next two years. The annual rate for OpenSesame is $42,064 for the next two years.
Although the Meridian software services agreement does not have a stated not-toexceed amount, staff requests authorization to continue using the agreement for an additional two years at the rates noted above. The proposed budget for FY25-26 is sufficient to cover the annual cost for both services. Continuing services for two more years will allow HRD to continue providing a robust and scalable training platform while avoiding disruption to existing learning programs.
The City’s agreement with Meridian Knowledge Solutions auto renews unless notice of cancellation is provided to the new term. City staff will review service needs prior to the ending of the two year term.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
Funding is included in the proposed FY 2025-26 budget and funding for FY 2026-27 will be included in the proposed budget for City Council consideration.
LMS
Fiscal
Year
Accounting Unit –
Account No.
Fund
Description
Fund, Account
Description
Amount
2025-26 01109050-66511 General
Fund
Human Resources
Services – Software
Subscriptions
$34,005
2026-27 01109050-66511 General
Fund
Human Resources
Services – Software
Subscriptions
$34,005
Total $68,010
OpenSesame
Fiscal
Year
Accounting Unit –
Account No.
Fund
Description
Fund Description Amount
2025-26 08009052-62120 Liability &
Property Ins
Fund
Liability & Property Ins -
Safety Program -
Training
$12,619
2025-26 08209052-62120 Workers
Compensation
Fund
Workers Compensation
- Safety Program -
Training
$12,619
2025-26 01109051-62120 General Fund Human Resources
Services - Training,
Transportation, Meeting
$16,826
City Council 13 – 2 6/17/2025
Funding for Two (2) Additional Years for a Learning Management System June 17, 2025
2026-27 08009052-62120 Liability &
Property Ins
Fund
Liability & Property Ins
Fund - Safety Program -
Training
$12,619
2026-27 08209052-62120 Workers
Compensation
Fund
Workers Compensation
- Safety Program -
Training
$12,619
2026-27 01109051-62120 General Fund Human Resources
Services - Training,
Transportation, Meeting
$16,826
Total $84,128
EXHIBIT(S)
1. Agreement with Meridian Knowledge Solutions, LLC
2. Two Year Extension Quote
Submitted By: Lori Schnaider, Executive Director, Human Resources Department Approved By: Alvaro Nuñez, City Manager
City Council 13 – 3 6/17/2025
INSURANCE NOT ON "' F
A- 2022- 073 WORK MAY NOT PROGEEU
General Terms and Conditions
This Software as a Service Subscription Agreement (this "Agreement') is made and entered into as of the effective date set forth below (the "Effective Date") between:
Effective Date of this Agreement: May 17, 2022
MERIDIAN: CLIENT:
MERIDIAN KNOWLEDGE SOLUTIONS, LLC, City of Santa Ana
a Virginia, limited liability company 20 Civic Center Plaza, M- 24 Santa Ana, CA 92701
These terms and conditions constitute the entire legal agreement between client and Meridian Knowledge Solutions, LLC (" Meridian") concerning the access to the proprietary Meridian LMS software program, associated documentation ("Software") and the services performed by Meridian in support thereof. MERIDIAN and CLIENT are also referred to as " Party" or "Parties." A. MERIDIAN has developed certain software programs and associated documentation which MERIDIAN makes available to its CLIENT's ("Subscribers) on a Subscription ("Subscription") basis.
B. CLIENT wishes to use MERIDIAN' S Services and Software in its business operations.
C. MERIDIAN has agreed to provide, and the CLIENT has agreed to pay for and use MERIDIAN' S Services and Software subject to the terms and conditions of this Agreement.
D. In the event there are conflicting terms among the various documents, the order of precedence is as follows: 1) This Agreement, including Schedule( s); 2) Project Documents; and 3) Exhibit(s).
1. Definitions
a. Authorized User: Employees, agents, and independent contractors of the CLIENT who are authorized to use the Software as described herein.
b. Confidential Information: Information that is proprietary or confidential of MERIDIAN as further defined throughout this Agreement.
c. CLIENT Data: Data that is input by the CLIENT or Authorized Users of the CLIENT into the Software for the purpose of utilizing the Software.
d. Documentation: Documents made available by MERIDIAN to the CLIENT from time to time which may include but is not limited to documents containing Software descriptions, user manuals and other material related to the Software.
e. Effective Date: The day this Agreement takes effect.
I. Initial Subscription Term: The initial term of this Agreement.
City Council 13 – 4 6/17/2025
g. Internal Business Operations: The internal business processes of an organization. Business operations include the day-to-day activities of the business. Such operations facilitate the achievement of a business' prime function.
h. Standard Business Hours: Monday through Friday 8: 00am — 8: 00pm Eastern Time (ET), excluding MERIDIAN holidays.
i. Services: The access to the software services ( Software Services, Implementation Services, collectively, and any Support provided for such Services) provided by MERIDIAN to CLIENT under this Agreement.
j. Software: The application provided as a part of the Services Subscription. k. Subscription Fees: The fees payable to MERIDIAN by the CLIENT for the User Subscriptions.
I. Subscription Term: The tens of the Subscription.
m. Support: Functional and technical support services as set forth herein. n. Support Policy: MERIDIAN' S policy for providing support in relation to the Services as described herein
o. Service Levels: The Service Level commitments as set forth herein. p. User Subscription: The subscriptions purchased to grant Authorized Users access to the Services as described herein.
q. Product Extensions: Any modification to the base Meridian LMS application that is specific to the CLIENT' s requirements and scope as defined in the Statement of Work and any associated Change Order. Product Extensions ( also known as customizations) are prohibited in this agreement.
r. Software Updates: Meridian govemed enhancements and defect resolutions for the Meridian LMS software application in base product form. The release and application of any Software Update is at the sole discretion of Meridian.
2. Subscription
a. Subject to the CLIENT purchasing the User Subscription, the restrictions set forth in this Section and other terms and conditions of this Agreement, MERIDIAN hereby grants to the CLIENT, a non-exclusive, non -transferable right to permit the Authorized Users of the CLIENT to (i) use such Services; and ( ii) display such Services solely for the purpose of exercising CLIENT' s rights and performing CLIENT' s obligations hereunder. The foregoing subscription is subject to the restrictions below and the other terms and conditions of this Agreement. Services shall be used during the Subscription Terms solely for the CLIENT' s Internal Business Operations. b. In relation to the Authorized Users, the CLIENT agrees that:
I. the maximum number of Authorized Users that it authorizes to access and use the Services shall not exceed the number of User Subscriptions CLIENT has purchased; it. CLIENT will not allow any User Subscription to be used by more than one individual Authorized User during an annual subscription term. A license can be reassigned in its entirety upon the next annual subscription term to another individual Authorized User, in which case the prior Authorized User shall be flagged inactive and no longer have any right to access or use the Services;
City Council 13 – 5 6/17/2025
iii. MERIDIAN will monitor the actual number of Authorized Users to ensure compliance with Item 2)( a)( b) above during the annual subscription term.
c. The CLIENT will not intentionally access, store, distribute or transmit any viruses, Trojans or any and all malicious code, or any material during the course of its use of the Services that as outlined below. In the event any of the identified items occur, CLIENT will remove and promptly notify MERIDIAN immediately if there is potential harm to the software.
I. is unlawful, harmful, threatening, defamatory, obscene, infringing, harassing or racially or ethnically offensive;
il. facilitates illegal activity;
iii. depicts sexually explicit images;
iv. promotes unlawful violence;
V. is discriminatory based on race, gender, color, religious belief, sexual orientation, disability, or any other illegal activity;
vi. causes damage or injury to any person or property; or vli. infringes on third party intellectual property, copyright or trademark rights.
MERIDIAN reserves the right, without liability to the CLIENT, to disable the CLIENT' s access to any material that breaches the provisions of this clause. d. It is the CLIENT best interest to test content in the staging site prior to loading it in production to ensure the content plays as expected and records any relevant data. e, Software Support Troubleshooting of third -party or client -developed content, as it relates to successfully launching and tracking in the Software.
i. Software Support Troubleshooting of third -party or client -developer content, as it relates to successfully launching and tracking in the Software.
ii. Meridian's responsibilities include: reviewing the course to determine what status/ calls the course is passing to the LMS and ensuring that the LMS has properly taken action on those status/calls. For example; the course is responsible for passing a completion to the LMS after a user has successfully completed the course. Meridian will review the course to determine if the course did pass a completion status and also confirm if Meridian then appropriately marked the user as Complete.
iii. Customer' s responsibility include: providing a user impacted by any reported courseware issue that Meridian can use to facilitate testing, providing any answer keys if the course/ content contains a test/exam/ etc., and providing the courseware files to facilitate Meridian troubleshooting as well as providing the name of the tool used to create the content if applicable.
The CLIENT shall not except to the extent expressly permitted under this Agreement:
I. attempt to reproduce, copy, modify, duplicate, create derivative works from, frame, mirror, republish, download, display, transmit, or distribute, in whole or in part, any portion of the Software and/or Documentation (as applicable) in any form or media or by any means; City Council 13 – 6 6/17/2025
ii. attempt to reverse compile, disassemble, reverse engineer or otherwise reduce to human - perceivable form all or any part of the Software;
iii. access all or any part of the Services andfor Documentation in order to build a product or service which competes with the Services, Software and/or the Documentation provided by this Agreement;
V. use the Services, and/ or Documentation to provide services to third parties; or V. subject to the Assignment Section, license, sublicense, sell, rent, lease, transfer, subcontract, assign, distribute, display, disclose, or otherwise commercially exploit, or otherwise make the Services, and/ or Documentation available to any third party except the Authorized Users, or vi, attempt to obtain, or assist third parties in obtaining, access to the Services, and/ or Documentation, other than as provided under this clause. g. The CLIENT shall use all reasonable endeavors to prevent any unauthorized access to, or use of, the Services, and/or the Documentation and, In the event of any such unauthorized access or use, promptly notify MERIDIAN. The rights provided under this Section are granted to the CLIENT only and shall not be considered granted to any subsidiary or affiliate of the CLIENT. h. Additional User Subscriptions
1. The CLIENT may, during any Subscription Term, purchase additional User Subscriptions In excess of the number set out in Schedule 1 and MERIDIAN shall grant access to the Services to such additional Authorized Users in accordance with the provisions of this Agreement. ii. If the CLIENT wishes to purchase additional User Subscriptions, the CLIENT shall notify MERIDIAN in writing, MERIDIAN shall evaluate such request for additional User Subscriptions and respond to the CLIENT with approval or disapproval of the request and such approval not to be unreasonably withheld.
iii. If MERIDIAN approves the CLIENT's request to purchase additional User Subscriptions, the CLIENT shall, within thirty ( 30) calendar days of the date of MERIDIAN' S invoice, pay MERIDIAN the relevant fees for such additional User Subscriptions as set out in Schedule 1 and, if such additional User Subscriptions are purchased by the CLIENT part way through the Initial Subscription Term or any Renewal Period ( as applicable), such fees shall not be prorated for the remainder of the Initial Subscription Term or then current Renewal Period ( as applicable).
3. Fees; Payment Terms
a. Fees. In consideration of this Agreement, CLIENT will pay the Subscription fees set forth in Schedule 2 ( the "Subscription Fees"). In consideration of any other products provided or services performed under this Agreement, CLIENT will pay the fees and charges described in the applicable Schedule. On the Effective Date of this Agreement, the Subscription Fees shall be payable with respect to the Initial Subscription Term and at least thirty ( 30) calendar days prior to each anniversary of the Effective Date, the Subscription Fees shall be payable with respect to the next Renewal Period. If, at any time while using the Services, the CLIENT exceeds the amount of storage space specified in Schedule 2, MERIDIAN shall charge the CLIENT, and the CLIENT shall City Council 13 – 7 6/17/2025
pay MERIDIAN' S then current excess data storage fees. MERIDIAN' S excess data storage fees are set out in Schedule 2 and current as of the Effective Date. MERIDIAN shall be entitled to increase the Subscription Fees, with respect of the additional User Subscriptions purchased, and/or the excess storage fees at the start of each Renewal Period upon thirty (30) calendar days' prior notice to the CLIENT and Schedule 2 shall be deemed to have been amended accordingly.
Fees are non -cancellable and non-refundable except as otherwise stated herein. b. Payment. All fees and expenses will be due and payable to MERIDIAN within thirty (30) calendar days after the date of invoice. All fees and expenses will be paid to MERIDIAN in United States dollars, by wire transfer of funds to an account designated by MERIDIAN or by check sent to MERIDIAN at Attention: Accounts Receivable, Meridian Knowledge Solutions, LLC, SO Iron Point Circle, Suite 100, Folsom, CA 95630 unless otherwise specked by MERIDIAN. All past -due payments will bear interest at the rate of one and one- half percent ( 1'/ 2%) per month or the maximum rate allowed by law, whichever is less. MERIDIAN shall have the right to terminate the Agreement for default/cause if the CLIENT does not pay MERIDIAN' S undisputed invoices within the terms contained herein. All outstanding invoices will be due and payable immediately upon such termination. If CLIENT does not pay MERIDIAN forany undisputed outstanding invoices, and MERIDIAN incurs any additional costs including, but not limited to court costs, attorney' s fees and other damages, in the collection of said invoices, MERIDIAN shall have the right to recover the additional costs from CLIENT.
c. PCI Compliance. In the event CLIENT engages in payment card transactions as part of the services provided by MERIDIAN, CLIENT shall comply with the Payment Card Industry Data Security Standard (" PCI- DSS") and any amendments or restatements of the PCI DSS during the Term of this agreement. CLIENT accepts responsibility for the security of customer credit card data in its possession, even if all or a portion of the services by MERIDIAN are subcontracted to third parties.
d. Taxes. CLIENT acknowledges and agrees that it is responsible for the payment of all applicable taxes and duties, including, without limitation, sales, use, excise, value added and franchise taxes, associated with this Agreement, the products provided, and the services performed under this Agreement, except for taxes based on MERIDIAN' S income. e. The CLIENT shall on the Effective Date provide to MERIDIAN valid, up- to-date and complete approved purchase order information acceptable to MERIDIAN and any other relevant information needed by MERIDIAN to invoice CLIENT.
If MERIDIAN has not received payment within thirty (30) calendar days after the due date of any undisputed invoice, and without prejudice to any other rights and remedies of Meridian, MERIDIAN may, without further liability to the CLIENT, disable the CLIENT's passwords, accounts and access to all or part of the Services. MERIDIAN shall be under no further obligation to provide any or all of the Services while the invoice( s) concerned remain unpaid; and MERIDIAN shall have the right to terminate the Agreement for default if the CLIENT does not pay MERIDIAN'S undisputed City Council 13 – 8 6/17/2025
invoices within the terms contained herein. All outstanding invoices will be due and payable immediately upon such termination. If CLIENT does not pay MERIDIAN for any undisputed outstanding invoices, and MERIDIAN incurs any additional costs including, but not limited to court costs, attorney' s fees and other damages, in the collection of said invoices, MERIDIAN shall have the right to recover the additional costs from CLIENT.
4. Proprietary Rights
a. CLIENT acknowledges and agrees that the Software is protected by U.S. and international copyright, patent, trademark, trade secret and other intellectual property rights and registrations.
CLIENT acknowledges that all right, title and interest in and to the Software and all intellectual property rights thereto will be owned solely by MERIDIAN and its licensors, as applicable. CLIENT will not remove, obliterate, obscure or alter any copyright or other proprietary rights notice that appears on the Software. Except for the limited rights expressly granted to CLIENT under this Agreement, CLIENT is not granted any other rights in or to the Software. All rights in and to the Software not specifically granted herein are reserved to MERIDIAN and its licensors, as applicable.
5. Confidentiality Obligations
a. Confidential Information. " Confidential Information" means any and all information that is of a confidential, proprietary or trade secret nature that is furnished or disclosed by one Party to the other Party under this Agreement. Without limiting the generality of the foregoing, " Confidential Information" includes the Software ( including the object code and source code forms therecf), the specific business terms of this Agreement and any other information that is marked as Confidential," " Proprietary," ' Trade Secret" or in some other manner to indicate its confidential, proprietary or trade secret nature. " Confidential Information" will not include: ( i) information that is or becomes publicly known through no fault of the other Party ; ( ii) information received from a third party that was disclosed without breach of any confidentiality obligation; ( iii) information approved for release by written authorization of a Party ; ( iv) information developed or created independently by one Party without reference to, or use of, the other Party' s Confidential Information; or (v) information that may be required by law, regulation or an order of any court, agency or proceeding to be disclosed, provided that the Parry from whom the Confidential Information is sought will provide the other Party with written notice of any such required disclosure once the Party has knowledge of it and will help the other Party at the expense of the Party to the extent reasonable to obtain an appropriate protective order. b. Non -Disclosure. All Confidential Information will remain the property of the Party to whom it originally belonged and neither Party will not be deemed by virtue of its access to the other Party' s Confidential information to have acquired any right or interest in or to any such Confidential Information, other than as specifically set forth herein. The Parties agree: ( i) to hold the Confidential Information in strict confidence; ( ii) except as expressly authorized in this Agreement, not to disclose any Confidential Information to any third party other than employees and independent contractors of the respective Party who have a need to know the Confidential City Council 13 – 9 6/17/2025
Information for the purposes of this Agreement and who are subject to a confidentiality agreement that affords at least as much protection to the Confidential Information as this Section 5; ( iii) to use the Confidential Information solely and exclusively in accordance with the terms of this Agreement in order to carry out the Party' s obligations and exercise its rights under this Agreement; and (iv) to notify the other Party promptly of any unauthorized use or disclosure of the Confidential Information and to cooperate with and assist the other Party in every reasonable way to stop or minimize such unauthorized use or disclosure.
c. Injunction. The Parties agree that if a court of competent jurisdiction determines that either Party has breached, or attempted or threatened to breach, its confidentiality obligations to the other Party or the other Party' s proprietary rights, the non -breaching Party will be entitled to obtain appropriate injunctive relief and other measures restraining further attempted or threatened breaches of such obligations. Such injunctive relief or other measures will be in addition to, and not in lieu of, any other rights and remedies available to the Party.
6. Client Data
a. The CLIENT shall own all rights, title and interest in and to all of the CLIENT Data and shall have sole responsibility for the legality, reliability, integrity, accuracy and quality of the CLIENT Data. b. MERIDIAN shall follow its commercially reasonable backup procedures for CLIENT Data and said procedure may be amended by MERIDIAN in its sole discretion from time to time based upon best practices. In the event of any loss or damage to CLIENT Data, the CLIENT's sole and exclusive remedy shall be for MERIDIAN to use reasonable commercial activities to restore the lost or damaged CLIENT Data from the latest back-up of such CLIENT Data maintained by MERIDIAN in accordance with the backup procedure described herein. MERIDIAN shall not be responsible for any loss, destruction, alteration or disclosure of CLIENT Data caused by any third party (except those third parties subcontracted by MERIDIAN to perform services related to CLIENT Data maintenance and back-up).
c. MERIDIAN shall, in providing access to the Services, comply with its Privacy Policy relating to the privacy and security of the CLIENT Data available at http://www.merldianks. com/ pdvacystatement/ or such other Policy as may be given to the CLIENT from time to time, as such document may be amended from time to time by MERIDIAN in its sole discretion.
The CLIENT shall not store or process Personally Identifiable Information ( PII) or Personally Identifiable Health Information ( PHI) within the Software. PII is defined as information that can be used to uniquely identify a single individual and may include an individual' s name in combination with a Driver's License, Social Security Number or Credit Card Information. The definition of PII varies depending on international, federal, state and local laws and the definition contained herein shall be used for reference purposes only and shall not be construed as covering all possible City Council 13 – 10 6/17/2025
definitions of PII. PHI is defined as any information that is related to an individual' s health record as defined by the Health Insurance Portability and Accountability Act (HIPAA). e. PHI/ PII Processing - The parties shall comply, and warrant that they have complied, with implementing all applicable data protection and privacy laws and regulations in any relevant jurisdiction (together, the "Data Protection Laws"), and where, in connection with this Agreement, the Software Is processing information related to PHI/PII on behalf of the CLIENT, MERIDIAN shall:
i. Process the PHIIPII only on the written Instructions of CLIENT; ii. Make all reasonable efforts to implement appropriate technical and organizational measures to protect those PHI/PII against accidental or unlawful destruction or accidental loss, alteration, unauthorized disclosure or access, in particular where the processing involves the transmission of data over a network, and against all other unlawful forms of processing; iii. Return or destroy all such personal data promptly upon the termination of this Agreement, or at any time during the term of this Agreement upon written instructions from CLIENT; iv. Not disclose PHI/PII to any person except as required or permitted by this Agreement or with CLIENT' s written consent;
V. Provide full cooperation and assistance to CLIENT in implementing any procedures required in order to comply with data privacy laws to which -CLIENT is subject, as advised by CLIENT from time to time;
vi. Not process PHI/PII except to the extent reasonably necessary to the performance of this Agreement;
vii. Notify CLIENT immediately in the event of any breach of the security of such personal data, and cooperate with CLIENT in any post- breach investigation or remediation efforts; and viii. Notify CLIENT promptly in the event that MERIDIAN is required by law, court order, warrant, subpoena, or other legal or judicial process to disclose any PHI/PII to any person other than CLIENT.
The CLIENT shall make all reasonable efforts to ensure that those Personal Data are accurate and up to date at all times, to the extent that it is within CLIENT's ability to do so.
The Parties hereto agree, that the above warranties relating to PHI and PII are Meridian' s sole responsibilities related to the processing and control of CLIENT PHI and PII.
7. European Union Clients
In the event that CLIENT will access PII originating from a country in the European Economic Area EEA") or from a country outside the EEA, MERIDIAN shall, if requested by CLIENT, will comply with the applicable Privacy Law Legislation in coordination with the European Commission, relating to requirements of the European Union' s Directive on Data Protection. CLIENT warrants that it has the consent of its employees, independent contractors or any other individual whose PII is being processed and/ or transmitted within the Services and MERIDIAN shall have no liability should CLIENT not have received such consent. CLIENT will indemnify, defend and hold MERIDIAN harmless should City Council 13 – 11 6/17/2025
any such individual or group of individuals bring any suit against MERIDIAN for violation of any applicable law.
8. Limited Warranty / Acceptance
a. MERIDIAN warrants that itwill perform the Services in a manner consistent with industry standards reasonably applicable to the performance thereof. MERIDIAN does not warrant that Client's use of the Services will be uninterrupted or error free. The limited warranties set forth in this Agreement do not apply to any deviation by the Software from the specifications set forth in the applicable Schedule that is caused by, or results from, ( i) improper usage of Software APIs ( Application Programming Interfaces) or the introduction/ import of corrupt data into the Software by anyone other than MERIDIAN; ( ii) use of the Services for any purpose other than that authorized in this Agreement; (III) use of the Services in combination with other software, data or products that are defective or incompatible with, or are not authorized by MERIDIAN for use with, the Services; iv) any malfunction of CLIENT's software, hardware, computers or computer -related equipment; v) CLIENT'S failure to use any Updates made available by MERIDIAN; or (vi) an event of Force Majeure (defined below).
b. Meridian does not and cannot control the flow of data to or from the software and other portions of the internet. such flow depends in large part on the performance of internet services provided or controlled by third parties. at times, actions or inactions of such third parties can impair or disrupt customer's connections to the internet ( or portions thereof). although meridian will use commercially reasonable efforts to take all actions it deems appropriate to remedy and avoid such events, meridian cannot guarantee that such events will not occur. accordingly, meridian disclaims any and all liability resulting from or related to such events. the foregoing warranties are made in lieu of all other warranties, express and implied, including, without limitation, any implied warranties of merchantability or fitness for a particular purpose, and any warranties arising out of course of dealing or course of performance. except as expressly provided herein, there is no warranty against interference with client's enjoyment of the software or against infringement, the services are provided "as is;' and meridian disclaims any warranty as to the quality, operation of, access to or use of all or any part of the software and any warranty that (1) the services will operate uninterrupted or error -free, (it) the results arising out of the use of the services will be accurate, complete or error -free, or (iii) the services will meet the needs of client or its clients, agents or suppliers.
c. Acceptance of the Software will be upon the CLIENT' s receipt of the URL from MERIDIAN, where CLIENT will be provided access to the Software.
9. Other CLIENT Obligations
a. The CLIENT shall provide MERIDIAN with:
I. all necessary cooperation in relation to this Agreement; City Council 13 – 12 6/17/2025
ii. all necessary access to such information as maybe required by MERIDIAN in order to render the Services, including but not limited to CLIENT Data, security access information and configuration services;
iii. comply with all applicable laws and regulations with respect to its activities under this Agreement;
iv. carry out all other CLIENT responsibilities set out in this Agreement in a timely and efficient manner. In the event of any delays in the CLIENT's provision of such assistance as agreed by the parties, MERIDIAN may adjust any agreed timetable or delivery schedule as reasonably necessary;
V. ensure that the Authorized Users use the Services and the Documentation in accordance with the terms and conditions of this Agreement and shall be responsible for any Authorized Users breach of this Agreement;
vi, obtain and maintain all necessary licenses, consents, and permissions necessary for MERIDIAN, its employees, subcontractors and/or agents to perform their obligations under this Agreement, including without limitation the Services; vii. ensure that its network and systems comply with the relevant specifications provided by MERIDIAN from time to time; and
viii. be solely responsible for procuring and maintaining its network connections and telecommunications links from its systems to MERIDIAN' S data centers, and all problems, conditions, delays, delivery failures and all other loss or damage arising from or relating to the CLIENT's network connections or telecommunications links or caused by the Internet.
10. Indemnification
a. Each Party (the "Indemnifying Party") agrees to defend the other Party, its affiliates and each of their respective officers, directors, employees, contractors and agents ( each an " Indemnified Party") from and against any action, claim, suit, investigation or other proceeding brought by a third party (a " Claim") to the extent such Claim results from the Indemnifying Party's breach of this Agreement or the negligence, willful misconduct or fraud or violation of law on the part of the Indemnifying Party, its officers, directors, employees, agents or other representatives in connection with this Agreement. The Indemnifying Party will indemnify and hold harmless the Indemnified Parry from any liabilities, losses, damages, judgments, awards, fines, penalties, costs and expenses ( including reasonable attorneys' fees and costs of defense) incurred by or levied against such Indemnified Party as a result of such Claim that infringes any currently existing United States copyright, patent, trademark or trade secret of a third party. b. MERIDIAN will have no obligation to defend CLIENT with respect to any claim, demand, action or proceeding, described herein, that is based upon:
1) use of other than the then -current release of the Software, if infringement could have been avoided by use of the then -current release and the then -current release has been made available to CLIENT; ( ii) use of the Services in conjunction with CLIENT' s data, where use with such data gave rise to the infringement claim; (iii) use of the Services with other software, where use of such other software gave rise to the infringement claim; (iv) use of any Services in a manner inconsistent City Council 13 – 13 6/17/2025
with its documentation; or ( v) use of any Services in a manner that breaches this Contract Agreement. CLIENT will defend MERIDIAN from and against any and all liability, damage, loss or expense ( including reasonable attorneys' fees) arising out of any claim, demand, action or proceeding based on allegations arising as a result of ( i) use of the Services by CLIENT in conjunction with any data, equipment or software not provided by MERIDIAN, where the Services would not itself be infringing or otherwise the subject of the claim; ( ii) use of the Services by CLIENT in a manner not permitted by this Agreement; (ill); ( iv) use of the Services by CLIENT in any unlawful, improper or inappropriate manner or for any unlawful, improper or inappropriate purpose; (v) any claim of infringement of any patent or copyright or misappropriation of any trade secret in which CLIENT or any affiliate of CLIENT has a pecuniary or other material interest; or vi) breach of any of CLIENT's warranties or covenants.
11. Term and Termination
The term of this Agreement will begin on the Effective Date and shall continue for the Initial Subscription Term and, thereafter, shall be automatically renewed for successive periods of twelve 12) months ("Renewal Period"), unless:
i. Either party notifies the other party of termination, in writing, at least sixty (60) calendar days before the end of the Initial Subscription Term or any subsequent Renewal Period, in which case this Agreement shall terminate upon the expiration of the applicable Initial Subscription Term or Renewal Period; or
ii. Otherwise terminated in accordance with the provisions of this Agreement; and the Initial Subscription Term together with any subsequent Renewal Periods shall constitute the entire Subscription Term.
b. Either party may terminate this Agreement immediately upon notice to the other party if such other party materially breaches a provision of this Agreement or Schedule, as applicable, and fails to cure such breach within thirty ( 30) calendar days after receipt of notice of such breach from the non -breaching party. If, in the sole judgment of the non -breaching party, such breach cannot reasonably be cured within such thirty (30) calendar day period, the non -breaching party may, in its sole discretion, grant the breaching party an additional thirty ( 30) calendar day period following the expiration of the first thirty (30) calendar day period in which to cure such breach; provided that the non -breaching party may terminate this Agreement or such Schedule, as applicable, immediately if the breaching party has failed to cure such breach within such second thirty ( 30) calendar day period.
c. Either party may terminate this Agreement immediately upon notice to the other party if such other party ( 1) files for or has filed against it a bankruptcy petition and such petition is not dismissed Within sixty ( 60) calendar days after the filing date, ( ii) becomes insolvent or ( iii) makes an assignment for the benefit of its creditors.
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12. Effect of Termination
a. Upon the expiration or termination of this Agreement, I. all rights granted to CLIENT under this Agreement will immediately terminate; ii. CLIENT will cease any further use of the Services.
b. At MERIDIAN' S request, CLIENT will verify in writing to MERIDIAN that CLIENT has taken the actions described in Section 12(a)( ii). MERIDIAN may destroy or otherwise dispose of any of the CLIENT Data in its possession unless MERIDIAN receives, no later than ten ( 10) business days after the effective date of the termination of this Agreement, a written request for the delivery to the CLIENT of the then most recent back-up of the CLIENT Data. MERIDIAN shall use reasonable commercial efforts to deliver the back- up to the CLIENT within thirty (30) calendar days of its receipt of such a written request, provided that the CLIENT has, at that time, paid all fees and charges outstanding at and resulting from termination ( whether or not due at the date of termination). The CLIENT shall pay all reasonable expenses incurred by MERIDIAN in returning or disposing of CLIENT Data. The accrued rights of the parties at termination, or the continuation after termination of any provision expressly stated to survive or implicitly surviving termination shall not be affected or prejudiced. The rights and obligations of each of the parties set forth in Sections 2, 3, 4, 5, 6, 7, 8, 10, 12, 13, 14, 17, 18, 20, 21, 23, 24 and 25 and any other Section or Statement herein that by its nature is intended to survive will survive the expiration or termination of this Agreement. Any payments owed by CLIENT as of the termination date shall become immediately due and payable.
13. Limitation of Liability
Except in the case of an infringement by client of any of meridian' s proprietary rights, neither party will be liable to the other party for any lost profits, lost data or special, indirect, incidental, consequential or punitive damages of any nature, for any reason, including, without limitation, the breach of this agreement or any termination of this agreement, whether such liability is asserted on the basis of contract, tort (including negligence or strict liability) or otherwise, even if such party has been warned of the possibility of such damages and notwithstanding any failure of essential purpose of any limited remedy of any kind. except as expressly set forth herein, all remedies, including, without limitation, the termination of this agreement and all of the remedies provided by law ( and not excluded pursuant to the foregoing sentence) will be deemed cumulative and not exclusive. in no event will the liability of meridian under this agreement exceed the total fees paid by client hereunder during the twelve ( 12) months prior to the date any claim Is made against MERIDIAN.
14. Government Use/Procurement
MERIDIAN provides the Service and access to the Software for ultimate U.S. Government end use solely in accordance with the following: Government technical data and software rights related to the Service and the Software include only those rights customarily provided to the public as City Council 13 – 15 6/17/2025
defined in this Agreement. This customary commercial license is provided in accordance with FAR
12. 211 ( Technical Data) and FAR 12.212 (Software) and, for Department of Defense transactions, DFAR 252.227- 7015 ( Technical Data — Commercial Items) and DFAR 227. 7202- 3 ( Rights in Commercial Computer Software or Computer Software Documentation). If a government agency has a need for rights not conveyed under these terms, it must negotiate with MERIDIAN to determine if there are acceptable terms for transferring such rights, and a mutually acceptable written addendum specifically conveying such rights must be included in any applicable agreement.
b. Each party shall comply with the export laws and regulations of the United States and other applicable jurisdictions in providing and using the Service and the Software. Without limiting the foregoing: ( a) each party represents that it is not named on any U. S. government list of persons or entities prohibited from receiving exports; and ( b) each Party shall not permit any User to access or use the Service and the Software in violation of any U. S. export embargo, prohibition or restriction.
15. Assignment
CLIENT may not assign or otherwise transfer this Agreement or Its rights and obligations hereunder without the prior written consent of MERIDIAN, which consent will not be unreasonably withheld. Any transaction or series of transactions in which (i) more than fifty percent (50%) of the outstanding voting stock or membership interests of CLIENT are transferred to a third party, or it) all or substantially all of CLIENT' s assets are sold to a third party, will be deemed an assignment of this Agreement. Any purported assignment or other transfer without the consent of MERIDIAN a) will be void and of no force or effect, and (b) will constitute a material breach of this Agreement.
16. Force Majeure
Except for a party's payment obligations hereunder, neither party will be deemed in default of this Agreement to the extent that performance of its obligations, or attempts to cure any breach thereof, are delayed or prevented by reason of any act of God, fire, natural disaster, accident, terrorist attack, act of government, network or telecommunication system failure, sabotage or any other cause beyond the control of such party (" Force Majeure"), provided that such party promptly gives the other party notice thereof. In the event of such Force Majeure, the time for performance or cure will be extended for a period equal to the duration of the Force Majeure but not in excess of six (6) months.
17. Severability
If a court of competent jurisdiction determines that any provision of this Agreement is illegal, invalid or otherwise unenforceable for any reason, such provision will be deemed stricken to the extent City Council 13 – 16 6/17/2025
that it is illegal, invalid or otherwise unenforceable. All remaining provisions will remain in full force and effect and this Agreement will be interpreted as if it had not contained the severed provision.
18. Governing Law
Issues regarding the validity, ownership or enforcement of any copyright, patent, trademark or other proprietary right licensed or sublicensed hereunder will be determined under the applicable law of the United States and the State of California, as applicable. With respect to all other issues, this Agreement will be construed under and governed by the substantive laws of the State of California without resort to conflict of laws principles. Each party agrees that any legal proceeding commenced by one party against the other party under this Agreement will be brought in any state or Federal court having jurisdiction over Orange County, California. Each party submits to such jurisdiction and waives any objection to venue or claim of inconvenient forum. This Agreement will not be governed by the United Nations Convention on Contracts for the International Sale of Goods, the application of which is expressly excluded.
19. Headings
Captions and section headings used herein are for reference purposes only and will not control or alter the meaning of this Agreement as set forth in the text.
20. Waiver
a. A waiver of any right under this Agreement is only effective if it is in writing and it applies only to the party to whom the waiver is addressed and to the circumstances for which it is given. b. Unless specifically provided otherwise, rights arising under this agreement are cumulative and do not exclude rights provided by law.
21. Notices
Any notice required to be given under this agreement shall be in writing and shall be delivered by hand or sent by pre -paid first-class post or recorded delivery post to the other party at its address set out in this agreement, or such other address as may have been notified by that party for such purposes. A notice delivered by hand shall be deemed to have been received when delivered (orrf delivery is not in business hours, at 9 AM on the first business day following delivery). A correctly addressed notice sent by pre -paid first-class post or recorded delivery post shall be deemed to have been received at the time at which it would have been delivered in the normal course of post.
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If to MERIDIAN: With a copy to: If to CLIENT: ATTN: With a copy to:
ATTN: Contracts ATTN: Legal Lori Schneider, HR Clerk of Council Meridian Department City of Santa Ana City of Santa Ana Knowledge Meridian 20 Civic Center Plaza 20 Civic Center Plaza Solutions, LLC Knowledge M- 24 M- 30
80 Iron Point Solutions, LLC P.O. Box 1988 P.O. Box 1988 Circle 80 Iron Point Santa Ana, CA 92701 Santa Ana, CA 92701 Suite 100, Circle
Folsom, CA Suite 100
95630 Folsom, CA
95630
22. No Partnership or Joint Venture
Nothing in this agreement is Intended to or shall operate to create a partnership between the parties, or authorize either party to act as agent for the other, and neither party shall have the authority to act in the name or on behalf of or otherwise to bind the other in any way ( including, but not limited to, the making of any representation or warranty, the assumption of any obligation or liability and the exercise of any right or power). This Agreement shall not prevent MERIDIAN from entering into similar agreements with third parties, or from independently developing, using, selling or licensing documentation, products and/or services which are similar to those provided under this Agreement.
23. Non-Sollcitation
In addition to the obligations set forth in Section 5, during the term of this Agreement and for a period of twelve ( 12) months Immediately following the last occurrence of any introductions, interviews, or provision of services under this Agreement, the PARTIES agree not to solicit or hire, indirectly or directly, in either an employee or independent contractor capacity, any individual who 1) was introduced under this Agreement; III) the PARTIES have interviewed under this Agreement; III) has provided services under this Agreement, or ( iv) the PARTIES or its employees, representatives and or agents have received information about or as the result of any introduction, interview or service provided under this Agreement. Should a PARTY breach this Section of the Agreement in any instance the breaching PARTY will pay the other PARTY an amount of two (2) times the then current annual salary ( including any applicable bonus compensation) of the individual solicited. Said payment will be made within fifteen ( 15) calendar days of the breach as notified in writing by the non -breaching PARTY. The Parties hereto further agree that the limit on liability as defined herein does not apply to this Section 23.
24. Disputes and Arbitration
a. The parties agree that in the event of a dispute or alleged breach they will work together in good faith to resolve the matter internally by escalating it to higher levels of management and, if City Council 13 – 18 6/17/2025
necessary, to use a mutually agreed upon alternative dispute resolution mechanism ( other than arbitration) prior to resorting to arbitration. If the parties are unsuccessful at resolving said dispute or alleged breach, then the parties shall seek arbitration. Except as set forth in Section 5, the parties agree to submit to binding arbitration within six ( 6) months of the last event giving rise to any controversy arising out of this Agreement or involving the construction or application of any of the terms of this Agreement and to waive any statute of limitations to the contrary. Notification to the other party of a written request for arbitration shall comply with Section 22 governing Notices.
Any timely and properly noticed request for arbitration shall be submitted to binding arbitration through the American Arbitration Association pursuant to its Commercial Arbitration Rules. Each party shall pay for its own attorneys' fees and costs for the arbitration. The parties shall split equally the cost of the arbitrator. Both parties are entitled to conduct discovery in accordance with any applicable law. The arbitrator shall apply Virginia and Federal law to the issues presented and shall issue a written memorandum of decision. The decision of the arbitrator shall be final and binding, and the parties waive the right to a jury trial, a trial de novo or appeal except for the purpose of enforcing the arbitrator' s decision. The prevailing party will be entitled to recover reasonable attorneys' fees and costs of any action for enforcement, the amount of any such attomeys' fees and costs award to be determined by the Arbitrator. b. Except as set forth in Section 5 with regard to Injunctive relief, the parties expressly state that it is their intent to arbitrate disputes between them. Therefore, this Agreement shall be construed so as to be consistent with applicable Federal and Virginia law and to be enforceable to the maximum extent allowable by law to provide arbitration as the forum to resolve their disputes. If necessary, any portion of this Agreement that is unenforceable by law shall be stricken, and the arbitrator or the court, as the case may be, shall have the power to reform this Agreement to the extent necessary to comply with applicable law and to give effect to the parties' intent that they shall arbitrate their disputes.
25. Publicity
CLIENT grants MERIDIAN permission to utilize the CLIENT' s trademarks, trade names, or other designations in any promotion, press release or publication subject to CLIENTS advance approval of said promotion, press release or publication. MERIDIAN will provide proposed promotion, press release or publication to CLIENT within a reasonable time but not less than two business days prior to draft being made public. CLIENT will have the right to make any changes that CLIENT deems reasonably necessary.
26, Entire Agreement
a. Except as otherwise provided for herein, this Agreement constitutes the entire agreement between the parties pertaining to the subject matter hereof and supersedes all prior and contemporaneous agreements, negotiations and understandings, oral or written, between the parties with respect to the subject matter hereof. This Agreement will be binding on and inure to the benefit of the legal representatives, successors and permitted assigns of the parties. This Agreement may not be City Council 13 – 19 6/17/2025
modified or refined unless amended by both Parties under a written and signed amendment. The issuance of any additional terms and conditions by either Party hereto included with purchase orders or other documents are null and void. In the event of any conflict between these General Terms and Conditions and a provision of any Schedule, the provision of the Schedule will control, but only with respect to the subject matter of the Schedule.
27. Service Level Agreement and Software Support
The Services provided by MERIDIAN under this agreement are bound by the Service Level Agreement SLA) as described herein. In the case of an SLA violation, the respective remedies described herein will apply. The SLA penalty applicable in any given month is subject to a total cumulative penalty cap of 10% of the current month' s hosting service fees ("Service Credits"), Any Service Credits due under this agreement will be credited promptly but in no event later than the quarter following the calculation of the Service Credit.
MERIDIAN will be provided a ramp up period of ninety ( 90) days from software Go Live ( Production go live date) before any SLA requirements and subsequent remedies go into effect.
System Availability: will mean, with respect to any particular calendar month, the ratio obtained by subtracting Unscheduled Downtime during such month from the total time ( measured in minutes) during such month, and thereafter dividing the difference so obtained by the total time during such month. Represented algebraically, System Availability for any particular calendar month is determined as follows:
System Availability = (
Total Monthly Time — Unscheduled Downtime)
Total Monthly Time
Note: "Total Monthly Time" is deemed to include all minutes in the relevant calendar month excluding minutes of downtime caused by Scheduled Downtime, only to the extent such minutes are included within the Subscription Agreement Term.
MERIDIAN will undertake commercially reasonable measures to ensure that System Availability equals or exceeds 99, 70 % during each calendar month. MERIDIAN will undertake commercially reasonable measures to notify CLIENT in advance of Scheduled Downtime. The timing of Scheduled Downtime is subject to change at MERIDIAN' s sole discretion.
Measurement and Reports: MERIDIAN will monitor System Availability metrics on an ongoing basis.
All measurements of System Availability will be calculated on a monthly basis for each calendar month during the term of this agreement. MERIDIAN shall provide the System Availability report to CLIENT, on an as required basis, when requested by CLIENT. This report will contain performance metrics City Council 13 – 20 6/17/2025
against the System Availability SLA obligations as depicted herein; and specific to unscheduled downtime events only.
Remedies: In the event System Availability is not equal to or greater than 99. 70% for a given month, CLIENT will be entitled to service level credits against its subsequent payment obligations (as set forth in this Subscription Agreement) according to the following chart:
System Availability Available Credit (% of monthly service fee)
99.70% - 100. 00% No Credit.
95.000/6- 99.69% Three percent (3%) of the applicable monthly hosted service fees for the applicable calendar month.
90.00% - 94. 99% Six percent (6%) of the applicable monthly hosted service fees for the applicable calendar month.
89, 99% Ten percent (10%) of the applicable monthly hosted service fees for the applicable calendar month.
CLIENT' s credits under this section are CLIENT's sole and exclusive remedy with respect to any Unscheduled Downtime or any failure by MERIDIAN to meet the Service Availability required by this agreement. The monthly available credit is capped at the lesser of $5, 000 or the total cap as set forth in the System Availability section herein.
1) Exceptions
CLIENT shall not receive any credits in connection with any failure or deficiency Availability caused by or associated with:
I. Force Majeure events beyond MERIDIAN' s reasonable control, including, without limitation, acts of any governmental body, war, insurrection, sabotage, armed conflict, embargo, fire, flood, strike or other labor disturbance, interruption of or delay in transportation, unavailability of or interruption or delay In telecommunications or third parry services, virus attacks or hackers, failure of third party software ( including, without limitation, ecommerce software, payment gateways, chat, statistics or free scripts) or inability to obtain raw materials, supplies, or power used in or equipment needed for provision of this Schedule; ii. Failure of access circuits to the ISP Network, unless such failure is caused solely by MERIDIAN;
iii. Scheduled maintenance and emergency maintenance and upgrades; iv. DNS issues outside the direct control of MERIDIAN;
V. Issues with FTP, POP, or SMTP CLIENT access;
vi. False Schedule breaches reported as a result of outages or errors of any MERIDIAN measurement system,
A. CLIENTS acts or omissions (or acts or omissions of others engaged or authorized by CLIENT), including, without limitation, custom scripting or coding ( e. g., CGI, Pad, HTML, ASP), any negligence, willful misconduct, or use of the Services in breach of MERIDIAN' s Terms and Conditions and Acceptable Use Policy;
City Council 13 – 21 6/17/2025
viii. E- mail or webmail delivery and transmission;
ix. DNS ( Domain Name Server) Propagation; and / or
X. Outages elsewhere on the Internet that hinder access to your account. MERIDIAN is not responsible for browser or DNS caching that may make your site appear inaccessible when others can still access it. MERIDIAN will guarantee only those areas considered under the control of MERIDIAN: MERIDIAN server links to the Internet, MERIDIAN'S routers, and MERIDIAN' S servers.
2) Software Support. MERIDIAN will provide software support as defined below:
i. During Standard Business Hours
ii. Access for up to three (3) named system administrators, provided their successful completion of Meridian' s administrator proficiency training
iii. Help desk support and guidance on the use of existing base product functions. Effort exceeding a total of one ( 1) hour per one function is considered Training and is not included as part of Software Support.
iv. Troubleshooting of CLIENT reported functional and technical issues related to the intended use of the Software.
V. Troubleshooting of third -party or client -developed content, as it relates to successfully launching and tracking in the Software.
To provide effective support for CLIENT submitted support requests, MERIDIAN will categorize issues based upon the issue' s severity level and the time it was received. MERIDIAN may require additional details from CLIENT after initial issue submission to help resolve the issue. Additional details regarding severity levels and response time targets are detailed in MERIDIAN' s Support Policy.
3) Support Exclusions. All other support that is not explicitly defined in Section 2 Software Support in this Schedule is excluded.
4) Credit Request and Payment Procedures.
In order to receive a credit for system availability as defined in Section 27b herein, CLIENT must make a request therefore by sending an email message to [email protected]. Each request in connection with this Schedule must include CLIENT' s account number (per MERIDIAN' s invoice) and the dates and times of the unavailability of CLIENT's Web site and must be received by MERIDIAN within ten ( 10) business days after CLIENT' s Web Site was not available. If the unavailability is confirmed by MERIDIAN, credits will be applied within one week after MERIDIAN' s receipt of CLIENT' s credit request.
Notwithstanding anything to the contrary herein, the total amount credited to CLIENT in a particular month under this Service Level Agreement shall not exceed the total Subscription fee paid by CLIENT for such month for the affected Services. Credits are exclusive of any applicable taxes charged to CLIENT or collected by MERIDIAN and are CLIENT' s sole and exclusive remedy with respect to any failure or deficiency In the Availability of Service.
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28. Insurance
Meridian shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property, which may arise from or in connection with the performance of the work hereunder, and the results of that work by the Meridian, its agents, representatives, or employees..
A. Minimum Insurance Coverage - Coverage shall beat least as broad as:
I. 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 projectllocation ( ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit.
2. Workers' Compensation insurance as required by the State of California, with Statutory Limits, and Employer' s Liability Insurance with limit of no less than $ 1, 000, 000 per accident for bodily injury or disease.
B. Other Insurance Provisions- The insurance policies are to contain, or be endorsed to contain, the following provisions:
f. Additional Insured Status- The City, 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 Meridian including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to Meridian' s insurance (at least as broad as ISO Form CG 20 10 11 85 or both CG 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, Meridian' s insurance coverage shall be primary insurance primary coverage at least as broad as ISO CG 20 01 0413 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Meridian' s insurance and shall not contribute with it.
Notice of Cancellation- Each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City.
Waiver of Subrogation- Meridian hereby grants to City a waiver of any right to subrogation, which any insurer of Meridian may acquire against the City by virtue of the payment of any loss under such insurance. Meridian agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer.
City Council 13 – 23 6/17/2025
C. Acceptability of Insurers- Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best' s rating of no less than A:VII, unless otherwise acceptable to the City.
D. Verification of Coverage- Meridian shall furnish the City with original Certificates of Insurance including all required amendatory endorsements ( or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive Meridian' s obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time.
E. Subcontractors- Meridian shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Meridian shall ensure that City is an additional insured on insurance required from subcontractors.
F. Special Risks or Circumstances- City reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances.
29. Survival
In the event of any termination of the Agreement, Sections 2, 3. 4, 5, 6, 7, 8, 9, 10, 11, 12, 13,
14. 15, 16, 17. 18, 19, 21, 22, 23, 24, 25, 27, and 28 shall survive and continue in effect.
MERIDIAN: CLIENT:
MERIDIAN KNOWLEDGE SOLUTIONS,
L gr ra, limited iabili company
By: { % By:
Printed Name:S el- f 1 A , -Ftrc-1'& 2TP
By:
Name: Kristine Ridge
Title: CkA I5 ' I t T 7 t5'j-(LgT117C" Title: City Manager Or- t c92 Date:
DS , a.5 . ^ oa^ . Date:
Signatures continue on the next page]
City Council 13 – 24 6/17/2025
ATTEST:
Daisy Gomez
Clerk of Council
APPROVED AS TO FORM:
Sonia R. Carvalho
City Attorney
syf u., a A.
Laura A. Rossini
Chief Assistant City Attorney
RECOMMENDED FOR APPROVAL:
son Motsick
Executive Director
Human Resources Agency
City Council 13 – 25 6/17/2025
SCHEDULEI
IMPLEMENTATION SERVICES SET UP AND OPTIONAL SERVICES
STATEMENT OF WORK # SOW- 001
This Schedule One ( 1) Statement of Work (" SOW) defines the implementation Services being provided by MERIDIAN to CLIENT under the terms and conditions of the Software as a Service and Subscription Agreement; in order to enable MERIDIAN to deliver and CLIENT to receive those Software Services; and is executed by and between MERIDIAN and CLIENT.
A. Summary of Scope Implementation Professional Services Standard Deliverable Summary
Meridian LMS software will be delivered to CLIENT preconfigured with standard settings derived from best practices. CLIENT will be provided a limited set of software configurable options that can be personalized to enable the software to meet their business needs (i. e. SCORIA settings, Virtual meeting setup, domain configurations). MERIDIAN will ( 1) work with CLIENT to determine how these options should be configured and ( 2) implement each option based on the set of configurable parameters inherent to the software. Configuration will be limited to the product capabilities outlined in the current version of the MERIDIAN manuals and documentation as well as the scope defined herein.
The following table summarizes the software setup tasks that MERIDIAN will provide on a FFP basis. Details and scope of these services are further defined in Section B herein.
Standard Software Setup Tasks
1. Installation of Meridian LMS Environments 2, Discovery Session/Joint Requirements Development (JRD)
3. Configuration & Branding Application 4. System Integration
5. Production Installation 6. Training
7. Go Live Support
Additional
8. Historical Data Migration 9. Single Sign -On
10. E- Commerce Integration 11. AdHoc Report Builder Implementation
12. Open Sesame Connection 13. HRIS/ User Data Feed
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2. Change Control
CLIENT acknowledges and agrees thata fundamental guiding principle for planning and executing this process, including the establishment of the User requirements, will be the utilization of existing functionality of the Meridian LMS application on an out of the box basis. This functionality will be used to implement and deploy the requirements as defined herein and further by the Requirements documentation to be mutually developed and approved with the CLIENT. The estimated consulting fees and the planned schedule are based on this principle. The purpose of the Change Management process is to ensure that requests for Project changes (to requirements or software configuration) are properly recorded, evaluated/assessed, properly dispositioned, and incorporated into the software implementation scope as required, and schedules with the proper priority and deliverable due dates.
8. Scope Details
MERIDIAN will setup CLIENT' s solution according to the following in -scope details. Each task is documented below, along with the MERIDIAN and CLIENT deliverables associated with each task, assumptions, and the acceptance criteria.
Any additional configurations, or e- learning consulting by MERIDIAN, outside the scope defined herein, can be performed by:
a. MERIDIAN Professional Services on a fixed fee or time and materials basis under a separate change request, or
b. CLIENT upon the completion of MERIDIAN Administration training.
MERIDIAN offers its Direct Labor Rates as depicted herein. Cost estimates for any additional services will be provided to CLIENT upon CLIENT'S request. Upon execution of the Schedule 2 Change Order, defining the additional work to be performed, associated cost and any other relevant information, MERIDIAN will commence work.
1. Standard Setup Tasks: Installation of Meridian LMS Environments.
The purpose of this task is to establish the Meridian LMS pre -production environments that support the software implementation frfecycle as outlined further in this SOW and ensure configuration management between software environments. The following software environments will be installed with out of the box settings as part of this task.
Stage MERIDIAN' S Staging Environment is an environment that is utilized to setup the External) CLIENT software based upon scope defined herein. The Stage environment is available for CLIENT Acceptance Testing, allowing project participants and stakeholders to log in and review overall functionality, implementation configurations, product extensions, and integrations that are applicable.
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2. Standard Setup Tasks: Discovery SessiontJoint Requirements Development (JRD) The purpose of this task is for the facilitation of the Discovery/Joint Requirements Development Session to establish Meridian LMS application branding, system configurations, and integrations.
Furthermore, this session provides high level business process mapping to the Meridian LMS application.
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3. Standard Setup Tasks: Configuration and Branding Application The purpose of this task is to configure and test the Meridian LMS software application based upon the completed and approved Requirements Document as defined in task B. 2 above.
MERIDIAN Deliverables CLIENT Deliverables
Complete the setup of all agreed upon Graphics per branding checklist software application configurations. specifications.
Setup One ( 1) branded Meridian LMS
CLIENT specific skin.
Assumptions Acceptance Critcria
Application Branding — MERIDIAN will Configurations completed and tested per deliver one ( 1) round of final pre -production the Requirements specified in task B.2 skin mock up to the CLIENT for review and above.
approval prior to setup in the Meridian LMS Meridian LMS application CLIENT Branded CLIENT Stage environment. skin configured and tested, per the Application Branding — MERIDIAN will Requirements specified in task B.2 above. deliver one ( 1) round of final pre -production
skin review and changes upon applying to
the Meridian LMS CLIENT Stage
environment.
MERIDIAN will conduct and support five (5)
days of Customer Acceptance Testing for
all tasks defined in section B herein.
4. Standard Setup Tasks: System Integration
The purpose of the following task is to setup the inbound to Meridian LMS HRIS Integration. The HRIS inbound feed transmits employee detail from CLIENT' s HR system to MERIDIAN ( e. g.
Employee Name, Organization, and Job Title).
CLIENT will provide three ( 3) flat files to MERIDIAN, in MERIDIAN' s format, for the inbound processing and loading of HRIS data ( Organizations, Job Titles, User data). The HRIS/ DAILY FEED data ( flat files) must follow the specifications designated in MERIDIAN' s HRIS templates.
Any extension of the file schema' s and/or processing/validation requirements may result in an expansion of scope for this task and may require additional funding. Meridian's tool to process the aforementioned flat files performs the appropriate inserts and updates of Organization Data, Job Titles, then Users, processing all data through the native API' s of Meridian LMS.
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DIAN Deliverables CLIFNT nr
MERIDIAN Base HRIS template. Backfill and delivery of the three ( 3) flat files Configuration of the Meridian LMS HRIS to Meridian for processing: User Data, Tool based upon the completed Organizations, Job Titles.
Requirements Document specified in task
B.2 above.
One preproduction load of a subset of
CLIENT production ready data for CAT
purposes.
One production lead of full user data into
the CLIENT production env
Acceptance Criteria
One-way HRIS integration inbound to the HRIS Tool configured and tested per the Meridian LMS application only. Requirements specified in task B.2 above, Meridian configure the HRIS and load a in the Meridian LMS CLIENT Stage subset of CLIENT production ready user environment.
data in the Meridian LMS CLIENT Stage One ( 1) final data load in Meridian LMS environment for testing purposes. CLIENT Production environment.
MERIDIAN will conduct and support five (5)
days of Customer Acceptance Testing for
all tasks defined in section B herein.
Upon completion of CAT, MERIDIAN will
load a full set of CLIENT production data in
the Meridian LMS CLIENT production
environment.
S. Standard Setup Tasks: Production Installation
The purpose of this task is to complete the installation of the Meridian LMS base application, database, configurations, branding and integrations into the Meridian LMS CLIENT production environment.
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Technical support does not extend to other accessible per the Requirements software or hardware support, data specified in task B. 2 above, integradon/migration or the resolution of base
product issues.
MERIDIAN will conduct and support five (5)
days of Customer Acceptance Testing for all
tasks defined in section B herein.
6. Standard Setup Tasks: Training
The purpose of this task is to provide Implementation Readiness and Administrative training during the project implementation. The description of these trainings and the number of respective days is provided below.
Training Types Definitions
Implementation Readiness Training ( IRT) — two ( 2) days — The purpose of IRT is to level set terminology and provide core system concepts and features as it relates to key decisions that will be required during the Discovery/Joint Requirements Development Session.
Administrative — two ( 2) days — The purpose of Administrative training is to provide the indepth knowledge necessary to support administration system features and functions for the set up and management of the Meridian Learning Management System.
MERIDIAN•
Conduct required training sessions as Provide list of trainees, location(s)7nd depicted herein. training equipment in order to facilitate a Printed Student Guides for up to twelve ( 12) hands-on training and demonstration of people. product features and functionality.
Pre -approval of travel reimbursement, if
Assumptions
onsite instructor led training is required.
Acceptance Criteria
No more than twelve ( 12) people. Delivery of the scoped number of days of Travel costs are not included in the cost. training by type.
Implementation Readiness Training is
provided prior to the Discovery/Joint
Requirements Session.
Administrative Training is typically provided
towards the end of the implementation.
schedule, prior to the Customer Acceptance
Testing initiation; but can be mutually agreed
upon.
A minimum of two (2) weeks' notice is required
prior to the scheduling of training in order to
City Council 13 – 31 6/17/2025
appropriately manage resource schedules and
minimize travel costs/impacts.
End User Training is not provided within the
current scope of services.
Train -the -Trainer Training is not provided
within the current scope of services.
Technical Training is not provided within the
current scope of services.
Training Cancellation Policies
Rescheduling or cancellations may result in a cancellation fee per the following schedule, plus any reasonable and necessary expenses incurred as a result of preparing to deliver the training described herein. Notification of a cancellation or reschedule must be made to MERIDIAN in writing.
More than 20 business days prior to training — 0% of standard Training fee. 11- 20 business days pdorto training start— 25% of standard Training fee. 6- 10 business days prior to training start — 50% of standard Training fee. 0-5 business days prior to training start— 100% of standard Training fee.
7. Standard Setup Tasks: Go -live Support
The purpose of this task is to provide CLIENT support from the initial deployment of configurations, branding, and integrations into the Meridian LMS CLIENT Production environment. This period allows the CLIENT to validate that Meridian LMS application containing all configuration, and integrations into the Production environment. Furthermore, it is the period in which the CLIENT is to finalize administrative configuration settings, new course and content readiness.
City Council 13 – 32 6/17/2025
8. Additional Tasks: Historical Data Migration
The purpose of this task is to provide a Data Migration with the standard Meridian LMS implementation services as depicted herein. The Legacy Data Migration ( migration of user historical transcript data to Meridian LMS), Meridian will support a one-way, inbound, one-time Production data migration to import historical data based on the maximum record set of up to 100, 000 records.
DIAN Deliverables CLIENT e
MERIDIAN Base Data Migration template. Backfill and delivery of the one ( 1) flat Configuration of the Meridian LMS HRIS Tool file to Meridian for processing: User based upon the completed Requirements Data, Transcripts.
Document specified in task B.2 above.
One pre -production load of a subset of
CLIENT production ready data for CAT
purposes.
One production load of full user data into the
CLIENT production environment.
Assumptions Acceptance Criteria
One-way inbound Data Migration into the Data Migration completed and tested per Meridian LMS application only, the Requirements specified in task B. 2 CLIENT cannot change the format of the Data above, in the Meridian LMS CLIENT Migration XLS file template. Stage environment.
Meridian will load a subset of CLIENT One ( 1) final data load in Meridian LMS production ready historical data in the Meridian CLIENT Production environment.
LMS CLIENT Stage environment for testing
purposes.
Content is not included in -scope.
MERIDIAN will conduct and support five (5)
days of Customer Acceptance Testing for all
tasks defined in section B herein.
Upon completion of CAT, MERIDIAN will
perform a one-time full data load of CLIENT
production data in the Meridian LMS CLIENT
production environment.
9. Additional Tasks: Single Sign -On
The purpose of this task is to provide an Active Directory or SAML integration with the Meridian LMS Implementation. Setup is limited to the Meridian LMS application out -of -the -box solution for the integration of Microsoft Active Directory services/ LDAP/SAML 2. 0.
City Council 13 – 33 6/17/2025
MERIDIAN Deliverables
If Active Directory or LDAP: If Active Directory or LDAP:
Map Active Directory (AD) accounts to Provide remote access and credentials Meridian LMS using " sAMAccountName" or to access AD/LDAP for application other unique identifier. Business Logic to query for
Establish service to query AD. authentication.
Configure IPsec tunnel. Validate AD access in Meridian LMS If SAML 2. 0: CLIENT Stage and Production
Configure SAML Assertion Authentication. environment.
Configure digital certificate for SAML signature SAML 2. 0:
validation. Provide SAML Authentication
Configure SSL certificate for Meridian LMS environment. site. Provide digital certificate to enable
SAML digital signature on Meridian LMS
hosting server.
Provide SSL certificate to enable
secured communication between
Meridian LMS and Authentication
provider.
Validate SAML access in Meridian LMS
CLIENT Stage and Production
environment.
AsSUMPtIOTIS Acceptance Criteria
Alternate or multiple Directory Services are out AD/LDAP/SAML integration/access of scope. validated in Meridian LMS CLIENT
Single Sign -On mechanism must be Stage and Production environments; and utilized/enforced across all domains. per the Requirements specified in task SAML 2. 0 Assertion integration assumes user B. 2 herein. accounts already exist in Meridian LMS and
UID attributes of SAML assertion properly
maps to the Meridian LMS Login ID.
MERIDIAN will conduct and support five ( 5)
days of Customer Acceptance Testing for all
tasks defined in section B herein.
10. Additional Tasks: eCommerce Integration
The purpose of this task is to provide E- Commerce integration with the Meridian LMS implementation. The Meridian LMS application has native and standard integration capabilities with CyberSource, PayPal, Digital River, Authorize. Net and Elavon' s e- commerce engine.
Meridian will support the configuration and setup of one integration to work with Client' s respective merchant account.
City Council 13 – 34 6/17/2025
eCommerce functionality with Client's account
one ( 1) Payment Gateway only).
Merchant Account credentials to support the
required configurations of the Merchant Account
to be used/integrated with the Meridian LMS
application' s a -commerce functionality.
Limited to one ( 1) payment Gateway only: TBD
Any other Payment vendors requiring integration
are not covered under this scope of work.
MERIDIAN will conduct and support five (5) days
of Customer Acceptance Testing for all tasks
defined in section B herein.
11. Additional Tasks: AdHoc
Provide MERIDIAN with the
applicable Merchant Account
credentials.
CLIENT validation of a successful
transaction of purchase through ecommerce functionality into the live Merchant account.
Confirmation that the e-commerce
functionality has been correctly
configured and is functioning with
Customer's account information, and
in the Requirements specified in task
B.2 herein.
The purpose of this task is to install and setup the standard AdHoc reporting module for the CLIENT. Setup is limited to the Meridian LMS out of the box solution for AdHoc module that includes identified base product views and data object relationships.
12. Additional Tasks: Open Sesame Integration
City Council 13 – 35 6/17/2025
The purpose of this task is to configure and connect to the CLIENT' s Open Sesame account of courseware. Setup is limited to the Meridian LMS out of the box solution.
MERIDIAN Deliverables CLIENT Deliverables
Configuration of the Meridian LMS application. Provide MERIDIAN all requested account information.
Assumptions Acceptance Criteria
MERIDIAN will create all needed configurations Confirmation that the Meridian Open and database updates. Sesame functionality has been correctly configured and is functioning per
the Requirements.
13. Additional Tasks: HRISIUser Data Feed
C. Project Schedule
The scope of the implementation services as depicted herein is limited to a one ( 1) phase software deployment, estimated to take sixteen ( 16) weeks.
Schedule is dependent on CLIENT's ability to:
1. Complete all Discovery and Planning activities per the mutually agreed upon baselined Project Plan, Including but not limited to:
a. Data Template Completion.
2. Provide Configuration and Integration Requirements in a timely manner.
3. Provide feedback on all loaded data in a timely manner.
4. Execute Customer Acceptance Testing activities per the agreed upon Project Plan.
A draft Project Plan will be provided within one ( 1) week after the Project Kick -Off date. The detailed Project Plan is subject to modification during the software implementation lifecycle with the mutual agreement of both the CLIENT and MERIDIAN.
D. Roles and Responsibilities
MERIDIAN and CLIENT agree to staff the Project at levels and conditions as set forth in the mutually agreed upon Project Plan. At a minimum, across all tasks as defined in section B. 2 above, the Project will be staffed as follows:
City Council 13 – 36 6/17/2025
MERIDIAN Resources
Role Responsibilities
Acts as Meridian's single Deployment Project Management point of contact Stages. experience managing
throughout the project. Discovery. teams, issues,
Develops and manages Execute. project schedules
project plan. Deploy. and financials.
Manages project issues Warranty. Meridian LMS
and mitigates risk on Workstreams configuration skills. behalf of Meridian. Project Mgmt. Process definition
Prepares for and Software skills.
conducts status Setup.
meetings. Meridian
Provides status reports University.
and financial tracking.
Project Manager Conducts Requirement
Confirmation Workshops.
Participates in and
coordinates design,
configuration,
development, testing and
deployment activities.
Note: In most cases, the
Meridian Project Manager is
not fully dedicated to one
specific customer
deployment since the
responsibility does not
require a full-time resource.
Conduct Requirement Deployment Meridian LMS
Confirmation workshops Stages. product features &
to gather in -scope Discovery. functionality expert.
product extension Execute. Industry Business
Technical Solutions
requirements for Warranty. Process expert.
Architect complex projects only. Workstreams SQL database skills.
Drives the joint project Software SQL query skills.
team to a solution to Setup. Process definition
meet all requirements in skills,
the most efficient and Data analysis skills.
constructive manner.
City Council 13 – 37 6/17/2025
Participates in execution Data conversion
of software development skills.
and testing activities.
Facilitates end -user and Deployment Meridian LMS
system admin Stages. product configuration
Requirements Gathering Discovery. skills.
Sessions. Execute. In-depth Industry and
Confirms configuration Deploy. process knowledge.
requirements. Warranty. SQL query skills.
Identifies gaps and Workstreams. Process definition
Implementation works with integrated Software skills.
Consultant team to develop Setup. Data analysis skills. resolutions.
Performs data
conversion and migration
activities.
Configures and tests
software per defined
requirements.
Establishes technical Deployment Meridian LMS
environments. Stages. development expert.
Extends software for Discovery. SQL database skills.
requirements not Execute. SQL query skills.
Application supported by out -of -the- Deploy. NET development Developer box features & Warranty. skills.
configurations. Workstreams. Meridian LMS
Configures/ Develops Software technical
integrations with the Setup. infrastructure skills.
product per defined
requirements.
Analyzes and assesses Workstreams. In-depth Industry
client's maturity level and Post knowledge,
skill sets. Deployment. In-depth knowledge
Assesses client' s of industry best
Account Manager business processes and practices.
goals. Strategic planning.
Creates Project/Account
recommendations to Management.
drive the maturity and
the business forward.
City Council 13 – 38 6/17/2025
Establishes and tracks Process definition
strategic initiatives. and development
skills.
Enablement and
communications
expert.
Delivers Implementation Deployment Meridian LMS
Readiness and LMS Stages. product features &
Administrator training. Discovery, functionality expert.
Tailors training delivery Execute. In- depth knowledge
Meridian Trainer
to meet customer's WOrkstreams of industry best
business requirements Meridian practices.
and/or configuration University.
decisions.
Finalizes training
logistics.
E. Cost Estimate
Item Description
Standard Software Setup
Cost
28,875,00
Training 6, 000. 00
Historical Data Migration 14, 190. 00
Single Sign -On 4, 960.00
eCommerce Integration 6, 270. 00
HRIS/User Data Feed 10,066.00
AdHoc Setup 4, 290. 00
Open Sesame Integration 1 320. 0
Total Software Set up Fees 1 $ 75,960. 00
ASSUMPTIONS:
1. All Services are an estimate based on the understanding of the scope of work. Implementation Services may vary based on increased domains, user audience, and scope, or time changes.
Any additional Services that are identified through the workbook process ( additional modifications, integrations, professional services support or consulting) can be added to this Agreement as needed or in a later CO SOW.
City Council 13 – 39 6/17/2025
2. All pricing for additional scopes of work is valid for ninety (90) calendar days from the date of submission to the CLIENT.
3. Travel costs are not included in the Cost Estimate and will be invoiced per MERIDIAN' S current travel guidelines.
F. Out of Scope
The following is currently deemed outside of the scope for this implementation:
Migrations, integrations, modifications to the system that are not explicitly included in the scope of this SOW.
Custom reports, localization, documentation, or online help.
Content cleansing, migration, or uploading unless specifically identified.
Consulting or professional services not specified in the implementation tasks ( i. e. courseware development, courseware troubleshooting, SCORM, HW/SW configurations or internal network setup or maintenance).
Advanced Graphical design or other advanced ( e. g. flash) GUI support.
Editable training materials such as instructor and student guides.
G. Change Management
MERIDIAN recognizes that changes are a normal part of the project life cycle. Changes to the scope or timeline of the Services contemplated by this Agreement will require a formal Change Order Statement of Work ("Schedule 2") to be submitted by the MERIDIAN Project Manager to the CLIENT. Changes in scope may Include an increase in cost and/or timeline and will be specified in each change request. Prior to beginning the change request, CLIENT must execute the Schedule 2 Change Order. MERIDIAN requires formal change acceptance before beginning work on any changes. Changes within the defined scope of the contract need approval by the CLIENT Project Manager and the MERIDIAN Project Manager. Acceptance for scope changes, are given when both the CLIENT Project Manager and the MERIDIAN Project Manager formally approve the change by signing off on Schedule 2 so that miscommunications are avoided. Project change procedure is as follows:
I. Identify change ( can originate from the CLIENT Project Manager or the MERIDIAN Project Manager);
ii. MERIDIAN completes Change Request Form;
III. MERIDIAN Project Manager determines the impact of the proposed change ( schedule, resources, time, and/or cost);
iv. MERIDIAN Project Manager submits Schedule 2 to the CLIENT Project Manager for review/approval.
V. MERIDIAN Project Manager receives approval from the CLIENT Project Manager within three ( 3) business days; and
vi. MERIDIAN Project Manager modifies or, if necessary, re -baselines the Project Schedule and Plan to include the approved change.
City Council 13 – 40 6/17/2025
vii. Work begins as agreed upon to incorporate change; or, viii. MERIDIAN Project Manager works with the CLIENT Project Manager to either adjust the requirements or revise the workload distribution, documenting all changes on a revised Change Request Form.
Change Management Criteria are as follows:
I. Any change that is outside the scope of effort defined in Schedule 1; ii. Any additional deliverable or service not defined in Schedule 1, or changes to an accepted deliverable;
iii. Any subsequent modifications to an approved Change Request; iv. Modifications to the technical or management approach defined in Schedule 1; V. Any change in workload or environment or application inventory; vi. Any additional activity or task not defined in Schedule 1 for a planned deliverable; vii. A contradiction to items, assumptions or responsibilities stated in Schedule 1; viii. A delay in turnaround of approvals, information, answers to questions; and ix. Time lost due to reasons such as unavailability of equipment, software, or access to environment/infrastructure needed by the project team.
H. Acceptance Management
In an effort to avoid schedule delays stemming from delayed approvals of dependent tasks, MERIDIAN and CLIENT will mutually define a reasonable acceptance review period that does not jeopardize the project duration as outlined within the project management support period. Delays in accepting project deliverables could result in a schedule slippage equaling as much as one day for every day acceptance review is delayed. Below are the methods used to verify and validate each of the defined deliverable(s).
I. Deliverable Review and Approval. MERIDIAN will provide deliverables to the CLIENT.
Documentation deliverables will be provided to CLIENT in electronic form. A Deliverable Acceptance Form will be submitted to the CLIENT Project Manager for each deliverable.
CLIENT will provide MERIDIAN with one set of consolidated comments. MERIDIAN will provide a CLIENT Quality Control (QC) sheet that may help the CLIENT collate all comments prior to delivering to MERIDIAN. The deliverable will be deemed acceptable when it satisfies the acceptance criteria specified for each deliverable or service or within ten ( 10) calendar days if no response is received. The Deliverable Acceptance will be signed and returned to MERIDIAN upon review of the deliverable within the mutually defined period as stated upon under acceptance management. In the event that the CLIENT rejects a deliverable, MERIDIAN will resubmit the deliverable to the CLIENT with the required changes within a mutually agreed upon timeline.
ii. Acceptance Authority. CLIENT will specify a single point of contact with deliverable acceptance/ sign off authority. Sign off acceptance is required for deliverable by the approving authority, prior to moving any customizations to the production site. iii. Withholding Acceptance. CLIENT shall not unreasonably withhold acceptance. If Acceptance is not granted or rejected within the mutually agreed upon timeframe, automatic City Council 13 – 41 6/17/2025
Acceptance will be granted. In the event that failure to provide Acceptance extends the timeframe of the implementation activities within the respective Schedule 1, CLIENT may be liable for additional Project Management time in order to extend the schedule. iv. 30 Day Post -Delivery Warranty. After sign -off approval has been received, and MERIDIAN has delivered the files, CLIENT will have thirty ( 30) calendar days in which to report any production errors to the Project Manager. MERIDIAN will assess the error and correct as long as the error is within the scope of the original task completed. After thirty (30) calendar days from the date the files were delivered to the CLIENT, MERIDIAN will provide a cost estimate for any errors/revisions requested unless those costs are covered under separate sections of this Agreement. This warranty is only in terms of the work performed under the Exhibit A.
I. Invoicing Schedule
MERIDIAN will invoice Services based on the following deliverable milestones within the implementation timeline.
i. Contract Execution [30%] — Upon Contract Execution, thirty percent (30%) of the SOW fee will be invoiced.
ii. Delivery to CLIENT Stage Environment [ 40%] — At the point of all programmatic deliverables being released to the CLIENT Stage Environment for CLIENT review, the second forty percent (40%) of the SOW fee will be invoiced.
III. Delivery to Production [ 30%] — At the point of all programmatic deliverables being delivered for application to the Production Environment, thirty percent (30%) of the SOW fee will be invoiced.
J. Additional Services — Labor Rates
Labor Category
Application Architect I
2021 Commercial Rate
194. 12
Application Architect II 222. 33
Application Architect III 250. 54
Application Developer 1 143.67
Application Developer II 193. 58
Labor Category
Application Developer III
2021 Commercial$
225. 37
Computer Programmer 89. 60
Computer Systems Analyst I 81.91
Computer Systems Analyst 11 119. 55
Computer Systems Analyst IF, 176. 74
Functional IT Consultant 1 156. 57
Functional IT Consultant II 184. 67
Functional IT Consultant III 186. 85
City Council 13 – 42 6/17/2025
Functional rr Consultam IV $ I 237.21
Functional ITConsultant V5333. 36 Information
Technology Director 226. 59 Information
Technology Director ll254. 31 Information
Technology Director III 305. 17 Principal
IT Reengineering Analyst 207. 82 Principal
Systems Engineer/Architect 189. 09 Program
Manager 291. 69 Project
Manager 165. 17 Project
Manager ll185. 19 Project
Manager 111 222. 21 Project
Manager IV245. 86 QA/
QC Specialist192. 48 QA/
QC Specialist II246. 19 QA/
qC Specialist III 190. 02 Sen'
or"'Re- engineering Analyst 140. 42 Software
Testing Engineering 138. 48 Software
Trainer 130. 80 Sr.
Technical Documentation Specialist 156. 59 Sr.
Quality Analyst 229. 28 Web
Designer189. 79 Web
Designer 11109. 75 Web
Designer 111129. 71 K.
Authorization By
signing below, CLIENT is authorizing MERIDIAN to move forward with the development andtesting of the requested functionality, as detailed within this document. CLIENT agrees that the requirements, as documented herein, meet or exceed the expectation ofthe requested functionality. Once signed, this page should be faxed or emailed to Meridian Knowledge Solutions, LLC: To the attention of: Contracts Fax #:
703. 322. 9568 Email
legal aAtrustvin.com
City Council 13 – 43 6/17/2025
MERIDIAN: CLIENT:
MERIDIAN KNOWLEDGE SOLUTIONS, 1- LC, CtgofSarftArra
a Virginia, limited liability cc pany
a
BY: „
t 1 • l—fi2 60 J[ ZZPrinted Name: ri3 ' ne, KIat F, Printed Name: S Title-G•r / 1ea+wgar a Title: C- H L FF I4fl M IN t'> T2r4TI0t5 Date: t
Date: FPI C&<
ATTEST:
alsy, Gomez
Clerk Council
APPROVED AS TO FORM:
Sonia R. Carvalho
City Attorney
Laura k. Rossini
Chief Assistant City Attorney
RECOMMENDED FOR APPROVAL:
ZZ-= -
J90on Motsick
Executive Director
Human Resources Agency
City Council 13 – 44 6/17/2025
SCHEDULE2
Software as a Service Subscription Term and Fees
Subscription Term and Fees
a. Software: Meridian LMS
b. Modules/Components. The following additional modules and components are included/enabled:
i. Dominknow
iL Ad Hoc Report Builder
III. Optional Content Add -on, OpenSesame Plus 100: $ 47,055 per year on a 3- year term discounted by 2% if paid all three ( 3) years in advance). c. Languages. The following language packs are included/enabled:
i. English ( US) [ included]
d. Initial Subscription Term
The initial term of this subscription will be 3 years commencing from the Effective Date of this Agreement.
e. Renewal Period Terms
Upon expiration of the Initial Subscription Term, this Agreement will be renewable in subsequent one- year terms based on the then current pricing for the Applications. Modules/Components, and Languages listed above.
f. Number of Authorized Users. Maximum of 1500 internal active users Authorized Users" is defined as the total number of user accounts that have access to the system during the annual subscription term.
g. Additional User Subscription Fees
Additional "Authorized Users" can be added at any time during the Initial Term or Renewal Period Terms based on the then current Subscription pricing for additional users h. Bandwidth and Storage
The following bandwidth and storage limitations are included as part of this Agreement. Any additional bandwidth or storage required by CLIENT will be subject to current published price list.
Bandwidth: 100GB/month ( 1. 2 TS/ annually— measured annually) Additional content storage is priced at $ 500 annually for 100 GB.
Bandwidth will be measured based upon total in/out traffic. Bandwidth will be monitored on a monthly basis in relation to the commitment levels, however bandwidth will be City Council 13 – 45 6/17/2025
measured based upon total usage over the annual term. Overage fees may apply go consuming more bandwidth.
Subscription Fees
The following subscription fees apply to this Agreement: If annual subscription fees for multiple years of the Initial Subscription Term are paid in advance and the CLIENT cancels in accordance with the General Terms and Conditions § 11( b) after the first year of the Initial Subscription Term but prior to the start of the next annual term, the remaining subscription fee for the Initial Subscription Term will be refunded to the CLIENT.
Subscription Fees
Period of performance Fees Invoice date
5/ 18/2022 — 6/ 30/2022 3, 576.89 On execution
7/ 1/ 2022 — 6/ 30/2023 30,362.00 On execution
7/ 1/ 2023 — 6/ 3012024 30,362.00 On execution
711/ 2024 — 6/ 30/2025 30, 362.00 On execution
Total subscription fees for 3 years and 43 days: $ 94,662. 89 Setup Fee
The following set up fees apply to this Agreement, and are defined in Schedule One ( 1) of this agreement: $ 75,960
Signatures are on the next page]
City Council 13 – 46 6/17/2025
MERIDIAN: CLIENT:
MERIDIAN KNOWLEDGE SOLUTIONS, City of Santa Ana
LLC, a Vir inia, limited liability company / -
C` By: Ss
Printed Name: Kr;gj; nt (, d e
By: / Title:GA, AdLA04 e
Printed Name: r ftI°F4C 1 M'•-) YCf 6 3t2CDate: 0
Title: Cl—)I EH I JM IN I5Tx(4-rtQ 5
Date: Or-+rjCkF4 ATTEST:
Daisy Gomez
Clerk of Council
APPROVED AS TO FORM:
Sonia R. Carvalho
City Attorney
By:rf0AAna
Laura A. Rossini
Chief Assistant City Attorney
RECOMMENDED FOR APPROVAL:
J soon Motsick Executive Director
Human Resources Agency
City Council 13 – 47 6/17/2025
CHANGE ORDER TO SCHEDULE 1
STATEMENT OF WORK # CO- 001 ( TEMPLATE)
IMPLEMENTATION OF THE MERIDIAN LMS
FOR City of Santa Ana
This is a Change Order to Schedule 1 — Statement of Work # SOW-001, dated May 17, 2022 , and defines changes to the work to be provided under the terms and conditions of the Contract Agreement signed between MERIDIAN and CLIENT.
A. Effective Date of this Change Order
This Change Order is effective upon its execution by MERIDIAN and CLIENT. The estimated Change Order commencement date is May 17, 2022,
B. Summary of Changes to the Scope of Implementation Professional Services CLIENT has requested the following changes to the LMS implementation in support of Additional content add -on.
C, Authorization
By signing below, CLIENT is authorizing MERIDIAN to move forward with the development and testing of the requested functionality, as detailed within this document. CLIENT agrees that the requirements, as documented herein, meet or exceed the expectation of the requested functionality.
Once signed, this page should be faxed or emailed to Meridian Knowledge Solutions, LLC:
To the attention of: Contracts
Fax #: 703- 322-9568
Email conlractsCcDmeridianks corn
City Council 13 – 48 6/17/2025
SIGNATURE PAGE
MERIDIAN:
MERIDIAN KNOWLEDGE SOLUTIONS, LLC,
a Virginia, limited liability company
By:
Printed Name:
Title:
Date:
CLIENT:
City of Santa Ana
Printed Name: Krigknc , e
Title: C; 41 ^ lletyteof Date: _ (
ATTEST:
Daisy Gomez
Clerk of Council
APPROVED AS TO FORM:
Sonia R. Carvalho
City Attorney
By.
Laura A. Rossini
Chief Assistant City Attorney
FOR APPROVAL:
Z- Z -
Ja n o sicc
ecutive Director
Human Resources Agency
City Council 13 – 49 6/17/2025
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SFQSFTFOUBUJWF 2:99.3126!BDPSE!DPSQPSBUJPO/!!Bmm!sjhiut!sftfswfe/ BDPSE!36!)3127014* City Council Uif!BDPSE!obnf!boe!mphp!bsf!sfhjtufsfe! 13 – 50nbslt!pg!BDPSE 6/17/2025 City Council 13 – 51 6/17/2025
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THIS IS NOT AN INVOICE
TO: Sofia Style | City of Santa Ana
Quote Date: 6/5/2025 Quote Expiration: 7/1/2025
Two Year Option for Service Annual Cost
ANNUAL TOTAL COST FOR 1,600 USERS – Year 1 – 7/1/2025 – 6/30/2026 $76,069.44 Annual SaaS fee for 1,600 Users $34,005.44
Open Sesame Plus 25 for 1,600 Users $42,064.00
ANNUAL TOTAL COST FOR 1,600 USERS – Year 2 – 7/1/2026 – 6/30/2027 $76,069.44 Annual SaaS fee for 1,600 Users $34,005.44
Open Sesame Plus 25 for 1,600 Users $42,064.00
*Taxes - If applicable will be calculated and added to each annual invoice Meridian Knowledge Solutions, LLC
By (Signature)
Print Name
Title
Date
CLIENT: City of Santa Ana
By (Signature)
Print Name
Title
Date
City Council 13 – 71 6/17/2025
Human Resources Department
www.santa-ana.org/hr
Item # 14
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
June 17, 2025
TOPIC: Online Recruitment, Onboarding, and Performance Evaluation Software Services
AGENDA TITLE
Agreement with Governmentjobs.com Inc. dba NEOGOV for Online Recruitment, Onboarding, and Evaluation Software Services (Specification No. 25-044) (General Fund)
RECOMMENDED ACTION
Authorize the City Manager to execute an agreement with Governmentjobs.com Inc. dba NEOGOV to provide online recruitment, onboarding, and performance evaluation software services in an annual amount not to exceed $85,000 for the first year. The Agreement will allow for automatic renewal of each annual contract term until terminated.
Funding for annual subscription cost increases is not to exceed ten percent (10%) annually for a term beginning July 01, 2025 (Agreement No. A-2025-XXX).
GOVERNMENT CODE §84308 APPLIES: Yes
DISCUSSION
The City of Santa Ana Human Resources Department Operations Division supports the full life cycle of an employee, from candidate to retiree. The Operations Division is responsible for conducting the City’s recruitment and selection, administration of employee benefits, and performance management support. NEOGOV is the public sector industry-standard provider of Human Resource Management System (HRMS) products and services, with a majority of the surrounding municipalities subscribed to NEOGOV's HRMS suite of products.
NEOGOV offers industry leading HRMS online platforms and software available on the market, and is exclusively and fully integrated with Governmentjobs.com, the industryleading public sector job board. Since 2011, the City has utilized NEOGOV and Governmentjobs.com to competitively source and acquire talent for all of its recruitment needs. In addition to applicant tracking, the City also subscribes to NEOGOV’s Onboard and Perform modules, which are integrated with the City's Human Resources Information System for unified position control and employee data maintenance. Transitioning to a different HRMS provider would disrupt this integration and eliminate the City’s ability to City Council 14 – 1 6/17/2025
Approve Agreement for Online Recruitment, Onboarding, and Performance Evaluation Software Services
June 17, 2025
post jobs and receive applications through Governmentjobs.com, significantly reducing competitiveness in attracting qualified public sector candidates.
Santa Ana Municipal Code, Section 2-807(d), authorizes the City to make non-bid purchases of services, supplies, materials, and equipment whenever it shall appear that there is only one reasonably available source. Staff evaluated alternative procurement options and product offerings in the market and determined that the products and services offered by NEOGOV meet and exceed Human Resources Department specifications.
Furthermore, staff is requesting the ability to automatically renew the contract annually, as Governmentjobs.com, Inc., dba NEOGOV is the industry leader in public sector HRMS systems, and due to its comprehensive offerings.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
Funding is included in the proposed FY 2025-26 budget, and funding for subsequent fiscal years will be incorporated into future proposed budgets for City Council consideration.
Accounting Unit -
Account Number
Fund Description Accounting Unit -
Accounting Description
Amount
01109050-66511 Human Resources
Services
Computer Software
Subscriptions
$85,000
EXHIBIT(S)
1. Consultant Services Agreement
2. NEOGOV Rates for Fiscal Year 2025-2026
Submitted By: Lori Schnaider, Executive Director, Human Resources Department Approved By: Alvaro Nuñez, City Manager
City Council 14 – 2 6/17/2025
1 SERVICES AGREEMENT
V011025
You agree that by placing an order through a NEOGOV standard ordering document such as an “Order Form”, “Service Order,” “Ordering Document,” “SOW,” “Invoice” or other document mutually agreed by the parties detailing the services, pricing and subscription term (each, an “Order Form” for purposes of this Agreement), you agree to follow and be bound by the terms and conditions set forth herein. “Governmentjobs.com”, “NEOGOV”, “we”, and “our” means Governmentjobs.com, Inc. (D/B/A/ NEOGOV), for and on behalf of itself and its subsidiaries PowerDMS, Inc., Cuehit, Inc., Ragnasoft LLC (D/B/A/ PlanIT Schedule), and Design PD, LLC (D/B/A Agency360) (collectively, “NEOGOV” and, where applicable, its other affiliates); “Customer”, “you”, “your” means the NEOGOV client, customer, and/or the subscriber identified in the Order Form). “Services Agreement” or the “Agreement” shall be used to collectively refer to this NEOGOV Services Agreement, documents incorporated herein including the applicable Order Form, each Addendum (as applicable), and Special Conditions (if any). “Addendum” means each Addendum set forth either as an Exhibit hereto or otherwise made available at https://www.neogov.com/service-specifications (the “NEOGOV Site”) and, as applicable, made a part of this Agreement. “Special Conditions” means individually negotiated variations, amendments and/or additions to this Service Agreement of which are either drafted, or incorporated by reference, into the Order Form.
1. Provision of Services. Subject to the terms of this Agreement NEOGOV hereby agrees to provide Customer with access to its SaaS Applications and Professional Services (each defined below) included or ordered by Customer in the applicable Order Form (collectively referred to as the “Services”). In addition, to the extent NEOGOV provides Customer with access to additional NEOGOV software in order to access Customer Data (as defined below) or otherwise enhance product implementation or functionality, Customer’s use of such software will be deemed to be part of the Services and the terms and conditions of this Agreement shall apply. Customer hereby acknowledges and agrees that NEOGOV’s provision and performance of, and Customer’s access to, the Services is dependent and conditioned upon Customer’s full performance of its duties, obligations and responsibilities hereunder. This Agreement entered into as of the earlier of: (i) date of your signature on an applicable Order Form; or (ii) use of the Services commences (the “Effective Date”). The Agreement supersedes any prior and contemporaneous discussions, agreements or representations and warranties.
2. SaaS Subscription.
a) Subscription Grant. “SaaS Applications” means each proprietary NEOGOV web-based software-as-a-service application that may be set forth on an Order Form and subsequently made available by NEOGOV to Customer, and associated components as described in any written service specifications made available to Customer by NEOGOV (the “Service Specifications”). Subject to and conditioned on Customer’s and its Authorized Users’ compliance with the terms and conditions of this Agreement, NEOGOV hereby grants to Customer a limited, non-exclusive, non-transferable, and nonsublicensable right to (i) onboard, access and use, and to permit Authorized Users to onboard, access and use, the SaaS Applications specified in the Order Form solely for Customer’s internal, non-commercial purposes; (ii) generate, print, and download Customer Data as may result from any access to or use of the SaaS Applications; and (iii) train Authorized Users in uses of the SaaS Applications permitted hereunder (these rights shall collectively be referred to as the “SaaS Subscription”). “Authorized Users” means (1) Customer employees, agents, contractors, consultants (“Personnel”) who are authorized by Customer to access and use the Services under the rights granted to Customer pursuant to this Services Agreement and (2) for whom access to the Services has been purchased hereunder. You shall not exceed the usage limits (if any) as detailed in the user tier in the applicable Order Form. You may not access the SaaS Applications if you are a direct competitor of NEOGOV or its affiliates. In addition, you may not access the SaaS Applications for purposes of monitoring their availability, performance, or functionality, or for any other benchmarking or competitive purposes. You shall be responsible for each Authorized User’s access to and use of the SaaS Applications and compliance with applicable terms and conditions of this Agreement.
b) Subscription Term. Unless otherwise specified in an applicable Order Form, SaaS Subscriptions shall commence on the Effective Date and remain in effect for twelve (12) consecutive months, unless terminated earlier in accordance with this Agreement (the “Initial Term”). Thereafter, SaaS Subscriptions shall automatically renew for successive twelve (12) month terms (each a “Renewal Term” and together with the Initial Term, collectively, the “Term”) unless a party delivers to the other party, at least thirty (30) days prior to the expiration of the Initial Term or the applicable Renewal Term, written notice of such party’s intention to not renew the SaaS Subscriptions, or unless terminated earlier in accordance with this Agreement. The Term for the Services is a continuous and non-divisible commitment for the full duration regardless of any invoice schedule. The purchase of any Service is separate from any other order for any other Service.
Customer may purchase certain Services independently of other Services. Your obligation to pay for any Service is not contingent on performance of any other Service or delivery of any other Service.
Docusign Envelope ID: 4F711A08-6576-4765-B50B-29AAF403F8AD City Council 14 – 3 6/17/2025
2 3. Customer Responsibilities.
a) Managing the Subscription. Customer may use the Service in a manner consistent with the terms of this Agreement.
Customer will provide NEOGOV all information needed to process the Order Form to activate the subscription and provision the Service to the Customer.
b) Managing Authorized Users. Customer is responsible for managing the Authorized Users on its account on the Service. i) Invitations and Permissions. Customer is responsible for determining which persons to invite to join the Customer’s account on the Service and for all actions by Authorized Users on Customer’s account on the Service. Customer is solely in control of the individual permissions on the Customer’s account. ii) Customer Obligations. Customer must: (A) obtain any rights, permissions, or consents that are necessary for the Authorized User’s lawful use of Customer Data and the operation of the Service; (B) ensure that the transfer and processing of Customer Data under the Agreement is lawful; and (C) respond to and resolve any dispute with an Authorized User relating to or based on Customer Data, the Service, or Customer’s failure to fulfill its obligations under the Agreement or applicable law. Customer will not, and will ensure its Authorized Users do not (a) make any of the Services available to anyone other than Authorized Users or use any Services for the benefit of anyone other than Customer and its Authorized Users, unless otherwise agreed in writing by the parties, (b) sell, resell, license, sublicense, distribute, make available, rent or lease any of the Services, or include any of the Services in a service bureau or outsourcing offering, unless otherwise agreed in writing by the parties, (c) use the Services to store or transmit infringing, libelous, or otherwise unlawful or tortious material, or to store or transmit material in violation of the privacy rights, publicity rights, copyright rights, or other rights of any person or entity, (d) use the Services to store or transmit code, files, scripts, agents or programs intended to do harm, including, for example, viruses, worms, time bombs and Trojan horses, (e) interfere with or disrupt the integrity or performance of the Services (including, without limitation, activities such as security penetration tests, stress tests, and spamming activity), (f) attempt to gain unauthorized access to the Services or its related systems or networks, (g) disassemble, reverse engineer, or decompile the Services, or modify, copy, or create derivative works based on the Services or any part, feature, function or user interface thereof, (h) remove the copyright, trademark, or any other proprietary rights or notices included within NEOGOV Intellectual Property and on and in any documentation or training materials, or (i) use the Services in a manner which violates the terms of this Agreement, any Order Form or any applicable laws.
4. Professional Services. “Professional Services” shall mean professional services purchased by Customer as detailed in an applicable Order Form or NEOGOV Scope of Work (SOW) describing the work to be performed, fees, and any applicable milestones, dependencies, and other technical specifications or related information. Professional Services include training, set-up, implementation, and best practices of and concerning the SaaS Applications. Professional Services are subject to the terms of the Professional Services Addendum made available on the NEOGOV Site and made a part hereof and may be subject to additional terms pursuant to an SOW and Service Specifications describing, if applicable, the work to be performed, fees, and any applicable milestones, dependencies, and other technical specifications or related information. Order Forms or SOWs must be signed by Customer before NEOGOV shall commence work. If Customer executes a separate SOW, this Agreement and documents incorporated herein (including but not limited to the Professional Services Addendum) shall control in the event of a conflict with the terms of the SOW.
5. Payment Terms.
a) Fees. Customer shall pay all Subscription, Onboarding and Set-Up fees (“Subscription Fees”) and Professional Service fees (“Professional Service Fees”, collectively the “Fees”) as set forth in an Order Form within thirty (30) days of the date of NEOGOV’s invoice. Fees shall be invoiced annually in advance and in a single invoice for each Term. Unless explicitly stated otherwise in an Order Form, all payments due under an Order Form are expressed in and shall be paid in U.S. dollars. Invoices shall be delivered to the stated “Bill To” party on the Order Form. Unless explicitly provided otherwise, once placed the Order Form is non-cancellable and sums paid nonrefundable. Any invoiced amount that is not received by NEOGOV when due as set forth in an Order Form will be subject to a late payment fee of 1.5% per month or the maximum rate permitted by law, whichever is lower. If any amount owing by Customer is more than 30 days overdue, NEOGOV may, without limiting its other rights and remedies, suspend the Services until such amounts are paid in full. If Subscription Fees are based upon the Authorized User or employee count as may be specified in an Order Form, Customer shall owe NEOGOV supplemental Subscription Fees to the extent Customer exceeds the number of Authorized Users or employees set forth in the Order Form. Except as otherwise specifically stated in the Order Form, NEOGOV may change the charges for the Services with effect from the start of each Renewal Term by providing Customer with new pricing at least thirty (30) day notice prior to commencement of a Renewal Term. The new pricing shall be deemed to be effective if Customer (a) returns an executed Order Form to NEOGOV, (b) remits payment to NEOGOV of the fees set forth in the invoice referencing the new pricing, or (c) the Customer or any of its Authorized Users access or use the Services after the expiration of the previous Term.
Docusign Envelope ID: 4F711A08-6576-4765-B50B-29AAF403F8AD City Council 14 – 4 6/17/2025
3 b) Taxes. Customer will pay all taxes, duties and levies imposed by all federal, state, and local authorities (including, without limitation, export, sales, use, excise, and value-added taxes) based on the transactions or payments under this Agreement, except those taxes imposed or based on NEOGOV’s net income or those exempt by applicable state law.
Customer shall provide NEOGOV with a certificate or other evidence of such exemption within ten (10) days after the Effective Date of this Agreement and thereafter upon NEOGOV’s request therefor. c) Purchase Orders. Any reference to a purchase order in an Order Form or any associated invoice is solely for Customer's convenience in record keeping, and no such reference or any delivery of services to Customer following receipt of any purchase order shall be deemed an acknowledgement of or an agreement to any terms or conditions referenced or included in any such purchase order. If a purchase order is delivered by Customer in connection with the purchase of Services, none of the terms and conditions contained in such purchase order shall have any effect or modify or supersede the terms and conditions of this Agreement. NEOGOV’s failure to object to terms contained in any such purchase order shall not be a waiver of the terms set forth in this provision or in this Agreement.
6. Term and Termination.
a) Term. This Agreement shall commence on the Effective Date and shall remain in effect until all SaaS Subscriptions have expired and/or both parties have achieved full performance of Professional Services, unless it is terminated earlier in accordance with this Agreement.
b) Termination for Cause; Effect of Termination. Either Party may terminate this Agreement immediately if the other is in material breach of this Agreement and such breach is not cured within thirty (30) days following non-breaching party’s written specification of the breach. NEOGOV may suspend the Services or terminate this Agreement immediately in the event the Services or Customer’s use of the Services provided hereunder pose a security risk to the Services, NEOGOV or any third party, or become illegal or contrary to any applicable law, rule, regulation, or public policy. Upon expiration or any termination of this Agreement, Customer shall cease all use and refrain from all further use of the Services and other NEOGOV Intellectual Property. Additionally, Customer shall be obligated to pay, as of the effective date of such expiration or termination, all amounts due and unpaid to NEOGOV under this Agreement. Unless otherwise specified, following 90 days after expiration or termination of the Agreement NEOGOV may remove Customer Data from NEOGOV Services and without Customer consent or notice.
7. Audit Rights. Upon reasonable notice, NEOGOV or its agent shall have the right to audit Customer’s records relating to its compliance with this Agreement. Customer shall cooperate fully with this audit. If any audit conducted under this Section indicates that any amount due to NEOGOV was underpaid, Customer shall within three (3) business days pay to NEOGOV the amount due. All expenses associated with any such audit shall be paid by NEOGOV unless the audit reveals underpayment in excess of five percent (5%), in which case Customer shall pay such expenses as well as any amount due to NEOGOV.
8. Maintenance; Modifications; Support Services.
a) Maintenance, Updates, Upgrades. NEOGOV maintains NEOGOV’s hardware and software infrastructure for the Services and is responsible for maintaining the NEOGOV server operation and NEOGOV database security. NEOGOV may in its sole discretion, periodically modify, Update, and Upgrade the features, components, and functionality of the Services during the Term. “Update” means any update, bug fix, patch or correction of the Services or underlying NEOGOV software that NEOGOV makes generally available to its customers of the same module, excluding Upgrades.
Updates are automatic and available upon Customer’s next login to the Services following an Update at no additional cost to Customer. “Upgrade” means any update of the Services or underlying NEOGOV software such as platform updates, and major product enhancements and/or new features that NEOGOV makes commercially available. NEOGOV shall have no obligation to provide Upgrades to customers and retains the right to offer Upgrades free of cost or on a per customer basis at additional cost. NEOGOV shall have no liability for, or any obligations to, investments in, or modifications to Customer’s hardware, systems or other software which may be necessary to use or access the Services due to a modification, Update, or Upgrade of the Services. b) Program Documentation; Training Materials. “Program Documentation” shall mean all user guides, training, and implementation material, and Service descriptions provided by NEOGOV to Customer in connection with the Services.
NEOGOV hereby grants to Customer a non-exclusive, non-sublicensable, non-transferable license to use, print, and distribute internally via non-public platforms, the Program Documentation during the Term solely for Customer's internal business purposes in connection with its use of the Services. Primary training of NEOGOV Services is conducted by selfreview of online materials. NEOGOV’s pre-built, online training consists of a series of tutorials to introduce the standard features and functions (the “Training Materials”). The Training Materials may be used as reference material by Customer Personnel conducting day-to-day activities.
Docusign Envelope ID: 4F711A08-6576-4765-B50B-29AAF403F8AD City Council 14 – 5 6/17/2025
4 c) Implementation. For Services requiring implementation, NEOGOV implementation supplements the Training Materials and is conducted off-site unless otherwise agreed in the Order Form. For an additional fee as detailed on an applicable Order Form, NEOGOV personnel will provide consultation on best practices for setting up the Services, answer Customer questions during the implementation period, and use commercially reasonable efforts to ensure Authorized User Admins grasp the system. The length of the implementation time is dependent on the type of Service and the Customer’s responsiveness. NEOGOV is not responsible or liable for any delay or failure to perform implementation caused in whole or in part by Customer's delay in performing its obligations hereunder and, in the event of any such delay, NEOGOV may, in its sole discretion, extend all performance dates as NEOGOV deems reasonably necessary. d) Support. Phone support for the Services is available to Customer Monday through Friday, excluding NEOGOV holidays.
Customer may submit a request for online support for the Services 24 hours a day, seven days a week, and the NEOGOV support desk will acknowledge receipt of the request within a reasonable time. The length of time for a resolution of any problem is dependent on the type of case.
e) Limitations. Unless otherwise specified in the Order Form, this Agreement does not obligate NEOGOV to render any maintenance or support services that are not expressly provided herein, including, but not limited to data uploads, manual data entry, migration services, data conversion, refinement, purification, reformatting, SQL dump, or process consultation.
9. NEOGOV Intellectual Property Rights.
a) NEOGOV shall exclusively own all right, title and interest in and to all pre-existing and future intellectual property developed or delivered by NEOGOV including all Services, products, systems, software (including any source code or object code) or Service Specifications related thereto, Updates or Upgrades, trademarks, service marks, logos and other distinctive brand features of NEOGOV and all proprietary rights embodied therein (collectively, the “NEOGOV Intellectual Property”). This Agreement does not convey or transfer title or ownership of the NEOGOV Intellectual Property to Customer or any of its users. All rights not expressly granted herein are reserved by NEOGOV. Other than recommendation use or as required by law, all use of NEOGOV trademarks must be pre-approved by NEOGOV prior to use. Trademarks shall include any word, name, symbol, color, designation or device, or any combination thereof that functions as a source identifier, including any trademark, trade dress, service mark, trade name, logo, design mark, or domain name, whether or not registered.
b) Customer may, but is not obligated to, provide NEOGOV with suggestions, ideas, enhancement requests, or other feedback (“Feedback”). If Customer provides any such Feedback to NEOGOV, Customer hereby grants NEOGOV a nonexclusive, perpetual, irrevocable, royalty-free license to use all Feedback for any purpose. Feedback is provided to NEOGOV on an “as-is” basis without warranties of any kind.
10. Data Processing and Privacy.
a) Customer Data. “Customer Data” shall mean all data that is owned or developed by Customer, whether provided to NEOGOV by Customer or provided by a third party to NEOGOV in connection with NEOGOV’s provision of Services to Customer, including Personnel data collected, loaded into, or located in Customer data files maintained by NEOGOV.
NEOGOV Intellectual Property, including but not limited to the Services and all derivative works thereof, NEOGOV Confidential Information, and Platform Data do not fall within the meaning of the term “Customer Data”. Customer exclusively owns all right, title, and interest in and to all Customer Data. Customer grants NEOGOV a license to host, use, process, display, create non-personal derivative works of, and transmit Customer Data to provide the Services.
NEOGOV reserves the right to delete or disable Customer Data stored, transmitted or published by Customer using the Services upon receipt of a bona fide notification that such content infringes upon the intellectual property rights of others, or if NEOGOV otherwise reasonably believes any such content is in violation of this Agreement. b) Platform Data. “Platform Data” shall mean any anonymized data reflecting the access to or use of the Services by or on behalf of Customer or any user, including statistical or other analysis and performance information related to the provision and operation of the Services including any end user visit, session, impression, clickthrough or click stream data, as well as log, device, transaction data, or other analysis, information, or data based on or derived from any of the foregoing.
NEOGOV shall exclusively own all right, title and interest in and to all Platform Data. Customer acknowledges NEOGOV may compile Platform Data based on Customer Data input into the Services. Customer agrees that NEOGOV may use Platform Data to the extent and in the manner permitted under applicable law. Such anonymized data neither identifies Customer or its users, nor can Customer or any its users can be derived from such data.
Docusign Envelope ID: 4F711A08-6576-4765-B50B-29AAF403F8AD City Council 14 – 6 6/17/2025
5 c) Data Processing Agreement. The parties agree that the terms of the NEOGOV Data Processing Addendum (“DPA”) made available on the NEOGOV Site is hereby incorporated herein by reference and made part of this Agreement and governs NEOGOV's processing of Personal Data.
d) Data Responsibilities.
i) NEOGOV will maintain commercially reasonable administrative, physical, and technical safeguards for protection of the security, confidentiality and integrity of the Customer Data. Those safeguards will include, but will not be limited to, measures for preventing access, use, modification or disclosure of Customer Data by NEOGOV personnel except (a) to provide the Services and prevent or address service or technical problems, (b) as compelled by applicable law, or (c) as Customer expressly permits in writing. Customer acknowledges and agrees that it is commercially reasonable for NEOGOV to rely upon the security processes and measures utilized by NEOGOV’s cloud infrastructure providers.
ii) Customer is solely responsible for the development, content, operation, maintenance, and use of Customer Data, including but not limited to compliance with applicable laws. NEOGOV will have no responsibility or liability for the accuracy of the Customer Data prior to receipt of such data into the Services. Without limiting the foregoing, Customer shall be solely responsible for and shall comply with all applicable laws and regulations relating to (a) the accuracy and completeness of all information input, submitted, or uploaded to the Services, (b) the privacy of users of the Services, including, without limitation, providing appropriate notices to and obtaining appropriate consents from any individuals to whom Customer Data relates; and (c) the collection, use, modification, alteration, extraction, retention, copying, external storage, disclosure, transfer, disposal, and other processing of any Customer Data.
NEOGOV is not responsible for lost data caused by the action or inaction of Customer or Authorized Users. Unless otherwise mutually agreed in writing, Customer shall not maintain any financial, health, payment card, or similarly sensitive data that imposes specific data security or data protection obligations within the Services. Customer shall provide and institute all appropriate tools and procedures required to ensure the security of its own information system and, more specifically, to prevent, detect and destroy the occurrence of any viruses. e) Breach Notice. NEOGOV will notify Customer of unauthorized access to, or unauthorized use, loss or disclosure of Customer Data within its custody and control (a “Security Breach”) within 72 hours of NEOGOV’s confirmation of the nature and extent of the same or when required by applicable law, whichever is earlier. Each party will reasonably cooperate with the other with respect to the investigation and resolution of any Security Breach. If applicable law or Customer’s policies require notification of its Authorized Users or others of the Security Breach, Customer shall be responsible for such notification.
f) Data Export, Retention and Destruction. Customer may export or delete Customer Data from the Services at any time during a Subscription Term, using the existing features and functionality of the Services. Customer is solely responsible for its data retention obligations with respect to Customer Data. If and to the extent Customer cannot export or delete Customer Data stored on NEOGOV’s systems using the then existing features and functionality of the Services, NEOGOV will, upon Customer's written request, make the Customer Data available for export by Customer or destroy the Customer Data. If Customer requires the Customer Data to be exported in a different format than provided by NEOGOV, such additional services will be subject to a separate agreement on a time and materials basis. Except as otherwise required by applicable law, NEOGOV will have no obligation to maintain or provide any Customer Data more than ninety (90) days after the expiration or termination of this Agreement. Customer acknowledges that it is solely responsible for determining any retention requirements with respect to the Customer Data as required by applicable law and NEOGOV disclaims all liability in connection with such determination. In addition, to the extent Customer requests that NEOGOV retain Customer Data beyond the expiration of the retention period required by applicable law, rule or regulation, NEOGOV disclaims all liability in connection with retaining such Customer Data including but not limited to any claims related to loss or destruction of such Customer Data.
11. Third Party Services. The Services may permit Customer and its Authorized Users to access services or content provided by third parties through the Services (“Third Party Services”). Customer agrees that NEOGOV is not the original source and shall not be liable for any inaccuracies contained in any content provided in any of the Third Party Services. NEOGOV makes no representations, warranties or guarantees with respect to the Third Party Services or any content contained therein. NEOGOV may discontinue access to any Third Party Services through the Services if the relevant agreement with the applicable third party no longer permits NEOGOV to provide such access. If loss of access to any Third Party Services (to which Customer has a subscription under this Agreement) occurs during a Subscription Term, NEOGOV will refund to Customer any prepaid fees for such Third Party Services covering the remainder of the Subscription Term.
12. Nondisclosure.
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6 a) Definition of Confidential Information. “Confidential Information” means all information disclosed by a party (“Disclosing Party”) to the other party (“Receiving Party”), whether orally or in writing, that is designated as confidential or that reasonably should be understood to be confidential given the nature of the information and the circumstances of disclosure. Customer's Confidential Information includes its Customer Data. NEOGOV Confidential Information includes the NEOGOV Intellectual Property and the Services. The Confidential Information of each party includes the terms and conditions of this Agreement and all Order Forms (including pricing), as well as business and marketing plans, technology and technical information, product plans and designs, and business processes disclosed by such party.
However, Confidential Information does not include any information that (a) is or becomes generally known to the public without breach of any obligation owed to the Disclosing Party, (b) was known to the Receiving Party prior to its disclosure by the Disclosing Party without breach of any obligation owed to the Disclosing Party, (c) is received from a third party without breach of any obligation owed to the Disclosing Party, or (d) was independently developed by the Receiving Party.
b) Obligations. The Receiving Party will: (i) use the same degree of care it uses to protect the confidentiality of its own confidential information of like kind (but not less than reasonable care); (ii) not use any Confidential Information of the Disclosing Party for any purpose outside the scope of this Agreement and (iii) except as otherwise authorized by the Disclosing Party in writing, limit access to Confidential Information of the Disclosing Party to those of its employees and contractors who need access for purposes consistent with this Agreement and who have signed confidentiality agreements with the Receiving Party containing protections not less protective of the Confidential Information than those herein.
c) Exceptions. The Receiving Party may disclose Confidential Information of the Disclosing Party to the extent compelled by law to do so, provided the Receiving Party gives the Disclosing Party prior notice of the compelled disclosure (to the extent legally permitted) and reasonable assistance, at the Disclosing Party's cost, if the Disclosing Party wishes to contest the disclosure.
d) Equitable Relief. The parties recognize and agree there may be no adequate remedy at law for breach of the provisions of the confidentiality obligations set forth in this Section 12, that such a breach may irreparably harm the Disclosing Party and the Disclosing Party is entitled to seek equitable relief (including, without limitation, an injunction) with respect to any such breach or potential breach in addition to any other remedies available to it at law or in equity.
13. Representations, Warranties, and Disclaimers.
a) Mutual Representations. Each party represents and warrants to the other party that (i) it has full power and authority under all relevant laws and regulations and is duly authorized to enter into this Agreement; and (ii) to its knowledge, the execution, delivery and performance of this Agreement by such party does not conflict with any agreement, instrument or understanding, oral or written, to which it is a party or by which it may be bound, nor violate any law or regulation of any court, governmental body or administrative or other agency having jurisdiction over it. b) Additional Customer Representations and Warranties. Customer hereby represents and warrants to NEOGOV that: (1) Customer and Authorized Users have all necessary rights and authority to upload Customer Data to the Service without violating any third party’s proprietary or privacy rights, including intellectual property rights; (2) Customer Data does not contain any viruses, worms, Trojan horses, or other harmful or destructive code or content; and (3) Customer will use the Service in compliance with all laws, rules, regulations, and this Agreement. c) Service Performance Warranty. NEOGOV warrants that it provides the Services using a commercially reasonable level of care and skill and in a professional manner in accordance with generally recognized industry standards for similar services.
d) No Other Warranty. EXCEPT FOR THE EXPRESS WARRANTIES SET FORTH IN THIS WARRANTY SECTION, THE SERVICES AND ANY OTHER INFORMATION ARE PROVIDED ON AN “AS IS” AND “AS AVAILABLE” BASIS, AND CUSTOMER’S USE OF THE SERVICES IS AT ITS OWN RISK. NEOGOV DOES NOT MAKE, AND
HEREBY DISCLAIMS, ANY AND ALL OTHER EXPRESS AND/OR IMPLIED WARRANTIES, INCLUDING,
BUT NOT LIMITED TO, WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE,
NONINFRINGEMENT AND TITLE, AND ANY WARRANTIES ARISING FROM A COURSE OF DEALING, USAGE, OR TRADE PRACTICE. NEOGOV DOES NOT WARRANT THAT THE SERVICES WILL BE
UNINTERRUPTED, ERROR-FREE, OR COMPLETELY SECURE, OR THAT ANY ERROR WILL BE CORRECTED.
e) Disclaimer of Actions Caused by and/or Under the Control of Third Parties. NEOGOV DOES NOT AND CANNOT
CONTROL THE FLOW OF DATA TO OR FROM THE NEOGOV SYSTEM AND OTHER PORTIONS OF THE Docusign Envelope ID: 4F711A08-6576-4765-B50B-29AAF403F8AD City Council 14 – 8 6/17/2025
7 INTERNET. SUCH FLOW DEPENDS IN LARGE PART ON THE PERFORMANCE OF INTERNET SERVICES PROVIDED OR CONTROLLED BY THIRD PARTIES. AT TIMES, ACTIONS OR INACTIONS OF SUCH THIRD PARTIES CAN IMPAIR OR DISRUPT CUSTOMER’S CONNECTIONS TO THE INTERNET (OR PORTIONS THEREOF). ALTHOUGH NEOGOV WILL USE COMMERCIALLY REASONABLE EFFORTS TO TAKE ALL
ACTIONS IT DEEMS APPROPRIATE TO REMEDY AND AVOID SUCH EVENTS, NEOGOV CANNOT GUARANTEE THAT SUCH EVENTS WILL NOT OCCUR. ACCORDINGLY, NEOGOV DISCLAIMS ANY AND
ALL LIABILITY RESULTING FROM OR RELATED TO SUCH EVENTS OR WITH RESPECT TO ANY THIRD PARTY SERVICES.
f) No Medical Advice. Through certain Services, NEOGOV may make certain telehealth related information available to Customer and/or facilitate user access to telemedicine, expert medical services, and/or emergency medical services.
NEOGOV is independent from healthcare providers who provide telemedicine services and is not responsible for such healthcare providers’ acts, omissions or for any content or communications made by them. The Services do not provide medical advice and do not create a healthcare provider/patient relationship between Customer and NEOGOV or otherwise. Any Services, or content accessed from the Services, are for informational purposes only and do not constitute medical advice. Customer should seek professional medical advice, diagnosis, and/or treatment for any and all medical conditions, whether as a result of using Services or otherwise. NEOGOV IS NOT RESPONSIBLE OR LIABLE FOR
ANY ADVICE, COURSE OF TREATMENT, DIAGNOSIS OR ANY OTHER TREATMENT OR INFORMATION THAT CUSTOMER OR ITS USERS MAY OBTAIN THROUGH THE USE OF THE SERVICES.
14. Indemnification.
a) Customer Indemnity. To the extent permitted by applicable law, Customer will defend and indemnify NEOGOV from and against any claim, demand, suit or proceeding made or brought against NEOGOV (i) by a third party alleging that any Customer Data infringes or misappropriates such third party's intellectual property rights, (ii) in connection with Customer’s violation of any applicable laws, or (iii) any claim or allegation by any third party resulting from or related to Customer’s or any of its Authorized User’s breach of Section 3 of this Agreement. b) NEOGOV Indemnity. Subject to subsections 14(b)(i) through 14(b)(iii) and 14(c) of this Section, if a third party makes a claim against Customer that any NEOGOV intellectual property furnished by NEOGOV and used by Customer infringes a third party’s intellectual property rights, NEOGOV will defend the Customer against the claim and indemnify the Customer from the damages and liabilities awarded by the court to the third-party claiming infringement or the settlement agreed to by NEOGOV.
i) Alternative Resolution. If NEOGOV believes or it is determined that any of the Services may have violated a third party’s intellectual property rights, NEOGOV may choose to either modify the Services to be non-infringing or obtain a license to allow for continued use. If these alternatives are not commercially reasonable, NEOGOV may end the subscription or license for the Services and refund a pro-rata portion of any fees covering the whole months that would have remained, absent such early termination, following the effective date of such early termination. ii) No Duty to Indemnify. NEOGOV will not indemnify Customer if Customer alters the Service or Service Specifications, or uses it outside the scope of use or if Customer uses a version of the Service or Service Specifications which has been superseded, if the infringement claim could have been avoided by using an unaltered current version of the Services or Service Specifications which was provided to Customer, or if the Customer continues to use the infringing material after the subscription expires. NEOGOV will not indemnify the Customer to the extent that an infringement claim is based upon any information, design, specification, instruction, software, data, or material not furnished by NEOGOV. NEOGOV will not indemnify Customer for any portion of an infringement claim that is based upon the combination of Service or Service Specifications with any products or services not provided by NEOGOV. NEOGOV will not indemnify Customer for infringement caused by Customer’s actions against any third party if the Services as delivered to Customer and used in accordance with the terms of the Agreement would not otherwise infringe any third-party intellectual property rights. iii) Exclusive Remedy. This Section provides the exclusive remedy for any intellectual property infringement claims or damages against NEOGOV.
c) Indemnification Procedures. In order to receive the indemnities described hereunder, the indemnified party must: (i) promptly notify the indemnifying party, in writing, of any claim; (ii) cooperate reasonably with indemnifying party, at the indemnifying party’s expense, in the defense and/or settlement thereof; and (iii) allow the indemnifying party to control the defense and/or settlement thereof except that the indemnifying party may not, without the indemnified party’s prior written consent, enter into any settlement that does not unconditionally release the indemnified party from liability.
The indemnified party shall have the right to participate in any defense of a claim and/or to be represented by counsel of Docusign Envelope ID: 4F711A08-6576-4765-B50B-29AAF403F8AD City Council 14 – 9 6/17/2025
8 its own choosing at its own expense, provided that ultimate control of such defense shall remain solely with the indemnifying party.
15. Limitations of Liability.
a) EXCLUSION OF DAMAGES. TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, IN NO
EVENT WILL EITHER PARTY BE LIABLE UNDER OR IN CONNECTION WITH THIS AGREEMENT OR ITS
SUBJECT MATTER UNDER ANY LEGAL OR EQUITABLE THEORY, INCLUDING BREACH OF CONTRACT, TORT (INCLUDING NEGLIGENCE), STRICT LIABILITY, AND OTHERWISE, INCLUDING FOR ANY: (a) LOSS OF PRODUCTION, USE, BUSINESS, REVENUE, OR PROFIT OR DIMINUTION IN VALUE; (b) IMPAIRMENT, INABILITY TO USE OR LOSS, INTERRUPTION OR DELAY OF THE SERVICES; (c) LOSS, DAMAGE, CORRUPTION OR RECOVERY OF DATA, OR BREACH OF DATA OR SYSTEM SECURITY; (d) COST OF REPLACEMENT GOODS OR SERVICES; (e) LOSS OF GOODWILL, LOSS OF BUSINESS OPPORTUNITY OR PROFIT, OR LOSS OF REPUTATION; OR (f) CONSEQUENTIAL, INCIDENTAL, INDIRECT, EXEMPLARY,
SPECIAL, ENHANCED, OR PUNITIVE DAMAGES, REGARDLESS OF WHETHER SUCH PERSONS WERE
ADVISED OF THE POSSIBILITY OF SUCH LOSSES OR DAMAGES OR SUCH LOSSES OR DAMAGES WERE
OTHERWISE FORESEEABLE, AND NOTWITHSTANDING THE FAILURE OF ANY AGREED OR OTHER REMEDY OF ITS ESSENTIAL PURPOSE.
b) CAP ON MONETARY LIABILITY. EXCEPT FOR DAMAGES ARISING OUT OF LIABILITY WHICH CANNOT BE LAWFULLY EXCLUDED OR LIMITED, OR CUSTOMER’S OBLIGATIONS TO MAKE PAYMENT UNDER
THIS AGREEMENT, THE TOTAL AGGREGATE LIABILITY OF EITHER PARTY FOR ANY AND ALL CLAIMS
AGAINST THE OTHER PARTY UNDER THIS AGREEMENT, WHETHER ARISING UNDER OR RELATED TO
BREACH OF CONTRACT, TORT (INCLUDING NEGLIGENCE), STRICT LIABILITY, OR ANY OTHER LEGAL
OR EQUITABLE THEORY, SHALL NOT EXCEED THE AMOUNT OF ALL PAYMENTS ACTUALLY RECEIVED BY NEOGOV FROM CUSTOMER IN CONNECTION WITH THIS AGREEMENT IN THE 12 MONTH PERIOD PRECEDING THE DATE OF THE FIRST EVENT INITIALLY GIVING RISE TO SUCH LIABILITY. THE EXISTENCE OF ONE OR MORE CLAIMS WILL NOT ENLARGE THE LIMIT.
16. Reimbursement of Costs in Third Party Litigation. With respect to any litigation or other court proceeding involving Customer and a third party, if any subpoena or other legally binding request related to such litigation or court proceeding is served to NEOGOV requesting copies of documents maintained by NEOGOV or otherwise requesting NEOGOV to appear as a witness in any capacity or provide testimony with respect to Customer’s documentation, Customer shall reimburse NEOGOV for its out-of-pocket costs associated with compliance with such request, including but not limited to NEOGOV’s reasonable attorneys’ fees.
17. EOL Products. NEOGOV may, in its discretion, at certain times elect to discontinue development, distribution and/or support of any Service or any elements or versions of any Service, and thereby designate such Service or elements or versions as end of life (“EOL”). In the event that NEOGOV elects to announce EOL for any Service, NEOGOV will provide six (6) months prior notice. Customer will have a period of six (6) months after receipt of such notice to upgrade to the last commercially available (non-EOL) version of the Service, if applicable, or otherwise following the expiration of such six (6) month period, the Service shall be deemed terminated without penalty and a pro rata refund shall be provided to Customer for the remaining term of the Service. During the 6-month notice period, Customer may continue exercising all of the rights set forth in this Agreement with respect to such EOL Service.
18. Text Message Communications. NEOGOV may offer Personnel the opportunity to receive text messages regarding job application or hiring process reminders, applicant status updates, or other human resource related notices. Since these text message services depend on the functionality of third-party providers, there may be technical delays on the part of those providers. NEOGOV may make commercially reasonable efforts to provide alerts in a timely manner with accurate information, but cannot guarantee the delivery, timeliness, or accuracy of the content of any alert. NEOGOV shall not be liable for any delays, failure to deliver, or misdirected delivery of any alert; for any errors in the content of an alert; or for any actions taken or not taken by you or any third party in reliance on an alert. NEOGOV cannot vouch for the technical capabilities of any third parties to receive such text messages. To the extent you utilize text messaging features, NEOGOV shall not be responsible for your use of such features, and you shall indemnify NEOGOV with respect to any damages resulting from your use including but not limited any violations of applicable law. NEOGOV MAKES NO WARRANTIES OR REPRESENTATIONS OF ANY KIND, EXPRESS, STATUTORY, OR IMPLIED AS TO: (a) THE AVAILABILITY OF TELECOMMUNICATION SERVICES; (b) ANY LOSS, DAMAGE, OR OTHER SECURITY INTRUSION OF THE TELECOMMUNICATION SERVICES; AND (c) ANY DISCLOSURE OF INFORMATION TO THIRD PARTIES OR FAILURE TO TRANSMIT ANY DATA, COMMUNICATIONS, OR SETTINGS CONNECTED WITH THE SERVICES.
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9 19. Publicity. Unless otherwise provided in the applicable Order Form, NEOGOV may identify Customer as one of its customers and use Customer’s logo for such purposes, subject to any trademark usage requirements specified by Customer.
20. Force Majeure. Except for Customer’s payment obligations to NEOGOV, neither party shall be liable for any damages, costs, expenses or other consequences incurred by the other party or by any other person or entity for any act, circumstance, event, impediment or occurrence beyond such party’s reasonable control, including, without limitation: (a) acts of God; (b) changes in or in the interpretation of any law, rule, regulation or ordinance; (c) strikes, lockouts or other labor problems; (d) transportation delays; (e) unavailability of supplies or materials; (f) fire or explosion; (g) riot, pandemic, military action or usurped power; (h) actions or failures to act on the part of a governmental authority; (i) internet service interruptions or slowdowns, vandalism or cyber-attacks, or (j) any other cause beyond the reasonable control of such party.
21. Independent Contractor; No Third Party Beneficiary; Fulfillment Partners. The relationship of the parties shall be deemed to be that of an independent contractor and nothing contained herein shall be deemed to constitute a partnership between or a joint venture by the parties hereto or constitute either party the employee or agent of the other. Customer acknowledges that nothing in this Agreement gives Customer the right to bind or commit NEOGOV to any agreements with any third parties.
This Agreement is not for the benefit of any third party and shall not be deemed to give any right or remedy to any such party whether referred to herein or not. NEOGOV may designate any third-party affiliate, or other agent or subcontractor (each a “Fulfillment Partner”), without notice to, or the consent of, Customer, to perform such tasks and functions to complete any Services.
22. Entire Agreement; Amendment; Addendum. This Services Agreement, the Exhibits hereto, each Addendum (as may be applicable pursuant to the terms therein) and documents incorporated herein, the applicable Order Form, and Special Conditions (if any) constitute the entire agreement between the parties with respect to the subject matter hereof and supersede all prior or contemporaneous oral and written statements of any kind whatsoever made by the parties with respect to such subject matter. It is expressly agreed that the terms of this Agreement and any NEOGOV Order Form shall supersede the terms in any non-NEOGOV purchase order or other ordering document. Notwithstanding the foregoing, any conflict of terms shall be resolved by giving priority in accordance with the following order: 1) Special Conditions (if any), 2) NEOGOV Order Form, 3) the NEOGOV Services Agreement, and 4) incorporated documents (including the Exhibits and each applicable Addendum). This Agreement supersedes the terms and conditions of any clickthrough agreement associated with the Services.
This Agreement may not be modified or amended (and no rights hereunder may be waived) except through a written instrument signed by the parties to be bound. If you are subscribing for the HRIS, Vetted, or PowerEngage Platform, you hereby specifically agree to the terms of the applicable Addendum set forth on the NEOGOV Site. In addition, certain Services may disclose the use of artificial intelligence, in which case, Customer hereby agrees to the terms of the AI Addendum set forth on the NEOGOV Site.
23. General.
a) Governing Law and Venue. This Agreement shall be governed by and construed in accordance with the laws of the state of California, without giving effect to conflict of law rules. Any legal action or proceeding relating to this Agreement shall be instituted only in any state or federal court in Los Angeles, California. b) Severability. If any provision of this Agreement is held to be illegal or unenforceable, such provision shall be limited or eliminated to the minimum extent necessary so that the remainder of this Agreement will continue in full force and effect.
Provisions that survive termination or expiration are those relating to, without limitation, accrued rights to payment, acknowledgements and reservations of proprietary rights, confidentiality obligations, warranty disclaimers, and limitations of liability, and others which by their nature are intended to survive. c) Notices. All notices or other communications required or permitted hereunder shall be in writing and shall be deemed to have been duly given either when personally delivered, one (1) business day following delivery by recognized overnight courier or electronic mail, or three (3) business days following deposit in the U.S. mail, registered or certified, postage prepaid, return receipt requested. All such communications shall be sent to (i) Customer at the address set forth in the Order Form and (ii) NEOGOV at the address specified in the applicable Order Form. d) Waiver. The waiver, express or implied, by either party of any breach of this Agreement by the other party will not waive any subsequent breach by such party of the same or a different kind. This Agreement may be executed in two or more counterparts, each of which will be deemed an original, but all of which taken together shall constitute one and the same instrument.
e) Electronic Delivery. Delivery of a copy of this Agreement or an Order Form bearing an original signature by electronic mail or by any other electronic means will have the same effect as physical delivery of the paper document bearing the original signature.
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10 f) Assignment. Customer may not assign this Agreement without the express written approval of NEOGOV Any attempt at assignment in violation of this Section shall be null and void. g) Construction. The parties intend this Agreement to be construed without regard to any presumption or rule requiring construction or interpretation against the party drafting an instrument or causing any instrument to be drafted. The exhibits, addendum, schedules, attachments, and appendices referred to herein are an integral part of this Agreement to the same extent as if they were set forth verbatim herein. h) Subcontractors. For purposes of this Agreement, including any subsequent documentation requested by Customer pursuant to this Agreement, the term "subcontractors" shall exclude subcontractors (i) who perform routine software development and maintenance services which are not specific to the Customer, (ii) subcontractors who will not have any access to Customer Data, and (iii) subcontractors who have access to Customer Data solely within NEOGOV's or Customer's systems.
24. Insurance. NEOGOV will provide the following insurance coverage during the terms of this Agreement:
a) Commercial General Liability (CGL): Accord certificate of insurance on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury within limits no less than $1,000,000, per occurrence. The general aggregate limit shall be twice the required occurrence limit. b) Automobile Liability: NEOGOV has no owned autos,), with limit no less than $1,000,000 per accident for bodily injury and property damage.
c) Workers’ Compensation: insurance as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. d) Errors and Omissions Including Cyber Liability Insurance; with limits not less than $2,000,000 per occurrence or claim, $2,000,000 aggregate. Coverage shall be sufficiently broad to respond to the duties and obligations as is undertaken by NEOGOV in this Agreement and shall include, but not be limited to, claims involving security breach, system failure, data recovery, business interruption, cyber extortion, social engineering, infringement of intellectual property including but not limited to infringement of copyright, trademark, trade dress, invasion of privacy violations, information theft, damage to or destruction of electronic information, release of private information, and alteration of electronic information. The policy shall provide coverage for breach response costs, regulatory fines and penalties as well as credit monitoring expenses.
e) Other Insurance Provisions: the insurance policies are to contain, or be endorsed to contain, the following provisions:
i) Additional Insured Status – The Customer, its officers, officials, and employees are to be covered as additional insureds on the CGL policy with respect to liability arising out of NEOGOV’s indemnity obligations pursuant to the terms of this Agreement.
ii) Primary Coverage – For any claims related to this contract, NEOGOV’s insurance coverage shall be primary.
Any insurance or self-insurance maintained by the Customer, its officers, officials, employees, or volunteers shall be excess of NEOGOV’s insurance and shall not contribute with it. iii) Notice of Cancellation – Each insurance policy required above shall state that insurance carrier will endeavor to provide thirty (30) days notice of cancellation, ten (10) days notice for non-payment of premium. iv) Waiver of Subrogation –To the extent permitted by law, NEOGOV will require its insurer(s) issuing the Commercial General Liability and Workers Compensation coverage to waive its rights of recovery or subrogation against the Customer, but only to the extent of liabilities falling within NEOGOV indemnity obligations under this Agreement. Self-Insured Retentions – NEOGOV will be responsible for any deductibles to the extent of its indemnity obligations as found in this Agreement.
v) Acceptability of Insurers – Insurance is to be placed with insurers authorized to conduct business in the state with current A.M. Best’s rating of no less than A-:VII, unless otherwise acceptable to the Customer. vi) Claims Made Policies – If any of the required polices provide coverage on a claims-made basis:
(1) A 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 claims-made policy form with a Retroactive Date prior to the contact effective date, NEOGOV must purchase “extended reporting” coverage for a minimum of three (3) years after completion of contract work. vii) Verification of Coverage – NEOGOV shall furnish the Customer with original Certificates of Insurance including all required amendatory endorsements and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to the Customer before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the NEOGOV’s obligation to provide them.
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11 viii) Special Risks or Circumstances – Customer reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances with mutual written agreement of NEOGOV
IN WITNESS WHEREOF, the parties have caused this Agreement to be executed by their respective duly authorized officers as of the date set forth below, and consent to the Agreement.
Customer GovermentJobs.com, Inc. (D/B/A/ NEOGOV), on behalf of itself and its subsidiaries PowerDMS, Inc., Cuehit, Inc., Ragnasoft LLC (D/B/A/ PlanIT Schedule), and Design PD,
LLC (D/B/A Agency360)
Entity Name: See signature block below
Signature: Signature:
Print Name: Print Name:
Date: Date:
ATTEST: CITY OF SANTA ANA
Jennifer L. Hall Alvaro Nuñez
City Clerk City Manager
APPROVED AS TO FORM:
SONIA R. CARVALHO RECOMMENDED FOR APPROVAL:
City Attorney
By:
Andrea Garcia-Miller Lori Schnaider
Assistant City Attorney Executive Director
Human Resources
12:55 pm, Jun 05 2025
Docusign Envelope ID: 4F711A08-6576-4765-B50B-29AAF403F8AD COO
6/5/2025 | 9:59:41 AM PDT
Aaron Coleman
City Council 14 – 13 6/17/2025
12 Exhibit A
Government Customer Addendum
If Customer is a Government Customer, the following Government Customer Addendum (“Government Addendum”) forms part of the Services Agreement, and in the case of any conflict or inconsistency between the terms and provisions of this Addendum and any other provision of the Services Agreement, the terms of this Government Addendum shall control. For purposes hereof, a “Government Customer” means a Customer which is a (a) U.S. Federal agency, (b) state government, agency, department, or political subdivision (including a city, county or municipal corporation), or (c) instrumentality of any of the foregoing (including a municipal hospital or municipal hospital district, police or fire department, public library, park district, state college or university, Indian tribal economic development organization, or port authority).
1. Applicability. The provisions of this Addendum shall apply only if Customer is a Government Customer under the Services Agreement.
2. Termination for Non-Appropriation of Funds on Multi-Year Deals. Customer represents that it has received sufficient appropriation of funds by the applicable legislature (or other appropriate governmental body) (“Governmental Appropriation”) for the first year of the term of any Order Form executed by Customer (the “First Year” and all such years following the First Year which are included in the term of an Order Form, the “Future Years”). If Customer is subject to federal, state or local law which makes Customer’s financial obligations under this Services Agreement contingent upon Governmental Appropriation, and if such funds are not forthcoming or are insufficient due to failure of such Governmental Appropriation, then Customer will have the right to terminate the then remaining portion of any Future Years under the Services Agreement at no additional cost and with no penalty by giving prior written notice documenting the lack of funding. Customer will provide at least thirty (30) days advance written notice of such termination. Customer will use reasonable efforts to ensure appropriated funds are available. It is expressly agreed that Customer shall not activate this non-appropriation provision for its convenience or to circumvent the requirements of this Agreement, but only as an emergency fiscal measure during a substantial fiscal crisis, which affects generally its fiscal operations. If Customer terminates the Services Agreement under this Section 2, Customer agrees not to replace the Services with functionally similar products or services for a period of one year after the termination of the Services Agreement.
3. Indemnification. If Customer is prohibited by federal, state or local law from agreeing to hold harmless or indemnify third parties, Section 14(a) and the indemnification provision included in Section 18 of the Services Agreement shall not apply to Customer, to the extent disallowed by applicable law.
4. Open Records. If the Customer is subject to federal or state public records laws, including laws styled as open records, freedom of information, or sunshine laws (“Open Records Laws”) the confidentiality requirements of Section 12 of the Services Agreement apply only to the extent permitted by Open Records Laws applicable to the Customer. This Section is not intended to be a waiver of any of the provisions of the applicable Open Records Laws, including, without limitation, the requirement for the Customer to provide notice and opportunity for NEOGOV to assert an exception to disclosure requirements in accordance with the applicable Open Records laws.
5. Cooperative Purchasing. As permitted by law, it is understood and agreed by Customer and NEOGOV that any (i) federal, state, local, tribal, or other municipal government (including all administrative agencies, departments, and offices thereof); (ii) any business enterprise in which a federal, state, local, tribal or other municipal entity has a full, majority, or other controlling interest; and/or (iii) any public school (including without limitation K-12 schools, colleges, universities, and vocational schools) (collectively referred to as the “New Entity”) may purchase the Services specified herein in accordance with the terms and conditions of this Agreement. It is also understood and agreed that each New Entity will establish its own contract with NEOGOV, be invoiced therefrom and make its own payments to NEOGOV in accordance with the terms of the contract established between the New Entity and NEOGOV. With respect to any purchases by a New Entity pursuant to this Section, Customer: (i) shall not be construed as a dealer, re-marketer, representative, partner or agent of any type of NEOGOV, or such New Entity; (ii) shall not be obligated, liable or responsible for any order made by New Entities or any employee thereof under the agreement or for any payment required to be made with respect to such order; and (iii) shall not be obliged, liable or responsible for any failure by any New Entity to comply with procedures or requirements of applicable law or to obtain the due authorization and approval necessary to purchase under the agreement. Termination of this Agreement shall in no way limit NEOGOV from soliciting, entering into, or continuing a contractual relationship with any New Entity. Any New Entity who purchases Services under this Section hereby represents that is has the authority to use this Services Agreement for the purchase and that the use of the Services Agreement for the purchase is not prohibited by law or procurement regulations applicable to the New Entity.
Docusign Envelope ID: 4F711A08-6576-4765-B50B-29AAF403F8AD City Council 14 – 14 6/17/2025
13 Exhibit B
Integration Terms Addendum
NEOGOV offers integrations and platform APIs for integrations to third party systems (“Integration Services”). Customer may use only those Integration Services purchased or subscribed to as listed within the NEOGOV Order Form. The following terms (the “Integration Terms Addendum”) shall apply to the extent that Customer utilizes a system integration between the Services and either: (a) an affiliated integrated service, including those found at https://api.neogov.com/connect/marketplace.html (“Affiliated API”) or to the extent that Customer utilizes a system integration between the Services and an unaffiliated third-party service (“Customer Application”) integrated using NEOGOV’s open API (“Open API”). Integration Services are not available for HRIS Services and this Exhibit B shall not apply to HRIS Services.
1. Provision of Integrations. Subject to and conditioned on compliance with all terms and conditions set forth in this Agreement, NEOGOV hereby grants Customer a limited, revocable, non-exclusive, non-transferable, non-sublicensable license during the applicable Term to use and/or access the Affiliated API as described in this Agreement, or the Open API for communication between Customer’s human resource related third application(s) that will interoperate with NEOGOV Services (collectively these uses shall be referred to as the “API” or “Integration”). Customer acknowledges there are no implied licenses granted under this Agreement. NEOGOV reserves all rights that are not expressly granted.
Customer may not use the API for any other purpose without our prior written consent. Customer may notshare the API with any third party, must keep the API and all log-in information secure, and must use the API key as Customer sole means of accessing the API.
2. Integration Intellectual Property. All right, title, and interest in the API and any and all information, data, documents, materials, inventions, technologies, know-how, descriptions, requirements, plans, reports, works, intellectual property, software, hardware, systems, methods, processes, and inventions, customizations, enhancements, improvements and other modifications based on or derived from the API are and will remain, as appropriate, with NEOGOV. All right, title, and interest in and to the third-party materials, including all intellectual property rights therein, are and will remain with their respective third-party rights holders subject to the terms and conditions of the applicable third-party license agreements. Customer has no right or license with respect to any third-party materials except as expressly licensed under such third-party license agreements.
3. Integration Terms of Use. Except as expressly authorized under this Agreement, you may not remove any proprietary notices from the API; use the API in any manner or for any purpose that infringes, misappropriates, or otherwise violates any intellectual property rightor other right of any person, or that violates any applicable law; combine or integrate the API with any software, technology, services, or materials not authorized by NEOGOV; design or permit Customer Application(s) to disable, override, or otherwise interfere with any NEOGOV-implemented communications to end users, consent screens, user settings, alerts, warning, or the like; use the API in any of Customer Application(s) to replicate or attempt to replace the user experience of the Services; or attempt to cloak or conceal Customer identity or the identity of Customer Application(s) when requesting authorization to use the API.
4. Customer Integration Responsibilities. Customer, Customer developed web or other software services or applications, and Customer third-party vendors that integrate with the API (collectively the “Customer Applications”), shall comply with all terms and conditions of this Agreement, all applicable laws, rules, and regulations, and all guidelines, standards, and requirements that may be posted on https://api.neogov.com/connect/index.html from time to time. In addition, Customer will not use the API in connection with or to promote any products, services, or materials that constitute, promote, or are used primarily for the purpose of dealing in spyware, adware,or other malicious programs or code, counterfeit goods, items subject to U.S. embargo, unsolicited mass distribution of email (“spam”), multi-level marketing proposals, hate materials, hacking, surveillance, interception, or descrambling equipment, libelous, defamatory, obscene, pornographic, abusive, or otherwise offensive content, stolen products, and items used for theft, hazardous materials, or any illegal activities.
5. Cooperation. If applicable, Customer shall timely provide such cooperation, assistance, and information as NEOGOV reasonably requests to enable the API. NEOGOV is not responsible or liable for any late delivery or delay or failure of performance caused in wholeor in part by Customer’s delay in performing, or failure to perform, any of its obligations under this Agreement. NEOGOV will provide Customer maintenance and support services for API issues arising from the information technology designed, developed, and under then current control of NEOGOV. NEOGOV shall have no obligation to provide maintenance or support for issues arising from the inaction or action of Customer or third parties of which are outside NEOGOV control.
6. Provision of Open API. In the event license fees or other payments are not due in exchange for the right to use and access the Open API, you acknowledge and agree that this arrangement is made in consideration ofthe mutual covenantsset forth Docusign Envelope ID: 4F711A08-6576-4765-B50B-29AAF403F8AD City Council 14 – 15 6/17/2025
14 in this Agreement, including, without limitation, the disclaimers, exclusions, and limitations of liability set forth herein.
Notwithstanding the foregoing, NEOGOV reserves the right to charge for access with effect from the start of each Renewal Term by giving Customer at least ninety (90) day notice prior to commencement of a Renewal Term.
7. API Key. In order to use and access the Open API, you must obtain an Open API key through the registration process.
Customer agreesto monitor Customer Applications for any activity that violates applicable laws, rules and regulation, or any terms and conditions of this Agreement, including any fraudulent, inappropriate, or potentially harmful behavior.
This Agreement does not entitle Customer to any support for the Open API. You acknowledge that NEOGOV may update or modify the Open API from time to time and at our sole discretion and may require you to obtain and use the most recent version(s). You are required to make any such changes to Customer Applications that are required for integration as a result of such Update at Customer sole cost and expense. Updates may adversely affect how Customer Applications communicate with the Services.
8. Efficient Processing. You must use efficient programming, which will not cause an overwhelming number of requests to be made in too short a period of time, as-determined solely by NEOGOV. If this occurs, NEOGOV reserves the right to throttle your API connections, or suspend or terminate your access to the Open API. NEOGOV shall use reasonable efforts to provide Customer notice and reasonable time to cure prior to taking such actions.
9. Open API Limitations. TO THE FULLEST EXTENT PERMITTED UNDER APPLICABLE LAW, IN NO EVENT
WILL NEOGOVBE LIABLE TO CUSTOMER OR TO ANY THIRD PARTY UNDER ANY TORT, CONTRACT,
NEGLIGENCE, STRICTLIABILITY, OR OTHER LEGAL OR EQUITABLE THEORY FOR ANY DIRECT, LOST
PROFITS, LOST OR CORRUPTED DATA, COMPUTER FAILURE OR MALFUNCTION, INTERRUPTION OF
BUSINESS, OR OTHER SPECIAL, INDIRECT, INCIDENTAL, OR CONSEQUENTIAL DAMAGES OF ANY KIND ARISING OUT OF THE USE OR INABILITY TO USE THE OPEN API; OR ANY DAMAGES, IN THE
AGGREGATE, IN EXCESS OF FIFTY DOLLARS, EVEN IF NEOGOV HAS BEEN ADVISED OF THE
POSSIBILITY OF SUCH LOSS OR DAMAGES AND WHETHER OR NOT SUCH LOSS OR DAMAGES ARE FORESEEABLE OR NEOGOV WAS ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. ANY CLAIM YOU
MAY HAVE ARISING OUT OF OR RELATING TO THIS AGREEMENT MUST BE BROUGHT WITHIN ONE YEAR AFTER THE OCCURRENCE OF THE EVENT GIVING RISE TO SUCH CLAIM.
10. Open API Termination. Notwithstanding the additional Termination rights herein, NEOGOV may immediately terminate or suspend Customer access to Open APIs in our sole discretion at any time and for any reason, with or without notice or cause. In addition, your Open API subscription will terminate immediately and automatically without any notice if you violate any of the terms and conditions of this Agreement.
Docusign Envelope ID: 4F711A08-6576-4765-B50B-29AAF403F8AD City Council 14 – 16 6/17/2025
Santa Ana City of (CA) NEOGOV SERVICES
AGREEMENT 06032025 -revised -CAO signed
6-5-25(2061042.1) (1)
Final Audit Report 2025-06-05
Created: 2025-06-05
By: Jay Jenkins ([email protected])
Status: Signed
Transaction ID: CBJCHBCAABAAc-3xbLN5fmzooSyDTen7HY4NF7UUmDHZ "Santa Ana City of (CA) NEOGOV SERVICES AGREEMENT 06
032025 -revised -CAO signed 6-5-25(2061042.1) (1)" History Document digitally presigned by DocuSign\, Inc. ([email protected]) 2025-06-05 - 4:59:43 PM GMT
Document created by Jay Jenkins ([email protected]) 2025-06-05 - 9:55:16 PM GMT
Document emailed to Lori Schnaider ([email protected]) for signature 2025-06-05 - 9:55:45 PM GMT
Email viewed by Lori Schnaider ([email protected]) 2025-06-05 - 9:55:52 PM GMT
Document e-signed by Lori Schnaider ([email protected]) Signature Date: 2025-06-05 - 11:15:51 PM GMT - Time Source: server Agreement completed.
2025-06-05 - 11:15:51 PM GMT
City Council 14 – 17 6/17/2025
INVOICE
Vendor Information / Contact: Invoice Summary:
2120 Park Pl, Suite 100
El Segundo, CA 90245
Invoice No.: INV-136117
Email: [email protected]
Phone: (310) 426-6304
EIN: 33-0888748
Invoice Date:
Due Date:
05-24-2025
07-23-2025
Need a W-9? Click here: W-9 PDF Payment Terms: Net 60
Purchase Order No.:
Customer No.: A-641670
Customer Billing Information Customer Shipping Information Breanna Lynch
Santa Ana, City of (CA)
20 Civic Center Plaza
Santa Ana, CA 92702
United States
Santa Ana, City of (CA)
20 Civic Center Plaza
Santa Ana, CA 92702
USA
Invoice Details:
Product Start Date End Date Quantity Total Price
($USD)
Candidate Text Messaging Subscription 07-01-2025 06-30-2026 1250 $1,530.78 Employee Import Subscription 07-01-2025 06-30-2026 1250 $1,753.14 Insight Subscription 07-01-2025 06-30-2026 1250 $22,707.65 Onboard Subscription 07-01-2025 06-30-2026 1250 $19,290.51 Online Exams/Testing Integration Subscription -
eSkill Pre-Employment 07-01-2025 06-30-2026 1 $1,932.66 Perform Subscription 07-01-2025 06-30-2026 1250 $33,809.89 Position Control Integration 07-01-2025 06-30-2026 1 $1,752.98 SUBTOTAL ($USD) $82,777.61
Sales Tax $0.00
TOTAL $82,777.61
Payments $0.00
Credits $0.00
Balance Due ($USD) $82,777.61
Payment Instructions:
City Council 14 – 18 6/17/2025
Remit checks to:
Governmentjobs.com, Inc.
DEPT LA 25067
Pasadena, CA 91185-5067
Remit electronic payments to:
Silicon Valley Bank
Name: Governmentjobs.com, Inc.
Account #: 3302022848
Routing #: 121140399
Swift Code: SVBUS6SIBO
Credit card payments:
Credit Card Payment Portal Link
By making the payment specified in this invoice, customer agrees that the terms and conditions of the agreement previously executed by the parties shall apply to this purchase, or if there is no prior agreement, the terms and conditions of the NEOGOV Services Agreement set forth in the quote previously provided to Customer shall apply. Any other terms and conditions provided by customer to NEOGOV in a purchase order or otherwise shall be deemed void.
City Council 14 – 19 6/17/2025
Parks, Recreation, and Community Services
www.santa-ana.org/parks
Item # 15
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
June 17, 2025
TOPIC: School Bus Services
AGENDA TITLE
Agreement with JFK Transportation Co., Inc. for School Bus Services (Specification No. 25-050) (General Fund & Non-General Fund)
RECOMMENDED ACTION
Authorize the City Manager to execute an agreement with JFK Transportation Co., Inc. to provide school bus services in an amount not to exceed $550,000 for a term beginning June 17, 2025 and expiring June 16, 2028, with provisions for two, one-year extensions (Agreement No. A-2025-XXX).
GOVERNMENT CODE §84308 APPLIES: Yes
DISCUSSION
The City of Santa Ana provides, through a contracted vendor, transportation services to groups of people for round-trip excursions from various points within City limits to other destinations, on an as-needed basis, throughout the year. These services will be for, but are not limited to: senior programs, youth field trips, community excursions, and other special events for the community.
Request for Proposals (RFP) No. 25-050 was issued on April 4, 2025 on the City’s online bid management and publication system. A summary of vendor participation and results is as follows:
84 Vendors Notified
3 Santa Ana Vendors Notified
17 Vendors Downloaded the RFP Packet
2 Responsive Proposals Received
1 Responsive Proposal Received from Santa Ana
Vendor
City Council 15 – 1 6/17/2025
School Bus Services
June 17, 2025
Proposals were solicited, opened on May 1, 2025, and evaluated. Two proposals were submitted by the RFP deadline, were determined to be responsive to the specifications, and met the City’s requirements. An evaluation committee reviewed and rated the proposals according to the criteria listed in the RFP.
Staff recommends awarding an agreement to the highest-ranking firm, JFK Transportation Co., Inc. (Exhibit 1).
PRCSA currently utilizes Charter Bus vendors, Elite Executive Charter and Coach Max Corp., to provide transportation services; however for events with smaller attendance rates, it is more cost effective to utilize school bus services.
Local Outreach Efforts
The Purchasing Division advertised this project on the City’s online bid management and publication system, which directly notified three Santa Ana vendors. One local vendor downloaded the RFP and submitted a proposal for consideration.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
Funding is available in the FY 24-25 budget and funding for subsequent fiscal years will be included in the proposed budgets for City Council consideration.
Fiscal
Year
Accounting
Unit-Account #
Fund
Description
Accounting Unit, Account
Description
Amount
FY 24-25 01113230-
62300
General Fund PRCSA- Recreation and
Community Services-Contractual
Services Professional
$10,000
FY 25-26 01113230-
62300
General Fund PRCSA- Recreation and
Community Services-Contractual
Services Professional
$110,000
FY 26-27 01113230-
62300
General Fund PRCSA- Recreation and
Community Services-Contractual
Services Professional
$110,000
FY 27-28 01113230-
62300
General Fund PRCSA- Recreation and
Community Services-Contractual
Services Professional
$110,000
FY 28-29 01113230-
62300
General Fund PRCSA- Recreation and
Community Services-Contractual
Services Professional
$110,000
FY 29-30 01113230-
62300
General Fund PRCSA- Recreation and
Community Services-Contractual
Services Professional
$100,000
Total $550,000
City Council 15 – 2 6/17/2025
School Bus Services
June 17, 2025
EXHIBIT(S)
1. Agreement with JFK Transportation Co., Inc.
Submitted By: Hawk Scott, Executive Director of Parks, Recreation, and Community Services Agency
Approved By: Alvaro Nuñez, City Manager
City Council 15 – 3 6/17/2025
CONTRACTOR AGREEMENT WITH JFK TRANSPORTATION CO., INC. TO
PROVIDE SCHOOL BUS SERVICES TO THE CITY OF SANTA ANA
THIS AGREEMENT is made and entered into on this 17th day of June, 2025 by and between JFK Transportation Co, Inc., a California corporation (“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. On April 4, 2025, City issued Request for Proposal (“RFP”) No. 25-050, by which it sought to retain a Contractor having special skill and knowledge in the field of school bus transportation services for the City’s Parks, Recreation, and Community Services Agency.
B. Contractor submitted a responsive proposal that was among those selected by the City.
Contractor represents that it is able and willing to provide such services described in the Scope of Work that was included in RFP No. 25-050.
C. 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 tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in the Scope of Services - Exhibit A, attached hereto and incorporated herein, and as further described in Contractor’s Proposal - Exhibit B, attached hereto and incorporated herein.
2. COMPENSATION
a. City neither warrants nor guarantees any minimum or maximum compensation to Contractor under this Agreement. Contractor shall be paid only for actual services performed under this Agreement at the rates and charges identified in Contractor ‘s Fee Proposal – Exhibit C, attached hereto and incorporated herein. The total compensation for services provided under the Agreement, including any extension periods, shall not exceed $550,000.00.
b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. City and Contractor agree that all payments due and owing under this Agreement shall be made through Automated Clearing House (ACH) transfers. Contractor agrees to execute the City Council 15 – 4 6/17/2025
City’s standard ACH Vendor Payment Authorization and provide required documentation. Upon verification of the data provided, the City will be authorized to deposit payments directly into Contractor’s account(s) with financial institutions.
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
This Agreement shall commence on June 17, 2025 and end on June 16, 2028, with the option for the City to grant up to two (2), one (1) year extensions, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 16, below. City shall recognize and compensate Contractor for services beginning June 1, 2025.
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 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 City Council 15 – 5 6/17/2025
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
Contractor shall procure and maintain for the duration of the agreement, the following insurance coverages:
Minimum Scope and Limit of Insurance. Contractor shall maintain limits of insurance coverage in the following minimum amounts and shall be at least as broad as:
• 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 injury with limits no less than $3,000,000 and advertising injury with limits no less than $2,000,000 per occurrence and $4,000,000 aggregate.
• Automobile Liability (AL): Insurance Services Office Form CA 00 01 covering Code 1 (any auto), with combined single limits of $5,000,000 and aggregate $10,000,000.
Primary and umbrella/excess policies can be combined to meet required policy limit. • Workers’ Compensation (W/C): as required by the State of California, with statutory limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident, per employee, per policy for bodily injury or disease. This requirement can be waived if Contractor has no employees.
• Sexual Abuse or Molestation Liability (SAML): If the CGL policy referenced above is not endorsed to include affirmative coverage for sexual abuse or molestation, Contractor shall obtain and maintain a policy covering Sexual Abuse and Molestation with a limit of no less than $1,000,000 per occurrence or claim. • If Contractor maintains broader coverage and/or higher limits than the minimums shown above, City requires and shall be entitled to the broader coverage and/or the higher limits maintained by Contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to City.
Other Insurance Provisions. The insurance policies are to contain, or be endorsed to contain, the following provisions:
• CGL and AL policies: City of Santa Ana, its City Council, its officers, officials, employees, agents, and volunteers are to be covered as additional insureds with respect to liability arising out of work or operations performed by or on behalf of the Permittee including materials, parts, equipment, and personnel furnished in connection with such work or operations.
• All required insurance policies: Insurance company(ies) agrees to waive all rights of subrogation against City, its City Council, its officers, officials, employees, agents, and City Council 15 – 6 6/17/2025
volunteers for losses paid under the terms of any policy which arise from work performed by Contractor for City.
• All required insurance policies: For any claims related to this contract, Contractor’s insurance coverage shall be primary and any insurance maintained by City, its City Council, its officers, officials, employees, agents, or volunteers shall not contribute with it.
• All required insurance policies: A severability of interest provision must apply for all the additional insureds, ensuring that Contractor’s insurance shall apply separately to each insured against whom a claim is made or suit is brought, except with respect to the insurer’s limits of liability.
• Each insurance policy required herein shall provide that coverage shall not be canceled, suspended, voided, reduced in coverage or in limits, non-renewed by the carrier, or materially changed except after thirty (30) days prior written notice has been given to City. Ten (10) days prior written notice shall be provided to City for policy cancellation or non-renewal due to non-payment.
• Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, Attention: (Name of Department Staff Responsible for Agreement), Address of Department Responsible for Agreement, M-XX, Santa Ana, CA 92701. The name and location of the event should be included in the Description of Operations section of each certificate.
Self-Insured Retentions. Self-insured retentions must be declared to and approved by the City. City may require Contractor 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.
Acceptability of Insurers. Insurance is to be placed with insurers authorized to conduct business in the state of California with a current A.M. Best rating of no less than A:VII, unless otherwise acceptable to City.
Verification of Coverage. Contractor shall furnish City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by 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 Contractor’s obligation to provide them. City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time.
Claims Made Policies. If any of the required policies provide coverage on a claims-made basis:
• The retroactive date must be shown and must be before the date of the contract or the beginning of work.
City Council 15 – 7 6/17/2025
• Insurance must be maintained and evidence of insurance must be provided for at least three (3) years after completion of work.
• If coverage is canceled or non-renewed, and not replaced with another claims-made policy form with a retroactive date prior to the contract effective date, Company must purchase “extended reporting” coverage for a minimum of three (3) years after completion of work.
Subcontractors. Contractor shall require and verify that all sub-contractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure that City is an additional insured on insurance required from sub-contractors.
Special Risks or Circumstances. City reserves the right to modify these requirements, including limits, based on the nature of the risk, 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 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.
City Council 15 – 8 6/17/2025
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) 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. NON-DISCRIMINATION
Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations.
City Council 15 – 9 6/17/2025
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 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.
City Council 15 – 10 6/17/2025
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:
City Clerk
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, California 92702
Fax: 714- 647-6956
With courtesy copies to:
Executive Director
Parks, Recreation, and Community Services
City of Santa Ana
20 Civic Center Plaza
P.O. Box 1988
Santa Ana, California 92702
To Contractor:
JFK Transportation Co.
Attn: Kevin Watson, CEO
980 W. 17th Street, Suite B
Santa Ana, California 92706
City Council 15 – 11 6/17/2025
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. CALIFORNIA AIR RESOURCES BOARD COMPLIANCE
Contractor shall comply, and shall ensure all subcontractors comply, with all applicable requirements of the most current version of the regulations imposed by California Air Resources Board (“CARB”) including, without limitation, all applicable terms of Title 13, California Code of Regulations Division 3, Chapter 9 and all pending amendments (“Regulation”).
Throughout the Project, and for three (3) years thereafter, Contractor shall make available for inspection and copying any and all documents or information associated with Contractor’s and its subcontractors’ fleets including, without limitation, the Certificates of Reported Compliance (“CRCs”), fuel/refueling records, maintenance records, emissions records, and any other information the Contractor is required to produce, keep or maintain pursuant to the Regulation upon two (2) calendar days’ notice from the City.
Contractor shall be solely liable for any and all costs associated with compliance with the Regulation as well as for any and all penalties, fines, damages, or costs associated with any and all violations, or failures to comply with the Regulation. Contractor shall defend, indemnify and hold harmless the City, its officials, officers, employees and authorized volunteers free and harmless from any claims, liabilities, costs, penalties or interest arising out of any failure or alleged failure to comply with the Regulation.
22. 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 appear on following page]
City Council 15 – 12 6/17/2025
SIGNATURE PAGE TO CONTRACTOR AGREEMENT WITH JFK
TRANSPORTATION CO., INC. TO PROVIDE SCHOOL BUS SERVICES TO THE
CITY OF SANTA ANA
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written.
ATTEST CITY OF SANTA ANA
Jennifer L. Hall Alvaro Nunez
City Clerk City Manager
APPROVED AS TO FORM CONTRACTOR:
SONIA R. CARVALHO
City Attorney
By:
Jonathan T. Martinez By:
Assistant City Attorney Title:
RECOMMENDED FOR APPROVAL
Hawk Scott
Executive Director
Parks, Recreation, and Community Services Agency
Kevin Watson (May 29, 2025 17:05 PDT)
CEO Kevin Watson
City Council 15 – 13 6/17/2025
EXHIBIT A
SCOPE OF SERVICES
City Council 15 – 14 6/17/2025
CITY OF SANTA ANA
RFP 24-027 City of Santa Ana Page 17 of 40
EXHIBIT I
SCOPE OF SERVICES
Proposer(s) shall perform the services as set forth below.
OVERVIEW
The City of Santa Ana seeks a qualified, licensed school bus services company to provide transportation of groups of people for pre-arranged round-trip excursions from various points within City limits to other destinations in the southern California area on an as-needed basis, throughout the year. These events include, but are not limited to: senior programs, youth field trips, community excursions, and other special events. Transportation services will be requested on an as-needed basis by designated City staff.
All proposals shall include turnkey pricing for all services requested, and the City reserves the right to reasonably increase or decrease the amounts and change specifications upon award.
PART I - SCOPE OF SERVICES
I. TRANSPORT SERVICES TO BE PROVIDED
1. Departure Time:
a. Scheduled Departure Time: is the time that City has provided to Carrier when the vehicle is to leave the Pick- up Point for the Destination Point. b. Actual Departure Time: is the actual time the vehicle leaves from the Pick-Up Point or the Destination Point.
c. Late Arrival: is arrival at the Pick-Up Point that is later than the required arrival time of at least 20 minutes before the Scheduled Departure Time. Liquidated damages apply.
d. Late Show: is arrival at the Pick-Up Point that is later than the Scheduled Departure Time. Liquidated damages apply; Contract termination may apply.
2. Cancelation:
a. If City cancels requested service due to Carrier’s Late Arrival at the Pick-Up Point or Late Show, which causes City to cancel the event due to time restrictions at the destination point, then Carrier shall not charge City any fees whatsoever and liquidated damages apply.
b. If City cancels requested service any time before vehicle is dispatched, then Carrier shall not charge City any fees whatsoever.
c. If City cancels requested service after vehicle is dispatched, then City will pay the Trip Charge and no other charges. Trip Charges are to be prorated downward in cases where the vehicle dispatch point was closer to Santa Ana, CA and where the vehicle is re-routed to another customer’s location.
3. Head Count:
a. Conduct a head count (roll call) prior to all departures.
City of
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CITY OF SANTA ANA
4. Pick-Up Point:
a. is the predefined location within the City limits for the passengers to be picked up by Carrier. This is where the trip begins. Driver must be at Pick-Up Point at least 20 minutes before Scheduled Departure Time. Standby Rate is applicable until the Actual Departure Time; Drive Time Rate begins thereafter.
5. Destination Point:
a. is the predefined location, which may be outside of the City limits, but not outside of the Southern California area. This is the Destination Point, the main purpose of the trip. There may be multiple Destination Points. Drive Time Rate ends; Standby Rate begins until vehicle leaves for the Drop-off Point. Standby Rate is applicable until the Actual Departure Time; Drive Time Rate begins thereafter.
6. Drop-Off Point:
a. is the predefined location within the City limits for the passengers to be dropped off by Carrier. Note that the Drop-Off Point is normally the same as the Pick-Up Point. This is where the trip is completed. Drive Time Rate ends; Standby Rate begins until last passenger leaves the vehicle.
7. Round Trip:
a. is from Pick-Up Point to Destination Point to Drop-off Point. There may be multiple Destination Points before reaching the Drop-off Point.
II. SCHEDULE
1. Provide the services on the agreed-upon schedule, generally, Monday through Friday, 8:00 am to 6:00 pm.
2. Occasional weekends may be needed from 8:00 am to 10:00 pm.
3. Note that the dates and times are subject to change or cancellation.
4. Note City will provide advance notice, at least 72 hours or more, for services or cancellations.
III. TYPICAL ANNUAL REQUIREMENTS: (NOT IMPLIED AS A GUARANTEE)
1. The City conducts about 20-30 trips a year, which are generally 5 - 65 miles round trip. a. Each trip may require 1-3 buses per trip.
b. Approximately 10 trips for Summer Day Camp
c. Approximately 9-10 trips for the Teen Excursion Program d. Approximately 4 trips for the Senior Service Program e. Approximately 4 trips for the Athletics Program
IV. PRICES
1. It shall be understood that the unit prices are firm for the initial year of the contract.
2. An increase or decrease may be made to the bid item prices for subsequent renewals for the term of the contract.
City of Santa Ana
City Council
RFP 25-050
15 – 16 6/17/2025
CITY OF SANTA ANA
3. Additional Charges: not allowed, no fuel surcharges, no mileage rates PART II – ADDITIONAL REQUIREMENTS
V. BIDDER QUALIFICATIONS
1. Possess the appropriate California Public Utilities Commission (CPUC) licenses for operating the types of vehicles and carrying the number of passengers in conjunction with the service requirements.
2. Must be listed at the CPUC website https://tcportal.cpuc.ca.gov/TCP/s/ under Limos, Shuttles, and Buses: Consumer Information Center; Hiring a Limo, Shuttle, or Bus; List of Companies.
VI. SPECIFIC TERMS AND CONDITIONS
1. LEGAL
a. Comply with all legal requirements: federal, state, and local laws, regulations b. Comply with all CPUC requirements as stated in the CPUC’s Transportation License Section apply unless the company, classification, service, etc. are especially excluded therein.
c. Comply with all ADA requirements
2. LICENSING
a. CPUC issues operating authority to companies that are for hire to transport passengers, including school buses that operate in California. Companies must display their CPUC file number on their vehicles and in advertisements; for example, “PSC 1234” or “TCP 1234.”
b. Drivers must be licensed as required under the California Vehicle Code and must comply with the driver provisions of Title 13, California Code of Regulations. c. Drivers must be the permit or certificate (CPUC authority) holder or under the complete supervision, direction and control of the operating carrier, and be an employee of the authority holder, or an employee of a sub-carrier, or an independent owner-driver who holds charter-party carrier authority and is operating as a sub-carrier.
VII. CONTROLLED SUBSTANCES AND ALCOHOL
1. Provide for a drug testing program in accordance with General Order 157 Series (TCP) and General Order 158 Series (PSC), whichever is applicable.
City of
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CITY OF SANTA ANA
2. Do not permit any driver to operate any vehicle, in conjunction with these service requirements that does not conform to all of the applicable drug testing program requirements.
3. Do not permit any Controlled Substances and Alcohol to be used on the vehicle by anyone.
VIII. DMV PULL NOTICE
1. Be enrolled in the DMV Employer Pull Notice Program (EPN).
2. Do not permit any driver to operate any vehicle, in conjunction with these service requirements that does not conform to all DMV requirements.
3. Upon the City’s request, vendor shall provide a list of all employees enrolled in the DMV Pull Notice Program.
IX. BACKGROUND CHECKS
1. Note that some passengers may be of minority age.
2. Utilize only the drivers that have had Department of Justice criminal background checks completed and had those checks properly screened for these service requirements.
3. Perform background checks at least once every two years on individuals who are utilized in conjunction with these service requirements.
X. PASSENGER INFORMATION
1. Make the following information available immediately to the passengers:
a. Check the license status of the company: Call CPUC at 1-800-877-8867; Access the information from our website at www.cpuc.ca.gov.
b. File a complaint against your CPUC-authorized passenger transportation company: Call CPUC at 1-800-894-9444; Email CPUC at
[email protected]; Write the Passenger Section, California Public Utilities Commission, 505 Van Ness Avenue, San Francisco, CA 94102; Use the complaint form on our website at: https://www.cpuc.ca.gov/consumersupport/file-a-complaint/transportation-complaint if your complaint is by email or in writing.
XI. SAFETY, FIRST AID, EMERGENCIES
1. Ensure that all drivers are up-to-date on first aid, CPR, and other related training.
2. Ensure that each vehicle used, in conjunction with these service requirements, has properly stocked first aid kits, fire extinguishers, and other related first aid devices as appropriate for the number of passengers and the expected duration of the trip.
3. Have emergency and critical incident procedures, arrangements and personnel in place to protect passengers and minimize disruption from on-road incidents, vehicle and/or system failures.
City of
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CITY OF SANTA ANA
4. Provide a list of primary and a secondary point of contact names and phone numbers for emergencies.
XII. VEHICLES
1. Provide the following information for each vehicle that is available for service:
a. The make, model, year, miles, condition, and attributes for each vehicle. b. License plate numbers, VIN numbers, and seating capacities. c. Provide updates within 10 days of adding or deleting any vehicle from this list.
2. Seating
a. Use the appropriate sized-vehicle with the appropriate number of seats for a given Round Trip.
b. Do not carry more passengers than the number of seats unless specifically allowed by law.
c. Ensure that all seats have the appropriate and fully functional restraint devices (seat belts, child safety seats) for the type of vehicle being utilized.
3. Vehicle service requirements shall:
a. Be appropriate for the intended use.
b. Have passenger capacity to accommodate all passengers comfortably. c. Have the necessary safety equipment.
d. Be fueled to at least 7/8ths of a tank, that other fluids including oil, antifreeze/coolant, power steering, brake fluid, washer fluid, battery fluid, and the like are topped-off before arrival at Pick-up Point.
e. Have had battery performance checked within the last 30 calendar days. f. Be equipped with fully functional heating, air conditioning, doors, windows, windshield wipers, emergency radios, escapes (where appropriate), tires (spare included) that are in very good condition rated for the type of vehicle and weight loads.
g. Have the appropriate charger for the mobile phones utilized by the driver for contact.
h. Be clean inside and outside prior to scheduled service. i. Have the appropriate storage/baggage compartments.
j. Be safeguarded at all times during the Round Trip.
k. Be very well-maintained, up-to-date on their maintenance requirements.
City of
City Council
Santa Ana RFP 25-050
15 – 19 6/17/2025
CITY OF SANTA ANA
l. Provide replacement transportation to ensure a timely arrival at specified destinations in the event of mechanical malfunctions or breakdowns. m. Ensure that any backup or replacement vehicles meet the same criteria as the replaced vehicle.
n. Use only Carrier’s company-owned or -leased vehicles unless otherwise approved in advance by Change Request/Change Order.
o. Comply with all Department of Transportation Federal Highway Administration (DOT/FHWA) regulations with regard to their service.
p. Make available all vehicle maintenance records utilized in these services for inspection by City within 3 working days’ notice from City. q. Allow the City reserves the right to inspect the Vendors equipment and to perform such investigations as may be deemed necessary to insure that competent personnel and management will be utilized in the performance of this agreement.
XIII. DRIVERS
Note that the split of responsibilities is provided as a general grouping an does not represent or limit the responsibilities of the Carrier and Drivers
1. Carrier Responsibilities
a. Ensure that only drivers who are in good health (not mentally, emotionally, or physically compromised for operating the vehicles; and not contagious with any disease that might infect the passengers); well-rested; alert; and not under the influence of any illegal substances, substances or chemicals that would detract from their ability to operate the vehicle at optimal levels are utilized for these services.
b. Remove drivers from operating a vehicle in conjunction with these service requirements that do not meet the foregoing requirements. c. Provide the appropriate number of drivers and relief drivers as required for the expected Round Trip travel time at no additional cost to City. d. Ensure that drivers are provided the appropriate breaks for meals and the like. e. Provide a fully-charged, fully-functional mobile phone to the driver to be available for contact at any time during the trip by Carrier or by City. f. Are trained and regularly evaluated for conformance with all applicable requirements.
2. Driver Responsibilities
City of
City Council
Santa Ana RFP 25-050
15 – 20 6/17/2025
CITY OF SANTA ANA
a. Possess, at all times, a valid State of California Department of Motor Vehicle Driver License qualifying them to operate the vehicles. b. Are professional, courteous, and provide excellent customer service. c. Capable of communicating the English language: understanding, speaking, reading, and writing it.
d. Attend and pass a defensive driver training course at least once every four years. e. Are trained, familiar with, and skilled at the operation of the vehicle to be used for this service.
f. Ensure vehicles and contents are secure at all times.
3. Parking Tolls & Fees
a. City will reimburse Carrier for the exact amount of all documented parking and toll fees for each Round Trip.
4. Fines
a. Carrier is sole responsible for all fines including, but not limited to all DMV fines, towing, storage, etc.
5. Fuel Surcharges:
a. Not allowed
XIV. LEGAL AND BEST PRACTICE REQUIREMENTS
1. Be self-informed, abide by, and comply with all, current and applicable, local, county, state, federal or other legal requirements and best practices at all times.
2. Do not cause, allow to be caused, or permit the continuance of any violation of any legal requirements or best management practices
3. Be responsible and bear all associated costs should any work be performed in contrary to any laws, ordinances, codes, rules, or regulations.
XV. AUDIT REQUIREMENTS
1. City reserves the right to periodically inspect and audit Contractor’s accounting procedures and supporting documentation in conjunction with the performance of the bid specifications.
2. City will notify Contractor in writing of any such requested audit.
City of
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Santa Ana RFP 25-050
15 – 21 6/17/2025
CITY OF SANTA ANA
3. City will inspect and audit in a reasonable manner and at City’s expense.
4. Contractor must fully cooperate with any such audit(s).
5. City will notify Contractor in writing of any exception taken as a result of an audit.
6. During required audits, in accordance with this article, discloses overcharges (of any nature) by Contractor to the City of the value of that portion of the Agreement that was audited, the actual cost of the City’s audit shall be reimbursed to the City by Contractor for the entirety of the term including all extensions.
City of
City Council
Santa Ana RFP 25-050
15 – 22 6/17/2025
CITY OF SANTA ANA
** For bidding purposes only, not a working
schedule. A schedule of actual trips will be
given upon contract award. **
TYPE OF COACH/BUS MONTH TOTAL # OF BUSES
NEEDED
Regular School Bus Sizes:
48/72, 52/78 & 59 passenger w/ 3 pt.
Seat belts
MINIMUM OF 2 EACH
MONTH 24
JUNE 14
JULY 14
AUGUST 2
Regular School Bus Sizes:
48/72, 52/78 & 59 passenger w/ 3 pt.
Seat belts, w/ Lift Equipped
MINIMUM OF 2 EACH
MONTH 24
EXHIBIT II
RESERVATION EXAMPLE
City of Santa Ana
City Council
RFP 25-050
15 – 23 6/17/2025
EXHIBIT B
CONTRACTOR’S PROPOSAL
City Council 15 – 24 6/17/2025
City Council 15 – 25 6/17/2025
City Council 15 – 26 6/17/2025
000001
City Council 15 – 27 6/17/2025
000002
City Council 15 – 28 6/17/2025
000003
City Council 15 – 29 6/17/2025
000004
City Council 15 – 30 6/17/2025
000005
City Council 15 – 31 6/17/2025
000006
City Council 15 – 32 6/17/2025
000007
City Council 15 – 33 6/17/2025
000008
City Council 15 – 34 6/17/2025
000009
City Council 15 – 35 6/17/2025
000010
City Council 15 – 36 6/17/2025
000011
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000012
City Council 15 – 38 6/17/2025
000013
City Council 15 – 39 6/17/2025
000014
City Council 15 – 40 6/17/2025
000015
City Council 15 – 41 6/17/2025
000016
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000017
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000018
City Council 15 – 44 6/17/2025
EXHIBIT C
CONTRACTOR’S FEE PROPOSAL
Fee Proposal including hourly rates if applicable
City Council 15 – 45 6/17/2025
000010
City Council 15 – 46 6/17/2025
Contractor Agreement - JFK Transportation -
5.29.25 CAO signed (003)
Final Audit Report 2025-05-30
Created: 2025-05-30
By: Julie Hoang ([email protected])
Status: Signed
Transaction ID: CBJCHBCAABAAOJrsCucVJre7kgDBtvt0Dbalf1-34yjC "Contractor Agreement - JFK Transportation - 5.29.25 CAO sign ed (003)" History
Document created by Julie Hoang ([email protected])
2025-05-30 - 0:01:14 AM GMT
Document emailed to Kevin Watson ([email protected]) for signature 2025-05-30 - 0:01:35 AM GMT
Email viewed by Kevin Watson ([email protected])
2025-05-30 - 0:03:59 AM GMT
Document e-signed by Kevin Watson ([email protected])
Signature Date: 2025-05-30 - 0:05:02 AM GMT - Time Source: server Document emailed to Hawk Scott ([email protected]) for signature 2025-05-30 - 0:05:09 AM GMT
Email viewed by Hawk Scott ([email protected])
2025-05-30 - 0:05:20 AM GMT
Document e-signed by Hawk Scott ([email protected])
Signature Date: 2025-05-30 - 0:12:18 AM GMT - Time Source: server Agreement completed.
2025-05-30 - 0:12:18 AM GMT
City Council 15 – 47 6/17/2025
Police Department
www.santa-ana.org/pd
Item # 16
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
June 17, 2025
TOPIC: Santa Ana Family Justice Center Agreement
AGENDA TITLE
First Amendment to Agreement with Casa De La Familia to Continue Providing Services to the Santa Ana Family Justice Center (General Fund)
RECOMMENDED ACTION
Authorize the City Manager to execute the first amendment to the agreement with Casa de la Familia and exercise two one-year renewal options to continue providing an Operations Specialist to the Santa Ana Family Justice Center for the period from July 1, 2025 through June 30, 2027, in the amount of $203,671 for an aggregate total amount not to exceed $535,304 (Agreement No. A-2025-XXX).
GOVERNMENT CODE §84308 APPLIES: Yes
DISCUSSION
The Santa Ana Family Justice Center (SAFJC) was founded in 2019. It is a partnership between the Santa Ana Police Department and 17 social services organizations to provide a “one-stop-shop” where survivors of domestic violence, sexual assault, child abuse, human trafficking, and elder abuse can receive the assistance and support they need. The U.S. Department of Justice has recognized the Family Justice Center as a best practice model.
The SAFJC operates under the Police Department’s Criminal Investigations Commander, who also serves as the director of the center. An Operations Specialist from Casa de la Familia (CDLF) serves to oversee and facilitate the smooth day-to-day operations of the center. The Operations Specialist is also a spokesperson for media requests and collaborates with the National Family Justice Center Alliance on various initiatives.
On February 16, 2022, the Police Department issued Request for Proposals (RFP) No. 22-022 to select an organization for a new three-year agreement with two one-year renewal options. Only one proposal was received from CDLF in response to the RFP and on June 21, 2022, the City Council approved a three-year agreement with CDLF in the City Council 16 – 1 6/17/2025
Santa Ana Family Justice Center Agreement
June 17, 2025
amount of $331,633. The current agreement with CDLF will expire on June 30, 2025, and has an option for the City to grant two, one-year renewals.
CDLF is a 501(c)(3) non-profit organization that has been providing counseling services to victims of psychological trauma for over 29 years. CDLF has ensured the mission and core values of the SAFJC are implemented in every aspect of the center’s operation and has maintained strong relationships with both on-site and off-site community partners, interns, and volunteers, and has fostered a positive working environment. Therefore, the Santa Ana Police Department recommends that both renewal options be exercised together in the additional amount of $203,671 for continued services through June 30, 2027.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
Funds will be available upon City Council adoption of the FY 25-26 budget and funds for FY 26-27 will be presented to Council during the budget process for consideration as follows:
Fiscal
Year
Accounting
Unit – Account
No.
Fund
Description
Accounting Unit,
Account Description Amount
FY 25-26 01114435-62300 General Fund
Criminal Investigations,
Contract ServicesProfessional$100,628
FY 26-27 01114435-62300 General Fund
Criminal Investigations,
Contract ServicesProfessional$103,043
Total $203,671
EXHIBIT(S)
1. Amendment to Agreement with Casa De La Familia
Submitted By: Robert Rodriguez, Police Chief
Approved By: Alvaro Nuñez, City Manager
City Council 16 – 2 6/17/2025
FIRST AMENDMENT TO AGREEMENT TO AGREEMENT WITH
CASA DE LA FAMILIA TO PROVIDE AN OPERATIONS SPECIALIST
FOR THE SANTA ANA FAMILY JUSTICE CENTER
THIS FIRST AMENDMENT to the above-referenced agreement is entered into on June 17, 2025, by and between Casa de la Familia, a 50l(c)(3) non-profit organization, ("Consultant"), 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-2022-104 on June 21, 2022 ("Agreement") to provide an Operations Specialist for the Santa Ana Family Justice Center. The term of the Agreement was three (3) years until June 30, 2025, with the option for the City to grant two (2) one year (1) renewals.
B. The parties now wish to amend the Term to exercise both options to renew the Agreement for a total of two (2) years until June 30, 2027.
C. The Parties also wish to amend the Compensation to add an additional $100,628 for year four (4) and $103,043 for year five (5) of the Agreement, for a total of $203,671. The total amount to be expended during the term of the Agreement shall not exceed $535,304.
The Parties therefore agree:
1. Section 2.c, Compensation is amended to add an additional $203,671, for a total not to exceed amount of $535,304.
2. Section 3, Term is amended to extend the term of the Agreement by two (2) additional years from July l, 2025 to June 30, 2027.
3. Except as modified by this First Amendment, all terms and conditions of the Agreement shall remain in full force and effect.
[Signatures on following page]
Exhibit 1
City Council 16 – 3 6/17/2025
City Council 16 – 4 6/17/2025
Police Department
www.santa-ana.org/pd
Item # 17
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
June 17, 2025
TOPIC: Inmate Meals and Commissary Services Agreement
AGENDA TITLE
Fifth Amendment to Agreement with Aramark Correctional Services, LLC (General Fund)
RECOMMENDED ACTION
Authorize the City Manager to execute a fifth amendment to the agreement with Aramark Correctional Services, LLC, to provide inmate meals and commissary services for an additional three-month period from July 1, 2025 through September 30, 2025, in the additional amount of $500,000 for a total aggregate amount not to exceed $8,183,326 (Agreement No. A-2025-XXX).
GOVERNMENT CODE §84308 APPLIES: Yes
DISCUSSION
In January 2025, City staff began the Request for Proposals (RFP) process for contracted food service and inmate commissary services at the Santa Ana Jail. On March 17, 2025, the Police Department issued Request for Proposals (RFP #25-038) on the City's online bid management and publication system to identify and qualify suitable vendors capable of providing inmate meals and commissary services in accordance with the State of California’s Title 15 nutritional requirements and in compliance with all health and safety standards. The RFP process is nearing its final stage but the Police Department requires additional time to select a vendor and negotiate a new agreement.
Aramark Correctional Services, LLC (“Aramark”) is the Police Department's current provider of inmate meals. It also operates the Department's cafeteria (Code 7 Cafe) and manages the inmate commissary program. The City Council approved the original threeyear agreement on October 20, 2020 and has since approved subsequent amendments to increase the compensation amount due to Consumer Price Index and/or to extend the term.
The agreement with Aramark is set to expire on June 30, 2025. This amendment is necessary to provide continuity of services until the procurement process is completed City Council 17 – 1 6/17/2025
Inmate Meals and Commissary Services Agreement
June 17, 2025
and a new agreement is executed. Aramark has agreed to provide services in the interim, identical to the agreement currently in place, through September 30, 2025. Aramark has been responsive and accommodating in servicing the current agreement, and staff recommends approval of this three-month extension while the RFP process is completed. The Police Department intends to present the new agreement with the selected vendor for City Council’s approval before September 30, 2025.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
Funds will be available upon City Council adoption of the FY 25-26 budget for expenditure as follows:
Fiscal
Year
Accounting Unit
- Account No.
Fund
Description
Accounting Unit,
Account Description
Amount
FY 25-26 01114475-62300 General Fund
Jail Operations,
Contract ServicesProfessional$500,000
EXHIBIT(S)
1. Fifth Amendment to Agreement with Aramark Correctional Services, LLC Submitted By: Robert Rodriguez, Police Chief
Approved By: Alvaro Nuñez, City Manager
City Council 17 – 2 6/17/2025
Docusign Envelope ID: 583ABBE7-E6A1-426B-976D-6EC3D6AC1496 City Council 17 – 3 6/17/2025
Docusign Envelope ID: 583ABBE7-E6A1-426B-976D-6EC3D6AC1496 City Council 17 – 4 6/17/2025
Docusign Envelope ID: 583ABBE7-E6A1-426B-976D-6EC3D6AC1496 Finance Vice President
Stephen Yarsinsky
City Council 17 – 5 6/17/2025
Police Department
www.santa-ana.org/pd
Item # 18
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
June 17, 2025
TOPIC: FY 2024 Emergency Management Performance Grant
AGENDA TITLE
Resolution, Agreement, and Appropriation Adjustment Accepting the FY 2024 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.
RESOLUTION NO. 2025-XXX entitled A RESOLUTION OF THE CITY COUNCIL OF
THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER OR THE CITY MANAGER’S DESIGNEE(S) TO OBTAIN 2024 EMERGENCY MANAGEMENT
PERFORMANCE GRANT FUNDS THROUGH 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, 2024 through June 30, 2026, for the FY 2024 Emergency Management Performance Grant in an amount not to exceed $46,537 (Agreement No. A-2025-XXX).
3. Approve an appropriation adjustment recognizing $46,537 in Law Enforcement Grants revenue account and appropriating same to the Emergency Management Performance Grant expenditure account. (Requires five affirmative votes) GOVERNMENT CODE §84308 APPLIES: No
DISCUSSION
The Emergency Management Performance Grant (EMPG) is funded by the U.S.
Department of Homeland Security and 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 City Council 18 – 1 6/17/2025
FY 2024 Emergency Management Performance Grant
June 17, 2025
counties and cities that maintain emergency management staff and meet training, exercising, and reporting requirements. The County of Orange, Sheriff-Coroner Department is the lead agency for the county.
In January 2025, the Police Department submitted an initial application for the FY 2024 EMPG Grant and has been awarded $46,537. The Police Department will utilize this funding to purchase and install one security video camera on Bristol Street to enhance public safety, as well as to purchase three uninterruptible power supply units for the City Emergency Operations Center. Existing Police Department funding of the Emergency Operations Coordinator position fulfills the requirement for matching funds.
In August 2024, the Police Department was awarded FY 2023 EMPG Grant funding for two security video cameras on Bristol Street. However, the security camera vendor was unable to complete the project for the contracted amount. Therefore, the grant funding was terminated. This new grant funding will allow for at least one new camera to be installed.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
The appropriation adjustment will recognize $46,537 in Law Enforcement Grants, Reserve Appropriation account (no. 12814002-59011), and appropriate same to EMPG Grant account as follows:
Fiscal
Year
Accounting Unit
– Account No.
Fund
Description
Accounting Unit,
Account Description Amount
FY 24-25 12814414-69011
Law
Enforcement
Grants
EMPG Grant, Reserve
Appropriation $46,537
Total $46,537
These grant funds are being recognized and appropriated in reserve appropriation and will be presented to the City Council for approval of carryovers for FY 25-26.
EXHIBIT(S)
1. Resolution
2. FY 2024 EMPG Transfer Agreement with County of Orange Submitted By: Robert Rodriguez, Police Chief
Approved By: Alvaro Nuñez, City Manager
City Council 18 – 2 6/17/2025
Resolution No. 2025-XXX
RESOLUTION NO. 2025-xxx
A RESOLUTION OF THE CITY COUNCIL OF THE CITY
OF SANTA ANA AUTHORIZING THE CITY MANAGER
OR THE CITY MANAGER’S DESIGNEE(S) TO
OBTAIN 2024 EMERGENCY MANAGEMENT
PERFORMANCE GRANT FUNDS THROUGH THE
COUNTY OFORANGE
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 2024 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 $46,537 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 subrecipient 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 $46,537.
Section 3. The City Council of the City of Santa Ana hereby authorizes and directs the City Manager or the City Manager’s 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 2024 Emergency Management Exhibit 1
City Council 18 – 3 6/17/2025
Resolution No. 2025-XXX
Performance Grant in the amount of $46,537 and appropriates same in the FY 2024 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 _______________, 2025.
______________________________
VALERIE AMEZCUA
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, JENNIFER L. HALL, City Clerk, do hereby attest to and certify the attached Resolution No. 2025-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on , 2025.
Date:_______________ _____________________________
City Clerk
City of Santa Ana
City Council 18 – 4 6/17/2025
Exhibit 2
1st July 24
City of Santa Ana
City Council 18 – 5 6/17/2025
City Council 18 – 6 6/17/2025
City Council 18 – 7 6/17/2025
City Council 18 – 8 6/17/2025
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written.
ATTEST: CITY OF SANTA ANA
_______________________
JENNIFER L. HALL
City Clerk
_______________________
ALVARO NUNEZ
City Manager
APPROVED AS TO FORM:
SONIA R. CARVALHO
City Attorney
By:
TAMARA BOGOSIAN
Senior Assistant City Attorney
City Council 18 – 9 6/17/2025
ATTACHMENT A
Preparedness Grants
Manual
FM-207-23-001
April 2024
City Council 18 – 10 6/17/2025
Preparedness Grants Manual
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City Council 18 – 11 6/17/2025
Preparedness Grants Manual
Table of Contents
1. Foreword .................................................................................................................................5
1.1. 1.2.
1.3. 1.4.
1.5. 1.6.
Overview of the Federal Emergency Management Agency...........................................5 Overview of the Preparedness Grants Manual’s Intent................................................5 Key Changes....................................................................................................................5 Overview of Preparedness Grant Programs...................................................................6 National Preparedness Goal...........................................................................................8 Strengthening Governance Integration..........................................................................8
2. Award Determination and Obligation ................................................................................... 10
2.1. Federal Award Administration Information................................................................. 10
3. Recipient and Subrecipient Costs........................................................................................ 11
3.1. 3.2.
3.3. 3.4.
3.5. Funding Restrictions .................................................................................................... 11 Direct Allowable Costs.................................................................................................. 11 Maintenance and Sustainment................................................................................... 15 Management and Administration................................................................................ 16 Procedures for Establishing Indirect Cost Rates........................................................ 16
4. Administrative and National Policy Requirements............................................................... 18
4.1. 4.2.
4.3. 4.4.
4.5. 4.6.
4.7. 4.8.
4.9. Accessibility Compliance.............................................................................................. 18 Ensuring the Protection of Civil Rights........................................................................ 18 Disability Integration .................................................................................................... 19 Language Access.......................................................................................................... 20 Environmental Planning and Historic Preservation Compliance............................... 20 Davis-Bacon Act Compliance....................................................................................... 23 National Incident Management System Implementation.......................................... 23 SAFECOM Guidance Compliance ................................................................................ 24 Resilient Communications Guidance.......................................................................... 26
4.10. FirstNet ......................................................................................................................... 27
4.11. Department of Homeland Security/FEMA Communications Support Services........ 28
5. Post-Award Management and Implementation.................................................................... 31
5.1. Reporting ...................................................................................................................... 31 1 City Council 18 – 12 6/17/2025
Preparedness Grants Manual
5.2. 5.3.
5.4. 5.5.
5.6. 5.7.
5.8. Federal Financial Reporting Requirements................................................................ 31 Program Performance Reporting Requirements........................................................ 32 Biannual Strategy Implementation Report ................................................................. 33 Closeout Reporting Requirements.............................................................................. 33 Administrative Closeout............................................................................................... 34 Disclosing Information per 2 C.F.R. § 180.335 ......................................................... 34 Reporting of Matters Related to Recipient Integrity and Performance..................... 35
6. Additional Information.......................................................................................................... 36
6.1. 6.2.
Monitoring and Oversight............................................................................................. 36 Case Studies and Use of Grant-Funded Resources During Real-World Incident Operations .................................................................................................................... 39
6.3. 6.4.
6.5. 6.6.
6.7. 6.8.
6.9. Termination Provisions ................................................................................................ 40 Period of Performance Extensions.............................................................................. 40 Conflicts of Interest in the Administration of Federal Awards or Subawards........... 41 Procurement Integrity .................................................................................................. 42 Financial Assistance Programs for Infrastructure...................................................... 46 Records Retention........................................................................................................ 46 Actions to Address Noncompliance............................................................................. 47
6.10. Audits ............................................................................................................................ 48
6.11. Reporting Issues of Fraud, Waste, and Abuse ........................................................... 50
6.12. Payment Information.................................................................................................... 50
6.13. Whole Community Preparedness................................................................................ 50
7. Resources............................................................................................................................. 52
7.1. 7.2.
7.3. 7.4.
7.5. 7.6.
7.7. 7.8.
Department of Homeland Security/FEMA Provided Training and Education........... 52 Training Not Provided by the Department of Homeland Security/FEMA.................. 52 Training Information Reporting System (“Web-Forms”)............................................. 52 FEMA’s National Preparedness Course Catalog ........................................................ 52 Exercises....................................................................................................................... 53 Planning Assistance..................................................................................................... 53 Training Information..................................................................................................... 53 Weblinks ....................................................................................................................... 54 2 City Council 18 – 13 6/17/2025
Preparedness Grants Manual
7.9. Emergency Management Accreditation Program....................................................... 54
8. Homeland Security Grant Program and Tribal Homeland Security Grant Program ............. 55
8.1. 8.2.
8.3. Alignment to the National Preparedness System (Homeland Security Grant Program, Tribal Homeland Security Grant Program).................................................................. 55 Reporting on the Implementation of the National Preparedness System (Homeland Security Grant Program, Tribal Homeland Security Grant Program)......................... 56 Funding Guidelines (Homeland Security Grant Program, Tribal Homeland Security Grant Program)............................................................................................................. 59
8.4. 8.5.
8.6. Allowable Costs (Homeland Security Grant Program)................................................ 59 Fusion Centers (Homeland Security Grant Program)................................................. 60 Investment Modifications – Changes in Scope or Objective (Tribal Homeland Security Grant Program) .............................................................................................. 64
8.7. Continuity Capability (Homeland Security Grant Program, Tribal Homeland Security Grant Program)............................................................................................................. 65
8.8. 8.9.
Senior Advisory Committee (Homeland Security Grant Program)............................. 65 Urban Area Working Group (Homeland Security Grant Program) ............................. 68
8.10. Supplemental State Homeland Security Program and Urban Area Security Initiative Guidance (Homeland Security Grant Program).......................................................... 70
8.11. Operation Stonegarden Operational Guidance (Homeland Security Grant Program) ....................................................................................................................................... 71
8.12. Supplemental Resources (Homeland Security Grant Program, Tribal Homeland Security Grant Program) .............................................................................................. 79
9. Nonprofit Security Grant Program........................................................................................ 83
9.1. 9.2.
Program Funding Guidelines and Priorities................................................................ 83 Nonprofit Security Grant Program Investment Modifications – Changes in Scope or Objective ....................................................................................................................... 83
9.3. Pass-Through Requirements ....................................................................................... 84
10. Surface Transportation Security Grant Programs (Transit Security Grant Program, Intercity Passenger Rail Program, Intercity Bus Security Grant Program).................................. 86
10.1. Program Funding Guidelines and Priorities (Transit Security Grant Program, Intercity Passenger Rail Program, Intercity Bus Security Grant Program) .............................. 86
10.2. Changes in Scope or Objectives (Transit Security Grant Program, Intercity Passenger Rail Program, Intercity Bus Security Grant Program)................................................. 86
10.3. Security Plan Requirements (Transit Security Grant Program, Intercity Passenger Rail Program, Intercity Bus Security Grant Program)................................................. 86
10.4. Allowable Cost Guidance ............................................................................................. 89 3 City Council 18 – 14 6/17/2025
Preparedness Grants Manual
11. Port Security Grant Program ................................................................................................ 91
11.1. Program Funding Guidelines and Priorities................................................................ 91
11.2. Allowable Cost Guidance ............................................................................................. 91
11.3. Port-Wide Risk Management Plans............................................................................. 93
11.4. Port Security Grant Program Investment Modifications ............................................ 93
12. Emergency Management Performance Grant Program....................................................... 94
12.1. Alignment of the Emergency Management Performance Grant Program to the National Preparedness System................................................................................... 94
12.2. Implementation of the National Preparedness System............................................. 95
12.3. Logistics Planning......................................................................................................... 99
12.4. Evacuation Planning...................................................................................................100
12.5. Disaster Housing Planning.........................................................................................101
12.6. State Disaster Recovery Coordinator........................................................................102
12.7. Disaster Financial Management Policies and Procedures......................................102
12.8. Training and Exercises...............................................................................................104
12.9. Reviewing and Updating Planning Products.............................................................108
12.10. Program Performance Reporting Requirements......................................................108
13. Abbreviations and Acronyms.............................................................................................. 109 4 City Council 18 – 15 6/17/2025
U.S. Department of Homeland Security
Washington, DC 20472
April 12, 2024
MEMORANDUM FOR RECORD
FROM: Pamela S. Williams
Assistant Administrator
Grant Programs Directorate
SUBJECT: Preparedness Grants Manual, April 2024
The Grant Programs Directorate’s Office of Grants Administration (OGA) has developed FEMA Manual 207-23-001, Preparedness Grants Manual, April 2024. FEMA has developed the Preparedness Grants Manual (PGM) to guide preparedness grant recipients, including subrecipients, on how to manage their grants. The preparedness grant programs covered in the PGM include the following:
Homeland Security Grant Program (comprising the State Homeland Security Grant Program, the Urban Area Security Initiative, and Operation Stongarden); Tribal Homeland Security Grant Program;
Nonprofit Security Grant Program;
Transit Security Grant Program;
Intercity Passenger Rail Program;
Intercity Bus Security Grant Program;
Port Security Grant Program; and
Emergency Management Performance Grant Program.
Recipients seeking guidance on policies and procedures for managing the aforementioned FEMA preparedness grants should reference this manual for further information. Chapters 8-12 of the PGM contain program-specific information and requirements, while the main content of the PGM (chapters 1-7) contains important information relevant to all preparedness grant programs unless otherwise noted.
The PGM has been updated pursuant to FEMA Directive 112-12 v2, Development and Management of FEMA Policy (October 28, 2019), and in collaboration with the Regional Grants Management Divisions, the OGA program areas and their Department of Homeland Security counterparts (e.g., the U.S. Coast Guard, the Transportation Security Administration, and the Cybersecurity and Infrastructure Security Agency), the Office of External Affairs (including Tribal Affairs), the Office of Chief Counsel, the Office of Environmental and Historic Preservation, the Office of Resilience Strategy, the Office of Equal Rights, the Office of Disability Integration and Coordination, the Office of Policy and Program Analysis, and other financial assistance support offices.
City Council 18 – 16 6/17/2025
The PGM April 2024 update associated with this memorandum supersedes the previously published version of the PGM issued on February 27, 2023, for Fiscal Year 2024 and into the future, and is effective as of the date of this memorandum. An explanation of specific updates to the PGM can be found in Section 1.3, Key Changes, after the Table of Contents.
Please contact the GPD Office of Enterprise Grants Services Policy Division at fema-gpd[email protected] if you have any questions regarding FEMA Manual 207-23-001, Preparedness Grants Manual, April 2024.
City Council 18 – 17 6/17/2025
Preparedness Grants Manual
1. Foreword
1.1. Overview of the Federal Emergency Management Agency The mission of the Federal Emergency Management Agency (FEMA) is helping people before, during, and after disasters, and the agency has done so for more than 40 years. FEMA remains committed to building resilience 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 non-governmental partners that share responsibility for emergency management and national preparedness. Those closest to areas impacted by any emergency or disaster are the true first responders—individuals, families, neighbors, and local communities. FEMA’s role is to coordinate federal resources to supplement SLTT capabilities. FEMA does this by coordinating across all levels of government meaning that states, local governments, Tribal Nations, and territories are FEMA’s primary partners.
1.2. Overview of the Preparedness Grants Manual’s Intent FEMA has developed this Preparedness Grants Manual to guide grant recipients, including subrecipients, on how to manage their grants. Recipients seeking guidance on policies and procedures for managing FEMA preparedness grants should reference this manual for further information. The Notice of Funding Opportunity (NOFO) for each program includes information needed to apply to the grant. This manual and relevant NOFOs can be reviewed and consulted in tandem.
Chapters 8-12 of this manual contain program-specific information and requirements, while the main content of this manual (chapters 1-7) contains important information relevant to all preparedness grant programs unless otherwise noted. Please be sure to read both the main content of this manual as well as the program-specific chapters, as needed.
All recipients and subrecipients of FEMA grants 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. For more information on 2 C.F.R. Part 200, please see Information Bulletin (IB) 400, FEMA’s Implementation of 2 C.F.R. Part 200, the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (“Super Circular” or “Omni Circular”) dated Dec. 23, 2014, regarding FEMA’s implementation of these provisions prior to the recent 2020 revisions. For information on the recent revisions to these regulations, see 2 C.F.R.
Grants Management Policy Updates.
1.3. Key Changes
Future updates to this manual will include a section on specific line-by-line “key changes” made since the last update.
This version of the manual has significantly streamlined pertinent recipient/subrecipient information, lessening the back-and-forth needed between the NOFO and the Preparedness Grants Manual and more clearly defining that the NOFO focuses on applying for the grant, while the manual focuses on managing the grant. Between the Fiscal Year (FY) 2023 and FY 2024 versions, the manual has made the following overarching changes:
5 City Council 18 – 18 6/17/2025
Preparedness Grants Manual
1. Sections 2-7, unless otherwise noted, apply to all eight grant programs featured in the manual. These sections are considered generic requirements and do not include how to apply to the grant.
2. Specific direct allowable cost information, previously in program-specific chapters, has been moved to the NOFOs. General cost information is in Section 3.
3. The Transit Security Grant Program (TSGP), Intercity Bus Security Grant Program (IBSGP), and Intercity Passenger Rail (IPR) Program Chapters as well as the Homeland Security Grant Program (HSGP) and Tribal Homeland Security Grant Program (THSGP) Chapters are combined.
1.4. Overview of Preparedness Grant Programs
FEMA has the statutory authority to deliver numerous disaster and non-disaster (ND) financial assistance programs in support of its mission, and that of the U.S. Department of Homeland Security (DHS), largely through grants and cooperative agreements. These programs account for a significant amount of the federal assistance 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 (OMB) circulars, and federal appropriations laws and principles. FEMA has developed this manual to provide uniform direction on grant policy and implementation for the following grant programs. If the FEMA grant program you are looking for is not listed below, please navigate to FEMA.gov to find more information.
1.4.1. HOMELAND SECURITY GRANT PROGRAM
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 SLTT 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): The UASI assists high-risk 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 U.S. Customs and Border Protection (CBP), United States Border Patrol (USBP), and federal and SLTT law enforcement agencies to improve overall border security. OPSG provides funding to support joint efforts to secure U.S. 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 by participating in OPSG.
For additional information about the HSGP not found in the NOFO, manual, or other program-specific guidance, contact [email protected].
1.4.2. TRIBAL HOMELAND SECURITY GRANT PROGRAM
The THSGP provides funding directly to eligible tribes to strengthen their capacity to prevent, prepare for, protect against, and respond to potential terrorist attacks. 6 City Council 18 – 19 6/17/2025
Preparedness Grants Manual
. For additional information about the THSGP not found in the NOFO, manual, or other programspecific guidance, contact [email protected].
1.4.3. NONPROFIT SECURITY GRANT PROGRAM
The Nonprofit Security Grant Program (NSGP) provides funding for physical security enhancements and other security-related activities to nonprofit organizations that are at high risk of a terrorist or other extremist attack. The NSGP also seeks to integrate the preparedness activities of nonprofit organizations with broader state and local preparedness efforts. . For additional information about the NSGP not found in the NOFO, manual, or other programspecific guidance, contact [email protected].
1.4.4. TRANSIT SECURITY GRANT PROGRAM
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. . For additional information about the TSGP not found in the NOFO, manual, or other programspecific guidance, contact [email protected].
1.4.5. INTERCITY BUS SECURITY GRANT PROGRAM
The IBSGP provides funds to eligible private operators of intercity over-the-road buses to protect critical transportation infrastructure and travelling public from acts of terrorism, and to increase transportation infrastructure resilience.
. For additional information about the IBSGP not found in the NOFO, manual, or other programspecific guidance, contact [email protected].
1.4.6. INTERCITY PASSENGER RAIL PROGRAM - AMTRAK
The IPR Program 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.
. For additional information about the IPR Program not found in the NOFO, manual, or other program-specific guidance, contact [email protected].
1.4.7. PORT SECURITY GRANT PROGRAM
The Port Security Grant Program (PSGP) provides funding to port authorities, facility operators, and state and local agencies for activities associated with implementing Area Maritime Security Plans (AMSP), facility security plans, and other port-wide risk management efforts. . For additional information about the PSGP not found in the NOFO, manual, or other programspecific guidance, contact [email protected]. 7 City Council 18 – 20 6/17/2025
Preparedness Grants Manual
1.4.8. EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM
The Emergency Management Performance Grant (EMPG) Program provides funds to assist SLTT 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. . For additional information about the EMPG Program not found in the NOFO, manual, or other program-specific guidance, contact [email protected].
1.5. 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.” 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’s five mission areas include:
.
.
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. .
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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.” 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 details regarding the National Preparedness System and how it is supported by preparedness grant programs can be found in the program-specific chapters.
1.6. Strengthening Governance Integration
FEMA preparedness grant programs are intended to support the core capabilities across the five mission areas of Prevention, Protection, Mitigation, Response, and Recovery that are necessary to 8 City Council 18 – 21 6/17/2025
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prepare for incidents that pose the greatest risk to the Nation’s security. Each program reflects the Department’s intent to build and sustain an integrated network of national capabilities across all levels of government and the whole community.
Recipients must coordinate activities across preparedness disciplines and levels of government, including SLTT 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. Disparate governance structures must be integrated and refined to ensure resources are targeted to support the most critical needs of a community based on risk-driven, capabilitiesbased planning. Strong and inclusive governance systems better ensure that disparate funding streams are coordinated and applied for maximum impact. Inclusive governance can effectively support a whole community approach to emergency preparedness and management and the enhancement of core capabilities.
FEMA requires that all governance processes that guide the allocation of preparedness grant funds adhere to the following guiding principles:
. Coordination of Investments: Resources must be allocated to address the most critical capability needs and coordinated among affected preparedness stakeholders, including appropriate representatives of at-risk, underserved communities.
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Transparency: Stakeholders must be provided visibility on how preparedness grant funds are allocated and distributed, and for what purpose.
Substantive Local Involvement: The tools and processes that are used to inform the critical priorities, which FEMA grants support, must include local government representatives. At the recipient level, local risk assessments must be included in the overarching analysis to ensure that all threats and hazards are accounted for. Primary focus should be on the needs of socially vulnerable and underserved populations—including rural populations—as well as ensuring equity for those most at risk relative to disaster preparedness, response, and recovery. .
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Accountability: FEMA recognizes that unique preparedness gaps exist at the local level. Grant recipients are responsible for ensuring the effective use of funds to address those gaps and for maintaining and sustaining existing capabilities, particularly when it comes to serving the needs of at-risk, underserved communities.
Support of Regional Coordination: Inter/intra-government entity partnerships and dependencies at the state, territorial, tribal, and regional levels, including those within metropolitan areas, must be recognized.
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2. Award Determination and Obligation
2.1. Federal Award Administration Information
2.1.1. NOTICE OF AWARD
Before accepting the award, the Authorized Organizational Representative (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.
Beginning in FY 2024, notification of award approval is made through the FEMA Grants Outcomes (FEMA GO) 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.
Recipients must accept their awards within the time specified in the program-specific NOFO. The recipient shall notify FEMA within this timeframe of its intent to accept and proceed with work under the award or provide a notice of intent to decline through the FEMA GO system. For instructions on how to accept or decline an award in the FEMA GO system and for more information on FEMA GO generally, please see the FEMA GO page on FEMA.gov. Funds will remain on hold until the recipient accepts the award through the FEMA GO system and all other conditions of the award have been satisfied or until the award is otherwise rescinded. Failure to accept a grant award within the NOFOspecified timeframe may result in a loss of funds.
2.1.2. PASS-THROUGH REQUIREMENTS
Please see the applicable program-specific NOFO and chapter of this manual for information on pass-through requirements for that program.
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3. Recipient and Subrecipient Costs
3.1. Funding Restrictions
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 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 (POP) 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 POP).
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 chapter to this manual, the program NOFO, or the terms and conditions 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. 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 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 those costs and must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other federal grants/cooperative agreements, 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.
3.2. Direct Allowable Costs
Specific investments made in support of the funding priorities discussed in the NOFOs 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; and
8. Training.
As this list is not exhaustive, refer to the relevant program-specific NOFO, this manual, and the program-specific point of contact for more information on allowable costs, funding restrictions, funding priorities, and these categories.
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3.2.1. 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.
Grant funds must comply with FEMA Policy #207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards 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. Contact your Preparedness Officer with questions on the AEL.
3.2.2. REQUIREMENTS FOR SMALL UNMANNED AIRCRAFT SYSTEMS All requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply with FEMA Policy #207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards, 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. sUAS policies are not required at the time of application but must be received and approved by FEMA prior to obligating grant funds. All grant-funded procurements must be executed in a manner compliant with federal procurement standards at 2 C.F.R. §§ 200.317 – 200.327. For recipients that use grant funds for sUAS, FEMA advises that there is a general privacy concern related to the use of this equipment if the data the devices collect is transmitted to servers not under the control of the operator. It has been reported that some manufacturers of sUAS encrypt data and send that data to servers outside the United States. DHS’s Privacy Office suggests the recipient fully explore data transmission and storage issues with vendors to reduce the possibility of data breaches.
Additionally, the Senate Report accompanying the FY 2024 DHS Appropriations further requires recipients to certify they have reviewed the Industry Alert on Chinese Manufactured Unmanned Aircraft Systems, and completed a risk assessment that considers the proposed use of foreign-made sUAS to ascertain potential risks (e.g., privacy, data breaches, cybersecurity, etc.) related to foreignmade versus domestic sUAS.
Acquisition and Use of Technology to Mitigate Unmanned Aircraft Systems (CounterUnmanned Aircraft System) In August 2020, DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission issued the Interagency Legal Advisory on Unmanned Aircraft Systems (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, before the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and 12 City Council 18 – 25 6/17/2025
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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: Interagency Issues Advisory on Use of Technology to Detect and Mitigate Unmanned Aircraft Systems. For training on the application of UAS technology in emergency management programs, please refer to the National Preparedness Course Catalog and search ‘UAS’ on the website.
The Cybersecurity and Infrastructure Security Agency (CISA) offers several resources that detail the UAS threat environment and security protocols on the Unmanned Aircraft Systems Resources page on CISA.gov. Additional resources may be found on the Homeland Security Information Network – Critical Infrastructure (HSIN-CI) site.
Table 1: Unmanned Aircraft System Allowability
Grant Program
HSGP (SHSP, UASI)
HSGP (OPSG)
THSGP
Allowed
Yes
Yes
Yes
NSGP No
TSGP Yes
Yes
No
IPR Program
IBSGP
PSGP Yes
EMPG Program Yes
3.2.3. 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, 200.327, 200.471, and Appendix II to 2 C.F.R. Part 200. Beginning Aug. 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.
Guidance is available in FEMA Policy #405-143-1, Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services.
Additional guidance is available in the Contract Provisions Guide: Navigating Appendix II to Part 200 – Contract Provisions for Non-Federal Entity Contracts Under Federal Awards. 13 City Council 18 – 26 6/17/2025
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Effective Aug. 13, 2020, FEMA recipients and subrecipients may not use any FEMA funds under open or new awards to:
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Procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system;
Enter, extend, or renew a contract to procure or obtain any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology of any system; or Enter, extend, or renew contracts with entities that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system.
Replacement Equipment and Services: FEMA grant funding may be permitted to procure replacement equipment and services impacted by this prohibition, provided the costs are otherwise consistent with the requirements in this manual and the applicable NOFO.
Covered Communications
Per section 889(f)(2)-(3) of the FY 2019 NDAA and 2 C.F.R. § 200.216, covered telecommunications equipment or services means:
. Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation, (or any subsidiary or affiliate of such entities);
. For the purpose of public safety, security of Government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities);
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Telecommunications or video surveillance services provided by such entities or using such equipment; or
Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the People’s Republic of China.
Examples of the types of products covered by this prohibition include phones, internet, video surveillance, and cloud servers when produced, provided, or used by the entities listed in the definition of “covered telecommunications equipment or services.” See 2 C.F.R. § 200.471.
3.2.4. FUNDING FOR CRITICAL EMERGENCY SUPPLIES
Critical emergency supplies—such as shelf stable products, water, and basic medical supplies—are an allowable expense under the HSGP (SHSP and UASI only), THSGP, and EMPG Program. Each state, urban area, or tribe must have FEMA’s approval of a five-year viable inventory management plan prior to allocating grant funds for stockpiling purposes. The Inventory Management Plan should address how critical supplies will be maintained and sustained by the grant recipient and include a 14 City Council 18 – 27 6/17/2025
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distribution strategy and related sustainment costs if the grant expenditure for these items is over $100,000. The Inventory Management Plan is associated with but distinct from the Distribution Management Plan, which addresses how supplies will be distributed in an emergency. For more information on distribution management planning, see FEMA’s Distribution Management Plan Guide
2.0. 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 (TA) as it relates to the purchase of critical emergency supplies. FEMA will establish guidelines and requirements for the purchase of these supplies and monitor development and status of the recipient’s inventory management plan.
Recipients 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.
Table 2: Critical Emergency Supplies Allowability
Grant Program
HSGP (SHSP, UASI)
HSGP (OPSG)
THSGP
Allowed
Yes
No
Yes
NSGP No
Surface Transportation
Security Grants (TSGP,
IBSGP, IPR Program)
No
PSGP No
EMPG Program Yes
3.3. Maintenance and Sustainment
The use of FEMA preparedness grant funds for maintenance contracts or agreements, warranty coverage, repair or replacement costs, licenses, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted in the program-specific NOFO. These contracts may exceed the POP 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 POP of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well.
Preparedness grant funds are intended to support the Goal and fund activities and projects that build and sustain the capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats and hazards that pose the greatest risk to the security of 15 City Council 18 – 28 6/17/2025
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the Nation. To assist recipients in meeting this objective, the policy set forth in IB 379: Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding allows for the expansion of eligible maintenance and sustainment costs, which must be:
1. In direct support of existing capabilities;
2. An otherwise allowable expenditure under the applicable grant program;
3. Tied to one of the core capabilities in the five mission areas contained within the Goal; and
4. For the HSGP (SHSP and UASI) and EMPG Program only, shareable through the Emergency Management Assistance Compact (EMAC).
Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant funding or any other source of funding other than FEMA preparedness grant program dollars.
For the HSGP, stand-alone warranties can only cover equipment purchased with HSGP funds or for equipment dedicated for HSGP-related purposes.
For the PSGP, maintenance and sustainment are focused specifically on the repair and replacement of existing equipment and does not include routine activities such as oil changes or washing/cleaning existing equipment.
For more information on maintenance and sustainment costs, see the program-specific NOFO.
3.4. Management and Administration
M&A costs are for activities directly related to the management and administration of the award, such as financial management, reporting, and program and financial monitoring. M&A costs are not operational costs, they are the necessary costs incurred in direct support of the grant or as a result of the grant and should be allocated across the entire lifecycle of the grant. Characteristics of M&A expenses can include the following: 1) direct costs that are incurred to administer a particular federal award; 2) identifiable and unique to each federal award; 3) charged based on the activity performed for that federal award; and 4) not duplicative of the same costs that are included in the approved Indirect Cost Rate Agreement, if applicable.
Some examples of M&A costs include grants management training for M&A staff, equipment and supplies for M&A staff to administer the grant award, travel costs for M&A staff to attend conferences or training related to the grant program, travel costs for the M&A staff to conduct subrecipient monitoring, contractual services to support the M&A staff with M&A activities, and auditing costs related to the grant award to the extent required or permitted by statute or 2 C.F.R.
Part 200. For additional program-specific M&A information, please refer to the relevant programspecific NOFO.
3.5. Procedures for Establishing Indirect Cost Rates
Indirect costs (per 2 C.F.R. § 200.1) are incurred for a common or joint purpose benefitting more than one cost objective, and not readily assignable to the cost objectives specifically benefitted, without effort disproportionate to the results achieved. Indirect costs are allowable under all programs covered by this manual. The requirements and procedures for establishing indirect cost rates are the same for all the preparedness programs covered by this manual. The process for establishing the indirect cost rate (per 2 C.F.R. § 200.414) varies based on the type of entity and the amount of funding they receive:
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. If the entity is a non-governmental entity (e.g., Institutions of Higher Education/hospital, nonprofit organization, etc.), and is a subrecipient, indirect cost rate procedures are outlined in 2 C.F.R. § 200.332(a)(4) and Appendices III, IV, IX to Part 200. These types of entities may either use the de minimis rate or negotiate a rate with the pass-through entity. . If the subrecipient is a state or local governmental entity, indirect cost rate procedures are established in Appendix VII to Part 200.
o Per Paragraph D.1.b. of Appendix VII, state or local governmental entities receiving grant funds must develop an indirect cost rate proposal.
‒ If the state or local entity receives more than $35 million in grant funding in a fiscal year, the proposal must be approved by the cognizant agency.
‒ If a state or local entity receives $35 million or less in grant funding in a fiscal year, they must develop an indirect cost rate proposal, but that indirect cost rate proposal does not need to be approved by the cognizant agency.
. If a state or local governmental entity wants to use the de minimis rate (instead of developing an indirect cost rate proposal), they can request a case-by-case exception from FEMA (per 2 C.F.R. § 200.102(b)).
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4. Administrative and National Policy Requirements
In addition to the requirements in this section and the applicable NOFO, FEMA may place specific terms and conditions on individual awards in accordance with 2 C.F.R. Part 200.
All grant recipients for FEMA grants and cooperative agreements are required to comply with the 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.
4.1. Accessibility Compliance
Preparedness grant program recipients using funds to build or alter buildings must comply with the applicable accessibility requirements under their local building codes, as well as the Section 504 Rehabilitation Act of 1973, 29 U.S.C. § 794, the Architectural Barriers Act of 1968 (ABA), and the Americans with Disabilities Act (ADA), 42 U.S.C. §§ 12101 et seq., to ensure individuals with disabilities have access to such buildings. State and local governments are required to provide qualified individuals with disabilities equal access to their programs, services, or activities, unless doing so would fundamentally alter the nature of their programs, services or activities or would impose an undue burden. Accessibility standards under the ABA and ADA are highly similar.
Additional information regarding compliance with the ABA is available at Chapter 1: Using the ABA Standards on access-board.gov.
4.2. Ensuring the Protection of Civil Rights
As the Nation works toward achieving the 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 308 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act), Section 504 of the Rehabilitation Act of 1973, and Title VI of the Civil Rights Act of 1964, Age Discrimination Act, along with DHS and 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 as applicable.
Recipients must complete the DHS Civil Rights Evaluation Tool within 30 days of receiving the first award that fiscal year, not for every award. After initial submittal, an updated submission is due once every two years during which a recipient has an active award. Information about this requirement and a fuller list of the civil rights provisions that apply to recipients can be found in the DHS Standard Terms and Conditions. Additional information on civil rights provisions is available at the Civil Rights Resources for Recipients of DHS Financial Assistance page on DHS.gov and the Office of Equal Rights page on FEMA.gov.
Subrecipients are not required to complete or submit the DHS Civil Rights Evaluation tool. However, subrecipients have the same obligations as their primary recipients to comply with applicable civil rights requirements and should follow their primary recipient’s procedures regarding the submission of civil rights information.
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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.
In accordance with civil rights laws and regulations, recipients and subrecipients must ensure the consistent and systematic fair, just, and impartial treatment of all individuals, including individuals who belong to underserved communities that have been denied such treatment. A full list of Civil Rights Authorities at FEMA can be found at the External Civil Rights Division page on FEMA.gov.
Recipients and subrecipients (or representatives of such parties) who believe that discrimination has occurred in awarding or receiving FEMA financial assistance may file a complaint with the Office of Equal Rights (OER) at [email protected]. A complaint must be filed no later than 180 days from the date of the alleged discrimination unless the filing deadline is extended by the Director of the OER or their designee.
4.3. 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 otherwise 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 should 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.
Section 508 of the Rehabilitation Act of 1973, 29 U.S.C. § 794d, requires federal agencies to provide individuals with disabilities equal access to electronic information and data comparable to those who do not have disabilities. Although Section 508 does not impose requirements on federallyfunded recipients, we encourage recipients to use Section 508 best practices to ensure that persons with disabilities have equal access to web-based products/services. For more information, see the Accessibility of State and Local Government Websites to People with Disabilities page on ADA.gov.
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.
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.
Hold all activities related to the grant in locations that are accessible to persons with physical disabilities to the extent practicable.
Acquire interpretation services appropriate for the population being served, including American Sign Language or Puerto Rican 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. 19 City Council 18 – 32 6/17/2025
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. 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 and information access. Examples of effective communication access for individuals with disabilities include providing auxiliary aids and services such as sign language interpreters and materials in Braille or alternate formats.
FEMA grant recipients can fund projects toward 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, the applicable chapter to this manual, and the terms and conditions of the award. For specific guidelines on funding a disability inclusive project, please refer to the relevant NOFO.
4.4. Language Access
As per FEMA Policy #256-23-001, Language Access, personnel shall take reasonable steps to provide individuals with limited English proficiency (LEP) with meaningful access to all programs or activities conducted both by FEMA and by entities receiving funding from FEMA, including grant recipients. This policy is based upon the principle that it is the responsibility of FEMA—not the LEP individual—to take reasonable steps to ensure communications are not impaired because of the limited English proficiency of the individual.
The following are examples that demonstrate the integration of the needs of LEP individuals in carrying out FEMA awards:
. Establish best practices in inclusive planning and preparedness that consider language access for LEP individuals.
4.5. Environmental Planning and Historic Preservation Compliance FEMA must 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 Environmental Planning and Historic Preservation (EHP) regulations, laws, and Executive Orders (EO), as applicable.
Recipients and subrecipients proposing projects that have the potential to impact the natural or built environment, including, but not limited to, the construction of communication towers; modification or renovation of existing buildings, structures, and facilities; new construction, including replacement or relocation 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 to determine whether the proposed project has the potential to impact environmental resources including, but not limited to, threatened or 20 City Council 18 – 33 6/17/2025
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endangered species and historic properties; and identify mitigation measures and/or alternative courses of action that may lessen any impact to those resources. FEMA may recommend mitigation measures and/or alternative courses of action to lessen any impact to environmental resources and bring the project into compliance with EHP requirements.
In some cases, FEMA is also required to consult with other regulatory agencies and the public 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, EOs, regulations, and policies.
DHS and FEMA EHP policy is found in directives and instructions available on Environmental and Historic Preservation Guidance for FEMA Grant Applications page on FEMA.gov, which includes documents regarding EHP responsibilities and program requirements, including implementation of the National Environmental Policy Act and other EHP laws, regulations, and EOs. DHS and FEMA EHP policy is also found in the EHP Directive & Instruction.
An EHP Screening Form and supporting documentation for preparedness projects requiring EHP review should be submitted to [email protected] and your assigned Preparedness Officer.
Additionally, all recipients under this funding opportunity are required to comply with the FEMA EHP Policy Guidance, FEMA Policy #108-023-1, Grant Programs Directorate Environmental and Historic Preservation Policy Guidance.
4.5.1. CONSTRUCTION AND RENOVATION
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 6 months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the POP. EHP policy guidance and the EHP Screening Form can both be found on FEMA.gov. EHP review materials should be sent to [email protected].
Refer to the program-specific NOFO for information on construction and renovation allowability and restrictions.
Construction and Floodplains
All FEMA actions, including grant-funded actions, must comply with National Flood Insurance Program (NFIP) criteria or any more restrictive federal, state, or local floodplain management standards or building codes (44 C.F.R. § 9.11(d)(6)).
All FEMA-funded non-critical actions in 1% annual chance floodplains (also known as 100-year floodplains) that involve new construction or substantial improvement of structures must be elevated, at a minimum, to the lower of:
. Two feet above the 1% annual chance flood elevation (also known as the base flood elevation), in accordance with the Federal Flood Risk Management Standard (FFRMS) FVA; or 21 City Council 18 – 34 6/17/2025
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. The 0.2% annual chance flood elevation. Where 0.2% annual chance flood elevations are not available, such actions must be elevated to at least two feet above the 1% annual chance flood elevation.
All FEMA-funded critical actions in 1% annual chance floodplains or 0.2% annual chance floodplains (also known as 500-year floodplains) that involve new construction or substantial improvement of structures must be elevated, at a minimum, to the higher of:
.
.
Three feet above the 1% annual chance flood elevation (also consistent with the FVA); or The 0.2% annual chance flood elevation. Where 0.2% annual chance flood elevations are not available, such actions must be elevated to at least three feet above the 1% annual chance flood elevation.
See EO 11988, Floodplain Management, as amended by EO 13690, Establishing a Federal Flood Risk Management Standard and a Process for Further Soliciting and Considering Stakeholder Input.
For additional information, see the Guidelines for Implementing EO 11988 and EO 13690.
4.5.2. ENVIRONMENTAL JUSTICE
EO 14096, Revitalizing our Nation's Commitment to Environmental Justice for All and EO 14008, Tackling the Climate Crisis at Home and Abroad rearticulate and strengthen the environmental justice framework articulated in 1994 in EO 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations. Specifically, Section 1 of EO 14096states that: “To fulfill our Nation’s promises of justice, liberty, and equality, every person must have clean air to breathe; clean water to drink; safe and healthy foods to eat; and an environment that is healthy, sustainable, climate-resilient, and free from harmful pollution and chemical exposure.
Restoring and protecting a healthy environment—wherever people live, play, work, learn, grow, and worship—is a matter of justice and a fundamental duty that the Federal Government must uphold on behalf of all people.”
Some projects funded by FEMA’s grant programs could have environmental justice impacts. New construction (including communication towers), renovation, demolition, and relocation of buildings and other structures may have disproportionately high and adverse effects on minority and lowincome populations. FEMA acknowledges the important role that FEMA recipients and subrecipients play in advancing and achieving environmental justice by identifying low-income and minority populations within a proposed project’s affected area as early as possible, assessing a project's impact on existing environmental and human health burdens to account for cumulative effects, and taking steps to mitigate any harmful impacts.
FEMA will review and evaluate potential projects for environmental justice concerns. If FEMA determines that a proposed project would have a disproportionately high and adverse effect on minority or low-income populations, FEMA will consult with recipients and subrecipients to discuss the feasibility of revising the scope of work to avoid these adverse impacts, or otherwise applying mitigation measures to alleviate these effects. In addition, FEMA may work with other recipients and subrecipients to solicit public input on the proposed projects for a more informed decision-making process. To learn more about how FEMA environmental justice responsibilities might affect your project, go to the EO 12898: Environmental Justice page on FEMA.gov. 22 City Council 18 – 35 6/17/2025
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4.5.3. COMMUNICATION TOWERS
For the purposes of the limitations on funding levels only, communication towers are not considered construction. When applying for construction funds, including communications towers, recipients must submit evidence of approved zoning ordinances, architectural plans, and any other locally required planning permits at the time of application.
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 an 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, tribal, or territorial 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 6 months of the award. Completed EHP review materials must be submitted no later than 12 months before the end of the POP. EHP policy guidance and the EHP Screening Form can both be found on FEMA.gov. EHP review materials should be sent to [email protected].
4.5.4. HAZARD RESISTANT BUILDING CODES
Hazard-resistant building codes are a foundational element of a more resilient nation, safeguarding communities and lives against natural disasters, with an estimated $11:1 return on investment. The adoption, enforcement and application of modern building codes mitigates community vulnerabilities, reduces disaster recovery costs, and strengthens nationwide capability. FEMA is working to promote and support building codes in all areas of its work in support of the multi-agency National Initiative to Advance Building Codes. In the interest of building a stronger, more resilient nation, FEMA encourages all grant recipients and subrecipients to meet current published editions of relevant consensus-based building codes, specifications and standards, and to exceed them where feasible.
4.6. Davis-Bacon Act Compliance
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 similar to 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 from the Davis-Bacon and Related Acts page on DOL.gov.
4.7. National Incident Management System Implementation National Incident Management System (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 23 City Council 18 – 36 6/17/2025
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in the National Preparedness System. As recipients and subrecipients of federal preparedness (ND) grant awards, jurisdictions and organizations must achieve, or be actively working to achieve, all the NIMS Implementation Objectives. These objectives and implementation information can be found on the NIMS and NIMS Implementation and Training pages on FEMA.gov.
Emergency management and incident response activities require carefully managed resources (personnel, teams, facilities, equipment, and/or supplies) to meet incident needs. NIMS defines a national, interoperable approach for sharing resources, coordinating, and managing incidents, and communicating information. Incident management refers to how incidents are managed across all homeland security activities, including prevention, protection, mitigation, response, and recovery.
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 the NIMS Components – Guidance and Tools page on FEMA.gov. Please also see the relevant NOFOs for additional requirements regarding NIMS implementation for specific programs.
4.7.1. NIMS GUIDANCE FOR THE NATIONAL QUALIFICATION SYSTEM FEMA developed the NIMS Guideline for the National Qualification System (NQS) to describe national credentialing standards and to provide written guidance regarding the use of those standards. This guideline describes credentialing and typing processes and identifies tools that Federal Emergency Response Officials and emergency managers at all levels of government may use both routinely and to facilitate multijurisdictional coordinated responses. Starting in FY 2023, EMPG Program recipients are required to use EMPG Program funds to support NQS implementation efforts.
The NQS 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.
4.8. SAFECOM Guidance Compliance
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 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 several 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 on Emergency Communications Grants (SAFECOM Guidance). 24 City Council 18 – 37 6/17/2025
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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., National Emergency Communications Plan (NECP), Statewide Communication 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 (IJ).
In addition, FEMA formally recognizes several statewide emergency communications governance bodies (e.g., Statewide Interoperability Coordinator (SWIC), Statewide Interoperability Governance Board (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, recipients 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 recipients 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 (RECCWG). 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.
All entities using preparedness grant funding to support emergency communications investments are required to comply with the 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 NECP. Compliance 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 25 City Council 18 – 38 6/17/2025
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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 CISA to verify compliance with SAFECOM Guidance. FEMA will coordinate directly with the recipient on any compliance concerns and will provide TA as necessary to help ensure full compliance.
4.9. Resilient Communications Guidance
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 preparedness grant funding for communications investments are encouraged to take a Whole Community Approach and work with state emergency management agencies, SWICs, SIGBs, and appropriate stakeholders at the regional and SLTT levels to:
.
.
Plan communication around the whole community to meet everyone’s needs.
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, recipients should work with communication service providers to add redundancy at key critical infrastructure facilities as needed; Ensure key communication systems resiliency through:
o
o
o
o
o
Ensuring availability of backup systems;
Ensuring diversity of network element components and routing; Ensuring geographic separation of primary and alternate transmission media; Ensuring availability of back-up power sources;
Ensuring availability and access to systems that are not dependent on commercial infrastructure;
o Maintaining spares for designated critical communication systems; and 26 City Council 18 – 39 6/17/2025
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o Working with commercial suppliers to remediate communication SPF. . All communications system owners are encouraged to address the following issues:
o
o
Integrate communications needs into continuity planning efforts by incorporating Primary, Alternate, Contingency, and Emergency (PACE) methodology, and vulnerability mitigation options to ensure uninterrupted communications support; 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
o
o
o
Maintain communications capabilities to ensure their readiness when needed; Frequently train and exercise personnel required to operate communications capabilities; Test and exercise communications capabilities; and
Consider Electromagnetic Pulse (EMP) protective measures for communications systems and emergency backup power where practical.
CISA Emergency Communication Division enhances public safety interoperable communications at all levels of government and conducts extensive, nationwide outreach to support and promote the ability of emergency response providers and relevant government officials to communicate in the event of natural disasters, acts of terrorism, and other hazards. CISA provides plans, resources, and training to support operable and interoperable emergency communications for first responders.
4.10. 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, pushto-talk (PTT) devices; Vehicle-mounted or otherwise field operated data devices, such as ruggedized laptops; 27 City Council 18 – 40 6/17/2025
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.
.
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; and 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 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 the 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. Recipients 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 for additional guidance.
4.11. Department of Homeland Security/FEMA Communications Support Services
CISA and FEMA offer a variety of TA 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 support services is provided below. Grant recipients are encouraged to refer to the respective websites for additional information.
4.11.1. CYBERSECURITY AND INFRASTRUCTURE SECURITY AGENCY 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;
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.
.
.
.
.
Data operability and interoperability;
Alerts and warnings;
Broadband deployment;
Cybersecurity education and awareness; and
Communications Unit (COMU) planning and procedures.
Information on these services is available at the CISA Interoperable Communications Technical Assistance Program (ICTAP) Resources page on CISA.gov.
4.11.2. FEMA DISASTER EMERGENCY COMMUNICATIONS DIVISION SUPPORT FEMA Disaster Emergency Communications (DEC) deploys, installs, operates, maintains, and protects telecommunications, logistics, and operations assets in support of planned special events and in response to disasters, assisting citizens and first responders.
DEC provides DEC through six geographically dispersed Mobile Emergency Response Support (MERS) detachments and a pre-positioned fleet of Mobile Communications Office Vehicles (MCOV).
DEC also assists SLTT entities in mitigating their DEC risks and requirements to support life-saving efforts, protect property, and coordinate response and recovery operations. DEC can assist SLTT entities in mitigating their DEC risks and requirements to support life-saving efforts, protect property, and coordinate response and recovery operations. For more information about how DEC can provide stakeholder support in these areas, see the DEC page on FEMA.gov.
4.11.3. FEMA NATIONAL PREPAREDNESS DIRECTORATE SUPPORT
National Preparedness Directorate (NPD) provides training, exercises, and TA to SLTT stakeholders that support operational and emergency communications. Descriptions and resources specific to operational communication are available on FEMA.gov’s Core Capability Development Sheets page 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 National Training and Education Division (NTED) page on firstrespondertraining.gov.
.
.
Example capability targets to complete a Threat and Hazard Identification and Risk Assessment (THIRA):
o Help in developing targets can be found at Unified Reporting Tool (URT)-Info page on FEMA’s Preparedness Toolkit or requested at [email protected].
Tools to validate capabilities through exercises:
o TA and support from subject-matter experts can be requested through the Exercises page on FEMA.gov.
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4.11.4. FEMA OFFICE OF NATIONAL CONTINUITY PROGRAMS SUPPORT The Office of National Continuity Program’s (ONCP) support services focus on holistic continuity planning, of which communications continuity is an important component. Currently, continuity communications training and TA is limited to the FEMA National Radio System (FNARS) and the Integrated Public Alerts & Warning System (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 ONCP support services should contact [email protected] or consult ONCP’s Continuity Resources Toolkit page on FEMA.gov.
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5. Post-Award Management and Implementation
5.1. 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 or the Signatory Authority (SA) 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.
5.2. Federal Financial Reporting Requirements
5.2.1. FEDERAL FINANCIAL REPORT
Recipients must report obligations and expenditures to FEMA on a quarterly basis through the Federal Financial Report (FFR) form, also known as Standard Form 425 (SF-425). Recipients may review the FFR at Post-Award Reporting Forms page on Grants.gov. Recipients must file the FFR electronically using FEMA GO. Note that recipients for awards covered in this manual made before FY 2024 must file the FFR using the Payment and Reporting Systems (PARS).
Financial Reporting Periods and Due Dates
An FFR must be submitted quarterly throughout the POP, including partial calendar quarters, as well as in periods where no grant award activity occurs. The final FFR is due within 120 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.
Table 3 shows the reporting periods and due dates for the FFR, except for the final FFR due at 120 days after the end of the POP for purposes of closeout.
Table 3: FFR Reporting Periods and Due Dates
FFR Reporting Period
Oct. 1–Dec. 31
Report Due Date
Jan. 30
Jan. 1–March 31
April 1–June 30
July 1–Sept. 30
April 30
July 30
Oct. 30
Because of a system limitation, if at the end of the POP for awards made prior to FY 2023 a recipient still has funds to draw down, PARS requires an FFR be submitted within 30 days of the end of the POP 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 31 City Council 18 – 44 6/17/2025
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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.
5.3. Program Performance Reporting Requirements
5.3.1. PERFORMANCE PROGRESS REPORTS
Recipients are responsible for providing performance reports to FEMA on a biannual (twice a year) or quarterly (four times a year) basis via FEMA GO. The Performance Progress Reports (PPR) should include the following:
.
.
.
A brief narrative of overall project(s) status;
A summary of project expenditures; and
A description of any potential issues that may affect project completion.
For the EMPG Program only, recipients are responsible for providing performance reports to FEMA on a quarterly (four times a year) basis via FEMA GO. As explained in Section 12.10.1 “Standardized Programmatic Reporting for the EMPG Program,” the quarterly PPRs must use or be based on the approved EMPG Program Work Plan template provided in the EMPG Program NOFO.
Program Performance Reporting Periods and Due Dates
The biannual PPRs are due no later than 30 days after the end of the reporting period. Table 4 shows the reporting periods and due dates for biannual PPRs.
Table 4: Biannual PPR Reporting Periods and Due Dates
Reporting Period
Jan. 1–June 30
July 1–Dec. 31
Report Due Date
July 30
Jan. 30
Program Performance Reporting Periods and Due Dates for the Emergency Management Performance Grant Program
The quarterly PPRs are due no later than 30 days after the end of the quarter. Table 5 shows the reporting periods and due dates for the quarterly PPRs for the EMPG Program only.
Table 5: Quarterly PPR Reporting Periods and Due Dates (EMPG Program) Reporting Period
Oct. 1 – Dec. 31
Jan. 1 – March 31
April 1 – June 30
Report Due Date
Jan. 30
April 30
July 30
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Reporting Period Report Due Date
July 1 – Sept. 30 Oct. 30
5.4. Biannual Strategy Implementation Report
Applicable to the HSGP, THSGP, NSGP, and EMPG Program only.
In addition to the financial and performance progress reports, recipients are responsible for completing and submitting the Biannual Strategy Implementation Report (BSIR) through the FEMA GO system. For all HSGP, THSGP, NSGP, and EMPG Program awards made prior to FY 2024, the BSIR was completed in the Grants Reporting Tool.
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. The first BSIR for a given fiscal year award 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-by-project 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 traditional or “regular” BSIR must be submitted with full accounting of actual project information/expenditures before a Closeout BSIR can be created and submitted. Once FEMA approves the last “regular” BSIR, the Closeout BSIR can be created and submitted. Please contact your respective FEMA Preparedness Officer for questions regarding the BSIR.
5.5. 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 FEMA GO:
1. The final request for payment, if applicable;
2. The final FFR;
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, applicable program-specific chapters of 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.
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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 POP or other circumstances outlined in 2 C.F.R. § 200.334.
Recipients are responsible for refunding to FEMA any balances of unobligated cash that FEMA paid that are not authorized to be retained per 2 C.F.R. § 200.344(d).
5.6. 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 SAM.gov Responsibility/Qualification (R/Q) (previously known as the Federal Awardee Performance and Integrity Information System) the recipient’s material failure to comply with the terms and conditions of the award.
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.
5.7. 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:
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.
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;
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.
.
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.
5.8. 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 million for any period of time during the POP of an award under these funding opportunities.
Recipients that meet these criteria must maintain current information reported in SAM.gov R/Q about civil, criminal, or administrative proceedings described in paragraph 2 of Appendix XII at the reporting frequency described in paragraph 4 of Appendix XII. 35 City Council 18 – 48 6/17/2025
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6. Additional Information
6.1. Monitoring and Oversight
6.1.1. 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 evaluate award progress and to provide any required TA. 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 grant-related 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 toward 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 toward grant goals and proactively target and address issues that may threaten grant success during the POP.
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 TA, 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. 36 City Council 18 – 49 6/17/2025
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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.
6.1.2. 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 TA 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 highrisk 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.).
HSGP (including SHSP, UASI, and OPSG), NSGP, TSGP, PSGP, and the EMPG Program are subject to HSA monitoring requirements. The IPR Program, IBSGP, and THSGP are not subject to HSA monitoring requirements.
6.1.3. STANDARD MONITORING ACTIVITY: CASH ANALYSIS
Through cash analysis, a Grants Management Specialist assesses and reports on the recipients’ cash-on-hand, expenditures, and unliquidated obligations; gauges potential cost share shortfalls and cash on hand issues; and monitors spend down activities within the POP. The analysis reconciles 37 City Council 18 – 50 6/17/2025
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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.
6.1.4. 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 6 defines the key differences and similarities.
Table 6: Enhanced Financial Monitoring Activities (Desk Review and Site Visit) Attribute Desk Review Site Visit
Location/ A detailed, paper-based review and 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.
Logistics evaluation conducted at a FEMA office.
Desk reviews do not require travel.
Materials Required reports, correspondence, and
Reviewed other documentation, including policies
and procedures, to substantiate
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,
compliance. Additional documentation
available remotely may include
information available through the grant
file, financial reports, interviews, and other regulations, and policies. documentation and correspondence to
verify compliance.
The goals of FEMA’s financial desk review The goals of FEMA’s financial site visit monitoring activities are, as applicable, to: monitoring activities are, as applicable, to:
Goal of
Monitoring
Activity . Review grant files to verify compliance, . Review grant files to verify compliance, conduct interviews to confirm conduct interviews to confirm adherence to approved program plans,
and confirm equipment acquisition,
allowable use, and inventory controls;
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;
.
.
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;
Assist the recipient with the grant
process and provide guidance to
improve recipient administrative
efficiencies;
Identify and analyze relevant problems . Identify and analyze relevant problems that might prevent the program from
achieving its internal and external
objectives; and
that might prevent the program from
achieving its internal and external
objectives; and
Provide TA. . Provide TA.
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6.1.5. PROGRAMMATIC MONITORING OVERVIEW AND APPROACH
Programmatic monitoring involves oversight throughout the award lifecycle 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 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.
The programs subject to section 2022 of the HSA and three additional programs (THSGP, IPR Program, and IBSGP) are included in this programmatic monitoring approach—meaning that all programs included in this manual are part of this programmatic monitoring approach.
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 TA 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 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.
6.2. 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 (see the Preparedness Grants Case Studies page on FEMA.gov). By accepting the award, the recipient agrees to participate in a case study or evaluation if requested.
Recipients can also contact [email protected] if interested in volunteering to participate in a case study.
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6.3. 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 a recipient 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 SAM.gov R/Q the recipient’s material failure to comply with the award terms and conditions. See also the section on Actions to Address Noncompliance.
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.
6.4. Period of Performance 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 their 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(ies);
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;
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 40 City Council 18 – 53 6/17/2025
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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 before 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 their FEMA Preparedness Officer or Program Manager as needed when preparing an extension request.
Recipients should refer to the corresponding chapter of this manual for program-specific details related to POP extensions.
6.5. 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 pass-through 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 calendar 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 their immediate family or their partner has a close personal relationship, a business relationship, or a professional relationship, with an applicant, subapplicant, recipient, subrecipient, or FEMA employee. 41 City Council 18 – 54 6/17/2025
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6.6. 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. For detailed guidance on the federal procurement standards, recipients and subrecipients should refer to various materials issued by FEMA’s Procurement Disaster Assistance Team (PDAT), such as the PDAT Field Manual and Contract Provisions Guide. Additional resources, including an upcoming trainings schedule, can be found on the PDAT’s Contracting with Federal Funds for Goods and Services Before, During and After Disasters page on FEMA.gov.
The subsections below highlight 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 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, local governments, and nonprofit organizations, 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. 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.
6.6.1. 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. More information on OMB’s revisions to the federal procurement standards can be found in the Purchasing Under a FEMA Award: OMB Revisions Fact Sheet.
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 nonstate entity wants to use a micro-purchase threshold higher than the federal threshold, it must follow the requirements of 2 C.F.R. § 200.320(a)(1)(iii)-(v). For small purchase procedures (2 C.F.R. § 200.320(a)(2)) under a FEMA award, the federal Simplified Acquisition Threshold (SAT) is currently 42 City Council 18 – 55 6/17/2025
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$250,000, and a non-state entity may use a lower threshold but may not exceed the federal threshold. See 2 C.F.R. § 200.1 (citing the definition of SAT from 48 C.F.R. Part 2, Subpart 2.1).
See 2 C.F.R. § 200.216, § 200.471, and Appendix II as well as FEMA Policy #405-143-1, Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services, the relevant program NOFO, and this manual regarding prohibitions on covered telecommunications equipment or services.
6.6.2. 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, 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 preaward costs, such as grant writer fees, as well as post-award costs, such as grant management fees.
Additionally, some of the situations considered to be restrictive of competition include, but are not limited to:
.
.
.
.
.
.
Placing unreasonable requirements on firms 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;
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. 43 City Council 18 – 56 6/17/2025
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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, nonfederal 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.
Under 2 C.F.R. § 200.318(c)(2), if the recipient or subrecipient (other than states) has a parent, affiliate, or subsidiary organization that is not an SLTT 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 non-federal entity is unable or appears to be unable to be impartial in conducting a procurement action involving a related organization. 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.
6.6.3. 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.
6.6.4. GENERAL SERVICES ADMINISTRATION SCHEDULES
States, tribes, 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 SLTT governments, and instrumentalities thereof, to purchase products and services directly from pre-vetted 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 the Programs for State and Local Governments and State and Local Governments pages on GSA.gov.
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).
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6.6.5. 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, 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 SLTT 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.
6.6.6. 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 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;
. Contract documents and amendments, including required contract provisions; and 45 City Council 18 – 58 6/17/2025
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. Other documents required by federal regulations applicable at the time a grant is awarded to a recipient.
Additional information on required procurement records can be found on pages 24–26 of the PDAT Field Manual.
6.7. Financial Assistance Programs for Infrastructure
6.7.1. BUILD AMERICA, BUY AMERICA ACT
Recipients and subrecipients must comply with the Text - H.R.3684 - 117th Congress (2021-2022):
Infrastructure Investment and Jobs Act | Congress.gov | Library of Congress, which was enacted as part of the Infrastructure Investment and Jobs Act §§ 70901-70927, Pub. L. No. 117-58 (2021); and the Executive Order on Ensuring the Future Is Made in All of America by All of America's Workers | The White House. See also 2 C.F.R. Part 184 and OMB Memorandum M-24-02, Implementation Guidance on Application of Buy America Preference in Federal Financial Assistance Programs for Infrastructure.
None of the funds provided under HSGP, THSGP, NSGP, TSGP, IBSGP, PSGP, the IPR Program, and the EMPG Program may be used for a project for infrastructure unless the iron and steel, manufactured products, and construction materials used in that infrastructure are produced in the United States.
Additional information on the Buy America preference can be found in the program-specific NOFO.
6.8. Records Retention
6.8.1. 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).
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Where FEMA requires recipients to report program income after the POP 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, 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).
6.8.2. TYPES OF RECORDS TO RETAIN
FEMA requires that non-federal entities maintain the following documentation for federally funded purchases:
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Specifications;
Solicitations;
Competitive quotes or proposals;
Basis for selection decisions;
Purchase orders;
Contracts;
Invoices; and
Canceled 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 canceled checks for verification. See, e.g., 2 C.F.R. § 200.318(i), § 200.334, § 200.337.
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.
6.9. 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.
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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 partially 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 if the 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, the requirement to retain records, how the amount can be paid, and the consequences, including billing and collection, 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:
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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; and
Failure to comply with the POP deadline.
6.10. Audits
FEMA grant recipients are subject to audit oversight from multiple entities including DHS OIG, the Government Accountability Office (GAO), the pass-through entity, or independent auditing firms for 48 City Council 18 – 61 6/17/2025
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single audits, and may cover activities and costs incurred under the award. Auditing agencies such as the DHS OIG, the GAO, and the pass-through 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.
The objectives of single audits are to:
. Determine whether financial statements conform to generally accepted accounting principles (GAAP);
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Determine whether the schedule of expenditures of federal awards (SEFA) is presented fairly; Understand, assess, and test the adequacy of internal controls for compliance with major programs; and
. Determine whether 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 SEFA, 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 CAP 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(b) and Appendix X to 2 C.F.R. Part 200 as well as the reporting package described at 2 C.F.R. § 200.512(c).
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(f); 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). 49 City Council 18 – 62 6/17/2025
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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.
6.11. Reporting Issues of Fraud, Waste, and Abuse
Recipients, subrecipients, SAAs, and any other applicable stakeholder at any time may report issues of fraud, waste, abuse, and mismanagement, or other criminal or noncriminal misconduct to the Office of Inspector General (OIG) Hotline. The toll-free numbers to call are 1 (800) 323-8603, and TTY 1 (844) 889-4357.
6.12. Payment Information
Payment requests are submitted through FEMA GO for awards obligated in FY 2024 and going forward. For awards obligated prior to FY 2024 in the ND Grants System, the payment request is submitted through PARS.
6.13. 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, but is not limited to:
. Individuals and families, including those with disabilities and others with access and functional needs;
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Businesses;
Faith-based and community organizations;
Nonprofit groups;
Schools and academia;
Media outlets; and
All levels of government, including SLTT and federal partners.
The phrase “Whole Community” often appears in preparedness materials, as it is one of the guiding principles. It means two things:
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Involving people in the development of national preparedness documents; and Ensuring their roles and responsibilities are reflected in the content of the materials. 50 City Council 18 – 63 6/17/2025
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By engaging Whole Community stakeholders, preparedness grant recipients can help FEMA develop and promote a suite of well-targeted solutions for individuals and communities to adopt. Recipients should coordinate preparedness initiatives with FEMA and whole community partners to efficiently apply federal funding to reach the goal of individual and community resilience. 51 City Council 18 – 64 6/17/2025
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7. Resources
7.1. Department of Homeland Security/FEMA Provided Training and Education
FEMA offers tuition-free training and education programs and courses through several providers including the Center for Domestic Preparedness (CDP), the Emergency Management Institute (EMI), and NTED’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 (CTG) program.
7.2. Training Not Provided by the Department of Homeland Security/FEMA Trainings not provided by DHS/FEMA include courses that are either state-sponsored or federalsponsored (non-DHS/FEMA), coordinated and approved by the State Administrative Agency (SAA) or their designated Training Point of Contact (TPOC), and fall within the FEMA mission scope to prepare SLTT personnel to prevent, protect against, mitigate, and respond to acts of terrorism or catastrophic events. These trainings often pertain to the HSGP and THSGP. . 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, and respond to 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 firstrespondertraining.gov.
7.3. Training Information Reporting System (“Web-Forms”) Web-Forms is an electronic data management system built to assist recipients 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 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 Web-Forms section of the FEMA National Preparedness Course Catalog to support recipients in their own tracking of training deliveries. Users need to request First Responder Training System (FRTS) Admin rights from NTED to access the Web-Forms.
7.4. FEMA’s National Preparedness Course Catalog
Recipients are also encouraged to utilize FEMA’s National Preparedness Course Catalog. Trainings include programs or courses developed for and delivered by institutions and organizations funded by 52 City Council 18 – 65 6/17/2025
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FEMA. This includes CDP, EMI, and TPP, 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 and SLTT audiences. The catalog can be accessed at the NTED National Preparedness Course Catalog page on firstrespondertraining.gov.
Some exercise and training activities require EHP Review, including those 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 the Environmental & Historic Preservation Guidance for FEMA Grant Applications page on FEMA.gov.
7.5. Exercises
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 the HSEEP page on FEMA.gov.
7.6. Planning Assistance
FEMA’s NPD offers 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 decisionmakers 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 the NIMS Implementation and Training page on FEMA.gov
7.7. Training Information
States, territories, tribal entities, and high-risk urban areas do not need to request approval from FEMA for personnel to attend non-DHS/FEMA training if 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 Emergency Operations Plan (EOP). For additional information on review and approval requirements for training courses funded with preparedness grants, see FEMA Policy #207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards.
FEMA will conduct periodic reviews of all SLTT 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 Analysis, Design, Development, Implementation, 53 City Council 18 – 66 6/17/2025
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and Evaluation (ADDIE) model and tools that can facilitate the process, SAAs and TPOCs are encouraged to review the NTED Training Resource and Development Center.
7.8. Weblinks
. U.S. Department of Transportation (DOT) “RAISE” grants for National Infrastructure Investments may include funding to support roads, bridges, transit, rail, ports, or intermodal transportation.
See the RAISE Discretionary Grants page on Transportation.gov for more information. . Cybersecurity Assessment Evaluation and Standardization, Cyber Resilience Review, Cyber Infrastructure Survey, and other resources are available via CISA. See the Cyber Resource Hub for additional information.
7.9. 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 on the EMAP website. 54 City Council 18 – 67 6/17/2025
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8. Homeland Security Grant Program and Tribal
Homeland Security Grant Program
8.1. Alignment to the National Preparedness System (Homeland Security Grant Program, Tribal Homeland Security Grant Program)
The Nation uses the National Preparedness System to build, sustain, and deliver core capabilities to achieve the Goal. HSGP and THSGP recipients use the National Preparedness System to support their efforts to build, sustain, and deliver these core capabilities, which are essential for each of the five mission areas outlined in the Goal. 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 the National Preparedness System page on FEMA.gov.
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, tribes, and territories provide annual data on their proficiency across 32 core capabilities through the THIRA, Stakeholder Preparedness Review (SPR), exercise and real world After-Action Reports (AAR), and other preparedness data. These data feed into the National Preparedness Report and form 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 these data to prioritize, synchronize, and guide programs and activities to build and sustain capabilities. FEMA requires recipients to prioritize grant funding to demonstrate how investments support identified national priorities (for HSGP only) and building capability, closing capability gaps, or sustaining capabilities as defined by Comprehensive Preparedness Guide (CPG) 201: THIRA/SPR Guide, Third Edition. 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 and THSGP provide financial support to SLTT jurisdictions to help them build, sustain, and deliver core capabilities identified in the Goal. Key focus areas and requirements of both the HSGP and THSGP are 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 and Tribal Nations, 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 EMAC.
The HSGP and THSGP support investments that improve the ability of jurisdictions nationwide to:
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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;
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Mitigate the loss of life and property by lessening the impact of future catastrophic events; and/or
Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident.
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8.2. Reporting on the Implementation of the National Preparedness System (Homeland Security Grant Program, Tribal Homeland Security Grant Program)
8.2.1. IDENTIFYING AND ASSESSING RISK AND ESTIMATING CAPABILITY
REQUIREMENTS
HSGP: By Dec. 31 each year, states, territories, and high-risk urban area HSGP recipients are required to complete an SPR that addresses all 32 core capabilities and is compliant with CPG 201, Third Edition. Additionally, every three years recipients are required to complete a THIRA. In 2020, jurisdictions began the requirement to respond to a series of planning-related questions as part of the THIRA/SPR.
THSGP: THSGP recipients are required to complete a THIRA every three years. Tribes with open THSGP awards must update their SPR inputs and Secondary Assessments (described in Section
8.2.4 “Planning to Deliver Capabilities” and Section 8.2.3 "National Incident Management System Implementation”) for activities completed in each respective calendar year (CY) throughout the POP, starting the CY after funding is awarded.
New THSGP recipients are required to complete the THIRA, SPR, and Secondary Assessments by Dec. 31 of the year following award issuance. New THSGP recipients are recipients that have not received THSGP funding in the past three years. The THIRA/SPR must address all 32 core capabilities and be compliant with the CPG 201, Third Edition. When applying for THSGP funding, tribes that were awarded THSGP funding during the previous two years are expected to prioritize and align grant funding investments in building and sustaining capabilities as identified in their THIRA and SPR.
For additional guidance on the THIRA/SPR, please refer to CPG 201, Third Edition.
Reporting
. States, tribes (with the exception of new THSGP recipients as noted above), and territories will submit their THIRA and SPR through the URT on the Preparedness Toolkit no later than Dec. 31 of the applicable year (every three years for THIRA and each year for SPR) for which the recipient has an open award.
o If a THSGP recipient has completed closeout for their THSGP grant award POP, they do not have to submit the THIRA/SPR as the requirement does not apply to closed awards. .
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High-risk urban areas that receive UASI funding will submit their SPR through the URT on Preparedness Toolkit no later than Dec. 31 for the years they have UASI open grants. If a UASI recipient has completed closeout for their UASI grant award POP, they do not have to submit a THIRA/SPR as the requirement is not applicable to closed grant awards. While UASIs that have completed closeout for the award POP are not required to complete a THIRA/SPR, it is encouraged.
Calendar year 2022 was the start of the new 3-year THIRA/SPR cycle and baseline assessment year for existing recipients. Any new grant recipients for which the THIRA/SPR requirement applies will start their new 3-year THIRA/SPR cycle and baseline assessment year in the year during which they apply. States, territories, and high-risk urban areas should work collaboratively 56 City Council 18 – 69 6/17/2025
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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.
8.2.2. 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. Tribes receiving THSGP funds must prioritize and align grant funding investments in building and sustaining capabilities as identified in their THIRA and SPR. When applying for THSGP funding, tribes that were awarded THSGP funding during the previous two years are expected to prioritize and align grant funding investments in building and sustaining capabilities as identified in their THIRA and SPR.
Reporting
Within the BSIR and as part of programmatic monitoring, recipients must describe how expenditures support building capability, closing capability gaps, or sustaining capabilities identified in the THIRA and SPR. Recipients must, on a project-by-project basis, check one of the following:
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Building a capability with HSGP or THSGP funding; and
Sustaining a capability with HSGP or THSGP funding.
8.2.3. NATIONAL INCIDENT MANAGEMENT SYSTEM IMPLEMENTATION Recipients receiving HSGP or THSGP funding are required to implement NIMS. HSGP and THSGP 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.
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 or THSGP NOFO.
8.2.4. PLANNING TO DELIVER CAPABILITIES
HSGP and THSGP recipients shall develop and maintain, jurisdiction-wide, all threats and hazards EOPs consistent with CPG 101, Version 3.0 (CPG 101 v3), Developing and Maintaining Emergency Operations Plans (September 2021). For HSGP, recipients must update their EOPs at least once every two years. For THSGP, recipients must submit an EOP once during the POP.
Reporting
. Recipients report EOP compliance with CPG 101 v3 by completing the secondary CPG 101 v3 assessment portion of the URT as part of their THIRA/SPR submission. 57 City Council 18 – 70 6/17/2025
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8.2.5. VALIDATING CAPABILITIES
All HSGP and THSGP recipients will develop and maintain a progressive exercise program consistent with HSEEP guidance in support of the National Exercise Program (NEP). THSGP recipients are required to develop and maintain this program regardless of whether the tribe planned to use THSGP funding for exercises. 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 jurisdiction-specific threats and hazards (i.e., the THIRA); areas for improvement identified by realworld 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 Integrated Preparedness Planning Workshops (IPPWs) can be found on the HSEEP page on FEMA.gov and the Preparedness Toolkit.
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 on the Exercises page on FEMA.gov, or reach out to the NEP directly at [email protected].
Reporting
. 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 Jan. 31 of each year:
o Recipients are encouraged to enter their exercise information into the Preparedness Toolkit. .
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Recipients must submit AARs/Improvement Plans (IPs) to [email protected] and indicate which fiscal year’s funds were used (if applicable).
Submission of AAR/IPs must take place within 90 days following 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 urban area 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 CY 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]; and
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o Recipients can access a sample AAR/IP template on the Improving Planning Templates page on the Preparedness Toolkit.
8.3. Funding Guidelines (Homeland Security Grant Program, Tribal Homeland Security Grant Program)
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 support four of the five mission areas—Prevention, Protection, Mitigation, and Response—and associated core capabilities within the Goal. While Recovery is part of the Goal, it is not explicitly part of the HSGP and THSGP. 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 building capability, closing capability gaps, and/or sustaining capabilities, as defined by CPG 201, Third Edition. 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.
8.4. Allowable Costs (Homeland Security Grant Program)
8.4.1. MULTIPLE PURPOSE OR DUAL-USE OF FUNDS (STATE HOMELAND SECURITY
PROGRAM AND URBAN AREA SECURITY INITIATIVE)
For both SHSP and 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 HSA (6 U.S.C. § 609(c)).
8.4.2. ORGANIZATIONAL ACTIVITIES
Personnel Costs
In addition to the personnel cost allowability detailed in the HSGP NOFO, HSGP (SHSP, UASI) 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. HSGP (SHSP, UASI, OPSG) funds will be used to supplement existing funds and will NOT replace (supplant) funds that have been appropriated and/or budgeted 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.
8.4.3. 28 C.F.R. PART 23 GUIDANCE
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8.5. Fusion Centers (Homeland Security Grant Program)
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 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 High-Intensity Drug Trafficking Areas (HIDTA), Regional Information Sharing Systems (RISS) Centers, Joint Terrorism Task Forces (JTTF), major city/county intelligence units, and real-time crime analysis centers, among others.
National Network participation in the Nationwide Suspicious Activity Reporting Initiative (NSI) enables fusion centers to identify, receive and analyze Suspicious Activity Reports (SAR) 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 (AMSC), 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 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 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:
. Addressing 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 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, 60 City Council 18 – 73 6/17/2025
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ICE, United States Secret Service (USSS), 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
o
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, SAR; tips/leads and online/social media-based threats; as well as necessary services and technology to facilitate analytic capabilities and collaboration; 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;
Providing analytic support and responses to requests for information from federal, state, and local partners during no notice threats, attacks, or incidents, as well as other planned events such as National Security Special Events (NSSEs);
o
o
o
o
o
Conducting threat assessments within their respective jurisdictions, including the identification of threats, intelligence gaps, and mitigation efforts; Establishing, formalizing, and maintaining bi-directional information sharing with federal and other state agencies in accordance with jurisdictional authorities; Leveraging available resources and capabilities to conduct target and event deconfliction in support of threat identification, officer safety, and information sharing.
Maintaining an ability to routinely support federal government efforts to watchlist terrorists and transnational organized crime actors; and
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 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 61 City Council 18 – 74 6/17/2025
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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 Computer Assisted/Aided Dispatch (CAD) and Records Management System (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, including 28 C.F.R. Part 23 requirements, are listed at the Fusion Center Performance Program’s HSGP page on DHS.gov and in the 28 C.F.R. Part 23 Online Training.
. FEMA approved analyst courses that meet the grant requirement are listed at FEMA Approved Intelligence Analyst Training Courses page on DHS.gov.
Through the 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, AMSC, 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.
8.5.1. FUSION CENTER PERFORMANCE MEASURES
Table 7: Fusion Center Performance Measures
Reference Performance Measures
Number*
Percentage of federal Information Intelligence Reports (IIRs) originating from fusion center information that address a specific Intelligence Community need YEAR.1 62 City Council 18 – 75 6/17/2025
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Reference Performance Measures
Number*
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; corroborated existing information; addressed a critical intelligence gap; or helped to define an issue or target) YEAR.2
Number of SARs vetted and submitted by fusion centers that result in the initiation or enhancement of an investigation by the FBI YEAR.3
YEAR.4
YEAR.5
YEAR.6
YEAR.7
YEAR.8
YEAR.9
Number of SAR vetted and submitted by fusion centers that involve an individual on the Watchlist
Percentage of Requests for Information (RFIs) from the Terrorist Screening Center (TSC) for which fusion centers provided information for a TSC case file Percentage of I&A Watchlist nominations that were initiated or updated existing case files based on information provided by fusion centers
Number of distributable analytic products co-authored by one or more fusion centers and/or federal agencies
Percentage of fusion center distributable analytic products that address Homeland Security topics
Percentage of fusion center distributable analytic products that address state/local customer information needs
YEAR.10
YEAR.11
Percentage of key customers reporting that fusion center products are relevant Percentage of key customers reporting that fusion center services are relevant Percentage of key customers reporting that fusion center products are timely for mission needs YEAR.12
YEAR.13
YEAR.14
YEAR.15
YEAR.16
YEAR.17
Percentage of key customers reporting that fusion center services are timely for mission needs
Percentage of key customers reporting that fusion center products influenced their decision making related to threat response activities within their AOR Percentage of key customers reporting that fusion center services influenced their decision making related to threat response activities within their AOR Percentage of key customers reporting that fusion center products resulted in increased situational awareness of threats within their AOR Percentage of key customers reporting that fusion center services resulted in increased situational awareness of threats within their AOR YEAR.18
YEAR.19
Number of tips and leads vetted by the fusion center
Number of tips and leads vetted by the fusion center that were provided to other F/SLTT agencies for follow up action
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Reference Performance Measures
Number*
YEAR.20
YEAR.21
Number of responses to RFIs from all sources
Number of situational awareness products developed and disseminated by fusion centers
Number of case support and/or tactical products developed and disseminated by fusion centers
Percentage of federally designated special events in which fusion centers played a direct role
YEAR.22
YEAR.23
Percentage of federally declared disasters in which fusion centers played a direct role
Number of public safety incidents in which fusion centers played a direct role YEAR.24
YEAR.25
*“YEAR” should be changed for the current fiscal year, e.g., 2024, 2025, etc. Any updates to Performance Measures will be noted in the HSGP NOFO.
8.6. Investment Modifications – Changes in Scope or Objective (Tribal Homeland Security Grant Program)
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. THSGP is competitive with applications recommended for funding based on threat, vulnerability, and consequence, and their mitigation of potential terrorist attacks.
However, consistent with 2 C.F.R § 200.308(c)(1), Change in Scope Prior Approval, FEMA requires prior approval of any change in scope or objective of the grant-funded activity after the award is issued. See 2 C.F.R. § 200.308(b), (c). Scope or objective changes will be considered on a case-bycase basis provided the change does not negatively impact the competitive process used to recommend THSGP awards.
Requests to change the scope or objective of the grant-funded activity after the award is made must be submitted via FEMA GO as a Scope Change Amendment. The amendment request must include the following:
. A written request on the recipient’s letterhead outlining the scope or objective change including the approved projects from the IJ, the funds and relative scope or objective significance allocated to those projects, the proposed changes, and any resulting reallocations as a result of the change of scope or objective;
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An explanation why the change of scope or objective is necessary; How the proposed scope or objective changes to the project support the vulnerabilities and capability gaps identified in the approved IJ; and
. The request must also address whether the proposed changes will impact the recipient’s ability to complete the project within the award’s POP.
Recipients may not proceed with implementing any scope or objective changes until they receive prior written approval from FEMA through FEMA GO.
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8.7. Continuity Capability (Homeland Security Grant Program, Tribal Homeland Security Grant Program)
Continuity should be integrated into each core capability and the coordinating structures that provide them. Continuity capabilities 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 assessment of continuity capabilities among executive departments and agencies. To support this role, FEMA develops and promulgates directives, policy, and guidance for federal and SLTT governments, nongovernmental organizations, and private sector critical infrastructure owners and operators. Federal Continuity Directives (FCD) establish continuity program and planning requirements for executive departments and agencies, while FEMA's Continuity Guidance Circular (CGC) tailors’ continuity guidance to SLTT and other non-Federal audiences. 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.
The FCDs, CGC, and the Continuity Resource Toolkit provide guidance and resources for organizations. For additional information on continuity programs, guidance, and directives, see the Continuity Resources and Technical Assistance page on FEMA.gov.
8.8. Senior Advisory Committee (Homeland Security Grant Program) To support the Whole Community Approach (see Section 1.6 “Strengthening Governance Integration” and Section 6.13 “Whole Community Preparedness”), the SAA must establish or reestablish a unified Senior Advisory Committee (SAC). The SAC builds upon previously established advisory bodies under SHSP, UASI, TSGP, and PSGP. Examples of advisory bodies that should be included on a SAC include Urban Area Working Groups (UAWGs), SIGB, AMSCs, Regional Transportation Security Working Groups (RTSWG), 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.
8.8.1. SENIOR ADVISORY COMMITTEE 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 high-risk urban areas;
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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);
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SWIC and SIGB members;
Citizen Corps Whole Community Councils;
Local and tribal government officials;
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Tribal organizations and associations;
Emergency response providers, including representatives of the fire service, law enforcement, emergency medical services, and emergency managers;
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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; .
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State and regional interoperable communications coordinators, as appropriate; State and major urban area fusion centers, as appropriate; and 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 (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 Points of Contact (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 region-specific 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, and response activities within the state, and include representation from the stakeholder groups and disciplines identified above.
The above membership requirement does not prohibit states, high-risk 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 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 high-risk urban areas to ensure that information for current POCs is on file with FEMA.
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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 FEMA GO. SAAs will use the URT to verify compliance with SAC charter requirements.
8.8.2. SENIOR ADVISORY COMMITTEE 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;
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Managing all available preparedness funding sources to ensure their effective use and to minimize duplication of effort;
Ensuring investments support building capability, closing capability gaps, or sustaining capabilities identified in the THIRA/SPR;
Assisting in preparation and revision of the state, regional, or local homeland security plan or the THIRA, as the case may be; and
Assisting in determining effective funding priorities for SHSP grants.
8.8.3. SENIOR ADVISORY COMMITTEE CHARTER
The governance of SHSP and UASI 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 states 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 67 City Council 18 – 80 6/17/2025
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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.
8.9. Urban Area Working Group (Homeland Security Grant Program) To support the Whole Community Approach (see Section 1.6 “Strengthening Governance Integration” and Section 6.13 “Whole Community Preparedness”), high-risk 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.
UASI implementation and governance must include regional partners and should have balanced representation among entities with operational responsibilities for prevention, protection, mitigation, and response activities within the region. In some instances, high-risk urban area boundaries cross state borders. States and territories must ensure that the identified high-risk urban areas take an inclusive regional approach to the development and implementation of the UASI 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.
8.9.1. URBAN AREA WORKING GROUP COMPOSITION AND SCOPE
Pursuant to section 2003(b) of the HSA (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 (MSA), as defined by 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.
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 and tribal government officials;
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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; and
. State and regional interoperable communications coordinators and state and major urban area fusion centers, as appropriate.
In addition to representatives from the local jurisdictions and tribes within the state, territory, or highrisk 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 other 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 FEMA GO. 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.
8.9.2. URBAN AREA WORKING GROUP RESPONSIBILITIES
UAWGs must ensure that applications for funding under the UASI support building capability, 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. 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 highrisk urban area.
8.9.3. URBAN AREA WORKING GROUP 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 M&A responsibilities, and funding allocation methodologies are formalized in a working group charter, or another form of standard operating procedure related to the UASI 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 FEMA GO and must be on 69 City Council 18 – 82 6/17/2025
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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.
8.10. Supplemental State Homeland Security Program and Urban Area Security Initiative Guidance (Homeland Security Grant Program)
8.10.1. 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 high-risk 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 CISA’s Infrastructure Security Division. However, coordination is not limited to grant funding. It also includes leveraging assessments such as Transportation Security Administration’s (TSA) Baseline Assessment for Security Enhancement (BASE), reporting from the Intelligence Community, risk 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).
8.10.2. COLLABORATION WITH HEALTH CARE COALITIONS
Health Care Coalitions (HCC) 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, and other forthcoming versions.
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8.10.3. 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.
8.10.4. COLLABORATION WITH TRIBAL NATIONS
Tribal governments and their members are an essential part of our nation’s emergency management team. Effective relationships with tribes are necessary to fulfill FEMA’s mission of working together to improve our nation’s preparedness and response posture. As such, 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.
8.11. Operation Stonegarden Operational Guidance (Homeland Security Grant Program)
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 Integrated Planning Team (IPT) with representation from all participating law enforcement agencies and 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 agency. The content of each operational plan, to include the requested items will be reviewed for border security 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; and/or
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, Analysis, and Distribution includes both technology and manpower related to the gathering and analysis of intelligence with a nexus to border security. 71 City Council 18 – 84 6/17/2025
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The terms of an OPSG award do not extend to an SLTT partner any authority to enforce additional laws, statutes, 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 Immigration and Nationality Act (INA)). Participation in the grant does not grant participants the power to operate outside of their own jurisdictional boundaries.
8.11.1. CONCEPT OF OPERATIONS AND CAMPAIGN PLANNING
Post-Allocation Announcement/Pre-Award
The overarching operational cycle involves three stages: 1) application (described in the HSGP NOFO); 2) concept of operations to formulate a Campaign Plan, and 3) one or more tactical operational periods, which are all developed by the IPT. All Operations Orders: Concept of Operations (CONOPS), Operation Orders or Campaign Plans, and Fragmentary Orders (FRAGOs) shall be submitted through the CBP Stonegarden Data Management System.
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: 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 Personal Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act (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.
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If 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 Homeland Security Information Network (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
If 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 SLTT 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; however, 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 the operations order in the corresponding folder in the CBP Stonegarden Data Management System.
8.11.2. REPORTING PROCEDURES
Participation in OPSG requires accurate, consistent, and timely reporting of how funds are used, and how the SLTT 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 SLTT 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 current fiscal year HSGP NOFO on FEMA’s preparedness grants page, is 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 73 City Council 18 – 86 6/17/2025
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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.
8.11.3. OPERATION STONEGARDEN COORDINATION
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 of international borders including travel corridors in states bordering Mexico and Canada along with states and territories with international water borders. OPSG also further enhances the sharing of threat information and intelligence between federal and SLTT 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, SAR, 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 INA).
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;
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.
.
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; and
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, data, SAR, tips/leads, 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 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
o
Before submitting the CONCOPS (application); and
Before submitting the Campaign Plan
. OPSG funds may be used for travel and per diem in support of the IPTs and OPSG strategic planning events if the costs are otherwise compliant with other program and regulatory requirements.
8.11.4. 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; and
Enhanced Intelligence Collection and Distribution.
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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, D.C., 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.
8.11.5. 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
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; and 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 thus 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
o
Monitoring and supporting the Operational Cycle throughout the performance period; Ensuring the DAR and the AAR are submitted by SLTT agencies in the proper format and within the established timeframes;
o
o
Providing instruction, when possible, to SLTT agencies regarding techniques, methods, and trends used by transnational criminal organizations in the area; 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; 76 City Council 18 – 89 6/17/2025
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o
o
o
Documenting and conducting random, on-site operational verification of OPSG patrols by subrecipients and friendly forces;
Verifying that subrecipients are performing OPSG enforcement duties in accordance with the applicable grant, statute, and regulatory guidance and instructions; and 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 SLTT 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;
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.
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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 Operational Execution Section (see Section 8.11.1 “Concept of Operations and Campaign Planning”):
o
o
Conduct operations as needed throughout the length of the grant performance period; Integrate law enforcement partners from contiguous counties and towns into their tactical operations to expand the layer of security beyond existing areas; o
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;
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 high-risk 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;
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.
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
Assist as required with the coordination, management, and operational aspects of the grant. 77 City Council 18 – 90 6/17/2025
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The SAA will:
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.
Actively engage in the IPT meetings;
Work in direct coordination and communication with the local or tribal agency lead on all grant management matters;
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.
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Review all operations orders created by the local or tribal agency; Act 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;
.
.
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Determine if the grant’s performance period requires additional refinement over the federally established 36-month period;
Conduct audits of the program to ensure that the subrecipients are following program guidance; and
Assist as required with the coordination, management, and operational aspects of the grant.
8.11.6. DEFINITIONS (OPERATION STONEGARDEN)
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, for which prosecution would serve established border security goals as outlines by the CBP for a whole of community approach:
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.
Campaign Plan: The first Operational Order based on the CONOP aimed at accomplishing a strategic or operational objective within a given time and space.
CONOPS: A written statement that clearly and concisely expresses what the SLTT 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.
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. 78 City Council 18 – 91 6/17/2025
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Friendly Forces: Local law enforcement entities supporting border security operations to whom OPSG subrecipients provide funding.
IPT: Group that coordinates on all aspects of OPSG application, planning, and de-briefings.
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: A formal description of the action to be taken to accomplish or satisfy a CONOP, Campaign Plan, or FRAGO. The Operation/Operational Order 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 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.
8.12. Supplemental Resources (Homeland Security Grant Program, Tribal Homeland Security Grant Program)
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 79 City Council 18 – 92 6/17/2025
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HSGP and THSGP. 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 links to information on various subjects and policies that are relevant to the mission and intent of FEMA and its preparedness grant programs.
8.12.1. CHEMICAL, BIOLOGICAL, RADIOLOGICAL, AND NUCLEAR 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. FEMA offers implementation support on the THIRA/SPR for SLTT partners and the CWMD Office offers TA to provide guidance to SLTT partners seeking to address CBRN threats and to build or sustain CBRN detection and response capabilities. For more information or assistance, please contact [email protected].
8.12.2. NATIONAL INFORMATION EXCHANGE MODEL
National Information Exchange Model (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 compliance rules. Go to 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, SLTT, industry, and, where necessary, international partnerships. The NIEM Emergency Management domain is committed to community support via TA and NIEM training. For more information on the NIEM Emergency Management domain, to request training or TA or to just get involved, go to the Emergency Management page on NIEM.gov.
8.12.3. INFRASTRUCTURE RESILIENCE PLANNING FRAMEWORK
SLTT governments are faced with complex long-term decisions, limited sources of revenue, and changing populations. CISA developed the Infrastructure Resilience Planning Framework (IRPF) as a resource for SLTT planners. The IRPF provides a process and a series of tools and resources for incorporating critical infrastructure resilience considerations into planning activities. The IRPF can be used to support capital improvement plans, hazard mitigation plans, or other planning documents, as well as funding requests. For more information, see the IRPF.
8.12.4. INTEGRATED PUBLIC ALERT AND WARNING SYSTEM
The Integrated Public Alert & Warning System (IPAWS) is FEMA's national system for local alerting that provides authenticated emergency and life-saving information to the public through mobile phones using Wireless Emergency Alerts, to radio and television via the Emergency Alert System, and 80 City Council 18 – 93 6/17/2025
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on the National Oceanic and Atmospheric Administration's Weather Radio. For more information, see the IPAWS page on FEMA.gov.
8.12.5. HOMELAND SECURITY INFORMATION NETWORK
HSIN is a user-driven, web-based, information sharing platform that connects all homeland security professionals including the DHS and its federal, SLTT, 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 on the HSIN HSGP Guidance page on DHS.gov.
8.12.6. STATE, LOCAL, TRIBAL, TERRITORIAL 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 CISA resources available to support SLTT governments is available at the Resources & Tools page on CISA.gov.
8.12.7. FRAMEWORK FOR IMPROVING CRITICAL INFRASTRUCTURE CYBERSECURITY When requesting funds for cybersecurity, applicants are encouraged to propose projects that would aid in implementation of all or part of the Framework for Improving Critical Infrastructure Cybersecurity (the “Framework”) developed by the National Institute of Standards and Technology (NIST). The Framework gathers existing international standards and practices to help organizations understand, communicate, and manage their cyber risks. For organizations that do not know where to start with developing a cybersecurity program, the Framework provides initial guidance. For organizations with more advanced practices, the Framework offers a way to improve their programs, such as better communication with their leadership and suppliers about management of cyber risks.
CISA’s Critical Infrastructure Cyber Community C³ Voluntary Program also provides resources to critical infrastructure owners and operators to assist in adoption of the Framework and managing cyber risks. Additional information on the Critical Infrastructure Cyber Community C³ Voluntary Program can be found at the Critical Infrastructure Cyber Community C³ Voluntary Program page on CISA.gov.
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DHS’s Enhanced Cybersecurity Services (ECS) program is an example of a resource that assists in protecting U.S.-based public and private entities and combines key elements of capabilities under the “Detect” and “Protect” functions to deliver an impactful solution relative to the outcomes of the Cybersecurity Framework. Specifically, ECS offers intrusion prevention and analysis services that help U.S.-based companies and SLTT governments defend their computer systems against unauthorized access, exploitation, and data exfiltration. ECS works by sourcing timely, actionable cyber threat indicators from sensitive and classified Government Furnished Information (GFI). DHS then shares those indicators with accredited Commercial Service Providers (CSPs). Those CSPs in turn use the indicators to block certain types of malicious traffic from entering a company’s networks. Groups interested in subscribing to ECS must contract directly with a CSP to receive services. Please visit the ECS page on CISA.gov for a current list of ECS CSP points of contact.
8.12.8. REGIONAL RESILIENCY ASSESSMENT PROGRAM
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 CISA’s 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 the RRAP page on CISA.gov.
8.12.9. LAW ENFORCEMENT SUPPORT OFFICE, OR 1033 PROGRAM 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 to 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, 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, see the LESO page on DLA.mil. 82 City Council 18 – 95 6/17/2025
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9. Nonprofit Security Grant Program
9.1. Program Funding Guidelines and Priorities
NSGP grant recipients (e.g., SAAs) and subrecipients (e.g., nonprofit organizations) may only use NSGP grant funds for the purpose set forth in the grant award and must use funding in a way that is consistent with the statutory authority for the award. See the annual NSGP NOFO for program Priorities.
9.1.1. NATIONAL INCIDENT MANAGEMENT SYSTEM IMPLEMENTATION Recipients receiving NSGP funding must implement NIMS. Recipients must manage resources purchased or supported with FEMA grant funding according to NIMS resource management guidance.
9.2. Nonprofit Security Grant Program Investment Modifications – Changes in Scope or Objective
Changes in scope or objective of the award—whether as a result of 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. NSGP is competitive with applications recommended for funding based on threat, vulnerability, consequence, and their mitigation to a specific facility/location. However, consistent with 2 C.F.R § 200.308(c)(1), Change in Scope Notification, FEMA requires prior written approval of any change in scope/objective of the grant-funded activity after the award is issued. See 2 C.F.R. § 200.308(b), (c). Scope/objective changes will be considered on a case-by-case basis, provided the change does not negatively impact the competitive process used to recommend NSGP awards.
Requests to change the scope or objective of the grant-funded activity after the award is made must be submitted by the SAA via FEMA GO as a Scope Change Amendment. The amendment request must include the following:
. A written request from the NSGP subrecipient on its letterhead, outlining the scope or objective change including the approved projects from the subrecipient’s IJ, the funds and relative scope or objective significance allocated to those projects, the proposed changes, and any resulting reallocations as a result of the change of scope or objective; .
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An explanation why the change of scope or objective is necessary; Validation from the SAA that any deviations from the approved IJ are addressed in the vulnerability assessment submitted by the subrecipient at the time of application; and . The subrecipient request must also address whether the proposed changes will impact its ability to complete the project within the award’s POP.
FEMA will generally not approve NSGP change-of-scope requests resulting from the following situations:
. Subrecipients that relocate their facilities after submitting their application who are requesting a change of scope to allow them to use NSGP funds toward projects at the new facility; or 83 City Council 18 – 96 6/17/2025
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. Subrecipients that renovate their facilities after submitting their application in cases where the subsequent renovations would affect the vulnerability/risk assessment upon which the IJ is based.
NSGP project funding is based on the ability of the proposed project to mitigate the risk factors identified in the IJ. For this reason, FEMA may reject requests to significantly change the physical security enhancements that are purchased with NSGP funding where FEMA believes approval of the request would change or exceed the scope of the originally approved project. FEMA will consider all requests to deviate from the security project as originally proposed on a case-by-case basis, consistent with 2 C.F.R. § 200.308(c)(1).
Subrecipients may not proceed with implementing any scope/objective changes until the SAA receives written approval from FEMA through FEMA GO and until the SAA has made any required subaward modifications.
If a subrecipient is simply making changes to its own budget without impacting the scope or objective of the subaward, and where the budget changes do not involve other prior approval requirements listed in 2 C.F.R. § 200.407, then the subrecipient does not need the prior approval of the SAA or FEMA. See 2 C.F.R. § 200.308. Instead, the subrecipient is only required to report to the SAA the budget changes. Similarly, the SAA should report those budget changes to FEMA.
9.3. Pass-Through Requirements
Pass-through funding is required under this program. Awards made to the SAA for the NSGP carry additional pass-through requirements. Pass-through is defined as an obligation on the part of the state to make subawards to selected nonprofit organizations. The SAA must provide funds awarded under NSGP to subrecipients within 45 days of receipt of the funds. A letter of intent (or equivalent) to distribute funds is not sufficient. Award subrecipients that are selected for funding under this program must be provided with funding within 45 days from the date the funds are first made available to the recipient so that they can initiate implementation of approved investments.
For the SAA to successfully meet the pass-through requirement and provide funding to the subrecipients, the SAA must meet the following four requirements:
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There must be some action by the SAA to establish a firm commitment to award the funds to the selected nonprofit organization;
The action must be unconditional on the part of the SAA (i.e., no contingencies for availability of SAA funds);
There must be documentary evidence of the commitment of the award of funding to the selected nonprofit organization; and
The SAA must communicate the terms of the subaward to the selected nonprofit organization.
If a nonprofit organization is selected for an NSGP award and elects to decline the award, the SAA must notify their FEMA Preparedness Officer. The SAA may not re-obligate to another subrecipient without prior approval. “Receipt of the funds” occurs either when the SAA accepts the award or 15 calendar days after the SAA receives notice of the award, whichever is earlier. SAAs are sent notification of NSGP awards via the FEMA GO system. If an SAA accepts its award within 15 calendar days of receiving notice of the award in the FEMA GO system, the 45-calendar day pass-through period will start on the date the SAA accepted the award. Should an SAA not accept the NSGP award 84 City Council 18 – 97 6/17/2025
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within 15 calendar days of receiving notice of the award in the FEMA GO system, the 45-calendar days pass-through period will begin 15 calendar days after the award notification is sent to the SAA via the FEMA GO system.
It is important to note that the POP start date does not directly affect the start of the 45-calendar day pass-through period. For example, an SAA may receive notice of the NSGP award on Aug. 20, 2023, while the POP dates for that award are Sept. 1, 2023, through Aug. 31, 2026. In this example, the 45-day pass-through period will begin on the date the SAA accepts the NSGP award or Sept. 4, 2023 (15 calendar days after the SAA was notified of the award), whichever date occurs first. The POP start date of Sept. 1, 2023, would not affect the timing of meeting the 45-calendar day pass-through requirement.
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10. Surface Transportation Security Grant Programs
(Transit Security Grant Program, Intercity Passenger
Rail Program, Intercity Bus Security Grant Program)
10.1. Program Funding Guidelines and Priorities (Transit Security Grant Program, Intercity Passenger Rail Program, Intercity Bus Security Grant Program)
Costs charged to a TSGP, IPR Program, or IBSGP award must be consistent with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, located at 2 C.F.R. Part 200.
. NOTE: Costs charged to an IPR Program award must also be consistent with the cost principles in the Federal Acquisition Regulation (FAR) Part 31.2 in lieu of 2 C.F.R. Part 200, Subpart E. Any conflicts between FAR 31.2 and 2 C.F.R. Part 200, Subpart E shall be resolved in favor of the applicable provision in FAR 31.2.
See annual program NOFO for information on program-specific priorities.
10.2. Changes in Scope or Objectives (Transit Security Grant Program, Intercity Passenger Rail Program, Intercity Bus Security Grant Program) All three Surface Transportation Security Grant Programs generally do not allow for scope or objective changes unless there are extenuating circumstances (e.g., the COVID-19 or a similar pandemic preventing activities). FEMA will consider scope/objective changes on a case-by-case basis if extenuating circumstances are present.
10.3. Security Plan Requirements (Transit Security Grant Program, Intercity Passenger Rail Program, Intercity Bus Security Grant Program)
10.3.1. TRANSIT SECURITY GRANT PROGRAM AND INTERCITY PASSENGER RAIL PROGRAM The following information regarding security plan requirements is provided in 6 U.S.C. § 1134(c)(2):
Security plans should include the following, as appropriate:
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A prioritized list of all items included in the public transportation agency’s security assessment that have not yet been addressed;
A detailed list of any additional capital and operational improvements identified by DHS or the public transportation agency and a certification of the public transportation agency’s technical capacity for operating and maintaining any security equipment that may be identified in such list; . Specific procedures to be implemented or used by the public transportation agency in response to a terrorist attack including evacuation and passenger communication plans along with appropriate evacuation and communication measures for the elderly and individuals with disabilities; 86 City Council 18 – 99 6/17/2025
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. A coordinated response plan that establishes procedures for appropriate interaction with state and local law enforcement agencies, emergency responders, and federal officials to coordinate security measures and plans for response in the event of a terrorist attack or other major incident; .
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A strategy and timeline for conducting training under 49 C.F.R. § 1570.109(b) and 49 C.F.R. Part 1582;
Plans for providing redundant and other appropriate backup systems necessary to ensure the continued operation of critical elements of the public transportation system in the event of a terrorist attack or other major incident;
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Plans for providing service capabilities throughout the system in the event of a terrorist attack or other major incident in the city or region which the public transportation system serves; Methods to mitigate damage within a public transportation system in case of an attack on the system, including a plan for communication and coordination with emergency responders; and Other actions or procedures as the Secretary of Homeland Security determines are appropriate to address the security of the public transportation system.
10.3.2. ADDITIONAL AMTRAK REQUIREMENTS
Sections 1512 and 1513 of the Implementing Recommendations of the 9/11 Commission Act of 2007 (6 U.S.C. §§ 1162 and 1163) require a recipient to complete a vulnerability assessment and develop a security plan. To be eligible for the IPR Program, Amtrak must have developed, or updated, its security plan. The security plan must be based on a security assessment, such as the Baseline Assessment for Security Enhancement, which is performed by ’SA's Transportation Security InspectorsSurface. This security assessment must have been conducted within the last three years prior to receiving the respective fiscal year’s IPR Program award. A copy of the security plan and security assessment must be provided to DHS/FEMA upon request.
Entities providing transit security (e.g., city/county police department or a transportation agency’s own police department) must approve the security plan. The signature of a responsible official from the agency’s railroad security provider serves as this approval. Associated documentation of this approval must be provided to DHS/FEMA upon request. In addition, the agency’s railroad security provider is encouraged to review the IJs prior to submission.
Amtrak, in receiving funds through this program, must participate in RTSWGs in participating urban areas. The RTSWG should serve as the forum for regional partners to discuss risk, planning efforts, and mitigation strategies. These discussions should be held regardless of funding to continue enhancing the overall security of the region. Regional working groups are a best practice for enhancing security and are encouraged for all jurisdictions.
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 and SA 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 POP. Consultants or contractors of the recipient are not permitted to be the AOR or the SA of the recipient. It is the sole responsibility of the 87 City Council 18 – 100 6/17/2025
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recipient to keep their points of contact for the organization up-to-date and accurate in all federal systems.
The AOR is responsible for submitting programmatic and financial performance reports, accepting award packages, signing assurances and certifications, and submitting award amendments.
10.3.3. INTERCITY BUS SECURITY GRANT PROGRAM REQUIREMENTS To be eligible for the IBSGP, operators must have developed or updated their organization’s Vulnerability Assessment and Security Plan (VASP) that must be based on a security assessment, such as the BASE performed by Transportation Security Inspectors-Surface from TSA. Private operators providing transportation with an over-the-road bus system must have completed or updated their VASP within the past three years before the opening of the respective fiscal year’s IBSGP application period.
Additionally, a copy of the VASP certification must be submitted along with the application to be considered eligible. Failure to include this certification will result in the application being deemed ineligible. All operators must have completed or updated a VASP as required by Section 1531 of the 9/11 Act (6 U.S.C. § 1181) as follows:
Assessments and security plans should include, as appropriate:
. Identification and evaluation of critical assets and infrastructure, including buses, platforms, stations, terminals, and information systems;
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Identification of vulnerabilities to those assets and infrastructure; and Identification of gaps in physical security; passenger and cargo security; the security of programmable electronic devices, computers, or other automated systems that are used in providing over-the-road bus transportation; alarms, cameras and other communications systems and utilities needed for over-the-road bus security purposes, including dispatching systems; emergency response planning; and employee training.
Security plans should also include, as appropriate:
. The identification of a security coordinator having authority to implement security actions, coordinate security improvements, and receive communications from appropriate federal officials regarding over-the-road bus security;
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A list of needed capital and operational improvements;
Procedures to be implemented or used by the operator in response to a terrorist attack, including evacuation and passenger communication plans that include individuals with access and functional needs;
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The identification of steps taken with state and local law enforcement agencies, emergency responders, and federal officials to coordinate security measures and plans for response to a terrorist attack;
A strategy and timeline for conducting training to prepare frontline employees for potential security threats and conditions;
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Enhanced security measures to be taken by the operator when the Secretary of Homeland Security declares a period of heightened security risk; and
Plans for providing redundant and backup systems required to ensure the continued operation of critical elements of the operator’s system in the event of a terrorist attack.
For additional information, see the current fiscal year’s IBSGP NOFO.
10.4. Allowable Cost Guidance
10.4.1. SPECIFIC GUIDANCE ON EXPLOSIVE DETECTION CANINE TEAMS (TRANSIT SECURITY
GRANT PROGRAM, INTERCITY PASSENGER RAIL PROGRAM)
Explosive Detection Canine Team Certification
Each Explosive Detection Canine Team (EDCT), composed of one dog and one handler, must be certified by an appropriate, qualified organization. TSA-certified EDCTs will meet or exceed certification standards set by the TSA National Explosives Detection Canine Team Program (NEDCTP). Recipient EDCTs that do not participate in the NEDCTP will be required to certify annually under their respective agency, local, and state regulations. The recipient will maintain certification, utilization, and training data to show compliance in meeting or exceeding those guidelines set forth by the Scientific Working Group on Dog and Orthogonal Detection Guidelines (SWGDOG), as of Sept. 14, 2007, in addition to the requirements set forth in the NOFO.
Explosive Detection Canine Team Submission Requirements
1. The recipient will ensure that a written security procedure plan exists for the safekeeping of all explosive training aids, including safe transportation. The recipient will document the removal, use, and return of explosive training aids used during training exercises or for any other reason. The plan and all documentation must be made available to FEMA upon request;
2. The recipient will comply with requirements for the proper storage, handling, and transportation of all explosive training aids in accordance with the Bureau of Alcohol, Tobacco, Firearms and Explosives’ Publication 5400.7 (ATF P 5400.7) (09/00), Federal Explosive Law and Regulation;
3. The recipient will ensure that certified EDCTs are available to respond to situations 24 hours a day, 7 days per week on an on-duty or off-duty on-call basis. If TSGP- or IPR Program-funded EDCTs are not available, other non-TSGP or non-IPR Program funded EDCTs may be utilized for this response. The intent is to provide maximum coverage during peak operating hours and to maintain the ability to promptly respond to threats that affect public safety or mass transit operations;
4. EDCTs under this grant are single purpose and will be trained to detect “live” explosives only, not “simulated” explosives. EDCTs must not have received previous training to detect any other substances;
5. The recipient will ensure that each EDCT receives on-site proficiency training at a minimum of 4 hours per week per duty cycle. This training shall include, but not be limited to, mass transit passenger cars, terminals/platforms, luggage, freight/warehouses, and vehicles. Complete, detailed, and accurate training records must be maintained for all proficiency training conducted by each EDCT. These records must be made available to FEMA upon request;
6. The recipient will conduct appropriate training or other canine activities, within view of the public, to increase public awareness of EDCTs and provide a noticeable deterrent to acts which 89 City Council 18 – 102 6/17/2025
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affect public safety or mass transit operations. The recipient will also ensure that such activities include, over a period, a presence in operational areas of the mass transit system during peak and off-peak hours. The recipient agrees that EDCTs will be utilized in the field at least 80% of their duty time, annually;
7. The recipient will provide safe and sanitary kennel facilities for program canines, and these costs may be allowable with prior approval by FEMA. This applies to kenneling canines at a mass transit system, handlers’ residences, or commercial boarding facilities. Canines must not be left in makeshift accommodations or without proper supervision, protection, and care. The recipient will ensure that canines are transported on-duty and off-duty in vehicles configured with adequate temperature control, padding, and screening to ensure proper health, safety, and security; and
8. The recipient will ensure that adequate routine and emergency veterinary care are provided for all canines.
Note: FEMA reserves the right to conduct an on-site operational and record review upon 48-hour notice to ensure compliance with applicable federal regulations.
10.4.2. CAPITAL (CONSTRUCTION) PROJECTS GUIDANCE (TRANSIT SECURITY GRANT
PROGRAM, INTERCITY PASSENGER RAIL PROGRAM, INTERCITY BUS SECURITY
GRANT PROGRAM)
The recipient must obtain written approval from FEMA prior to the use of any program funds for construction or renovation projects. When applying for construction funds, including communications towers, the recipient must submit evidence of approved zoning ordinances, architectural plans, and any other locally required planning permits. Additionally, the recipient is required to submit a SF-424C Form and budget detail citing the project costs and a SF-424D Form for standard assurances for the construction project.
Additional guidance for Transit Security Grant Program Capital (Construction) Projects:
Capital expenditures are defined in 2 C.F.R. § 200.1 as expenditures to acquire capital assets or expenditures to make additions, improvements, modifications, replacements, rearrangements, reinstallations, renovations, or alterations to capital assets that materially increase their value or useful life. Use of capital expenditures must comply with 2 C.F.R. § 200.439. See Section 4.5.1 “Construction and Renovation” for more information.
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11. Port Security Grant Program
11.1. Program Funding Guidelines and Priorities
PSGP grant recipients may only use PSGP grant funds for the purpose set forth in the grant award and must use funding in a way that is consistent with the statutory authority for the award. See the annual PSGP NOFO for program Priorities.
11.2. Allowable Cost Guidance
11.2.1. SPECIFIC GUIDANCE ON EXPLOSIVE DETECTION CANINE TEAMS Explosive Detection Canine Team Certification
Each EDCT, composed of one dog and one handler, must be certified by an appropriate, qualified organization. Canine (K-9) and handler should receive an initial basic training course and weekly maintenance training sessions thereafter to maintain the certification. The basic training averages ten weeks for the canine team (K-9 and handler together) with weekly training and daily exercising.
Comparable training and certification standards, such as those promulgated by the TSA Explosive Detection Canine Program, the National Police Canine Association (NPCA), the U.S. Police Canine Association (USPCA), or the International Explosive Detection Dog Association (IEDDA), may be used to meet this requirement. Certifications and training records will be kept on file with the recipient and made available to FEMA upon request.
Explosive Detection Canine Team Submission Requirements PSGP recipients are required to submit a written plan or standard operating procedure (SOP) that describes EDCT deployment policy including visible and unpredictable deterrent efforts and on-call EDCTs rapid response times. Recipients who are subject to the maritime security regulations contained in 33 C.F.R. Parts 104 (vessel security) or 105 (facility security), shall submit a Vessel Security Plan (VSP) or Facility Security Plan (FSP) amendment detailing the inclusion of a (K-9) explosive detection program into their security measures to the USCG for review and approval. The relevant portion of any USCG-approved VSP or FSP, or any agency specific security plan or SOP must be made available to FEMA and USCG upon request. The recipient will comply with requirements for the proper storage, handling, and transportation of all explosive training aids in accordance with the Bureau of Alcohol, Tobacco, Firearms and Explosives’ Publication 5400.7 (ATF P 5400.7) (09/00), Federal Explosive Law and Regulations.
Additional Explosive Detection Canine Team Resources Available for Canine Costs The PSGP, while providing the ability to defray some start-up costs, does not cover any recurring costs associated with EDCT programs. FEMA strongly encourages applicants to investigate their eligibility under other programs, and potential exclusions, when developing their K-9 programs.
11.2.2. MARITIME DOMAIN AWARENESS
The maritime domain is defined as “all areas and things of, on, under, relating to, adjacent to, or bordering on a sea, ocean, or other navigable waterway, including all maritime-related activities, infrastructure, people, cargo, and vessels and other conveyances.” PSGP recipients are encouraged to 91 City Council 18 – 104 6/17/2025
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familiarize themselves with this National Strategy. Homeland Security Presidential Directive-13 (NSPD41/HSPD-13) (Maritime Security Policy, Dec. 21, 2004). According to the National Plan to Achieve Maritime Domain Awareness for the National Strategy for Maritime Security (Oct. 2005), “Maritime Domain Awareness (MDA) is the effective understanding of anything associated with the global maritime domain that could impact the security, safety, economy, or environment of the United States.
MDA is a key component of an active, layered maritime defense in depth. It will be achieved by improving our ability to collect, fuse, analyze, display, and disseminate actionable information and intelligence to operational commanders.” Id. at ii.
11.2.3. CAPITAL (CONSTRUCTION) PROJECTS GUIDANCE
Recipients must obtain written approval from FEMA prior to the use of any PSGP funds for construction or renovation projects. Additionally, PSGP funding may not be used to construct buildings or other physical facilities that are not constructed under terms and conditions consistent with the requirements of section 611(j)(9) of the Stafford Act (42 U.S.C. § 5196(j)(9))1 which requires compliance with the Davis-Bacon Act (codified as amended at 40 U.S.C. §§ 3141 et seq.) for PSGP funded projects. 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 state in which the work is to be performed. See Section 4.6 “Davis-Bacon Act Compliance” for more information.
The following types of construction and renovation projects are allowable under PSGP, provided they address a specific vulnerability or need identified in an AMSP or otherwise support the maintenance/sustainment of capabilities and equipment acquired through PSGP funding:
. Maritime Command and Control Centers;
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Interagency Operations Centers (IOCs) for maritime security; Port Security Emergency Communications Centers;
Buildings to house generators that support maritime security risk mitigation; Maritime security risk mitigation facilities (e.g., dock house, ramps, and docks for existing port security assets);
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Hardened security fences/barriers at access points;
Any other building or physical facility that enhances access control to the port/Maritime Transportation Security Act (MTSA) facility area; and
. PSGP funding may be used to purchase and/or upgrade a barge to support a staging area for maritime/port security patrols or maritime security risk mitigation responses. (Certain areas 1 While the Maritime Transportation Security Act of 2002, as amended at 46 U.S.C. § 70107(b)(2), requires that such activities are carried out consistent with Section 611(j)(8) of the Stafford Act, a subsequent amendment to the Stafford Act by section 3 of Pub. L. No. 109-308 in 2006 redesignated the text of Section 611(j)(8) to 611(j)(9). The cross reference in the Maritime Transportation Security Act of 2002 has not been updated. 92 City Council 18 – 105 6/17/2025
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throughout the Nation may require a barge that can be permanently anchored or moored in certain areas to support maritime security risk mitigation activities.) To be considered eligible for funding, the construction of fusion centers, operations centers, or communications centers must offer a port wide benefit and support information sharing and operational coordination among regional interagency and other port security partners. Applicants are reminded that the POP is 36 months. Eligible costs for construction or renovation projects may not exceed $1 million (federal share) per project, which may not exceed 10% of the total amount of the award, as stated in 46 U.S.C. § 70107(b)(2)(A) and (B) (Section 102 of the Maritime Transportation Security Act of 2002, Pub. L. 107-295, as amended). Grant recipients are not permitted to use PSGP funds for construction projects that are eligible for funding under other federal grant programs. PSGP funds may only be used for construction activities directly related to maritime security risk mitigation enhancements.
All construction or renovation projects require EHP review. See Section 4.5 “Environmental Planning and Historic Preservation Compliance” for more information.
11.3. Port-Wide Risk Management Plans
Port areas with existing Port Wide Risk Mitigation Plans (PRMPs) are encouraged to maintain their PRMPs and use them to identify projects that will serve to address remaining maritime security vulnerabilities. These ports are also encouraged to develop or maintain a Business Continuity and Resumption of Trade Plans (BCRTP). For purposes of regional strategic and tactical planning, these plans must take into consideration all port areas covered by their AMSP, align with the port area’s AMSP, consider the entire port system strategically as a whole, and identify actions designed to effectively mitigate security risks associated with the system’s maritime critical infrastructure and key resources.
11.4. Port Security Grant Program Investment Modifications The purpose of the grant award is to implement projects pursuant to the authorities at 46 U.S.C. § 70107. Under extreme circumstances, a recipient may reallocate award funds from one project to another with prior written approval from FEMA and in a manner consistent with 2 C.F.R. § 200.308 if it does not change the overall scope or objective of the award. Circumstances include, but are not limited to, an inability to complete the original project, disaster events perpetuating an immediate need to reprioritize funds, and changes in regulatory requirements. A recipient must explain the deviation from the original project- including why it is deviating from or scaling down the original project and what specific circumstances that occurred after the time of its award that necessitate the reallocation request- in its reallocation request. The recipient must also identify how the reallocation request aligns with PSGP priorities and the recipient’s original application and the award’s scope of work. Due to legal limitations, reallocation requests that would change the scope of the overall project(s) are not permitted. FEMA will also coordinate such reallocation requests with the USCG Captain of the Port (COTP), and these requests must be verified and supported by the COTP as essential in addressing Port Area priorities. Please also see the relevant PSGP NOFO regarding cost share requirements including the implications if the project costs are less than what was applied for. 93 City Council 18 – 106 6/17/2025
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12. Emergency Management Performance Grant
Program
12.1. Alignment of the Emergency Management Performance Grant Program to the National Preparedness System
The EMPG Program contributes to the implementation of the National Preparedness System by supporting the building, sustainment, and delivery of core capabilities. Core capabilities are essential for the execution of critical tasks for each of the five mission areas outlined in the Goal. The EMPG Program’s allowable costs support efforts to build and sustain core capabilities across the Prevention, Protection, Mitigation, Response, and Recovery mission areas described in the Goal.
FEMA requires recipients to prioritize grant funding to demonstrate how EMPG Program-funded investments support the following:
. Building or sustaining those capabilities that are identified as high priority through the THIRA/SPR process and other relevant information sources, such as:
o
o
o
o
AARs following exercises or real-world events;
Audit and monitoring findings;
Hazard Mitigation Plans; and/or,
Other deliberate planning products; and
. Closing capability gaps that are identified in the state or territory’s most recent SPR.
To better understand the relationship between building capabilities and closing capability gaps, refer to CPG 201, Third Edition. In advance of issuing the EMPG Program awards, FEMA Regional Administrators will identify individual regional priorities based on their unique knowledge of each region’s preparedness and emergency management needs and will share those priorities with the states and territories within their region. The final priorities will be identified and mutually agreed to by the state/territory and Regional Administrator through a collaborative negotiation process.
Ideally, all EMPG Program-funded projects, as outlined in the approved EMPG Program Work Plan, will support the priorities identified through this collaborative approach. See the EMPG Program Work Plan template in the EMPG Program NOFO for additional guidance.
FEMA continues to place emphasis on capabilities that address the greatest risks to the security and resilience of the United States. 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 EMAC. The EMPG Program supports investments that improve the ability of jurisdictions nationwide to:
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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; 94 City Council 18 – 107 6/17/2025
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Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; 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.
The core capabilities contained in the Goal are highly interdependent and require the use of existing preparedness networks and activities to improve training and exercise programs, innovation, and appropriate administrative, finance, and logistics systems.
12.2. Implementation of the National Preparedness System
12.2.1. IDENTIFYING AND ASSESSING RISK AND ESTIMATING CAPABILITY
REQUIREMENTS
By Dec. 31, 2022, recipients were required to complete a THIRA/SPR that addresses all 32 core capabilities and is compliant with CPG 201, Third Edition. Recipients are required to submit a THIRA every three years to establish a consistent baseline for assessment. 2022 was the start of the new 3-year THIRA/SPR cycle and baseline assessment year for existing recipients. Any new grant recipients during future CYs, for which the THIRA/SPR requirement applies, will start their new 3-year THIRA/SPR cycle and baseline assessment year in that year. Specific guidance on the requirements for each core capability is provided through program implementation support and supplemental guidance, as some core capabilities have fewer reporting requirements than others. Recipients must continue to respond to a series of planning-related questions as part of the THIRA/SPR process.
While the THIRA is only required every three years, jurisdictions are required to submit an SPR annually. The submission deadline is Dec. 31 each year (as applicable). For additional guidance on the THIRA/SPR, please refer to CPG 201, Third Edition. Recipients are also encouraged to refer to the Preparedness Toolkit, which is an online portal that provides the whole community with tools to aid in implementing all six areas of the National Preparedness System.
Reporting
In each EMPG Program recipient’s BSIR, the recipient must describe how expenditures support building capability, closing capability gaps, or sustaining capabilities identified in the THIRA/SPR process. EMPG Program recipients will, on a project-by-project basis, check one of the following:
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Building a capability with EMPG Program funding; or
Sustaining a capability with EMPG Program funding.
Building and Sustaining Core Capabilities
Recipients must describe how proposed EMPG Program-funded projects will close capability gaps or sustain capabilities identified through the THIRA/SPR process, particularly SPR Step 2 (see CPG 201, Third Edition), or other relevant information sources that identify capability needs. See the EMPG Program Work Plan template in the EMPG Program NOFO for additional guidance and requirements.
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12.2.2. NATIONAL INCIDENT MANAGEMENT SYSTEM IMPLEMENTATION EMPG Program 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. EMPG Program funds may be used for NIMS implementation; specifically, to meet the requirements described in the NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictions.
Reporting
. Recipients will answer questions in the applicable secondary NIMS assessment portion of the URT as part of a jurisdiction’s THIRA/SPR submission. This involves reporting on the status of the qualification system used within the jurisdiction and sub-jurisdictions, as outlined in the EMPG Program NOFO.
. Reporting will also be through a review by the FEMA Regional NIMS Coordinators during annual TA visits with the states, tribes, and territories within their regions.
12.2.3. NATIONAL QUALIFICATION SYSTEM IMPLEMENTATION
For FY 2023 and going forward, as a post-award requirement, all recipients in the 50 states and District of Columbia must work toward achieving the Phase 1 NQS Implementation Objectives outlined in the table below and must, at a minimum, execute the Implementation Plan they developed in FY 2022 as part of the Phase 0 NQS Implementation Objectives. Jurisdictions that began implementation in FY 2023 shall have designed and adopted organizational qualification system procedures, a certification program and credentialing standards for incident workforce personnel in alignment with the NIMS Guideline for the NQS. All other jurisdictions (including territories and EMPG Program subrecipients) are required to work toward implementation of NQS by developing an Implementation Plan, using the FEMA-provided two-page template referenced in the table below.
For all states and territories, the following requirements shall apply:
. At a minimum, only EMPG Program-funded deployable personnel, as determined by each recipient organization, will be required to meet NQS certification requirements. . Recipients and subrecipients will be considered in compliance with the NQS requirements as long they are working toward implementing the NQS Implementation Objectives as outlined in the table below.
. The expected completion date for each phase of the NQS Implementation Objectives is Dec. 31 of the applicable CY.
Additional NQS Implementation Guidance can be found at the NQS Supplemental Documents page on FEMA.gov.
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Table 8: National Qualification System Implementation Phase Objectives Phase 0: NQS Implementation
Objectives for CY 2022 Example Indicators
. Only the 50 States, the District of
Columbia and Puerto Rico shall work
toward implementation of NQS by
developing an Implementation Plan
using the FEMA-provided two-page
template.
. Completion of a jurisdiction
implementation plan.
. Identification of implementation
challenges.
. The Implementation Plan will identify
a jurisdiction’s timeline for
implementing NQS by CY 2025.
. All other jurisdictions are encouraged
to begin working toward identifying, at
a minimum, frequently deployed
positions and implementation but will
not be required until CY 2023.
Phase 1: NQS Implementation
Objectives for CY 2023 Example Indicators
. All jurisdictions shall work toward
implementation of NQS by developing
an Implementation Plan using the
FEMA-provided two-page template.
. Completion of a jurisdiction
implementation plan.
. Identification of implementation
challenges.
. Jurisdictions that began . Qualification policies and procedures approved by the jurisdiction.
Procedures may include:
implementation in CY 2022 shall
have designed and adopted
organizational qualification system
procedures, a certification program,
and credentialing standards for
incident workforce personnel in
alignment with the NIMS Guideline for
the NQS.
o Establishment of a Qualification
Review Board or equivalent review
processes for incident workforce
personnel qualifications.
o Individual and team coach and
evaluation processes for incident
workforce personnel qualifications.
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Phase 0: NQS Implementation
Objectives for CY 2022 Example Indicators
Example Indicators Phase 2: NQS Implementation
Objectives for CY 2024
. All jurisdictions shall have designed
and approved organizational
. Qualification policies and procedures
approved by the jurisdiction.
qualification system procedures,
certification program, and
credentialing standards for incident
workforce personnel in alignment with
the NIMS Guideline for the NQS.
. Minimum criteria that trainees must
meet to be qualified in a specific
position is outlined in the NQS Job
Title/Position Qualification.
. PTB issuance and completion data.
. Jurisdictions that began
. Adoption of a resource management
system, such as OneResponder: a
web-based application hosted in a
cloud environment. It allows Authority
Having Jurisdictions (AHJ) to manage
qualifications of personnel.
implementation in CY 2022 shall
have issued position task books
(PTBs) to incident workforce
personnel, as designated by the
jurisdiction, and ensure incident
workforce personnel show progress in
working toward task endorsements
and minimum training requirements.
. In CY 2024, all jurisdictions partially
satisfy the requirement by ensuring
designated incident workforce
personnel meet the minimum training
requirements from the Job
Title/Position Qualification.
. Jurisdictions shall use a resource
management or qualification tool
system to track the qualification,
certification, and credentialing of
incident workforce personnel.
Phase 3: NQS Implementation
Objectives for CY 2025 Example Indicators
. PTB issuance and completion data. . All jurisdictions shall have issued PTBs to designated incident
workforce personnel and ensure
incident workforce personnel show
progress in working toward task
endorsements and minimum training
requirements.
Reporting
Data collection and reporting on NQS implementation will be addressed via the following:
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.
.
NIMS secondary assessment questions on the URT. This involves reporting on the status of the qualification system used within the jurisdiction and sub-jurisdictions.
Review by the Regional NIMS Coordinators during annual TA visits with the states, tribes, and territories within their regions.
12.3. Logistics Planning
12.3.1. DISTRIBUTION MANAGEMENT PLANS
EMPG Program recipients are required to develop and maintain a Distribution Management (DM) plan as an annex to their existing EOP. CPG 101 v3 provides guidance on the fundamentals of planning and development of EOPs. The Distribution Management Plan Guide 2.0 released in Jan. 2022 provides information on how to develop the DM plan annex, key DM plan components, how to review and update a DM plan, and how FEMA reviews and evaluates the plans.
A state/territory should submit its DM plan as both a Word document and PDF to its FEMA Regional Grants Division. The maturity level of the plan may vary by state/territory, but the recipient is required to submit a DM plan that accurately reflects the state or territory’s current capabilities and capacity to distribute resources to survivors after a disaster and addresses the following components: Requirements Defining; Resource Ordering; Distribution Methods; Inventory Management; Transportation; Staging; and Demobilization.
The DM plan must be reviewed by recipients on an annual basis and updated as necessary by Sept. 30 of each CY. In the applicable secondary CPG 101 assessment portion of the online URT, jurisdictions capture whether they have developed and incorporated a DM plan in their EOP. . The DM plan should focus on the distribution of commodities and supplies such as food, water, generators, and tarps to survivors following a disaster. . The DM plan should address strategies/plans for:
o
o
o
o
o
o
o
Requirements Defining;
Resource Ordering;
Distribution Methods;
Inventory Management;
Staging Areas;
Transportation; and
Demobilization.
FEMA Regional Logistics Branch staff will work with EMPG Program recipients to provide TA during the development and maintenance of their DM plans and to ensure all recipients have effective DM plans capable of integrating with federal, NGOs, private sector, and SLTT stakeholders during major disasters. Recipients should refer to the following for additional guidance:
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.
.
IB 442, Guidance on Distribution Management Plans for the Fiscal Year 2019 Emergency Management Performance Grants Program; and
The Distribution Management Plan Guidance found on the Planning Guides page on FEMA.gov
12.3.2. ADDITIONAL LOGISTICS PLANNING RESOURCES
FEMA recommends that EMPG Program recipients use the following resources in developing their DM plan. To learn more about these programs and documents, or for any questions, please contact the Logistics Section Chief from your FEMA Region.
. The Logistics Capability Assessment Tool 2 (LCAT2) Flyer: The LCAT2 Flyer provides an overview of the LCAT2, how it is beneficial, how the LCAT process works, and how to obtain an LCAT2. For more information on the LCAT2, contact your FEMA Regional Logistics Branch Chief. . Points of Distribution (PODs) Training: FEMA Logistics developed a comprehensive POD training to assist states in developing actionable emergency distribution plans and understanding associated challenges. Additional information, including an explanatory DVD, POD guide, and online exam, are available on EMI’s website at the IS-26: Guide to Points of Distribution page. .
.
Interagency Logistics (IL) Training: This basic IL training course (Interagency Logistics Training, E8540) familiarizes participants with the IL concepts of planning and response. The course also provides an overview of IL Partner disaster response organizations, discusses parameters for logistics support coordination, and creates a whole community forum to exchange the best logistics practices. Recipients may find more information on this and other courses by visiting the EMI Courses & Schedules website.
Other Logistics Planning Resources: Recipients will find additional planning guidance at the Planning Guides page on FEMA.gov. Specific to logistics planning, CPG 101 v3 provides guidance on how to incorporate logistics into EOPs. Additionally, the Supply Chain Resilience Guide provides emergency managers with recommendations and best practices on how to analyze local supply chains and work with the private sector to enhance supply chain resilience using a fivephased approach.
Reporting
Annual DM plan reviews will be reported in the PPR for the quarter ending Sept. 30 of the most recently awarded EMPG Program. Reviews that result in an update must be submitted to the Regional Grants Division Director or Regional EMPG Program Manager for review by regional logistics staff. The regional logistics staff will review and rate the plans using the latest FEMA Distribution Management Plan Guide 2.0.
12.4. Evacuation Planning
EMPG Program recipients should review and update their EOP in accordance with CPG 101 v3.
Recipients are strongly encouraged to include an evacuation plan or annex as part of their EOP as well as plans to exercise and validate the evacuation plan and capabilities. At a minimum, recipients should incorporate the National Response Framework’s (NRF’s) Mass Evacuation Incident Annex’s planning considerations, and other FEMA documents related to evacuation planning, when developing their own Evacuation Plan or Annex. See the NRF, Fourth Edition (October 2019) and NRF Mass Evacuation Incident Annex (June 2008). Additional National Preparedness resources are 100
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available at National Preparedness and Planning Guides pages on FEMA.gov. Specific to evacuation planning, the Evacuation and Shelter in Place Guidance identifies relevant concepts, considerations, and principles that can inform jurisdictions in planning for evacuation and/or shelter-in-place protective actions.
12.5. Disaster Housing Planning
12.5.1. STATE-LED DISASTER HOUSING TASK FORCE
Based on lessons learned from recent disasters, FEMA strongly encourages EMPG Program recipients to establish a State-Led Disaster Housing Task Force (SLDHTF) plan as part of their EOP or as a standalone document and update their plan at least once every two years.
SLDHTFs lead and coordinate state, local, private sector, and community-based actions to assess housing impacts, identify appropriate post-disaster housing options, and establish processes for expediting post-disaster housing delivery. SLDHTF plans should clearly identify the roles, responsibilities, composition, and mobilization procedures for the SLDHTF, and how the SLDHTF integrates into the incident command structure. To have a successful SLDHTF plan, FEMA encourages recipients to establish a State Disaster Recovery Coordinator (SDRC). . Complete the State Housing Strategy Template.
12.5.2. DISASTER HOUSING EXERCISES
SLTT governments are encouraged to exercise and validate their long-term sheltering and housing stabilization plans as part of an existing exercise program. This includes:
. Validating the organizational structure of the Housing Task Force and internal readiness capabilities to address post-disaster housing recovery. . Validating disaster housing communication plans and procedures that coordinate and integrate the activities and information generated by internal/external partners. .
.
Validating data systems, security, and exchange protocols.
Validating planned actions and milestones transitioning from emergency sheltering to temporary housing to permanent housing and long-term recovery.
12.5.3. ADDITIONAL DISASTER HOUSING PLANNING RESOURCES
SLTT governments are encouraged to review the planning guidance available at the Planning Guides page on FEMA.gov. The Planning Guides page includes Planning Considerations: Disaster Housing Guidance for State, Local, Tribal and Territorial Partners (May 2020), which supplements CPG 101 v3. It provides guidance on national housing priorities, types of housing, key considerations, and housing-specific planning recommendations for SLTT jurisdictions to use, in conjunction with the SixStep Planning Process described in CPG 101 v3, to develop or improve disaster housing plans. 101
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12.6. State Disaster Recovery Coordinator
The Pre-Disaster Recovery Planning Guide helps states prepare for recovery by developing predisaster recovery plans that follow a process to engage members of the whole community, develop recovery capabilities, and create an organizational framework for recovery efforts.
FEMA strongly recommends that EMPG Program recipients include pre-disaster recovery planning as part of their State Readiness and Preparedness efforts by establishing an SDRC. An effective predisaster recovery plan and process is crucial to help recipients prepare for major disaster incidents and recover effectively. Recipients are encouraged to use the Pre-Disaster Recovery Planning Guide to help inform their identification and establishment of a SDRC. The SDRC position should be included in the State Administrative Plan with the following responsibilities:
. Development of the pre-disaster recovery plan, including state-level leadership and structure, formation of communication channels, multi-agency coordination, and building whole-community partnerships to support recovery efforts.
.
.
.
.
Set the stage for necessary strategic, operational, and tactical post-disaster planning, actions, and processes.
Maximize impact of federal, private sector, and nongovernmental dollars to enable recovery and resilience.
Accelerate the delivery of resources, including funding and TA, to disaster-impacted communities.
Enable state leadership to better organize and identify gaps in the state’s recovery capabilities.
12.7. Disaster Financial Management Policies and Procedures Lessons learned from recent hurricane seasons and wildfires demonstrate the need for impacted jurisdictions to improve their ability to immediately track and account for disaster costs. Disaster financial management includes policies and procedures that work to recover expenses pertaining to damage, emergency protective measures, and debris management during and after a disaster.
These policies and procedures include, but are not limited to, those supporting eligible contract costs and force account labor, materials, and equipment.
12.7.1. STATE ADMINISTRATIVE PLAN
FEMA strongly recommends that EMPG Program recipients include disaster financial management planning as part of their State Administrative Plan. An effective disaster financial management plan and process is crucial to help recipients prepare for declarations of emergencies or major disasters and plan for reimbursement. The table below details the processes that should be included in the State Administrative Plan and recommendations on where they should be placed. 102
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Table 9: State Administrative Plan Guidance
State Administrative Plan Section
Recommendations
Processes
. Section V Part D: Project Funding and . A process to ensure subrecipients are tracking and documenting disaster costs
necessary for federal reimbursement, such
as receipts, invoices, procurement
documents, contracts, and insurance
coverage/claims
Reimbursement
. Section V Part G: Records and Reports
. Section V Part D: Project Funding and . A process to document disaster cost operations such as labor, equipment, and
materials that are allowable under federal
requirements
Reimbursement
. Section V Part G: Records and Reports
. Section V Part D: Project Funding and . A process to ensure that subrecipients are Reimbursement not receiving a duplication in benefits
. Section IV Part B: Organization and Staffing . A process to ensure pre-disaster contracts and procurement strategies are in place, if
necessary
Additionally, recipients are encouraged to use EMPG Program funds for training that develops, delivers, and exercises disaster financial management procedures.
12.7.2. DISASTER FINANCIAL MANAGEMENT RESOURCES
Recipients are encouraged to use the following resources to inform their disaster financial management planning efforts:
. State Administrative Plan Template: Recipients are recommended to use the State Administrative Plan template found on FEMA’s Public Assistance webpage to inform their planning efforts. The template includes example structure and content as a model for states to create their own Administrative Plan.
.
.
Public Assistance Program and Policy Guide: The Public Assistance Program and Policy Guide (PAPPG) combines all Public Assistance policy into a single volume and provides an overview of the Public Assistance program implementation process.
Public Assistance Frequently Asked Questions and Guidance: Recipients are encouraged to view the Public Assistance Frequently Asked Questions and guidance found on the Public Assistance webpage to assist with disaster financial management planning efforts. The webpage provides information pertaining to documentation, Public Assistance grant funding eligibility, and hazard mitigation and can be found at the Public Assistance Fact Sheets, Job Aids, and FAQs page on FEMA.gov.
. DHS OIG Audit Tips: Recipients are recommended to consult the DHS OIG report, Audit Tips for Managing Disaster-Related Project Costs (OIG-17-120-D) for further assistance in documenting and accounting for disaster-related costs. This report is informed by OIG audit findings and can assist recipients in addressing issues that are frequent findings in disaster-related audits. 103
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.
.
Disaster Financial Management Guide: The Disaster Financial Management Guide provides guidance for SLTT partners on establishing and implementing sound disaster financial management practices.
PDAT Training and Resources: The PDAT provides training and other resources to assist grant recipients in their efforts to comply with federal procurement standards.
12.8. Training and Exercises
12.8.1. INTEGRATED PREPAREDNESS PLAN
Recipients are expected to engage senior leaders and other whole community stakeholders to identify preparedness priorities specific to training and exercise needs, which will guide development of a state/territory multi-year IPP. Like the EMPG Program Work Plan development process, these priorities should be informed by various factors, including jurisdiction-specific threats and hazards (i.e., the THIRA); areas for improvement identified by real-world events and exercises (i.e., AAR); external requirements such as stakeholder preparedness reviews (i.e., SPR), homeland security policy, and industry reports; and accreditation standards, regulations, or legislative requirements.
Recipients must document these priorities, in conjunction with the Work Plan development process, and use them to deploy a schedule of preparedness events and activities in the IPP. Information related to IPPs and IPPWs can be found on the HSEEP page on FEMA.gov and FEMA’s Preparedness Toolkit. FEMA Regional staff can provide TA for IPP and IPPW development.
Recipients should ensure that their EMPG Program Work Plans and IPPs align with and are complementary to one another and are used in tandem to support shared priorities for building and sustaining the state/territory’s preparedness capabilities. Recipients should include planning, training, and exercise projects in their EMPG Program Work Plan that support priorities included in their IPP. The current multi-year IPP must be submitted to [email protected] and the Regional EMPG Program Manager before Jan. 31 of each year.
This will help ensure that priorities for both the IPP and EMPG Program Work Plan are based on building capability and/or closing capability gaps documented in their THIRA/SPR and other relevant sources of information. For example, if a recipient included Logistics and Distribution Management, Resilient Communications, and Housing as priorities for its IPP, those should also be priorities in its EMPG Program Work Plan. Additionally, IPPs should include all planning, training, and exercise activities funded by the EMPG Program as well as activities funded by other sources. This inclusion will ensure that recipients’ preparedness projects, investments, and activities are concentrated, focused, and oriented toward closing gaps related to their top priorities, regardless of funding source.
12.8.2. VALIDATING CAPABILITIES THROUGH EXERCISES
All recipients are required to 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.
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 104
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inform policy and preparedness programs. If you have any questions or would like to request assistance through the NEP, please visit the NEP website or reach out to the NEP directly at [email protected].
The exercises and priorities outlined in the IPP and all EMPG Program-funded exercises must be included in the current fiscal year’s EMPG Program Work Plan. To avoid duplicate reporting, applicants/recipients are not required to report EMPG Program-funded personnel costs associated with exercises in the EMPG Program Work Plan. See the EMPG Program Work Plan template in the EMPG Program NOFO for additional guidance.
12.8.3. TRAINING
Like the exercise guidance above, training activities should align to a current, multi-year IPP developed through an annual IPPW and build from training gaps identified in the THIRA/SPR and work plan development process. Further guidance concerning the IPP and the IPPW can be found at the HSEEP Resources page on Preparedness Toolkit.
Through the NPD’s training and education enterprise, consisting of CDP, EMI, and NTED’s partnerships with the National Domestic Preparedness Consortium, Rural Domestic Preparedness Consortium, Continuing Training Grants partners, and the Center for Homeland Defense and Security, FEMA develops and delivers training and education programs to increase capabilities, reduce risk, and build resilient communities. More than 700 tuition-free courses are offered to members of SLTT communities. By accessing the National Preparedness Course Catalog, users will find all courses to include EMI training and includes links to the basic, advanced, and executive emergency management academies.
12.8.4. FEMA’S NATIONAL PREPAREDNESS COURSE CATALOG
Training should foster the development of a community-oriented approach to emergency management that emphasizes engagement at the community level, strengthens best practices, and provides a path toward building sustainable resilience, all of which is included in the curriculum of the EMI Basic Academy. The EMI Basic Academy provides a foundational education in emergency management as a way for emergency managers to begin or advance their career. The goal of the Basic Academy is to support the early careers of emergency managers through a training experience combining knowledge of all fundamental systems, concepts, and practices of cutting-edge emergency management.
EMPG Program funds used for training should support the nationwide implementation of NIMS. The NIMS Training Program establishes a national curriculum for NIMS and provides information on NIMS courses. Recipients are encouraged to place emphasis on the core competencies as defined in the NIMS Training Program. NIMS is also included in the curriculum of the EMI Basic Academy. The NIMS Training Program can be found at NIMS Implementation and Training.
All EMPG Program-funded personnel are expected to be trained emergency managers (see Section
12.2.3 “National Qualification System Implementation”). All EMPG Program-funded personnel must complete either the Independent Study courses identified in the Professional Development Series, or the National Emergency Management Basic Academy delivered either by EMI or at a sponsored SLTT, regional, or other designated location. Further information on the National Emergency Management Basic Academy and the Emergency Management Professional Program (EMPP) can be found at the EMPP page on EMI’s website. A complete list of Independent Study Program Courses may be found at the Independent Study page on EMI’s website. 105
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In addition to training activities aligned to and addressed in the IPP, all EMPG Program-funded personnel (including full- and part-time SLTT recipients and subrecipients) must complete the following training requirements and record proof of completion:
1. NIMS Training, Independent Study (IS)-100 (any version), IS-200 (any version), IS-700 (any version), and IS-800 (any version)2; and
2. Professional Development Series (PDS) or the EMPP Basic Academy courses listed in the table below.
Table 10: PDS or EMPP Basic Academy Courses
PDS Basic Academy
Professional Development Series Basic Academy Pre-requisites and Courses IS-120.a: An Introduction to Exercises IS-100 (any version): Introduction to the Incident Command System
IS-230.d: Fundamentals of Emergency
Management
IS-700 (any version): National Incident
Management System (NIMS)-An Introduction
IS-235.b: Emergency Planning IS-800 (any version): National Response Framework, An Introduction
IS-240.b: Leadership and Influence IS-230.d: Fundamentals of Emergency Management
IS-241.b: Decision Making and Problem
Solving
E/L101: Foundations of Emergency
Management
IS-242.b: Effective Communication E/L102: Science of Disasters IS-244.b: Developing and Managing
Volunteers
E/L103: Planning Emergency Operations
IS-244.b: Developing and Managing
Volunteers
E/L104: Exercise Design
IS-244.b: Developing and Managing
Volunteers
E/L105: Public Information & Warning
The EMI Basic Academy provides this foundational Emergency Management education. To ensure the professional development of the emergency management workforce, the recipients must ensure a routine capabilities assessment is accomplished and an IPP is developed and implemented. 2 NIMS training courses IS-100, IS-200, IS-700, and IS-800 only need to be taken once to fulfill requirements. Also, previous versions of the IS courses are still considered as meeting the NIMS training requirement. 106
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12.8.5. TRAINING AND EXERCISE REPORTING
. All EMPG Program-funded exercise and training activities must be captured in the approved EMPG Program Work Plan and should be included in the IPP. This includes training for which the only expenses are for overtime and/or backfill costs associated with emergency management personnel attending the training.
.
.
EMPG Program-funded exercise costs in the Work Plan can include costs to plan, conduct and evaluate the exercise (e.g., planning, materials, props, contractual services for conducting the exercise, AAR, and IP, etc.).
All EMPG Program-funded training activities must be reported quarterly. To simplify reporting, it is recommended the recipient submit an updated Training Data Table from the EMPG Program Work Plan Template as an attachment to the quarterly PPR. For those recipients who choose not to use the EMPG Program Work Plan Template, the data and information found in the Training Data Table must still be submitted (in any chosen format) as an attachment to the PPR. . EMPG Program-funded personnel costs associated with exercises are not required in the EMPG Program Work Plan Template for application or reporting purposes. .
.
Recipients are encouraged to enter their exercise information into the Preparedness Toolkit.
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] and the Regional EMPG Program Manager and indicate which fiscal year’s funds were used (if applicable) before Jan. 31 of each year.
. Submission of AAR/IPs to [email protected] and the Regional EMPG Program Manager must take place within 90 days following 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 regional level. Recipients are discouraged from submitting AAR/IPs specific to local jurisdictions that reflect drills. o If a state, territory, tribe, or local jurisdiction has experienced a major disaster and they would like to request exemptions for a scheduled exercise, the recipient should send this request to its assigned Regional EMPG Program Manager through the quarterly PPR. Exemptions will be reviewed by the Region on a case-by-case basis.
.
.
Recipients can access a sample AAR/IP template at the Improvement Planning Templates page on Preparedness Toolkit.
Recipients must report their NIMS implementation status of their jurisdiction and subjurisdictions, including the training of personnel, in the applicable secondary NIMS assessment portion of the URT as part of their THIRA/SPR submission. .
.
Recipients must maintain proof of completion of training requirements. Recipients are encouraged to use the OneResponder system to enter, track, and report training.
Training Information Reporting System (“Web Forms”): Web Forms is an electronic data management system built to assist SAA TPOCs and federal agencies to submit non-NTED training 107
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courses for inclusion in the State/Federal-Sponsored Course Catalog. The information collected is used in a two-step review process to ensure that the training programs adhere to the EMPG Program’s intent, and the course content is sound and current. While reporting training activities through Web Forms is not required under the EMPG Program, the system remains available and can be accessed through the Web-Forms section of the FEMA National Preparedness Course Catalog to support recipients in their own tracking of training deliveries.
12.9. Reviewing and Updating Planning Products
Based on the applicant’s current THIRA/SPR, capability levels, and resources, plans should be reviewed on an annual basis to determine if they remain relevant or need to be updated. This review should be based on a current THIRA/SPR and utilize information gathered during the capability validation process. These reviews will provide a means to determine priorities, direct preparedness actions, and calibrate goals and objectives.
12.10. Program Performance Reporting Requirements
12.10.1. STANDARDIZED PROGRAMMATIC REPORTING FOR THE EMERGENCY
MANAGEMENT PERFORMANCE GRANT PROGRAM
The EMPG Program Work Plan Template standardizes data collection, which enables improved analysis and reporting. The EMPG Program Work Plan includes 10 components:
1. Grant Investment Strategy
2. Grant Activities Outline
3. Detailed Budget – Excluding M&A
4. Budget Narrative – Excluding M&A
5. Detailed Budget – M&A Only
6. Budget Narrative – M&A Only
7. EMPG Program Summary
8. Implementation Schedule
9. Training Data Table
10. Exercise Data Table
Although using the fiscal year’s EMPG Program Work Plan Template is not mandatory (see the EMPG Program Work Plan template in the EMPG Program NOFO), baseline data on personnel, training, and exercises, as well as the information included on the Grant Activities Outline and Implementation Schedule, must be provided in the EMPG Program Work Plan at the time of application regardless of the chosen work plan format.
The status of all EMPG Program-funded plans, training, and exercise activities, any risks that may affect project progress or success, and updates to project schedules, must be reported quarterly as part of the PPR. To facilitate reporting, recipients are encouraged to submit an updated Implementation Schedule, Training Data Table, and Exercise Data Table from the EMPG Program Work Plan Template as an attachment to the quarterly PPR. Recipients who choose not to use the EMPG Program Work Plan Template must still provide the updated data and information included in the Implementation Schedule, Training Data Table, and Exercise Data Table, but may use a different format for reporting that information in their PPR submission. 108
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13. Abbreviations and Acronyms
Abbreviation
AAR
Definition
After-Action Report
ABA Architectural Barriers Act of 1968
ADA Americans with Disabilities Act
ADDIE
AEL
Analysis, Design, Development, Implementation, and Evaluation Authorized Equipment List
AHJ Authority Having Jurisdiction
AMSC
AMSP
ANSI
AOR
Area Maritime Security Committees
Area Maritime Security Plan
American National Standards Institute
Authorized Organizational Representative
Assistant Secretary for Preparedness and Response
Alcohol, Tabaco, Firearms, and Explosives
Build America, Buy America Act
ASPR
ATF
BABAA
BASE
BCRTP
BPETS
BSIR
CAD
Baseline Assessment for Security Enhancement
Business Continuity and Resumption of Trade Plans
Border Patrol Enforcement Tracking System
Biannual Strategy Implementation Report
Computer Assisted/Aided Dispatch
CAP Corrective Action Plans
CART
CBP
Computer Aided Real-Time Translation
Customs and Border Protection
CBRN
CBRNE
CDC
Chemical, Biological, Radiological, and Nuclear
Chemical, Biological, Radiological, Nuclear, Explosive
Centers for Disease Control and Prevention
Center for Domestic Preparedness
Continuity Guidance Circular
CDP
CGC
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Abbreviation
CISA
Definition
Cybersecurity and Infrastructure Security Agency
Customer-Owned and Managed
Communications Unit
COAM
COMU
CONOPS
COTP
CPG
Concept of Operations
Captain of the Port
Comprehensive Preparedness Guide
Commercial Service Providers
Continuing Training Grants
CSPs
CTG
CWMD
CY
Countering Weapons of Mass Destruction
Calendar Year
DAR Daily Activity Report
DEC Disaster Emergency Communications
Department of Homeland Security
Distribution Management
DHS
DM
DOJ Department of Justice
DOL Department of Labor
DOT Department of Transportation
Enhanced Cybersecurity Services
Explosive Detection Canine Teams
Environmental Planning and Historic Preservation
Emergency Management Agency
Emergency Management Assistance Compact
Emergency Management Accreditation Program
Emergency Management Institute
Enterprise Mobility Management
Electromagnetic Pulse
ECS
EDCTs
EHP
EMA
EMAC
EMAP
EMI
EMM
EMP
EMPG Emergency Management Performance Grant
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Abbreviation
EMPP
EMS
Definition
Emergency Management Professional Program
Emergency Medical Services
Emergency Medica Services for Children
Executive Order
EMSC
EO
EOP Emergency Operations Plan
EPC Evolved Packet Core
FAR Federal Acquisition Regulation
Federal Bureau of Investigation
Federal Continuity Directive
Federal Emergency Management Agency
FEMA Grants Outcomes
FBI
FCD
FEMA
FEMA GO
FFR Federal Financial Report
FFRMS
FirstNet
FLR
Federal Flood Risk Management Standard
First Responder Network
First Line Review
FNARS
FRAGO
FRTS
FSP
FEMA National Radio System
Fragmentary Order
First Responder Training System
Facility Security Plan
FVA Freeboard Value Approach
FY Fiscal Year
GAAP
GAO
General Accepted Accounting Principles
Government Accountability Office
Government Furnished Information
Geographic Information Systems
Grant Programs Directorate
General Services Administration
GFI
GIS
GPD
GSA
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Abbreviation
HHS
HIDTA
HPP
HSA
HSEEP
HSGP
HSIN
I&A
Definition
Health and Human Services
High-Intensity Drug Trafficking Areas
Hospital Preparedness Program
Homeland Security Act of 2002
Homeland Security Exercise and Evaluation Program
Homeland Security Grant Program
Homeland Security Information Network
Intelligence and Analysis
IAPPG
IB
Individual Assistance Program and Policy Guide
Information Bulletin
IBSGP
IEDDA
IGSA
IJ
Intercity Bus Security Grant Program
International Explosive Detection Dog Association
Inter-Governmental Service Agreement
Investment Justification
IL Interagency Logistics
INA Immigration and Nationality Act
Interagency Operations Centers
Improvement Plan
IOC
IP
IPAWS
IPP
Integrated Public Alert and Warning System
Integrated Preparedness Plan
IPPWs
IPR
Integrated Preparedness Planning Workshops
Intercity Passenger Rail
IPT Integrated Planning Team
IRPF
ISE
Infrastructure Resilience Planning Framework
Information Sharing Environment
IT Information Technology
JES Joint Explanatory Statement
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Abbreviation
K-9
Definition
Canines
LCAT2
LEP
Logistics Capability Tool 2
Limited English Proficiency
LESO
LTE
Law Enforcement Support Office
Long-Term Evolution
M&A Management and Administration
Mobile Communications Office Vehicles
Maritime Domain Awareness
MCOV
MDA
MDM
MERS
MSAs
MSRAM
MTSA
NCSWIC
ND
Mobile Device Management
Mobile Emergency Response Support
Metropolitan Statistical Areas
Maritime Security Risk Analysis Model
Maritime Transportation Security Act
National Council of Statewide Interoperability Coordinators Non-Disaster
NDAA
NDPC
NECP
NEDCTP
NEP
National Defense Authorization Act
National Domestic Preparedness Consortium
National Emergency Communications Plan
National Explosives Detection Canine Team Program
National Exercise Program
NGO Nongovernmental Organization
National Highway Traffic Safety Administration
National Information Exchange Model
National Incident Management System
National Institute of Standards and Technology
Notice of Funding Opportunity
NHTSA
NIEM
NIMS
NIST
NOFO
NPCA National Police Canine Association
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Abbreviation
NPD
Definition
National Preparedness Directorate
NQS National Qualification System
NRF National Response Framework
Nonprofit Security Grant Program
Nationwide Suspicious Activity Reporting Initiative
National Security Special Event
National Training and Education Division
National Telecommunications and Information Administration Office of Inspector General
NSGP
NSI
NSSE
NTED
NTIA
OIG
OMB Office of Management and Budget
Office of National Continuity Programs
Operation Stonegarden
ONCP
OPSG
PAPPG
PARS
PDAT
PHEP
POC
Public Assistance Program and Policy Guide
Payment and Reporting Systems
Procurement Disaster Assistance Team
Public Health Emergency Preparedness
Point of Contact
PODs
POP
Points of Distribution
Period of Performance
PPD Presidential Policy Directive
PPE Personal Protective Equipment
PPR Performance Progress Report
PRICE Act Personal Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act
PRMP
PSGP
PTT
Port Wide Risk Mitigation Plan
Port Security Grant Program
Push-to-Talk
RANs Radio Access Networks
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Abbreviation
RDPC
RECC
RECCWG
RECP
RF
Definition
Rural Domestic Preparedness Consortium
Regional Emergency Communications Coordinator
Regional Emergency Communications Coordination Working Groups Regional Emergency Communications Plan
Radio Frequency
RFI Request for Information
RISS Regional Information Sharing Systems
RMS Records Management Systems
R/Q Responsibility/Qualification
RRAP
RTSWGs
SAA
Regional Resilience Assessment Program
Regional Transportation Security Working Groups
State Administrative Agency
SAC Senior Advisory Committee
SAR Suspicious Activity Report
SAT Simplified Acquisition Threshold
SCIP Statewide Communication Interoperability Plan
State Disaster Recovery Coordinator
Schedule of Expenditures of Federal Awards
State Homeland Security Program
Statewide Interoperability Executive Committee
Statewide Interoperability Governance Board
Subscriber Identification Modules
State-Led Disaster Housing Task Force
State, Local, Tribal, and Territorial
Standard Operating Procedure
SDRC
SEFA
SHSP
SIEC
SIGB
SIMS
SLDHTF
SLTT
SOP
SPF Single Point of Failure
SPOC Single Point of Contact
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Abbreviation
SPR
Definition
Stakeholder Preparedness Review
Small Unmanned Aircraft Systems
Statewide Interoperability Coordinator
Technical Assistance
sUAS
SWIC
TA
the Goal
THIRA
THSGP
TICP
National Preparedness Goal
Threat and Hazard Identification and Risk Assessment
Tribal Homeland Security Grant Program
Tactical Interoperability Communications Plan
Transportation Infrastructure Security Branch
Training Point of Contact
TISB
TPOC
TPP Training Partner Program
TSA Transportation Security Administration
TSC Terrorist Screening Center
TSGP
UAS
Transit Security Grant Program
Unmanned Aircraft System
UASI Urban Area Security Initiative
UAWG Urban Area Working Group
UICC
URT
Universal Integrated Circuit Cards
Unified Reporting Tool
USB Universal Serial Bus
USBP
USCG
USPCA
USSS
VASP
VPN
United States Border Patrol
United States Coast Guard
U.S. Police Canine Association
United States Secret Service
Vulnerability Assessment and Security Plan
Virtual Private Network
VSP Vessel Security Plan
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