission, as outlined in the THSGP NOFO.

Planning to Deliver Capabilities
Recipients shall develop and maintain a jurisdiction wide, all threats and hazards EOPs consistent with CPG 101 Version 2.0 (CPG 101 v2). Recipients must submit an EOP once during the period of performance.

Reporting Requirements
Recipients report EOP compliance with Developing and Maintaining Emergency Operations Plans by completing the secondary CPG 101 v2 assessment in the URT.

Validating Capabilities
All recipients will develop and maintain a progressive exercise program consistent with Homeland Security Exercise and Evaluation Program (HSEEP) guidance in support of the National Exercise Program (NEP). The NEP serves as the principal exercise mechanism for examining national preparedness and measuring readiness. The NEP is a two-year cycle of exercises across the nation that validates capabilities in all preparedness mission areas. The two-year NEP cycle is guided by Principals’ Strategic Priorities, established by the National Security Council and informed by preparedness data from jurisdictions across the Nation.

To develop and maintain a progressive exercise program consistent with HSEEP and in support of the NEP, recipients should engage senior leaders and other whole community stakeholders to identify preparedness priorities. These priorities should be informed by various factors, including jurisdictionspecific threats and hazards (i.e. the THIRA); areas for improvement identified by real-world events and exercises; external requirements such as state or national preparedness reports, homeland security policy, and industry reports; and accreditation standards, regulations, or legislative requirements. Recipients should document these priorities and use them to deploy a schedule of preparedness events in a multi-year Integrated Preparedness Plan (IPP). Information related to IPPs and Integrated Preparedness Planning Workshops (IPPWs) can be found on the HSEEP website at https://www.fema.gov/emergencymanagers/national-preparedness/exercises/hseep and https://preptoolkit.fema.gov/.

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Reporting Requirements
• Recipients must have a current multi-year IPP that identifies preparedness priorities and activities. The current multi-year IPP must be submitted to [email protected] before January 31 of each year.
o Recipients are encouraged to enter their exercise information into the Preparedness Toolkit at https://preptoolkit.fema.gov/.
• Recipients must submit After-Action Report (AAR)/Improvement Plans (IPs) to [email protected] and indicate which fiscal year’s funds were used (if applicable). • Submission of AAR/IPs must be no later than December 31 of each year. For exercises that occur within the final quarter of a calendar year, submission of AAR/IPs must occur within 90 days after completion of the single exercise. Regardless of conduct date, recipients are encouraged to submit AAR/IPs within 90 days after completion of the single exercise or progressive series. o Recipients are encouraged to submit AAR/IPs reflecting tabletop exercises that validate critical plans or those reflecting large-scale functional or full-scale exercises that took place at the state, territorial, tribal, or UASI level. Recipients are discouraged from submitting AAR/IPs specific to local jurisdictions that reflect drills. o If a recipient endures a significant real-world incident during the calendar year that delays or prevents conduct of a grant-funded exercise, they can submit the AAR from that event in place of the exercise AAR. Jurisdictions submitting real world AARs should include an explanation with the AAR submission to [email protected]. o Recipients can access a sample AAR/IP template at
https://preptoolkit.fema.gov/web/hseep-resources/improvement-planning.

THSGP Funding Guidelines
Recipients and subrecipients must comply with all applicable requirements of the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards located at 2 C.F.R. Part 200.

In administering a THSGP grant award, recipients must comply with the following general requirements:

THSGP Priorities
See the annual THSGP NOFO.

Allowable Costs
Management and Administration (M&A)
M&A activities are those defined as directly relating to the management and administration of THSGP funds, such as financial management and monitoring. Recipients may use up to 5% of the amount of the award for M&A, and where applicable, subrecipients may use up to 5% for M&A of the amount they receive. Reasonable costs of grant management training are also allowable.

Indirect (Facilities and Administrative [F&A]) Costs
Indirect costs are allowable under this program as described in 2 C.F.R. Part 200, including 2 C.F.R. § 200.414. Applicants with a current negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Not all applicants are required to have a current negotiated indirect cost rate agreement.

Applicants that are not required by 2 C.F.R. Part 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. Part 200 to develop an indirect cost rate proposal must provide a copy of their City Council 18 – 107 8/16/2022
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proposal at the time of application. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the Grants Management Specialist for further instructions. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above or based upon the de minimis rate or cost allocation plan, as applicable.

Allowable Direct Costs
The following pages outline global allowable costs guidance specifically applicable to THSGP.

Allowable activities made in support of the national priorities, as well as other capability-enhancing projects must fall into the categories of planning, organization, equipment, training, or exercises (POETE). Additional detail about each of these allowable expense categories, as well as sections on additional activities including explicitly unallowable costs is provided. In general, recipients should consult their FEMA Preparedness Officer prior to implementing any investment to ensure that it clearly meets the allowable expense criteria established by the guidance.

Recipients are encouraged to use grant funds for evaluating grant-funded project effectiveness and return on investment aligned to the relevant POETE element, and FEMA encourages grant recipients to provide the results of that analysis to FEMA.

Planning
Planning efforts can include prioritizing needs, updating preparedness strategies, and allocating resources across stakeholder groups (e.g., law enforcement, fire, emergency medical services, health care systems, public health, behavioral health, public works, rural water associations, agriculture, information technology, emergency communications, and the general public, including people with disabilities) and levels of government. Planning provides a methodical way to engage the whole community in thinking through the life cycle of potential crises, determining required capabilities, and establishing a framework for roles and responsibilities. Planning must include participation from all stakeholders in the community who are able to contribute critical perspectives and may have a role in executing the plan. Planning should be flexible enough to address incidents of varying types and magnitudes.

Planning activities should focus on the prevention, protection, mitigation, response, and recovery mission areas outlined in the Goal. All jurisdictions are encouraged to work with Citizen Corps Whole Community Councils, nongovernmental entities, and the general public in planning activities. Whole community planning should integrate program design and delivery practices that ensure representation and services for under-represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity and other underserved populations.

Recipients must use the CPG 101 v2, Third Edition in order to develop robust and effective plans.

For additional planning and resource information, please see:
http://www.fema.gov/pdf/about/divisions/npd/CPG_101_V2.pdf http://www.ready.gov/citizen-corps
http://www.fema.gov/community-emergency-response-teams
www.ready.gov/kids
http://www.fema.gov/media-library/assets/documents/94775. https://www.fema.gov/sites/default/files/2020-06/national_disaster_recovery_framework_2nd.pdf City Council 18 – 108 8/16/2022
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Continuity of Operations
FEMA is designated as the Department of Homeland Security's lead agency for managing the nation's Continuity Program. To support this role, FEMA provides direction and guidance to assist in developing capabilities for continuing federal and state, local, tribal, and territorial (SLTT) government jurisdictions and private sector organizations' essential functions across a broad spectrum of emergencies.

Presidential Policy Directive 40, the National Continuity Policy Implementation Plan (NCPIP), Federal Continuity Directive (FCD) 1, FCD 2, and Continuity Guidance Circular (CGC) outline continuity requirements for agencies and organizations and provide guidance, methodology, and checklists. For additional information on continuity programs, guidance, and directives, visit http://www.fema.gov/guidance-directives and https://www.fema.gov/national-continuity-programs or contact a Regional Continuity Manager. Please note, the Continuity Guidance Circular (2018) supersedes Continuity Guidance Circular-1, Continuity Guidance for Non-Federal Governments (July 2013), and Continuity Guidance Circular-2, Continuity Guidance for Non-Federal Governments: Mission Essential Function Identification Process (Oct. 2013). U.S. Department of Homeland Security, Continuity Guidance Circular at 8 (Feb. 2018).

Organization
Recipients may use grant funds for organization activities:
• Organizational activities may include, paying salaries and benefits for personnel, including individuals employed to serve as qualified intelligence analysts. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant.
• Other organization activities may include implementing standardized resource management concepts such as typing, inventorying, organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources before, during, and after an incident.

Additionally, Migrating online services to the “.gov” internet domain is an allowable expense.

Equipment
The 21 allowable prevention, protection, mitigation, response, and recovery equipment categories and equipment standards for THSGP are listed on the web-based version of the Authorized Equipment List (AEL). Unless otherwise stated, equipment must meet all mandatory regulatory and DHS-adopted standards to be eligible for purchase using these funds. In addition, recipients and subrecipients, as applicable, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. Recipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA.

Grant funds must comply with Information Bulletin (IB) 426 and may not be used for the purchase of the following unallowable equipment: firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed. Recipients should analyze the costs and benefits of purchasing versus leasing equipment, especially high-cost items and those subject to rapid technical advances. Large equipment purchases must be identified and explained. For more information regarding property management standards for equipment, please reference 2 C.F.R. Part 200, including 2 C.F.R. §§ 200.310, 200.313, and 200.316. Also see 2 C.F.R. §§ 200.216, 200.471, and FEMA Policy #405-143-1 regarding prohibitions on covered telecommunications equipment or services.

City Council 18 – 109 8/16/2022
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Requirements for Small Unmanned Aircraft System
All requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply with IB 426 and also include a description of the policies and procedures in place to safeguard individuals’ privacy, civil rights, and civil liberties of the jurisdiction that will purchase, take title to or otherwise use the sUAS equipment.

Training and Exercises
Tribes are strongly encouraged to use THSGP funds to develop or maintain a homeland security training program. Allowable training-related costs under the THSGP include the establishment, support, conduct, and attendance of training specifically identified under the THSGP or in conjunction with emergency preparedness training by other federal agencies (e.g., the Department of Health and Human Services or the Department of Transportation). Training conducted using THSGP funds should address a performance gap identified through an assessment or contribute to building a capability that will be evaluated through a formal exercise. Exercises should be used to provide the opportunity to demonstrate and validate skills learned in training, as well as to identify training gaps. Any training or training gaps evaluated though a formal exercise, including those for vulnerable populations including children, the elderly, pregnant women, and individuals with disabilities or access and functional needs should be identified in an AAR/IP.

All training and exercises conducted with THSGP funds should support the development and testing of the jurisdiction’s Emergency Operations Plan (EOP), consistent with the priorities in the National Preparedness System. Recipients are encouraged to use existing training rather than developing new courses. When developing new courses, recipients are encouraged to apply the Analysis, Design, Development, Implement, and Evaluate (ADDIE) model of instruction design, available with additional training information at https://www.firstrespondertraining.gov.

FEMA supports and encourages the coordination of all emergency preparedness training towards the achievement of the Goal. To this end, FEMA supports the establishment of a Tribal Training Point of City Council 18 – 110 8/16/2022
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Contact (TTPOC). The role of the TTPOC is to coordinate the tribes’ training needs and activities with FEMA and FEMA’s federal training partners and holds the same authority and roles that state training points of contact serve within SAAs nationwide. FEMA will coordinate with Tribal Training Officers (TTOs) as it relates to FEMA training when notified by recipients.

Per FEMA Grant Programs Directorate IB 432, Review and Approval Requirements for Training Courses Funded Through Preparedness Grants, issued on July 19, 2018, states, territories, tribal entities, and high-risk urban areas are no longer required to request approval from FEMA for personnel to attend non-DHS/FEMA training as long as the training is coordinated with and approved by the state, territory, tribal, or high-risk urban area TPOC and falls within the FEMA mission scope and the jurisdiction’s EOP.

For additional information on review and approval requirements for training courses funded with preparedness grants, please refer to the following policy: https://www.fema.gov/sites/default/files/2020- 09/fema_gpd-review-approval-requirements-training-policy_09-10-13.pdf.

DHS/FEMA Provided Training and Education
FEMA offers tuition-free training and education programs and courses through several providers including the Center for Domestic Preparedness, the Emergency Management Institute, and the National Training and Education Division’s Training Partner Program (TPP). TPP includes the Center for Homeland Defense and Security, National Domestic Preparedness Consortium, Rural Domestic Preparedness Consortium, and training partners through the Continuing Training Grants program.

Training Not Provided by DHS/FEMA
These trainings include courses that are either state sponsored or federal sponsored (non-DHS/FEMA), coordinated and approved by the SAA or their designated TPOC, and fall within the FEMA mission scope to prepare SLTT personnel to prevent, protect against, mitigate, respond to, and recover from acts of terrorism or catastrophic events.
• State Sponsored Courses. These courses are developed for and/or delivered by institutions or organizations other than federal entities or FEMA and are sponsored by the SAA or their designated TPOC.
• Joint Training and Exercises with the Public and Private Sectors. These courses are sponsored and coordinated by private sector entities to enhance public-private partnerships for training personnel to prevent, protect against, mitigate, respond to, and recover from acts of terrorism or catastrophic events. In addition, states, territories, tribes, and urban areas are encouraged to incorporate the private sector in government-sponsored training and exercises.

Additional information on both FEMA provided training and other federal and state training can be found at http://www.firstrespondertraining.gov.

Training Information Reporting System (“Web-Forms”)
Web-Forms is an electronic data management system built to assist SAAs, designated TPOCs, and federal agencies with submitting non-NTED provided training courses for inclusion in the State/FederalSponsored Course Catalog through electronic forms. The information collected is used in a two-step review process to ensure the training programs adhere to the intent of the HSGP guidance and the course content is structurally sound and current. As these programs may be delivered nationwide, it is vital to City Council 18 – 111 8/16/2022
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ensure each training program's viability and relevance to the Homeland Security mission. Reporting training activities through Web-Forms is not required under FY 2021 THSGP. However, the system remains available and can be accessed through the FEMA Toolkit to support recipients in their own tracking of training deliveries.

Exercises
For additional information on conducting exercises under THSGP, please refer to the earlier section in this appendix titled “Validating Capabilities” on page B-3.

Personnel Activities
Personnel hiring, overtime, and backfill expenses are permitted under this grant in order to perform allowable THSGP planning, training, exercise, and equipment activities.

Not more than 50% of total THSGP funds may be used for personnel activities as directed by the Homeland Security Act of 2002, as amended by the Personnel Reimbursement for Intelligence Cooperation and Enhancement (PRICE) of Homeland Security Act (Pub. L. No. 110-412) (6 U.S.C. §609(b)(2)(A)). This 50% cap may be waived, however, per 6 U.S.C. § 609(b)(2)(B). For further details, THSGP recipients should refer to IB 421b, or contact their FEMA HQ Preparedness Officer. THSGP funds may not be used to support the hiring of any personnel for the purposes of fulfilling traditional public safety duties or to supplant traditional public safety positions and responsibilities.

Construction and Renovation
Construction projects are only permitted where they will assist the recipient to achieve target capabilities related to preventing, preparing for, protecting against, or responding to acts of terrorism, including through the alteration or remodeling of existing buildings for the purpose of making them secure against acts of terrorism. THSGP funding may not be used for construction and renovation projects without prior written approval from FEMA. All recipients of THSGP funds must request and receive approval from FEMA before any THSGP funds are used for any construction or renovation. Additionally, recipients are required to submit an SF-424C Form containing budget detail citing the construction project costs and an SF-424D Form for standard assurances for the construction project. The total cost of any construction or renovation paid for using THSGP funds may not exceed the greater amount of $1,000,000 or 15% of the THSGP award.

All construction and renovation projects require Environmental Planning and Historic Preservation (EHP) review. Recipients and subrecipients are encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an EA may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening Form, can be found online at: https://www.fema.gov/medialibrary/assets/documents/90195. EHP review materials should be sent to [email protected].

THSGP recipients using funds for construction projects must comply with the Davis-Bacon Act (codified as amended at 40 U.S.C. §§ 3141 et seq.). See 6 U.S.C. § 609(b)(4)(B) (cross-referencing 42 U.S.C. § 5196(j)(9), which cross-references Davis-Bacon). Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the City Council 18 – 112 8/16/2022
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state in which the work is to be performed. Additional information regarding compliance with the DavisBacon Act, including Department of Labor (DOL) wage determinations, is available from the following website: http://www.dol.gov/whd/govcontracts/dbra.htm.

Communications Towers
For the purposes of the limitations on funding levels only, communications towers are not considered construction. When applying for construction funds, including communications towers, at the time of application, recipients must submit evidence of approved zoning ordinances, architectural plans, and any other locally required planning permits.

When applying for funds to construct communication towers, recipients and subrecipients must submit evidence that the Federal Communication Commission’s Section 106 review process has been completed and submit all documentation resulting from that review, with a FEMA Grant Programs Directorate EHP Screening Form, to FEMA as part of the project’s EHP Review submittal. Recipients and subrecipients are encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their Tribal Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects; compliance with all state and local EHP laws and requirements). Projects for which an EA may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1 and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within six months of the recipient’s receipt of the award. Completed EHP review materials for communication tower projects must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening Form, can be found online at: https://www.fema.gov/media-library/assets/documents/90195.

EHP review materials and an EHP Screening Form should be sent to [email protected].

Multiple Purpose or Dual-Use of Funds
Many activities that support the achievement of target capabilities related to terrorism preparedness may simultaneously support enhanced preparedness for other hazards unrelated to acts of terrorism. See 6 U.S.C. § 609(c). However, all THSGP-funded projects must assist recipients and subrecipients in achieving target capabilities related to preventing, preparing for, protecting against, or responding to acts of terrorism.

Whole Community Preparedness
In addition to the Citizen Corps Whole Community Councils and Community Emergency Response Team (CERT) programs mentioned above, youth preparedness activities are another allowable cost. Bolstering youth preparedness across the nation is a priority for FEMA as the Agency works with state, local, tribal, and territorial partners to create a culture of preparedness in the United States. Information on youthcentric educational curricula, games, planning materials, and other relevant resources can be found at https://www.ready.gov/kids. Furthermore, FEMA’s Individual and Community Preparedness Division (ICPD) and regional based Community Preparedness Officers (CPOs) are available to provide grant recipients with guidance and assistance. Please email [email protected] to contact one of the Agency’s subject matter experts.

The following are examples of youth preparedness activities that grantees are encouraged to undertake as allowable costs:
• Reach out to a local school board or elementary school to encourage the adoption of the Student Tools for Emergency Planning (STEP) curriculum. STEP is a classroom-based emergency preparedness curriculum for 4
th
- and 5th-graders in an easy, ready-to-teach format. Students will learn about disasters, emergencies, and hazards, and how to create a disaster supply kit and family emergency communication plan. An overview of the STEP program along with the instructor City Council 18 – 113 8/16/2022
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guide and student activity book is available at https://www.ready.gov/student-tools-emergencyplanning-step. • Sponsor the creation of a Teen CERT in your jurisdiction. The CERT Program is a national program of volunteers trained in disaster preparedness and emergency response. Volunteers come from all ages and all walks of life, including teenagers. Additional information, including a stepby-step guide on how to start a Teen CERT, is available at https://www.ready.gov/teen-cert.

The following tools are available to order from FEMA’s warehouse free of charge:
• “Prepare with Pedro” is a joint product of FEMA and the American Red Cross. The “Prepare with Pedro: Disaster Preparedness Activity Book” is designed to teach young children and their families about how to stay safe during disasters and emergencies. The book follows Pedro around the United States and offers safety advice through crosswords, coloring pages, matching games, and more. Additional information, including an ordering form, is available at https://www.ready.gov/prepare-pedro.
• The Ready 2 Help card game is a fun way for kids to learn how to respond to emergencies by working with friends and using skills that will help in a real emergency. Ready 2 Help teaches five simple steps to stay safe and make a difference until help arrives:
o Stay Safe
o Stay Calm
o Get Help
o Give Info
o Give Care
Ready 2 Help was designed for children ages 8 and up. Additional information, including an ordering form, is available at https://www.ready.gov/ready-2-help.

Santa Ana City CouncilAugust 16, 2022

Santa Ana City Council
August 16, 2022